Title 21 NCAC — Occupational Licensing Boards and Commissions

Chapter 01 Acupuncture

21 NCAC 01 .0101 Application and practice requirements FOR LICENSURE

In addition to and for the purposes of meeting the requirements of G.S. 90-455, an applicant for licensure to practice acupuncture shall satisfy requirements one through six and eight listed below or requirements one through five and requirements seven and eight listed below:

(1) Submit a completed application;

(2) Submit fees as required by Rule .0103 of this Section;

(3) Ensure that an official copy of a diploma, transcript, license or certificate, examination score, or other document required for application is forwarded directly to the Board by the issuing entity or its successor organization or designated state agency. Documents shall have an official or government seal or written verification authenticating the document;

(4) If the applicant sat for the National Certification Commission for Acupuncture and Oriental Medicine (NCCAOM) examination on or before June 30, 2004, the applicant shall submit proof that he or she passed the acupuncture written exam and the point location exam as established and determined by NCCAOM or its successor organization. If the applicant sat for the licensing examination after June 30, 2004, the applicant shall submit proof that he or she passed, as determined by NCCAOM, the following four NCCAOM modules: Foundations of Oriental Medicine, Acupuncture, Biomedicine and Point Location;

(5) Submit proof that he or she passed the Clean Needle Technique course as offered and determined by the Council of Colleges of Acupuncture and Oriental Medicine (CCAOM) or its successor organization;

(6) Submit proof of satisfying the education requirements listed below:

(a) US Trained Applicants. All U.S. trained applicants shall graduate from a three-year postgraduate acupuncture college, accredited by or in candidacy status by the Accreditation Commission for Acupuncture and Oriental Medicine (ACAOM) or its successor organization.

(b) Foreign Trained Applicants. All foreign trained applicants shall graduate from a postgraduate acupuncture college that meets the curricular requirements of ACAOM. The college shall also be approved by either:

(i) A foreign government's Ministry of Education;

(ii) A foreign government's Ministry of Health;

(iii) A governmental agency that is comparable to a division or department of the US Government charged with educational accreditation; or

(iv) A private foreign accreditation agency that has an accreditation process and standards substantially equivalent to that of ACAOM, and that is recognized for that purpose by the substantially equivalent governmental entity in that foreign country. The educational institutions shall meet the curricular requirements of ACAOM.

(c) The documents substantiating that the U.S. trained applicant has met the specified requirements shall be submitted as follows:

(i) The educational program or governmental agency from which the applicant received the certificate or diploma shall send an official copy of the applicant's transcript directly to the Board in a sealed envelope.

(ii) By its submission of this transcript, the program or agency shall verify the applicant's satisfactory completion of the required ACAOM academic and clinical education and designate the completed courses and the hours of study completed in each subject.

(d) The documents substantiating that the Foreign trained applicant has met the specified requirements shall be submitted as follows:

(i) The educational program or governmental agency from which the applicant received the certificate or diploma shall send an official copy of the applicant's transcript directly to the Board in a sealed envelope;

(ii) By submission of this transcript, the program or agency shall verify the applicant's satisfactory completion of his or her clinical education and designate the completed courses and hours of study earned in each subject;

(iii) The applicant, at his or her own expense, shall submit an accurate English translation that interprets all documents submitted in a foreign language. Each translated document shall bear the affidavit of the translator certifying that he or she is competent in both the language of the document and the English language and that the translation is a true and complete translation of the foreign language original. Each translated document shall also bear the affidavit of the applicant, certifying that the translation is a true and complete translation of the original. Each affidavit shall be signed before a notary public; and

(iv) All foreign trained applicants, at his or her expense, shall submit their transcripts for evaluation by a foreign credential evaluation service to determine if the applicant's course work is equivalent to that required of an applicant from a three-year postgraduate acupuncture college accredited by the Accreditation Commission for Acupuncture and Oriental Medicine (ACAOM). This includes a subject-by-subject analysis that meets the curricular requirements of ACAOM in effect at the time of certification by the National Certification Commission for Acupuncture and Oriental Medicine (NCCAOM) in the acupuncture written and point location examinations. The applicant may use a current member of the National Association of Credential Evaluation Services (NACES) or the American Association of Collegiate Registrars and Admissions Offices (AACRAO);

(7) Practice Requirements:

(a) The applicant shall fulfill the requirements set forth in G.S. 90-455.

(b) Disciplinary action, as used in Article 30 of Chapter 90 of the General Statutes, means censure, suspension, or revocation but does not include a letter of caution, warning or admonition; and

(8) Submit a license history stating the disciplinary record of the applicant to reflect any censure, suspension or revocation. The record shall be sent directly to the Board by each state board in which the applicant has been licensed to practice acupuncture.

History

• Authority G.S. 90-451; 90-454; 90-455
• Temporary Adoption Eff. March 18, 1994 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. August 1, 1996
• Amended Eff. August 1, 2007; July 1, 2000; April 1, 1999; August 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 01 .0102 Requirements/Waiver/Qualifications/Licensure Detailed in G.s. 90-455

An applicant for licensing seeking a waiver of the requirements of Rule .0101 of this Section shall:

(1) Submit a completed application before December 31, 1994, and

(2) Submit non-refundable fees as required by Rule .0103 of this Section, and

(3) Provide proof of North Carolina residency as of January 1, 1993, and

(4) Fulfill one of the following:

(a) Submit a certified copy, certified by the issuing institution, of a transcript including evidence of graduation from an acupuncture college approved by the Board (an approved acupuncture college is one that is a minimum of two academic years of training and is certified or approved by the state or country in which it operates), or

(b) Submit evidence of successful completion of the Clean Needle Technique (CNT) course and achieve a score of not less than 15 points as outlined in the Sub-items (4)(b)(i) and (ii) of this Rule to satisfy requirements for a Board approved training program.

(i) Submit proof of a score of not less than 70% on the National Commission for the Certification of Acupuncturists examination: 15 points; or

(ii) Training: Accrue 15 points (a minimum of 5 points in both categories in Sub-items (4)(b)(ii)(A) and (B) of this Rule.

(A) Education:

(I) Structured - For each 100 hours of documented completion of a formal training program approved by the Board: 1 point. A formal training program is an acupuncture college certified or approved by the state or country in which it operates.

(II) Apprenticeship - For each 150 hours of supervised apprenticeship training with an acupuncturist [and which is verified by such acupuncturist(s)]: 1 point.

(B) Experience: An applicant must accrue a minimum of five points in any combination of Sub-items (4)(ii)(B)(I) and (II) of this Rule. Acupuncture must comprise at least 90% of the applicant's practice. Treatments for cessation of smoking and weight loss shall not be adequate to satisfy the experience requirements if such therapies comprise more than 40% of the applicant's practice.

(I) Treatment of not fewer than 100 different patients for not less than 2000 patient hours within the last three years prior to application for licensure: 5 points.

(II) Treatment of not fewer than 100 patients for not less than 4000 patient hours within the last three years prior to application for licensure: 10 points.

(5) Submit all correspondence, including application, in writing, typed or printed only, to the North Carolina Acupuncture Licensing Board, P.O. Box 25171, Asheville, NC 28803.

History

• Authority 90-454; 90-455; S.L. 1993, c. 303, s. 3
• Filed as a Temporary Adoption Eff. March 18, 1994 for a Period of 180 Days or Until the Permanent Rule Becomes Effective, Whichever is Sooner
• Eff. August 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 01 .0103 Fees

The following fees shall apply:

(1) Application (non-refundable) $100.00

(2) Initial biennial licensing $500.00

(3) Renewal of biennial licensing $300.00

(4) Late license renewal (additional) $200.00

(5) Inactive license renewal, biennial extension $ 50.00

(6) Duplicate license $ 25.00

(7) Duplicate wall certificate $ 50.00

(8) Mailing Labels $150.00

(9) Returned check $ 40.00

(10) Verification of North Carolina licensure to another state $ 25.00

(11) Name change $ 5.00

(12) Continuing education per single program approval $ 50.00

(13) Continuing education provider approval $ 50.00

(14) Initial school application $1,000.00

(15) Biennial renewal school approval application $500.00

History

• Authority G.S. 90-457
• Temporary Adoption Eff. March 18, 1994 for a Period of 180 Days or Until the Permanent Rule Becomes Effective, Whichever is Sooner
• Eff. August 1, 1994
• Amended Eff. August 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 01 .0104 Definitions

In addition to the definitions contained in G.S. 90-451, the following shall apply throughout this Chapter:

(1) "Licensed Acupuncturist" or "Acupuncturist" is the title conveyed by the North Carolina Acupuncture Licensing Board pursuant to Article 30 of Chapter 90 of the North Carolina General Statutes. Licensed Acupuncturists or Acupuncturists may only refer to him or herself as a doctor in the state of North Carolina, if he or she has earned an educational degree of "doctor" or "doctorate" in accordance with G.S. 90-458.

(2) "Acupuncture adjunctive therapies" include the adjunctive therapies listed in G.S. 90-451(3). It also includes stimulation to acupuncture points and channels by any of the following: cupping, thermal methods, magnets, and gwa-sha scraping techniques.

(3) "Acupuncture diagnostic techniques" include the use of observation, listening, smelling, inquiring, palpation, pulse diagnosis, tongue diagnosis, hara diagnosis, physiognomy, five element correspondence, ryodoraku, akabani, and electro-acupuncture.

(4) "Acupuncture needles" mean the same as in 21 CFR 880.5580, which is hereby incorporated by reference, including subsequent amendments and editions, and can be found at https://www.gpo.gov/fdsys/pkg/CFR-2016-title21-vol8/pdf/CFR-2016-title21-vol8-sec880-5580.pdf at no cost. "Acupuncture needles" include solid filiform needles, intradermal, plum blossom, press tacks, and prismatic needles.

(5) "Dietary guidelines" include nutritional counseling and the recommendation of food and supplemental substances.

(6) "Electrical stimulation" includes the treatment or diagnosis of energetic imbalances using TENS, Piezo electrical stimulation, acuscope therapy, auricular therapy devices, percutaneous and transcutaneous electrical nerve stimulation and Class IIIa, 5 milliwatt laser devices. All laser products shall meet the performance standards for light-emitting products as set forth in 21 CFR 1040.10 and 1040.11, including subsequent amendments and editions, which can be found at https://www.gpo.gov/fdsys/pkg/CFR-2012-title21-vol8/pdf/CFR-2012-title21-vol8-part1040.pdf at no cost.

(7) "Herbal medicine" includes tinctures, patent remedies, decoction, powders, diluted herbal remedies, freeze dried herbs, salves, poultices, medicated oils, and liniments.

(8) "Massage and manual techniques" include acupressure, shiatsu, Tui-Na, qi healing, and medical qi gong.

(9) "Therapeutic exercise" includes qi gong, Taoist self-cultivation exercises, dao yin, tai qi chuan, ba gua, and meditative exercises.

(10) "Thermal methods" include moxibustion, hot and cold packs and infrared lamps. The use of infrared heat lamps shall be done in accordance with 21 CFR 890.5500, including subsequent amendments and editions, which can be found at https://www.gpo.gov/fdsys/pkg/CFR-2017-title21-vol8/pdf/CFR-2017-title21-vol8-sec890-5500.pdf at no cost.

History

• Authority G.S. 90-451(3); 90-454
• Eff. July 1, 1995
• Readopted Eff. April 1, 2018.

21 NCAC 01 .0105 Qualifications for Licensure Through License Reciprocity

An applicant for licensure to practice acupuncture in North Carolina shall:

(1) Submit a completed application;

(2) Submit fees as required by Rule .0103 of this Section;

(3) Have submitted directly to the North Carolina Acupuncture Licensing Board, an official letter from the licensing board of another jurisdiction with whom the North Carolina Acupuncture Licensing Board has a reciprocal licensing agreement, verifying that the applicant is currently licensed and in good standing in such jurisdiction.

History

• Authority G.S. 90-454; 90-455
• Eff. April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 01 .0106 Change of Name or Address

Every person licensed under the provisions of this Article shall give written notice to the Board of any change in his or her name or address within 60 calendar days after the change takes place.

History

• Authority G.S. 90-454; 90-455; 90-456
• Eff. August 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 01 .0107 Board Mailing Address

All correspondence shall be mailed to the following address:

North Carolina Acupuncture Licensing Board

P.O. Box 10686

Raleigh, N.C. 27605

History

• Authority G.S. 90-450
• Eff. August 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 01 .0201 Renewal of Licensure

The procedure and requirements for renewal of license are as follows:

(1) Biennial Renewal. A licensee shall renew his or her license by the second July 1 following initial licensure and thereafter renew his or her license by July 1 every two years.

(2) Continuing Education. Licensees seeking renewal of their license shall verify on a renewal form prepared by the Board that the licensee has completed the required continuing education units in accordance with Rule .0301 of this Chapter. The renewal form shall include the following information:

(a) licensee's: identity and contact information;

(b) requested action from the Board;

(c) statements pertaining to renewal and fitness for licensure; and

(d) information pertaining to courses taken including the number of units completed and each of the courses completed.

(3) Fees. The licensee shall pay the renewal fee prescribed in Rule .0103 of this Chapter.

(4) Suspended license. The holder of a suspended license shall meet the renewal requirements pursuant to G.S. 90-455(b) and this Rule for the duration of the suspension or the license shall expire pursuant to G.S. 90-457.1(e).

(5) Expired license. Failure to receive notification that a license has expired does not relieve the holder of an expired license of the responsibility of meeting the continuing education requirements that would have been required if the license had continued to be in effect. These continuing education units shall not apply to the renewal requirements for the subsequent renewal period. In order to renew an expired license pursuant to G.S. 90-455(e), the applicant shall file the renewal form prepared by the Board, submit proof of completion of continuing education, and pay the late license renewal (additional) fee resulting from the expired license as well as the renewal of biennial licensing fee. Expired licenses not renewed within two years after the license expired or not reactivated within eight years after the license is placed on inactive status, pursuant to G.S. 90-455(c), shall be deemed lapsed, pursuant to G.S. 90-455(f).

History

• Authority G.S. 90-454; 90-455; 90-457.1
• Eff. December 1, 1995
• Amended Eff. August 1, 2007
• Readopted Eff. April 1, 2018.

21 NCAC 01 .0202 Process to Obtain Inactive License; Activate License

(a) The procedure and requirements for inactive status are as follows:

(1) Written request for inactive license. A licensed acupuncturist not engaged in the practice of acupuncture may request that his or her license be placed in inactive status by submitting the request in writing to the Board.

(2) Following a period of eight years, the Board shall treat an inactive license as lapsed.

(b) The procedure and requirements to activate a license are as follows:

(1) Submit an application to activate a license on a form provided by the Board.

(2) The applicant meeting the requirements to activate his or her license as set out in G.S. 90-455(c) shall submit a signed statement to the Board establishing that he or she has not been involved in any prohibited activities set forth in G.S. 90-456 during the period of inactive status.

(3) To make this determination, the Board may hold a hearing in accordance with the requirements followed for revocation and suspension of a license as set out in 21 NCAC 01 .0710.

(4) The applicant shall satisfy the Board that he or she completed 40 hours of continuing education units within the preceding two-year period as set out in G.S. 90-455.

(c) Fees: An applicant shall submit payment of an inactive license fee extension every two years upon notice by the Board.

(d) The Board shall activate a license upon a finding that the applicant has paid the sum total fee, completed the continuing education requirements, and not engaged in any prohibited activities that would constitute the basis for discipline as set forth in G.S. 90-456.

History

• Authority G.S. 90-450; 90-455; 90-456
• Eff. August 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 01 .0301 Standards for Continuing Education

(a) Unless otherwise indicated, one CEU, as used in this Rule, shall be equal to one contact hour or 50 minutes of instruction.

(b) All licensees shall complete 40 Continuing Education Units (CEU) every two years as follows:

(1) 25 CEUs shall be obtained from courses that have content relating to the scope of the practice of acupuncture. Fifteen of these 25 hours shall contain course content related to the insertion of acupuncture needles and the application of moxibustion to the human body. The remaining 10 hours of CEUs may be obtained from course content related to adjunctive therapies including massage, mechanical, thermal, electrical, and electromagnetic treatment and the recommendation of herbs, dietary guidelines, and therapeutic exercise; and

(2) the remaining 15 CEUs may be comprised of any combination of the following:

(A) 15 CEUs related to any of the content contained in Subparagraph (b)(1) of this Rule;

(B) up to 10 CEUs for acupuncture or Chinese medicine research studies in hospitals or institutions as set forth in Paragraph (e) of this Rule;

(C) up to 10 CEUs for teaching of Chinese medicine in a formally organized course as set forth in Paragraph (c)(2) of this Rule;

(D) up to 10 CEUs for published work in peer-reviewed journals as set forth in Paragraph (g) of this Rule; or

(E) two CEUs for obtaining or maintaining CPR certification.

(c) All courses completed for purposes of CEUs shall meet the following requirements:

(1) be approved by one or more of the following organizations or their successor organizations:

(A) Acupuncture schools in candidacy status or accredited by the Accreditation Commission for Acupuncture and Oriental Medicine.(ACAOM);

(B) National Certification Commission for Acupuncture and Oriental Medicine;

(C) The Society for Acupuncture Research;

(D) National Acupuncture Detoxification Association;

(E) American Academy of Medical Acupuncture (AAMA); or

(F) North Carolina Acupuncture Licensing Board (NCALB); and

(2) be formally organized. A formally organized course shall meet the following requirements:

(A) the sponsor shall maintain a record of attendance for four years. Records shall be made available to the Board upon request;

(B) the instructor shall hold credentials to practice in the field that is the subject of the course or the instructor shall be competent to teach the designated course and be permitted to perform acupuncture needling techniques for the purposes of demonstration, as determined by the Board based upon the instructor's educations, training, and experience;

(C) the course shall have stated objectives and a syllabus or a description of the content of the course with a class outline;

(D) the course shall be evaluated by each participant on an evaluation form provided by the instructor; and

(E) upon completion of each course, the provider shall issue a certificate of completion to each participant to include the following information:

(i) the title of the course;

(ii) the name of the participant;

(iii) the name of the instructors;

(iv) the name of the provider;

(v) the date and location of the course;

(vi) the number of CEUs completed.

(d) Licensees may obtain up to 28 hours of CEUs by completing online courses approved by an organization set forth in Subparagraph (c)(1) of this Rule.

(e) 10 CEUs may be obtained in each renewal period by licensees who are involved in acupuncture or Chinese medicine research studies in accredited hospitals or educational institutions. A research project may only be submitted once for the purpose of obtaining CEU credit. In order to obtain Research approved CEUs the following must be submitted to the Board for review and approval:

(1) The Institutional Review Board (IRB) approval;

(2) A summary of the study; and

(3) The names and credentials of researchers involved.

(f) A maximum of 10 CEUs may be obtained in each renewal period by teaching acupuncture education in an educational institution accredited by the Accreditation Commission for Acupuncture and Oriental Medicine (ACAOM) or a CEU course approved by the NCALB. One hour of CEU credit shall be awarded for every three hours of teaching up to 30 hours. All CEUs for teaching shall be approved in advance by the Board prior to the date of the class. For approval the licensee shall submit the following information:

(1) the title of the course;

(2) a summary of course content or class syllabus;

(3) the location of the course;

(4) the dates of the course;

(5) the total number of classroom hours taught;

(6) a copy of course evaluation to be provided students; and

(7) the course fees and refund policy.

(g) 10 CEUs may be obtained by authoring an article in a peer-reviewed journal of acupuncture or Chinese medicine. Examples of journals that shall be considered by the Board include:

(1) The Journal of Traditional Chinese Medicine;

(2) The American Journal of Chinese Medicine; and

(3) The World Journal of Traditional Chinese Medicine.

(h) CEUs from any given course may be used to satisfy the requirements of only one renewal period.

(i) Each licensee shall retain for four years records of all continuing education programs attended, indicating:

(1) the title of the course or program;

(2) the name of the participant;

(3) the name of all instructors;

(4) the name of the provider;

(5) the date and location of the course; and

(6) the number of CEUs completed.

(j) Pursuant to G.S. 90-457.1(b), the Board may audit the records of any licensee to ensure compliance with the continuing education requirements of this Rule. No licensee shall be subject to audit more than once every two years.

(k) All applications for pre-approval for CEU courses must be submitted 60 days prior to the date of the course.

(l) A licensee may apply to the Board for an extension of time to complete continuing education requirements in accordance with G.S. 90-457.1(f).

History

• Authority G.S. 90-451; 90-454; 90-455(b)(3); 90-457.1
• Eff. July 1, 1995
• Temporary Amendment Eff. January 26, 1996
• Temporary Amendment Expired November 11, 1996
• Amended Eff. August 1, 2007; August 1, 2002
• Readopted eff. April 1, 2018.

21 NCAC 01 .0401 Practice Parameters

The following are the practice parameters for acupuncturists in North Carolina:

(1) A licensed acupuncturist shall practice within the scope of training offered by a college accredited, or in candidacy status, by the National Accreditation Commission for Schools and Colleges of Acupuncture and Oriental Medicine.

(2) A licensed acupuncturist must practice within the confines of his training. Parameters for diagnosis and treatment of patients include, Five Elements, Eight Principles, Yin Yang Theory, Channel Theory, Zang Fu Organ Theory, Six Stages and Four Aspects of Disease Progressions.

History

• Authority G.S. 90-454
• Eff. August 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 01 .0402 Acupuncture Procedures

The following procedures shall be followed within the practice of acupuncture:

(1) Practice Setting:

(a) Treatments shall be given in surroundings that provide privacy and confidentiality.

(b) Community acupuncture practices that perform acupuncture treatment in a group setting shall obtain and retain a signed consent waiving the right to a private treatment setting from every patient prior to his or her first treatment.

(c) Every acupuncture office shall be maintained in a clean and sanitary condition at all times, and shall have an accessible bathroom facility.

(d) All applicable OSHA Standards, as amended or replaced, shall be met including those pertaining to blood borne pathogens, which can be found at https://www.gpo.gov/fdsys/pkg/CFR-2017-title29-vol6/pdf/CFR-2017-title29-vol6-sec1910-1030.pdf at no cost.

(e) All acupuncture practice and recordkeeping shall be compliant with all State and federal laws and regulations pertaining to the confidentiality of medical records including security and privacy regulations enacted under HIPAA, as amended or replaced, including 45 C.F.R Part 160, which can be found at https://www.gpo.gov/fdsys/pkg/CFR-2017-title45-vol1/pdf/CFR-2017-title45-vol1-part160.pdf at no cost, and subparts A and E of Part 164, which can be found at https://www.gpo.gov/fdsys/pkg/CFR-2017-title45-vol1/pdf/CFR-2017-title45-vol1-part164-subpartA.pdf and https://www.gpo.gov/fdsys/pkg/CFR-2017-title45-vol1/pdf/CFR-2017-title45-vol1-part164-subpartE.pdf respectively and at no cost.

(2) Prior to treatment, a licensee shall obtain a written or oral medical history that includes the following information:

(a) Current and past conditions, illnesses, treatments, hospitalizations, and current medications, and allergies to medications;

(b) A social history that shall include the use of tobacco, alcohol, caffeine, and recreational drugs;

(c) The names of health practitioners;

(d) The presenting complaints, along with remedies and treatments tried and in progress;

(e) Whether the patient is pregnant and whether the patient has any biomedical devices, such as artificial joints or cardiac pacemaker.

(3) Fees. Information concerning treatment fees shall be made available to the patient prior to treatment.

(4) Guarantees. No express or implied guarantee about the success of treatment shall be given to the patient. Reasonable indication of the length of treatment and usual outcome shall be given to the patient.

(5) Diagnosis:

(a) Licensees shall diagnose each patient employing methods used by the traditions represented in Asian medicine as reflected in Rule .0104(2) of this Chapter and within the context of Accreditation Commission for Acupuncture and Oriental Medcine (ACAOM) educational programs.

(b) All acupuncture diagnostic techniques utilized shall be recorded at each visit.

(6) Treatment. The specifics of all treatment shall be recorded at each visit. Treatments shall be in accordance with Asian and biomedical knowledge obtained in acupuncture training programs.

(7) Medical Records. Dated notes of each patient visit and communication shall be kept seven years. Authorization for release of medical records shall be obtained prior to sharing of any patient information. Medical records shall be released to patient upon receipt of the authorization. G.S. 90-411 sets forth the amounts healthcare providers can charge for copies of patient medical records. In charging patients for their records, licensees shall follow G.S. 90-411 as written, or as subsequently amended.

(8) Failure to Progress:

(a) If a patient fails to respond to treatments, the licensee shall initiate a discussion with the patient about other forms of treatment available or make a referral to another health care professional.

(b) In the case of persistent or unexplained pain, or the unexplained worsening of any condition while receiving treatment, the licensee shall initiate a referral or seek a consultation with other health care providers. In choosing a referral source, the licensee shall give priority to practitioners who have previously seen or treated the patient.

(c) Licensees shall honor and consider all requests by a patient for information about other forms of treatment available or for referral to another health care practitioner.

History

• Authority G.S. 90-411; 90-454
• Eff. August 1, 1995
• Readopted Eff. April 1, 2018.

21 NCAC 01 .0501 Qualifications for Establishing a School for Acupuncture in North Carolina

(a) For the purposes of this Rule "Acupuncture program" means training in acupuncture offered by an academic institution on a continuing basis.

(b) In addition to and for the purposes of meeting the requirements of G.S. 90-454(3), in order to be approved as a school of acupuncture an institution must meet the following standards:

(1) submit a completed application;

(2) submit fees as required by Rule .0103 of this Chapter;

(3) offer an Acupuncture program that extends over a minimum of three academic years, six semesters, nine quarters or 27 months, which consists of a minimum of 1800 clock hours with a minimum of 900 hours of didactic and theoretical training and 650 hours of supervised clinic. A minimum of 400 hours of the 650 hours of clinical training must be actual treatments;

(4) achieve candidacy status with the National Accreditation Commission for Schools and Colleges of Acupuncture and Oriental Medicine within one year of beginning classes and maintain accreditation throughout years of operation;

(5) provide a transcript of grades, as part of the student=s record, that includes the following: name, address, date of birth, course titles, grades received, number of clock hours per course;

(6) grant a diploma only after the student has successfully completed the educational program in acupuncture, personally attended all required classes and completed the program requirements.

History

• Authority G.S. 90-454
• Eff. December 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 01 .0701 Administrative Review of Board's Decision Denying Issuance of a License

Whenever the North Carolina Acupuncture Licensing Board has determined that a person has failed to satisfy the Board of his qualifications and has failed to be issued a license, the Board shall immediately notify such person of its decision, and indicate in what respect the applicant has so failed to satisfy the Board. Such applicant shall be given a contested case hearing before the Board upon request of such applicant filed with or mailed by registered mail to the secretary of the Board at 1418 Aversboro Rd., Garner, NC 27529 within 60 days after receipt of the Board's decision, stating the reasons for such request. The Board shall within 20 days of receipt of such request notify such applicant of the time and place of a public hearing, which shall be held within 60 days. The burden of satisfying the Board of his qualifications for licensure shall be upon the applicant. Following such hearing, the Board shall determine whether the applicant is entitled to be licensed.

History

• Authority G.S. 90-454
• Eff. December 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 01 .0702 Filing Complaints

(a) General. Any person who has reason to believe that a licensed acupuncturist has violated the laws governing acupuncture may file a complaint with the North Carolina Acupuncture Licensing Board. Complaints shall be filed with the secretary of the North Carolina Acupuncture Licensing Board at 1418 Aversboro Road, Garner, North Carolina 27529.

(b) Form of Complaint. Complaints may be formal or informal, but must be in writing:

(1) Informal Complaint. The Board shall consider any written communication, construed most favorably to the complainant, which appears to allege a violation of the laws governing acupuncture an informal complaint.

(2) Formal Complaint. A complainant shall execute a formal complaint in writing under oath upon a form provided by the secretary. The complaint shall specify the statute or rule allegedly violated and shall contain a short statement of the acts or omissions constituting the alleged violation including the dates of said acts or omissions.

(c) Secretary's Response to Complaints. The secretary shall review any complaint to determine whether a major or minor violation has been alleged. If the secretary determines that the alleged violation is minor, he shall attempt to resolve the complaint by informal communication with the complainant and the acupuncturist complained of. If the secretary determines that the alleged violation is major, he shall assist the complainant in filing a formal complaint, if one has not already been filed.

History

• Authority G.S. 90-454
• Eff. February 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 01 .0703 Determination of Probable Cause

(a) General. Formal complaints shall be investigated by the North Carolina Acupuncture Licensing Board. The Board shall hold a hearing to determine whether there is probable cause to believe a violation of the laws governing acupuncture has occurred.

(b) Notice of Hearing. The secretary shall provide notice of the probable cause hearing to the acupuncturist complained against by certified mail at least 15 days in advance of the hearing.

(c) Conduct of Probable Cause Hearing. The probable cause hearing shall be informal, and the secretary may establish at his discretion such procedures as are necessary to facilitate examination of the evidence. The Board may consider evidence at the probable cause hearing which would not be admissible if offered at the hearing in a contested case.

(d) Action by the Board. After examining the evidence presented at the probable cause hearing, the Board may dispose of each charge in the formal complaint as follows:

(1) If no probable cause exists to believe that a violation of G.S. 90-456 has occurred, the charge may be dismissed.

(2) If the respondent admits the charge, he may be directed to cease and desist from commission of those acts which violate the provisions of G.S. 90-456.

(3) If a charge is denied and probable cause is found, or if a charge, while admitted, is of such gravity as to make the imposition of punitive sanctions appropriate, the complaint shall be presented to the Board for its decision on the merits in accordance with G.S. 150B, Article 3A.

History

• Authority G.S. 90-456
• Eff. February 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 01 .0704 Informal Proceedings

(a) In addition to formal hearings pursuant to G.S. 90-456, the Board may conduct informal proceedings in order to settle on an informal basis matters of dispute. A person practicing acupuncture pursuant to a license or other authority granted by the Board may be invited to attend a meeting with the Board or a committee of the Board on an informal basis to discuss any matter the Board deems appropriate. No public record of such proceeding shall be made nor shall any individual be placed under oath to give testimony. Matters discussed by a person appearing informally before the Board may, however, be used against such person in a formal hearing if a formal hearing is subsequently initiated.

(b) As a result of such informal meeting, the Board may recommend that certain actions be taken by such person, may offer such person the opportunity to enter into a consent order which will be a matter of public record, may institute a contested case concerning such person, or may take other action as the Board may deem appropriate in each case.

(c) Attendance at such an informal meeting is not required and is at the sole discretion of the person so invited. A person invited to attend an informal meeting may have counsel present at such meeting.

History

• Authority G.S. 150B-38(h)
• Eff. February 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 01 .0705 Initiation of Formal Hearings

(a) The North Carolina Acupuncture Licensing Board may initiate a disciplinary action against a licensed acupuncturist or applicant pursuant to G.S. 90-456.

(b) Upon receipt of a written request and substantiating information from any person in a position to present information as a basis for the action, the North Carolina Acupuncture Licensing Board shall conduct an investigation sufficient to determine whether reasonable cause exists to initiate disciplinary action(s).

(c) An opportunity will be given the person for a hearing before the Board at the next meeting.

History

• Authority G.S. 90-456; 150B-38(h)
• Eff. August 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 01 .0706 Continuances

Any person summoned to appear before the Board at a contested case hearing may seek to obtain a continuance of that hearing by filing with the Executive Secretary of the Board, as soon as the reason for continuance is known, a motion for continuance setting forth with specificity the reason the continuance is desired. Continuances shall be granted for reasons such as personal or family illness, death, or an act of God. Motions for continuances shall be ruled upon by the President and Executive Secretary of the Board or in the absence of the President, by the Secretary and Executive Secretary.

History

• Authority G.S. 90-456; 150B-38(h)
• Eff. March 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 01 .0707 Disqualification for Personal Bias

Any person summoned to appear before the Board at a contested case hearing may challenge on the basis of personal bias or other reason for disqualification the fitness and competency of any member of the Board to hear and weigh evidence concerning that person. Challenges shall be stated by way of motion accompanied by affidavit setting forth with specificity the grounds for such challenge and shall be filed with the Executive Secretary of the Board within 14 days of receipt of letter. Nothing contained in this Rule shall prevent a person appearing before the Board at a contested case hearing from making personal inquiry of members of the Board as to their knowledge of and personal bias concerning that person's case.

History

• Authority G.S. 90-456; 150B-38(h)
• Eff. March 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 01 .0709 Procedure of Revocation of Licensure

(a) If the North Carolina Acupuncture Licensing Board determines that reasonable cause exists to initiate a disciplinary action pursuant to G.S. 90-456, the Board shall prepare written charges and determine what action(s) shall be taken.

(b) The Board shall provide the person with a copy of the written charges and notify the person that it shall take the determined action(s) unless the person, within 60 days of receipt of notice, initiates administrative proceedings under G.S. 150B, Article 3A. The notice will be sent certified mail, return receipt requested.

(c) If the person initiates administrative proceedings the North Carolina Acupuncture Licensing Board shall defer final action on the matter until the proceedings are completed. If the person does not initiate administrative proceedings within 60 days of receipt of notice, the North Carolina Acupuncture Licensing Board may implement the action(s) at its next meeting.

(d) The North Carolina Acupuncture Licensing Board may reinstate a suspended or revoked license or may grant a new license upon application and demonstration of satisfactory compliance with Board requirements.

History

• Authority G.S. 90-456; 150B-38(h)
• Eff. August 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 01 .0710 Hearing Before Revocation or Suspension of a License

Before the Board shall revoke, restrict or suspend any license granted by it, the licensee shall be given a written notice indicating the general nature of the charges, accusation, or complaint made against him. This notice may be prepared by a committee of one or more members of the Board designated by the Board, and stating that such licensee will be given an opportunity to be heard concerning such charges or complaint at a time and place stated in such notice, or at a time and place to be thereafter designated by the Board. The Board shall hold a hearing not less than 30 days from the date of the service of such notice upon such licensee, at which such licensee may appear personally and through counsel, may cross examine witnesses and present evidence in his own behalf.

History

• Authority G.S. 90-454(1)
• Eff. February 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 01 .0711 Provisions for Petition for a Rule Change

Each person desiring to petition for the adoption, amendment or repeal of a rule shall submit the following information to the Board:

(1) draft of the proposed rule or amendment to a rule;

(2) reasons for the proposal;

(3) effect of the existing rule;

(4) data supporting the proposal;

(5) effect on existing practices in the area involved, including costs;

(6) names of those most likely to be affected, with addresses if known; and

(7) the name and address of the petitioner. The North Carolina Acupuncture Licensing Board shall render a decision regarding the denial of a petition or the initiation of rule-making proceedings.

History

• Authority G.S. 90-454(8); 150B-20
• Eff. February 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

Chapter 02 Architecture and Registered Interior Designers

21 NCAC 02 .0101 Authority: Name and Location of Board

The "North Carolina Board of Architecture and Registered Interior Designers," subsequently herein referred to as the "Board," is established and authorized by Chapter 83A of the General Statutes of North Carolina. Unless otherwise directed, all communications shall be addressed to the Board at 434 Fayetteville Street, Suite 2005, Raleigh, North Carolina 27601.

History

• Authority G.S. 83A-2; 83A-6
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. June 1, 1995; May 1, 1989; November 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. October 1, 2021
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0102 Organization of Board and Officers

History

• Status: repealed
• Authority G.S. 83A-2; 83A-6
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1989; November 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Amendment Eff. November 30, 2021.
• Repealed Eff. June 1, 2022.

21 NCAC 02 .0103 Duties of Officers

History

• Status: repealed
• Authority G.S. 83A-6; 83-14
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1991; May 1, 1989; November 1, 1979
• Repealed Eff. June 1, 1995.

21 NCAC 02 .0104 Procedure

History

• Status: repealed
• Authority G.S. 83A-6; 83-14
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1991; May 1, 1989; November 1, 1979
• Repealed Eff. June 1, 1995.

21 NCAC 02 .0105 Disciplinary Action and Procedure

History

• Status: repealed
• Authority G.S. 83A-6; 83-14
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1991; May 1, 1989; November 1, 1979
• Repealed Eff. June 1, 1995.

21 NCAC 02 .0106 Seal of Board

The official seal adopted by the Board is the Great Seal of the State of North Carolina as set forth in G.S. 147-26 with the inscription of the Board name on the perimeter.

History

• Authority G.S. 83A-5; 83A-6
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Amendment Eff. November 30, 2021
• Amended Eff. June 1, 2022
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0107 Forms

Any forms referred to or required by these rules are available on the Board web site at www.ncbarch.org.

History

• Authority G.S. 83A-6
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. July 1, 2014; May 1, 1989; November 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0108 Fees

The fees required by the Board are set forth below:

Initial License to Practice Architecture:

By Exam $55.00

By Reciprocity $155.00

Architecture Firm License $100.00

Annual License to Practice Architecture Renewal:

Individual $55.00

Firm $125.00

Late Renewal Penalty for Individual Architects and Firms:

Up-to-30 days $55.00

30 days to 1 year $100.00

Reinstatement of Expired License:

Individual Architect $260.00

Architecture Firm $300.00

Initial Registration to Practice Interior Design:

For NCIDQ Certified Individual $155.00

Firm Registration $100.00

Addition of Interior Design Firm Registration for Currently Licensed Architecture Firms $50.00

Annual Registration to Practice Interior Design Renewal:

Individual $55.00

Firm $125.00

Late Renewal Penalty for Interior Designers and Interior Design Firms:

Up-to-30 days $55.00

30 days to 1 year $100.00

Reinstatement of Expired Registration

Interior Designer Individual $260.00

Interior Design Firm $300.00

All fees paid to the Board are non-refundable.

History

• Authority G.S. 55B-10; 83A-4; 83A-11
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. July 1, 2014; December 1, 2010; June 1, 1995; December 1, 1992; May 1, 1991; May 1, 1989; July 1, 1987
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. November 1, 2017
• Temporary Amendment Eff. November 30, 2021
• Amended Eff. April 1, 2024; June 1, 2022
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0109 Definitions

In addition to the statutory definitions in G.S. 83A-1, as used in these Rules, the following terms shall have the following meanings:

(1) "Delinquent" is the status of a license registration that has not been renewed in accordance with Rule .0213(b) of this Chapter for individuals and Rule .0214(c) of this Chapter for firms.

(2) "Fictitious name" is any assumed name, style, or designation other than the proper legal name of the entity as registered with the Secretary of State. The surname of a person, standing alone or coupled with words that describe the business, is not a fictitious business name. The inclusion of words that suggest additional owners, such as "Company," "& Company," "& Sons," "& Associates," makes the name an assumed or fictitious name. For partnerships, the last name of all partners shall be listed, or the fictitious name definition applies.

(3) "Procurement" means purchasing or pricing of materials to construct a building or structure.

(4) "Direct Supervision" as used in North Carolina G.S. 83A-15(a)(1)b means responsible control as defined in Rule .0203 of this Chapter.

(5) "Continuing Competency" as used in G.S 83A-6(a) means continuing education obtained post licensure or registration that enables an architect or registered interior designer to increase or update knowledge of and competence in technical and professional subjects related to the practice of architecture and interior design to safeguard the public's health, safety, and welfare.

(6) "Health, safety, or welfare" (HSW) as used in G.S. 83A-6(a) means technical and professional subjects that according to these rules safeguard the public and that are necessary for the proper evaluation, design, construction and utilization of buildings and the built environment.

(7) "Architect-of-record" or "Designer-of-record" means persons or entities whose seals appear on plans, specifications, and contract documents.

History

• Authority G.S. 83A-6
• Eff. November 1, 2010
• Amended Eff. October 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Amendment Eff. November 30, 2021
• Amended Eff. June 1, 2022
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0201 ARCHITECT, REGISTERED INTERIOR DESIGNER, FIRM OR PARTNERSHIP contact information as on file with the board

(a) Every individual licensee and registrant shall keep the Board advised of his or her preferred current contact information. Current contact information includes a physical mailing address, email, phone numbers, and the name of the firm or partnership where he or she is employed. Every individual licensee and registrant shall notify the Board in writing of all changes to contact information within 30 days of such changes.

(b) The licensee or registrant shall give notice in writing to the Board of the following within 30 days of the following adverse actions:

(1) the filing of any criminal charges against the licensee or registrant and, if so, the jurisdiction, charge, and case number of each such charge;

(2) any conviction of, or plea of nolo contendere by, the licensee or registrant for a felony or misdemeanor under any laws and, if so, the jurisdiction, charge, case number, and date of each such criminal conviction or plea of nolo contendere.

(3) the filing of any disciplinary action, charges, or contested case proceeding against the licensee or registrant before any court, board, agency, or professional organization for unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the jurisdiction, charge, and case number of each such pending action;

(4) the finding by any court, board, agency, or professional organization that the licensee or registrant is guilty of unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the jurisdiction, charge, case number, and date of such adverse action;

(5) any denial, limitation, reprimand, suspension, or revocation taken against the licensee or registrant's credentials, to include a statement providing the reason for the adverse action; the date and jurisdiction in which the adverse action occurred; the terms of the adverse action imposed;

(6) whether the terms of the adverse action have been satisfied; and

(7) whether any liens or judgments have been filed or entered against the licensee or registrant and, if so, the jurisdiction, date, and parties involved with such lien or judgment.

(c) Each firm or partnership shall, within 30 days, notify the Board of all changes in ownership, association, contact information, email, or physical address. Upon the dissolution of a firm, the architect or registered interior designer in responsible control of the firm at the time of dissolution shall notify the Board within 30 days concerning such dissolution and of the succeeding status and addresses of the architects and registered interior designers employed by the firm.

(d) Each licensed or registered firm shall give notice in writing to the Board of the following within 30 days of the following adverse actions:

(1) the filing of any criminal charges against the firm or any of its owners and, if so, the jurisdiction, charge, and case number of each such charge;

(2) any conviction of, or plea of nolo contendere by, the firm or any of its owners for a felony or misdemeanor under any laws and, and, if so, the jurisdiction, charge, case number, and date of each such criminal conviction;

(3) the filing of any disciplinary action, charges, or complaint against the firm or any of its owners before any court, board, agency, or professional organization for unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the jurisdiction, charge, and case number of each such pending action;

(4) the finding by any court, board, agency, or professional organization that the firm or any of its owners is guilty of unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the jurisdiction, charge, case number, and date of such adverse action;

(5) any denial, limitation, reprimand, suspension, or revocation taken against the firm's credentials or that of any of its owners, to include a statement providing the reason for the adverse action; the date and jurisdiction in which the adverse action occurred; the terms of the adverse action imposed; and whether the terms of the adverse action have been satisfied; and

(6) whether any liens or judgments have been filed or entered against the firm or any of its owners and, if so, the jurisdiction, date, and parties involved with such lien or judgment.

History

• Authority G.S. 83A-5; 83A-6
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. November 1, 2010; June 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Amendment Eff. November 30, 2021
• Amended Eff. April 1, 2024; June 1, 2022
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0202 Applicability of Board Rules

History

• Status: repealed
• Authority G.S. 83A-6
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. July 1, 2014; June 1, 1995; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Amendment Eff. November 30, 2021
• Repealed Eff. June 1, 2022.

21 NCAC 02 .0203 rules of professional conducT

All persons licensed or registered under the provisions of Chapter 83A of the North Carolina General Statutes are charged with having knowledge of the rules of this Chapter and are deemed to be familiar with their provisions and to understand them. Each licensed or registered person and entity shall sign a statement on the renewal notice affirming understanding of the laws and rules.

(1) Licensees and registrants shall conduct their practice to safeguard life, health, and property as provided in G.S. 83A-12. The licensee or registrant shall always recognize the primary obligation to protect the public in the performance of their professional duties. If the licensee or registrant's professional judgment is overruled under circumstances where the licensee or registrant, in their professional judgment, believes health, safety, and welfare of the public are endangered, the licensee or registrant shall inform the employer, the client, the contractor, other affected parties, and any appropriate regulatory agency of the possible consequences of the situation.

(2) In designing a project, the licensee or registrant shall consider all applicable federal, State, and municipal building laws and rules. A licensee or registrant shall undertake to perform professional services only when they, together with those whom the licensee or registrant may engage as consultants, are qualified by education, training, and experience in the specific technical areas involved. While a licensee or registrant may rely on the advice of other professionals such as attorneys, engineers, or other qualified persons as to the intent and meaning of such laws and rules, once having obtained advice, a licensee or registrant shall not design a project in violation of laws and rules.

(3) In practicing architecture or interior design, the licensee or registrant shall act with reasonable care and competence and shall apply the technical knowledge and skill which is ordinarily applied by architects or interior designers of good standing.

(4) Responsible Control. "Responsible Control" means responsibility for exercising the ultimate authority over, and possessing the knowledge and ability to oversee, delegate, and integrate the design and technical decisions related to the preparation of the project's instruments of service and the project's implementation in conformance with the standard of care. Instruments of service are defined as the collection of documents, drawings, specifications, calculations, and other tangible materials produced by design professionals during the various stages of a project. Standard of care is defined as the care usually exercised by one in the profession, on the same type of project, at the same time and in the same place, under similar circumstances and conditions. No architect or registered interior designer shall affix his or her seal and signature to contract documents developed by others not under the architect's or registered interior designer's responsible control.

(5) An architect or registered interior designer shall not deliberately make a false statement or deliberately fail to disclose a fact requested in connection with their application for license or registration renewal.

(6) An architect or registered interior designer shall not assist in the application for licensure or registration of a person known by the architect or registered interior designer to be unqualified with respect to education, training, experience, or character.

(7) An architect or registered interior designer shall issue public statements only in an unbiased and truthful manner and:

(a) shall be objective and truthful in all professional reports, statements, or testimony. The architect or registered interior designer shall include all relevant and pertinent information in such reports, statements, or testimony;

(b) when serving as an expert or technical witness before any court, commission, or other tribunal, shall express an opinion only when it is founded upon knowledge of the facts at issue, upon a background of technical competence in the subject matter, and of the accuracy and propriety of the individual's testimony;

(c) shall issue no statements, criticisms, or arguments on architectural or interior design matters connected with public policy which are inspired or paid for by an interested party, or parties, unless the architect or registered interior designer has prefaced the comment by explicitly identifying their name, by disclosing the identities of the party or parties on whose behalf the architect or registered interior designer is speaking, and by revealing the existence of any pecuniary interest the architect or registered interior designer may have in the matters; and

(d) shall not attempt to harm the professional reputation, prospects, practice, or employment of another architect or registered interior designer, nor indiscriminately criticize another architect's or registered interior designer's work. Indiscriminate criticism is a statement without basis or cause or that is not objective and truthful or that fails to include all factual information. If the architect or registered interior designer believes that another architect or registered interior designer is in violation of Chapter 83A of the North Carolina General Statutes or the Rules of this Chapter, such information shall be presented to the North Carolina Board of Architecture and Registered Interior Designers in writing.

(8) An architect or registered interior designer shall avoid conflicts of interest and:

(a) shall inform the employer or client, and any reviewing agency, of any business association, interests, or circumstances that attempts to influence the judgment or the quality of services of the architect or registered interior designer. If, in the course of their work on a project, an architect or registered interior designer becomes aware of a decision taken by their employer or client, against their advice, which violates applicable State or municipal building laws or federal regulations and which will, in their judgment, affect adversely the safety to the public of the finished project, the architect or registered interior designer shall:

(i) report the decision to the local building inspector or other public official charged with the enforcement of the applicable State or municipal building laws and regulations;

(ii) refuse to consent to the decision;

(iii) in circumstances where the architect or registered interior designer reasonably believes that other such decisions will be taken notwithstanding his or her objection, terminate their services with reference to the project; and

(iv) in the case of termination in accordance with clause in Sub-Item (a)(iii) of this Rule, the architect or registered interior designer shall have no liability to his or her client or employer on account of such termination.

(b) shall not accept compensation, financial or otherwise, from more than one party for services on the same project, or for services pertaining to the same project, unless the circumstances are disclosed to, and agreed to, in writing, by all interested parties;

(c) shall not solicit or accept financial or other valuable considerations from material, furniture, fixtures, or equipment suppliers for specifying their products unless disclosed to the client;

(d) shall not pay or offer to pay, a commission, political contribution, gift, or other consideration in order to secure work. Gifts of nominal value including entertainment and hospitality are permitted;

(e) when in public service as a member, advisor, or employee of a governmental body or department, shall not participate in considerations or actions with respect to services provided by the licensee or registrant or the licensee's or registrant's firm in private architectural or registered interior design practices;

(f) shall not engage in any false, deceptive, fraudulent, or misleading advertising;

(g) shall not attempt to supplant another architect or registered interior designer on a specific project after becoming aware that the other has been selected for the employment;

(h) when acting as the interpreter of building contract documents and the judge of contract performance, an architect or interior designer shall render decisions in an impartial manner;

(i) if an architect or registered interior designer has any business association or financial interest which influences their judgment in connection with the performance of professional services, they shall disclose in writing to their client or employer the nature of the business association or financial interest, and if the client or employer objects to such association or financial interest, they will either terminate such association or interest or offer to give up the commission or employment;

(j) an architect or registered interior designer making public statements on architectural or interior design questions shall disclose when they are being compensated for making such statements.

(9) A licensee or registrant shall solicit or accept work on the basis of qualifications and:

(a) shall not offer to pay any commission, political contribution, gift, or other consideration in order to secure work, exclusive of securing salaried positions through employment agencies;

(b) shall not solicit or submit proposals for professional services containing a false, fraudulent, misleading, or deceptive statement or claim regarding the cost, quality, or extent of services to be rendered;

(c) shall, with regard to fee bidding on public projects, comply with, and not knowingly cooperate in any violation of the provisions of G.S. 143-64.31(a), (a1), (e), and (f) for State projects and, with the Brooks Act, 40 U.S.C. 541 et seq. for federal projects;

(d) shall not falsify or permit misrepresentation of academic or professional qualifications and shall only report educational qualifications when a degree or certificate was awarded unless it is stated that no degree or certificate was awarded; and

(e) shall represent to a prospective or existing client or employer their qualifications and the scope of their responsibility in connection with work for which they are claiming credit. Misrepresentation shall be found if any of the following is not complied with:

(i) Each licensee or registrant shall state their prior professional experience and the firm they are representing while presenting qualifications to all prospective clients. If the licensee or registrant uses visual representations of prior projects or experience, all designers or architects of record shall be identified.

(ii) An architect or registered interior designer who has been an employee of another firm may not claim credit for projects contracted for in the name of the previous employer. They shall indicate, next to the listing for each project, that individual experience gained in connection with the project was acquired as an employee and identify the previous firm. The architect or registered interior designer shall also describe the nature and extent of their participation in the project.

(iii) An architect or registered interior designer who presents a project that has received awards or public recognition shall comply with the requirements in this Sub-Item with regard to project presentation to the public and prospective clients.

(iv) Projects that remain unconstructed and are listed as credits in presentation items shall be listed as "unbuilt" or a similar designation, as determined by the architect or registered interior designer.

(10) A licensee or registrant shall perform services in compliance with all of the provisions of this Chapter and any federal, State, and municipal laws or regulations that apply and:

(a) shall not knowingly associate with or permit the use of the licensee's or registrant's name or firm name in a business venture by any person or firm which the licensee or registrant knows, or has reason to believe, is engaging in business or professional practices of a fraudulent or dishonest nature or is not licensed or registered;

(b) if the licensee or registrant has knowledge or reason to believe that another person or firm may be in violation of the rules of this Chapter or of the North Carolina Architectural and Registered Interior Design Practice Act (Chapter 83A) of the North Carolina General Statutes, they shall present such information to the Board in writing and shall cooperate with the Board in furnishing further information or assistance as may be required by the Board; and

(c) An architect or registered interior designer shall cooperate with the Board in connection with any inquiry it shall make. Cooperation includes responding to all inquiries from the Board or its representative and claiming correspondence from the U. S. Postal Service, or other delivery service, sent to the licensee or registrant from the Board in a timely manner. The Board shall utilize electronic mail as its primary method of communication with licensees and registrants. "Timely" is defined as within the time specified in the correspondence, or if no time is specified, within 15 business days of receipt.

(11) An architect or registered interior designer who has received a reprimand or civil penalty or whose professional license or registration is revoked, suspended, denied, refused renewal, refused reinstatement, put on probation, restricted, or surrendered as a result of disciplinary action by another jurisdiction is subject to discipline by the Board if the licensee's or registrant's action constitutes a violation of Chapter 83A of the North Carolina General Statutes or the rules of this Chapter adopted by the Board.

(12) In addition to the grounds stated in G.S. 83A-14 and G.S. 83A-15(3), the following acts or omissions may be deemed to be "unprofessional conduct" and to be cause for the levy of a civil penalty or for denial, suspension, or revocation of a license or registration or firm certificate of licensure or registration to practice architecture or registered interior design:

(a) An architect or registered interior designer shall not, in the conduct of their professional practice, knowingly violate any State or federal criminal law. A criminal conviction shall be deemed prima facie evidence of knowingly violating the law.

(b) Evasion of professional duties.

(i) An architect or registered interior designer shall not, through employment by contractors whether or not the contractors are licensed under Chapter 87 of the North Carolina General Statutes, or by another individual or entity not holding an individual or firm registration from the Board, enable the employer to offer or perform architectural services or registered interior design services. In design/build arrangements, the architect or registered interior designer shall not be an employee of a person or firm not holding a license to practice architecture or registered interior design in North Carolina.

(ii) An architect or registered interior designer shall not furnish limited services in such manner as to enable owners, draftsmen, or others to evade the public health and safety requirements of Chapter 83A of the North Carolina General Statutes, G.S. 133-2, Chapter 153A, G.S. 153A-357, G.S. 160A-412, or G.S. 160A-417.

(iii) When building plans are begun or contracted for by persons not licensed or registered and qualified, an architect or registered interior designer shall not take over, review, revise, or sign or seal such drawings or revisions thereof for such persons or do any act to enable either persons or the project owners to evade the requirements of Chapter 83A of the North Carolina General Statutes, G.S. 133-2, G.S. 153A-357, or G.S. 160A-417.

(c) It is unprofessional conduct for an architect or registered interior designer to be found by a court to have infringed upon the copyrighted works of other architects, registered interior designers, or other design professionals.

(13) An architect, registered interior designer, or firm shall not maintain or represent by sign, listing, or other manner that they have a physical presence in North Carolina unless such office employs a licensed architect or registered interior designer who is a resident in North Carolina whose principal place of business takes place in that office. This item does not apply to on-site project offices during construction of a project.

(14) An architect or registered interior designer shall not knowingly continue to offer or render architectural or registered interior design services as set forth in Chapter 83A of the North Carolina General Statutes after their license or registration expires, is placed on delinquent status, is revoked, or suspended for failure to renew.

(15) Architects or registered interior designers preparing plans for building permits shall submit plans that are complete and buildable. Such plans shall conform with the State Building Code and local plan submission requirements. Professional judgment shall be exercised to reflect sufficient documentation necessary for plan approval. Provided, however, this Rule does not alter any standard of liability applicable to licensees or registrants.

History

• Authority G.S. 83A-6; 83A-14; 83A-15; 83A-16
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1989; November 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Amendment Eff. November 30, 2021
• Amended Eff. April 1, 2024; June 1, 2022
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0204 Forms of Practice

(a) The practice of architecture shall be carried out by one of the following types of entities:

(1) sole practitioners;

(2) professional limited liability companies that are established under the provisions of G.S. 57D-2-02;

(3) limited liability partnerships that are established under the provisions of G.S. 59-84.2;

(4) professional corporations that are established under the provisions of Chapter 55B of the North Carolina General Statutes; or

(5) general partnerships.

(b) The practice of registered interior design shall be carried out by one of the following types of entities:

(1) sole practitioners;

(2) limited liability companies that are established under the provisions of Chapter 57D of the North Carolina General Statutes;

(3) limited liability partnerships that are established under the provisions of G.S. 59-84.2;

(4) business corporations that are established under the provisions of Chapter 55 of the North Carolina General Statutes; or

(5) general partnerships.

Each limited liability partnership and each general partnership engaged in the practice of architecture or registered interior design in North Carolina shall keep a current list of all resident and non-resident partners of the partnership. One annual listing by a representative of the partnership shall satisfy the requirement of this Paragraph for all partners in the firm; however, each partner shall remain responsible for compliance with the rules. Changes in the information required by this Paragraph shall be filed with the Board office within 30 days after the change occurs.

(c) All individuals who practice architecture through entities described in Subparagraphs (a)(1) through (a)(4) of this Rule shall be licensed to practice architecture.

(d) All individuals who practice interior design through entities described in Subparagraphs (b)(1) through (b)(4) of this Rule shall be registered to practice interior design.

History

• Authority G.S. 55B; 57C; 59-84.2; 83A-4; 83A-6; 83A-8
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. October 1, 2012; December 1, 2010; June 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Amendment Eff. November 30, 2021
• Amended Eff. June 1, 2022
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0205 Name of Firm

(a) A licensee or registrant shall not engage in the practice of architecture or registered interior design under a firm name which is misleading or deceptive in any way as to the legal form of the firm or the persons who are partners, officers, members, or shareholders in the firm. The Board shall approve all firm names to be used in this State. Examples of misleading or deceptive firm names include the following:

(1) use of the plural "architects" or "registered interior designers" by a sole practitioner or a firm employing only one architect or registered interior designer in a firm;

(2) use of the name of an employee unless that employee is a licensed or registered partner, licensed or registered officer, licensed or registered member, or licensed or registered shareholder;

(3) use of the name of a deceased architect or registered interior designer in order to benefit from their reputation, when that architect or registered interior designer was not a former partner, officer, member, or shareholder in the present firm;

(4) use a name which is deceptively similar to that of an existing firm name; and

(5) use of a fictitious or assumed name by a sole proprietor.

(b) Failure of the firm to register a fictitious or assumed name shall be prima facie evidence of the name being misleading or deceptive.

History

• Authority G.S. 55B-5; 83A-6; 83A-8; 83A-9; 83A-12
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. November 1, 2010; July 1, 2006; June 1, 1995, April 1, 1991; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Amendment Eff. November 30, 2021
• Amended Eff. June 1, 2022
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0206 Requirement for and Use of Professional Seal by an Architect or Registered Interior Designer

(a) An architect shall seal his or her work whether or not the work is for an exempt project as defined in G.S. 83A-13. An architect shall not sign nor seal drawings, specifications, reports, or other professional work that was not prepared by the architect or under his or her responsible control. Documents shall be sealed as follows:

(1) An architect may seal those portions of the professional work that:

(A) were prepared by or under the responsible control of persons who are licensed architects in this State if the architect has reviewed in whole or in part such portions and has either coordinated their preparation or integrated them into his or her work; and

(B) are not required by law to be prepared by or under the responsible control of an architect if the architect has reviewed and adopted in whole or in part such portions and has integrated them into his or her work.

(2) A registered interior designer may seal those portions of the professional work that were prepared by or under the responsible control of persons who are registered interior designers in this State if the registered interior designer has reviewed in whole or in part such portions and has either coordinated their preparation or integrated them into their work.

(3) Individual Architect Seal Design shall be as follows:

(A) The seal may be a rubber stamp, embossed seal, computer-generated seal, or other facsimile that becomes a permanent addition to original paper drawings or sets of specifications for use in this State. For the purposes of this Rule, the term "for use in this State" means drawings and sets of specifications prepared for bidding, procurement, permitting, or for construction. For purposes of this Rule, "original" means the version of drawings and sets of specifications from which all paper copies can be made.

(B) The standard design of the seal shall be two concentric circles in which "North Carolina" and the name of the licensee are placed within the outermost circle and in which the license number of the licensee and "Licensed Architect" placed within the innermost circle. The size shall be 1 ½ to 1 ¾ inches in diameter.

(C) The original, handwritten signature of the individual named on the seal shall be considered part of the individual seal and shall appear across the face of each original seal imprint along with the date of affixation. The use of signature reproductions such as rubber stamps, computer generated, or other facsimiles on paper copies are not permitted in lieu of actual handwritten and hand dated signatures.

(4) Architecture Firm Seal Design shall be as follows:

(A) The seal may be a rubber stamp, embossed seal, computer-generated seal, or other facsimile that becomes a permanent addition to paper drawings or sets of specifications.

(B) The design of the firm seal shall be two concentric circles in which the architectural firm's approved name shall be between the inner and outer circles and the firm's license number is placed within the innermost circle. The size shall be 1 ½ to 1 ¾ inches in diameter. For a Professional Corporation, the words "Architectural Corporation, North Carolina" shall be along the inside perimeter of the inner circle. For a Professional Limited Liability Company, the words "Architectural Company" shall be along the inside perimeter of the inner circle.

(5) Individual Registered Interior Designer Seal Design shall be as follows:

(A) The seal may be a rubber stamp, embossed seal, computer-generated seal, or other facsimile that becomes a permanent addition to original paper drawings or sets of specifications for use in this State. For the purposes of this Rule, the term "for use in this State" means drawings and sets of specifications prepared for bidding, procurement, permitting, or for construction. For purposes of this Rule, "original" means the version of drawings and sets of specifications from which all paper copies can be made.

(B) The standard design of the seal shall be two concentric ovals in which "North Carolina" and the name of the registrant are placed within the outermost oval and in which the registration number of the registrant and "Registered Interior Designer" be placed within the innermost oval. The dimensions shall be two inches tall by 2.75 inches wide.

(C) The original, handwritten signature of the individual named on the seal shall be considered part of the individual seal and shall appear across the face of each original seal imprint along with the date of affixation. The use of signature reproductions such as rubber stamps, computer generated, or other facsimiles on paper are not permitted in lieu of actual handwritten and hand dated signatures.

(6) Registered Interior Design Firm Seal Design shall be as follows:

(A) The seal may be a rubber stamp, embossed seal, computer-generated seal, or other facsimile that becomes a permanent addition to drawings or sets of specifications.

(B) The design of the seal shall be two concentric ovals in which the registered interior design firm's approved name shall be between the inner and outer ovals and the firm's registration number is placed within the innermost oval. The size shall be 2 to 2 ¾ inches in diameter. For a Corporation the words "Registered Interior Design Corporation, North Carolina" shall be along the inside perimeter of the inner circle. For a Limited Liability Company, the words "Registered Interior Design Company" shall be along the inside perimeter of the inner oval.

(7) Architects and registered interior designers shall affix their seal on one original of all their drawings and sets of specifications prepared by them for use in this State as follows:

(A) on the cover sheet of each design and on each drawing prepared by the architect or registered interior designer for the design;

(B) on the index page identifying each set of specifications; and

(C) on the index page of all other technical submissions. For the purposes of this Rule, "technical submissions" refer to plans, drawings, specifications, studies, addenda, and other technical reports prepared in the course of practicing architecture or registered interior design.

(8) Presentation documents, such as renderings created by an architect or registered interior designer used to communicate conceptual information, shall not be sealed or signed.

(9) Documents considered incomplete by the architect or registered interior designer may be released for interim review without the architect's or registered interior designers seal or signature affixed, but shall be dated, bear the architect's or registered interior designer's name, and be marked or designated as follows "Incomplete - for interim review only and not intended for bidding, procurement, permit, or construction purposes."

(10) Those sheets or pages prepared by licensed professional consultants, such as structural, mechanical or electrical engineers retained by the architect or registered interior designer, shall bear the seal and registration or license number of the consultant responsible therefore, and shall not be sealed by the architect or registered interior designer.

(11) The use of the prescribed seal on paper is an individual act whereby the architect or registered interior designer must personally sign over the imprint of the seal. By sealing documents for use in this State, an architect or registered interior designer is representing that he or she is in responsible control over the content of such documents and has applied the required professional standard of care. The architect or registered interior designer is responsible for security of the seal when not in use.

(12) Use of Firm Seal. The use of the firm seal does not replace the statutory requirement for an architect's or registered interior designer's individual seal as required in Rule .0203(4) of this Chapter. The firm seal must be affixed in addition to the individual seal on the cover sheet. A firm shall designate a principle or other authorized individual to be responsible for the security of the firm seal.

(b) Prototypical building design documents prepared by architects or registered interior designers who are licensed or registered in this State or in their state of origin may be sealed by a succeeding licensed architect or registered interior designer in North Carolina provided:

(1) the seal of the original architect or registered interior designer appears on the documents to authenticate authorship;

(2) the words "Prototypical Design Documents/Not for Construction" appear on each sheet of the documents by the original architect or registered interior designer;

(3) the succeeding North Carolina architect or registered interior designer identifies all modifications to the standard design documents;

(4) the succeeding North Carolina architect or registered interior designer assumes responsibility for the adequacy of the design for the specific application in North Carolina and for the design conforming with applicable building codes, local conditions, site condition; and

(5) the succeeding North Carolina architect or registered interior designer affixes his or her seal to the prototypical design documents with a statement as follows: "These documents have been examined by the undersigned. I have determined that they comply with existing local North Carolina codes, and I assume responsibility for the adequacy of the design for the specific application in North Carolina."

(c) Post construction record drawings prepared by an architect or registered interior designer, but based upon representations of contractors, are not plans that are for "bidding, procurement, permit, or construction purposes" and therefore shall not be sealed by the architect or registered interior designer. Post construction record drawings shall bear the name of the architect or registered interior designer and include language that states "these drawings are post construction record drawings and are based in part upon the representations of others and are not for bidding, procurement, permit, or construction purposes."

(d) Documents to be electronically transmitted beyond the direct control of the licensee or registrant that are signed using a digital signature, shall contain the authentication procedure in a secure mode and a list of the hardware, software, and parameters used to prepare the document(s). Secure mode means that the authentication procedure has protective measures to prevent alteration or overriding of the authentication procedure. The term "digital signature" shall be an electronic authentication process that is attached to or logically associated with an electronic document. Unlocked copies of sealed construction documents may be provided to entities to allow for electronic usage where document content is not effectively being altered, such as when presented for plan review approval stamps or contractor material takeoffs. An effective alteration means a change that may impact health, safety, or welfare, such as a change to egress or a change to window placement. The digital signature shall be:

(1) Unique to the person using it;

(2) Capable of verification;

(3) Under the sole control of the person using it; and

(4) Linked to a document in such a manner that the digital signature is invalidated if any data in the document is changed.

(e) Documents for use in this State, that are transmitted electronically beyond the direct control of the licensee or registrant, shall have the computer-generated image of the seal removed from the original file, unless signed with a digital signature as defined in this Rule. After removal of the image of the seal, the electronic media shall have the following inserted in lieu of the signature and date: "This document was originally issued and sealed by (name of sealer), (license or registration number), on (date of sealing). This medium shall not be considered a certified document." Hardcopy documents containing the original seal, signature and date of the licensee or registrant may be duplicated by photocopy or electronic scanning processes and distributed either in hardcopy or electronic medium. The scanned digital files of certified documents are not subject to the requirements of this Paragraph. The electronic transmission beyond the direct control of the licensee or registrant of Computer Aided Design (CAD), vector, or other files subject to easy editing are subject to the requirements of this Paragraph. A file subject to "easy editing" is one consisting of separate elements that can be individually modified or deleted. Documents that are excepted from certification by a statement meeting the following requirements are not subject to the requirements of this Paragraph:

(1) "Preliminary - Do not use for construction";

(2) "Progress Drawings - Do not use for construction";

(3) "Final Drawing - Not released for construction";

(4) "Final Drawing - For Review Purposes Only";

(5) "Not a Certified Document – This document was originally issued and sealed by (name of licensee or registrant), (license or registration number), on (date of sealing). This document shall not be considered a certified document"; and

(6) "Not a Certified Document as to the Original Document but Only as to the Revisions - This document originally issued and sealed by (name of licensee or registrant), (license or registration number), on (date of sealing). This document is only certified as to the revisions".

History

• Authority G.S. 83A-6; 83A-10; 83A-12
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. December 1, 2010; July 1, 2006; October 1, 1995; July 1, 1993; May 1, 1989; October 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2024; June 1, 2022; November 1, 2017
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0207 Denial: Suspension or Revocation of License

History

• Status: repealed
• Authority G.S. 83A-1; 83A-6; 83A-7; 83A-15
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. October 1, 1989; May 1, 1989; November 1, 1979
• Repealed Eff. June 1, 1995.

21 NCAC 02 .0208 Dishonest Conduct

History

• Status: repealed
• Authority G.S. 14-353; 83A-6; 83A-14; 83A-15
• Eff. February 1, 1976
• Amended Eff. February 24, 1976
• Readopted September 29, 1977
• Amended Eff. November 1, 2010; July 1, 2006; December 1, 1995; June 1, 1995; July 1, 1992; October 1, 1989; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. November 1, 2017
• Temporary Amendment Eff. November 30, 2021
• Temporary Repeal Eff. November 30, 2021
• Repealed Eff. June 1, 2022.

21 NCAC 02 .0209 Unprofessional Conduct

History

• Status: repealed
• Authority G.S. 14-353; 83A-6; 83A-14; 83A-15
• Eff. February 1, 1976
• Amended Eff. February 24, 1976
• Readopted September 29, 1977
• Amended Eff. November 1, 2010; July 1, 2006; December 1, 1995; June 1, 1995; July 1, 1992; October 1, 1989; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. November 1, 2017
• Temporary Amendment Eff. November 30, 2021
• Temporary Repeal Eff. November 30, 2021
• Repealed Eff. June 1, 2022.

21 NCAC 02 .0210 Incompetence

(a) No person shall be permitted to practice architecture or registered interior design if such person is found by a licensed physician or court of law to be impaired in his or her ability to practice the profession because of physical or mental disability.

(b) No person shall be permitted to practice architecture or registered interior design if such person is found insane or incompetent by a court of law.

History

• Authority G.S. 83A-6; 83A-14; 83A-15
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. July 1, 2006; June 1, 1995; May 1, 1989; November 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Amendment Eff. November 30, 2021
• Temporary Amendment Expired Eff. September 11, 2022
• Amended Eff. April 1, 2024
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0211 Unauthorized Practice

History

• Status: repealed
• Authority G.S. 83A-1(7); 83A-6; 83A-10; 83A-12; 83A-13; 83A-17
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. December 1, 1991; May 1, 1989; November 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Repealed Eff. September 1, 2019.

21 NCAC 02 .0212 Independent Judgment and Disclosure

History

• Status: repealed
• Authority G.S. 83A-6; 83A-16; 83A-17
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. June 1, 1995; May 1, 1989; November 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Repeal Eff. November 30, 2021
• Repealed Eff. June 1, 2022.

21 NCAC 02 .0213 INDIVIDUAL LICENSES and registrationS

(a) Renewal. The license to practice architecture or interior design registration must be renewed on or before the first day in July each year. Continued practice after such date shall constitute unlawful practice as set forth in G.S. 83A-12 and may be grounds for disciplinary action. No less than 30 days prior to the renewal date, the Board shall send a notice of renewal to each individual licensee or registrant via electronic mail. The licensee or registrant shall submit to the Board the completed license or registration renewal documentation, along with the annual license or registration renewal fee. The Board shall not accept incomplete renewal documentation. If the accompanying payment in the amount of the renewal fee is dishonored by the licensee or registrant's drawee bank for any reason, the Board shall suspend the license or registration until the renewal fees and check charges are paid. When the annual renewal has been completed according to the provisions of G.S. 83A-11, as well as Section .0900 of this Chapter, the Executive Director shall approve renewal of the license or registration for the current renewal year. Renewal fees are non-refundable. All applications for renewal of individual licensure or registration shall contain the following:

(1) the licensee's or registrant's name, mailing address, physical address, email address, and phone number;

(2) whether the licensee or registrant has satisfied the continuing education requirements set forth in Rule .0903 of this Chapter;

(3) since issuance of the individual's licensure or registration or the individual's last renewal, whichever is later:

(A) whether the licensee or registrant has had a credential denied, limited, reprimanded, suspended, or revoked and, if so, a statement providing the reason for the adverse action; the date and jurisdiction in which the adverse action occurred; the terms of the adverse action imposed; and whether the terms of the adverse action have been satisfied;

(B) whether the licensee or registrant has been convicted of a felony or misdemeanor under any laws and, and, if so, the jurisdiction, charge, case number, and date of each such criminal conviction;

(C) whether any criminal charges have been filed or are pending against the licensee or registrant and, if so, the jurisdiction, charge, and case number of each such charge;

(D) whether any court, board, agency, or professional organization has found the licensee or registrant guilty of unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the jurisdiction, charge, case number, and date of such adverse action;

(E) whether any disciplinary action, charges, or controversy is pending against the licensee or registrant before any court, board, agency, or professional organization for unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the jurisdiction, charge, and case number of each such pending action; or

(F) whether any liens or judgments have been filed or entered against the licensee or registrant and, if so, the jurisdiction, date, and parties to such lien or judgment.

(b) Late Renewal. If the Board has not received the annual renewal fee and completed renewal documentation on or before the first day of July, each year the license or registration shall expire and be placed on delinquent status. For the purpose of this Rule, "delinquent status" means an administrative suspension and is not considered discipline. The license or registration may be renewed at any time within one year of being deemed delinquent, upon the return of the completed renewal documentation, the annual renewal fee, and the late renewal penalty and demonstration of compliance with Section .0900 of this Chapter.

(c) Reinstatement. After one year from the date of expiration, the Board shall revoke the license or registration for failure to renew. Reinstatement shall occur pursuant to G.S. 83A-11 and Sections .0300 and .0900 of this Chapter.

(d) Any individual who is currently licensed or registered by and in good standing with the Board who is serving in the armed forces of the United States shall not be subject to late fees, suspension, or revocation for failure to renew licensure on or before the first day July each year, provided that the individual has been granted an extension of time to file a tax return as set forth in G.S. 105-249.2.

History

• Authority G.S. 83A-6; 83A-11; 93B-15(b)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. December 1, 2010; July 1, 2006; July 1, 1999; May 1, 1989; November 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. November 1, 2017
• Temporary Amendment Eff. November 30, 2021
• Amended Eff. April 1, 2024; June 1, 2022
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0214 Firm PRACTICE OF ARCHITECTURE AND REGISTERED INTERIOR DESIGN

(a) Prior to offering and rendering architectural or registered interior design services as set forth in Chapter 83A of the North Carolina General Statutes and Rule .0204(a) and Rule .0204(c) of this Chapter, all firms shall submit an application for firm licensure or registration and be granted licensure or registration by the Board. Application for firm licensure or registration to practice of architecture or registered interior design within the State of North Carolina shall be made upon forms provided on the Board web site at www.ncbarch.org and include the required application fee as set forth in Rule .0108 of this Chapter. Licensure for firm practice of architecture shall be issued only under the provisions of the Professional Corporation Act, Chapter 55B of the North Carolina General Statutes and G.S 57D-2-02. Registration for firm practice of interior design shall be issued only under the provisions of the Business Corporation Act Chapter 55 and the Limited Liability Company Act, Chapter 57D of the North Caolina General Statutes. All applications for firm licensure or registration shall contain the following:

(1) the firm's name, mailing address, physical address, email address, and phone number;

(2) the firm's representative completing the application;

(3) for all officers, directors and shareholders, if the firm is a professional corporation:

(A) the profession;

(B) the credential number and jurisdiction in which the credential was issued, if outside of North Carolina;

(C) the credential number issued by the Board, if any;

(D) whether the individual is an officer, director, or shareholder; and

(E) percentage of stock owned.

(4) for all members and owners, if the firm is a professional limited liability company:

(A) the profession;

(B) the credential number and jurisdiction in which the credential was issued, if outside of North Carolina;

(C) the credential number issued by the Board, if any;

(D) whether the individual is a member or manager; and

(E) percentage of membership held.

(5) the names, position, and ownership interest of any non-licensed shareholder or member of the firm;

(6) whether the firm is a professional corporation or professional limited liability company;

(7) whether the firm intends to form a new entity with the North Carolina Secretary of State and, if so, copies of the proposed articles of incorporation or organization;

(8) whether the firm intends to register with the North Carolina Secretary of State as a foreign entity and, if so, copies of the articles of incorporation or organization filed in the other jurisdiction;

(9) whether the firm or any of its owners ever has had a credential denied, limited, reprimanded, suspended, or revoked and, if so, a statement providing the reason for the adverse action; the date and jurisdiction in which the adverse action occurred; the terms of the adverse action imposed; and whether the terms of the adverse action have been satisfied;

(10) whether the firm or any of its owners ever has been convicted of a felony or misdemeanor under any laws and, and, if so, the jurisdiction, charge, case number, and date of each such criminal conviction;

(11) whether any criminal charges have been filed or are pending against the firm or any of its owners and, if so, the jurisdiction, charge, and case number of each such charge;

(12) whether any court, board, agency, or professional organization has found the firm or any of its owners guilty of unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the jurisdiction, charge, case number, and date of such adverse action;

(13) whether any disciplinary action, charges, or controversy is pending against the firm or any of its owners before any court, board, agency, or professional organization for unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the jurisdiction, charge, and case number of each such pending action;

(14) whether any liens or judgments have been filed or entered against the firm or any of its owners and, if so, the jurisdiction, date, and parties to such lien or judgment;

(15) if the firm is a foreign entity, a certification from the person identified in Subparagraph (b)(2) of this Rule that:

(A) the information contained in the application is true and correct to the best of his or her knowledge and belief; and

(B) he or she has read the statutes and rules set forth in North Carolina General Statutes 55B for corporations, or Chapter 57D for PLLCs, Chapter 83A, and this Chapter.

(16) if the firm is an entity desiring to be incorporated or organized in North Carolina, a certification from the incorporator or organizer that the information contained in the application is true and correct to the best of his or her knowledge and belief; and

(17) a certification that the incorporator, organizer, officer, or owner of the firm has read and understands the public notice statement on employee misclassification that is set forth in the application and has disclosed any investigations for employee misclassification, and its results, over the preceding 12-month period, as prescribed by G.S. 143-789.

(b) Architecture firm licensure and interior design firm registration shall be renewed on or before December 31st of each year. If the Board has not received the annual renewal fee as set forth in Rule .0108 of this Chapter and completed application on or before December 31st of each year, the architecture firm license or interior design firm registration shall expire. The Board shall send a notice of renewal to each licensed and registered firm no less than 30 days prior to the renewal date. Renewal documentation shall be accompanied by the renewal fee. If the accompanying draft or check in the amount of the renewal fee is dishonored by the firm's drawee bank for any reason, the Board shall suspend the firm license or registration until the renewal fees and returned check charges are paid. When the annual renewal has been completed according to the provisions of G.S. 83A-11, the Executive Director shall approve renewal for the firm for the current renewal year. Upon completion of the firm annual renewal, the Board may randomly audit the compliance of firm licenses and registrations and require proof in the form of corporate records maintained pursuant to Chapters 55 and 57D of the North Carolina General Statues. Such records shall be maintained for a period of seven years after the renewal is submitted. Renewal fees are non-refundable. All applications for renewal of firm licensure or registration shall contain the following:

(1) the firm's name, mailing address, physical address, email address, and phone number;

(2) the firm's representative completing the application;

(3) since issuance of the firm's licensure or registration or the firm's last renewal, whichever is later,

(A) whether the firm or any of its owners has had a credential denied, limited, reprimanded, suspended, or revoked and, if so, a statement providing the reason for the adverse action; the date and jurisdiction in which the adverse action occurred; the terms of the adverse action imposed; and whether the terms of the adverse action have been satisfied;

(B) whether the firm or any of its owners has been convicted of a felony or misdemeanor under any laws and, and, if so, the jurisdiction, charge, case number, and date of each such criminal conviction;

(C) whether any criminal charges have been filed or are pending against the firm or any of its owners and, if so, the jurisdiction, charge, and case number of each such charge;

(D) whether any court, board, agency, or professional organization has found the firm or any of its owners guilty of unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the jurisdiction, charge, case number, and date of such adverse action;

(E) whether any disciplinary action, charges, or controversy is pending against the firm or any of its owners before any court, board, agency, or professional organization for unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the jurisdiction, charge, and case number of each such pending action; or

(F) whether any liens or judgments have been filed or entered against the firm or any of its owners and, if so, the jurisdiction, date, and parties involved with such lien or judgment;

(4) an affirmation from the architectural firm's Chief Executive Officer or person designated by firm resolution as a responsible officer in charge that:

(A) the information contained in the renewal application is true and correct to the best of his or her knowledge and belief;

(B) ownership of the shares or stock or membership of the firm is in compliance with the rules and laws of North Carolina;

(C) any officers, directors, shareholders or members and professional employees, who are practicing architecture or registered interior design for said firm in the State of North Carolina, are duly licensed to so practice in this State;

(D) at least one officer, director, and shareholder or member/owner of the firm is licensed in North Carolina;

(E) non-licensed individuals do not own no more than one-third of the total stock or ownership; and

(F) the firm has read and understands the public notice statement on employee misclassification that is set forth in the application and has disclosed any investigations for employee misclassification, and its results, over the preceding 12-month period, as prescribed by G.S. 143-789.

(c) Failure to Renew and Reinstatement. Within one year of the expiration, the firm license or registration may be renewed at any time, upon the return of the completed renewal documents, the annual renewal fee, and the late renewal fees. After one year from the date of expiration for non-payment of the annual renewal fee the licensee or registrant shall seek reinstatement, as allowed by G.S. 83A-11. The Board may reinstate the firms' license or registration, as allowed by G.S. 83A-11.

(d) Seal. Each licensed or registered firm shall adopt a seal pursuant to Rule .0206 of this Chapter.

(e) Every firm, partnership, corporation or limited liability company that performs or offers to perform architectural or registered interior design services in the State of North Carolina shall have a resident Architect or Registered Interior Designer in Responsible Control in each separate office located in North Carolina where architectural or registered interior design services are performed or offered to be performed. Out-of-state office locations where architectural or registered interior design services are performed or offered to be performed for North Carolina projects shall have architects or registered interior designers in responsible control of only the specific projects in North Carolina.

History

• Authority G.S. 55B-5; 55B-10; 55B-15; 83A-6; 83A-8; 83A-10
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. July 1, 2014; December 1, 2010; July 1, 1993; May 1, 1989; November 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Amendment Eff. November 30, 2021
• Amended Eff. April 1, 2024; June 1, 2022
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0215 out of state firmS

(a) Architectural and interior design firms from other states shall be granted firm licensure or registration for practice in this State upon receipt by the Board of a completed application as set forth in Rule .0214(a) of this Section, fees as required by Rule .0108 of this Chapter, and the submission of a copy of their firm charter, or other corresponding documents, amended as may be necessary to ensure compliance with all requirements of Chapter 55B, the Professional Corporation Act for architectural firms and Chapter 55, the Business Corporation Act for registered interior design firms. In addition to the other requirements as set out in G.S. 83A-8, out of state interior design firms shall, prior to registration, receive from the Secretary of State of North Carolina a certificate of authority to do business within the State. Architectural firms shall obtain a certificate for filing from the Board prior to submitting application to the Secretary of State for a Certificate of Authority.

(b) Designated Individuals. If an out of state entity offers both architectural and engineering services, then it shall comply with requirements set forth in Chapter 89C of the North Carolina General Statutes. An out of state entity shall have at least one officer, director and shareholder licensed as an architect in this State. Two-thirds of the issued and outstanding shares of the out of state corporations shall be owned by licensed architects or engineers who are licensed to practice their profession in a jurisdiction of the United States. However, the firm shall designate at least one architect who is licensed in the State of North Carolina to be in responsible control for the firm practice of architecture within the State of North Carolina. A registered interior design firm shall designate one registered interior designer to be in responsible control of all interior design work offered and performed by that firm in this State.

(c) Partnerships. An out of state architectural or registered interior design partnership may practice architecture or registered interior design if every partner in the firm is licensed or registered as an individual in this State under Rule .0213, and the partnership complies with Paragraph (f) of this Rule .

(d) Limited Liability Companies. An out of state Limited Liability Company may practice architecture or registered interior design if the Limited Liability Company complies with Chapter 57D of the North Carolina General Statutes and at least one member and one owner are licensed or registered as an individual under Rule .0213 of this Section and comply with Paragraph (a) of this Rule.

(e) Limited Liability Partnerships. An out of state Limited Liability Partnership may practice architecture or registered interior design if the Limited Liability Partnership complies with Chapter 59 of the North Carolian General Statues, and at least one partner is licensed or registered as an individual under Rule .0213 of this Section.

(f) Failure to Renew and Reinstatement. If the Board has not received the annual firm renewal fee and completed application as required by Rule .0214(b) of this Section, on or before December 31st each year, the firm license or registration shall expire and be deemed delinquent. The firm registration may be renewed at any time within one year, upon the return of the completed application, the annual renewal fee, and the late renewal fees. After one year from the date of expiration for non-payment of the annual renewal fee, the license or registration shall be automatically revoked. The Board may reinstate the firm's license or registration, as allowed by G.S. 83A-11.

History

• Authority G.S. 55B-6; 55B-16; 83A-6; 83A-8; 83A-9
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. December 1, 2010; June 1, 1995; July 1, 1993; May 1, 1989; November 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Amendment Eff. November 30, 2021
• Amended Eff. April 1, 2024. June 1, 2022
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0216 Annual Listing of Partnership

History

• Status: repealed
• Authority G.S. 83A-6; 83A-9
• Eff. May 1, 1991
• Amended Eff. June 1, 1995
• Repealed Eff. November 1, 2010.

21 NCAC 02 .0217 Architect Emeritus

(a) Resident architects who have been registered in this State, and who are retired from active practice or other related professional activities in any jurisdiction, may apply for "Emeritus Status" by submitting a form provided by the Board showing compliance with the requirements of this Section. "Retired" means that the architect no longer practices architecture as defined in G.S. 83A-1. Nonresident architects who have been continuously certified by the National Council of Architecture Registration Boards who are retired from active practice, or other related professional activities in any jurisdiction, and who are "emeritus," inactive, or retired in every other jurisdiction in which they are licensed, may also apply for "Emeritus Status" by submitting a form provided by the Board showing compliance with the requirements of this Section. Any reference to an architect on "Emeritus Status" on any letter, title, sign, card, or other device shall list such individual as "Architect Emeritus."

(b) The Application for Emeritus Status form shall request the following information from the Applicant:

(1) first, middle, and last name and salutation;

(2) The license number issued by the Board;

(3) Mailing address and an indication if the address is a home or firm address, including firm name if applicable;

(4) Phone number of the applicant;

(5) Email address;

(6) Date of birth;

(7) The applicant's acknowledgment that he or she has read the definition of the practice of architecture as set forth in G.S. 83A-1;

(8) If the applicant is the owner of an architecture firm and if so, the nature of the ownership;

(9) If the applicant's name will be listed on an architecture firm's letterhead and if so, the circumstances surrounding such listing;

(10) If the applicant will use his or her architect seal on any plans or construction documents and if so, the circumstances surrounding such usage;

(11) If the applicant will be providing consulting services in the field of architecture and if so, the nature of the consulting services;

(12) If the applicant will be licensed in any other jurisdiction and if so, which ones;

(13) If the applicant will be providing drafting or design services or otherwise aid another licensee and if so, what type of services;

(14) If the applicant will be identified as an architect in advertising or promotional literature and if so, the circumstances for such advertising or promotion;

(15) If the applicant will be an employee of an architecture firm and if so, which firm;

(16) If the applicant will be an employee or consultant for a design/build firm and if so, which firm;

(17) If the applicant will be an employee of an engineering firm or architecture firm or any other business involved in construction and if so, which firm or business;

(18) If the applicant will be identified on business cards, letterhead, or advertising materials as an architect, a member of American Institute of Architects (AIA), or using any other words or letters indicating that Applicant is a licensed architect and if so, the circumstances surrounding such identification; and

(19) Certification by the applicant that he or she has read the North Carolina Architectural Laws and Rules, understands the information provided in the Application for Emeritus Status, and has completely retired from the practice of architecture.

History

• Authority G.S. 83A-4; 83A-6; 83A-11; 83A-12
• Eff. November 1, 1991
• Amended Eff. July 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Amendment Eff. November 30, 2021
• Amended Eff. June 1, 2022
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0218 Limited Liability Companies

History

• Status: repealed
• Authority G.S. 57C-2-01; 83A-6
• Eff. June 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Repeal Eff. November 30, 2021
• Repealed Eff. June 1, 2022.

21 NCAC 02 .0219 Registered Limited Liability Partnerships

History

• Status: repealed
• Authority G.S. 83A-6; 59-84.2; 59-84.3
• Eff. June 1, 1995
• Repealed Eff. November 1, 2010.

21 NCAC 02 .0301 APPLICATION FOR Registration by exam

History

• Status: repealed
• Authority G.S. 83A-4; 83A-6; 83A-7
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. November 1, 2010; July 1, 1996; December 1, 1992; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Repealed Eff. November 1, 2017.

21 NCAC 02 .0302 Architectural Licensure by Examination

(a) Those individuals who wish to take the Architectural Registration Exam (ARE) shall contact the National Council of Architecture Registration Boards (NCARB) directly to obtain exam eligibility. Upon completion of all requirements set forth in the NCARB Architecture Experience Program (AXP), a candidate seeking licensure by exam in North Carolina shall direct NCARB to transmit a completed NCARB AXP record to the North Carolina Board of Architecture and Registered Interior Designers.

(b) Upon passing all sections of the NCARB ARE, fulfillment of all NCARB AXP requirements, and completion of the National Architectural Accrediting Board (NAAB) accredited degree, NCARB, as directed by the candidate, will transmit a completed NCARB AXP file to the Board to determine compliance with G.S. 83A-7(a)(1)(a), which shall be deemed satisfied through completion of the requirements set forth in Subparagraphs (1) through (5) of this Paragraph. The Board shall grant licensure by exam to those individuals who:

(1) are of good moral character as defined in G.S. 83A-1(5);

(2) are at least 18 years of age;

(3) have completed a NAAB accredited professional degree in architecture or who have completed a NAAB accredited degree program that is identified as an NCARB endorsed Integrated Path To Architectural Licensure Degree Program;

(4) have completed the NCARB AXP; and

(5) submit the Application for Licensure by Exam and fee as required by Rule .0108 of this Chapter.

(c) Retention of credit for purposes of licensure by examination in North Carolina.

(1) Passing scores received after July 1, 2006 on any part of the ARE remain valid for a period of time established by the exam provider, NCARB.

(2) Scores received on any part of the ARE prior to July 1, 2006 are invalid.

(d) Practical training pursuant to G.S. 83A-7(a)(2) means practical experience and diversified training as defined by the NCARB AXP.

(e) During the application process, Board members, in order to augment the evidence submitted in an application may interview the applicant regarding qualifications required in Paragraph (b) of this Rule. The Board shall determine whether an interview is needed on a case-by-case basis, based upon information in the application, including any academic or professional discipline.

(f) To complete the ARE, an exam candidate shall receive a passing grade in each division of the ARE. Information regarding NCARB grading methods and procedures can be found on their web site at www.ncarb.org.

(g) A person currently employed under the responsible control of an architect, who holds a Professional Degree from a NAAB accredited program, and who maintains an active NCARB AXP record, or has completed the NCARB AXP, may use the title "Architectural Intern" or "Intern Architect" in conjunction with his or her current employment.

(h) The fees for examination, or parts thereof, are set and collected by the NCARB. Fee information is available on the NCARB web site at www.ncarb.org.

(i) The standards of the National Council of Architecture Registration Boards and its eligibility requirements are hereby incorporated by reference, including subsequent amendments and editions, and can be accessed at no charge at www.ncarb.org.

History

• Authority G.S. 83A-1; 83A-6; 83A-7; 83A-12
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. March 1, 2016; July 1, 2014; November 1, 2010; July 1, 2006; July 1, 2000; July 1, 1996; June 1, 1995; December 1, 1992; July 1, 1991
• Amended Eff. November 1, 2017
• Temporary Amendment Eff. November 30, 2021
• Amended Eff. April 1, 2024; June 1, 2022
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0303 ARCHITECTURE licensure by reciprocitY

(a) An individual who holds a current license in good standing from a National Council of Architecture Registration Boards (NCARB) recognized jurisdiction and a Certified Council Certificate issued by NCARB shall qualify for licensure by reciprocity upon receipt of a certified record from NCARB and the Board application for licensure by reciprocity and fee as required by Rule .0108 of this Chapter as provided in G.S. 83A-7(b). Revocation of the certificate by NCARB shall automatically suspend the architect's license to practice in North Carolina until such time as the certificate is reinstated by NCARB.

(b) In order to supplement or clarify the contents of a record or application, the Board may interview the applicant to ensure that the applicant has had sufficient architectural practice experience to be able to practice architecture in this State.

History

• Authority G.S. 83A-6; 83A-7
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. July 1, 2014; November 1, 2010; July 1, 2006; July 1, 2000; October 1, 1995; May 1, 1989; October 1, 1984; September 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Amendment Eff. November 30, 2021
• Amended Eff. April 1, 2024; June 1, 2022
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0304 Alien Applicants

History

• Status: repealed
• Authority G.S. 83-4
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. November 1, 1979.

21 NCAC 02 .0306 Interior Designer Registration

(a) Those individuals who wish to practice as a registered interior designer in North Carolina shall demonstrate that they have satisfied the educational and professional experience eligibility requirements adopted by the Council for Interior Design Qualification (CIDQ) to sit for the National Council for Interior Design Qualification Examination (NCIDQ), shall pass the NCIDQ Examination, and submit to the Board an application for registration and fee as required by Rule .0108 of this Chapter. Revocation of the certificate by CIDQ shall automatically suspend the interior designer's registration to practice in North Carolina until such time as the certificate is reinstated by CIDQ.

(b) An architect shall be granted registration to practice interior design so long as they are currently licensed, in good standing in the State of North Carolina, and submit the Board application for registration and fee.

(c) In order to supplement or clarify the contents of a record or application, the Board may interview the applicant to ensure that the applicant has had interior design experience to be able to practice registered interior design in this State.

(d) The standards of the CIDQ and its eligibility requirements are hereby incorporated by reference, including subsequent amendments and editions, and can be accessed at no charge at www.cidq.org.

History

• Authority G.S. 83A-7
• Temporary Adoption Eff. November 30, 2021
• Eff. June 1, 2022
• Amended Eff. April 1, 2024
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0307 Certification and Licensure for Military Personnel and Military Spouses

(a) Upon receipt of a request for certification or licensure pursuant to G.S. 93B-15.1 from an applicant with military training and experience, the Board shall issue a certificate or license upon submission of the following to the Board:

(1) an application containing the following information:

(A) the applicant's contact information;

(B) the social security number of the applicant;

(C) the requested designation of licensure or registration;

(D) employment history;

(E) whether the applicant has ever been certified, licensed, or registered to practice architecture or registered interior design by the Board, by another occupational board in another state/jurisdiction and, if so what credential was held, in what state/jurisdiction, the issuance date and expiration date, and what examinations were taken to obtain said certification, licensure, or registration:

(F) whether the applicant has ever had a credential denied, limited, reprimanded, suspended, or revoked;

(G) whether the applicant has ever been convicted of, or plead nolo contendere to, a felony or misdemeanor under any laws;

(H) whether any criminal charges have been filed or are pending against the applicant;

(I) whether any court, board, agency, or professional organization has found the applicant guilty of unprofessional conduct, dishonest or fraudulent practice, or incompetent practice;

(J) whether any charges are pending against the applicant before any court, board, agency, or professional organization for unprofessional conduct, dishonest or fraudulent practice, or incompetent practice;

(K) the applicant's affirmation that the applicant has read the statutes and rules set forth in North Carolina General Statutes 83A and this Chapter, the information provided by the applicant in the application is true, and that the applicant has read and understands the public notice statement on employee misclassification that is set forth in the application and has disclosed any investigations for employee misclassification, and its results, over the preceding 12-month period, as prescribed by G.S. 143-789:

(2) written documentation to satisfy conditions set out in G.S. 93B-15.1(a); or

(3) written documentation to satisfy conditions set out in G.S. 93B-15.1(a2).

(b) Upon receipt of a request for certification or licensure pursuant to G.S. 93B-15.1 from a military spouse, the Board shall issue a certificate or license upon submission of the following to the Board:

(1) an application containing the following information:

(A) the applicant's contact information;

(B) the social security number of the applicant;

(C) the requested designation of licensure or registration;

(D) employment history;

(E) whether the applicant has ever been certified, licensed, or registered to practice architecture or registered interior design by the Board, by another occupational Board, or in another state/jurisdiction and, if so what credential was held, in what state/jurisdiction, the issuance date and expiration date, and what examinations were taken to obtain said certification, licensure, or registration:

(F) whether the applicant has ever had a credential denied, limited, reprimanded, suspended, or revoked;

(G) whether the applicant has ever been convicted of, or plead nolo contendere to, a felony or misdemeanor under any laws;

(H) whether any criminal charges are pending against the applicant;

(I) whether any court, board, agency, or professional organization has found the applicant guilty of unprofessional conduct, dishonest or fraudulent practice, or incompetent practice;

(J) whether any charges are pending against the applicant before any court, board, agency, or professional organization for unprofessional conduct, dishonest or fraudulent practice, or incompetent practice;

(K) a completed NCARB AXP file as set forth in Rule .0302 of this Section; and

(L) the applicant's affirmation that the applicant has read the statutes and rules set forth in North Carolina General Statutes 83A and this Chapter, the information provided by the applicant in the application is true, and that the applicant has read and understands the public notice statement on employee misclassification that is set forth in the application and has disclosed any investigations for employee misclassification, and its results, over the preceding 12-month period, as prescribed by G.S. 143-789(2) written documentation to satisfy conditions set out in G.S. 93B-15.1(b):

(c) Military trained applicants and military spouse applicants may apply for a temporary license by submitting to the Board an application containing the information set forth in Subparagraph (a)(1) of this Rule.

History

• Authority G.S. 83A-7; 93B-15.1
• Eff. April 1, 2024.

21 NCAC 02 .0401 Rule-Making Petitions

A person may petition the Board to adopt a new rule or change or amend an existing rule by sending a rule-making petition in writing to the Board at the Board's address set out in Rule .0101. The petition must be titled "Petition for Rule-making" and shall include the following information:

(1) the name and address of the person submitting the petition;

(2) a citation to any rule for which a change or repeal is requested;

(3) a draft of any proposed rule or amended rule;

(4) an explanation of why the new rule, amendment, or repeal is requested and the effects of the new rule, amendment, or repeal on the Board's procedure or the persons regulated by the Board; and

(5) any other information the person submitting the petition considers relevant.

History

• Authority G.S. 150B-20
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0402 Notice of Rule-Making Hearings

Upon a determination to hold a rule-making proceeding, either in response to a petition or otherwise, the Board shall give notice to all interested persons pursuant to the procedure established in Article 2A of Chapter 150B of the North Carolina General Statutes.

History

• Authority G.S. 83A-6; 150B-20; 150B-21.1; 150B-21.2
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. June 1, 1995; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0403 Notice Mailing List

Any person desiring to be placed on the mailing list for Board rule-making notices shall file such request in writing, furnishing his name and mailing address to the Board. The letter of request shall state those subject areas within the authority of the Board for which the person wants notice.

History

• Authority G.S. 83A-6; 150B-20; 150B-21.1; 150B-21.2
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0404 Submission of Data

Any person desiring to present data, views, or arguments on a proposed rule may do so at the public hearing conducted in accordance with Article 2A of Chapter 150B of the North Carolina General Statutes. Any person desiring to make an oral presentation to the Board prior to or at the hearing shall submit a written copy of the presentation to the Board prior to or at the hearing.

History

• Authority G.S. 83A-6; 150B-20; 150B-21.1; 150B-21.2
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0405 Presiding Officer: Powers and Duties

The presiding officer at a rule-making hearing shall recognize speakers, allot time for presentations, and direct the discussion and management of the hearing. The presiding officer shall ensure that each person participating in the hearing is given an opportunity to present views, data, and comments.

History

• Authority G.S. 83A-6; 150B-20; 150B-21.1; 150B-21.2
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. June 1, 1995; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0406 Record of Proceedings

A record of all rule-making proceedings will be maintained in the Board office for as long as the rule is in effect. This record shall contain all items required by G.S. 150B-21.2(i). The Board's Executive Director shall be the custodian of records related to rule-making by the Board.

History

• Authority G.S. 83A-6; 150B-21.2
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0407 Request to Participate

History

• Status: repealed
• Authority G.S. 83-4; 150A-11; 150A-12(a); 150A-12(d); 150A-12(e)
• 150A-12(6); 150A-13; 150A-14
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 02 .0408 Contents of Request: General Time Limitations

History

• Status: repealed
• Authority G.S. 83-4; 150A-11; 150A-12(a); 150A-12(d); 150A-12(e)
• 150A-12(6); 150A-13; 150A-14
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 02 .0409 Receipt of Request: Specific Time Limits

History

• Status: repealed
• Authority G.S. 83-4; 150A-11; 150A-12(a); 150A-12(d); 150A-12(e)
• 150A-12(6); 150A-13; 150A-14
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 02 .0410 Written Submissions

History

• Status: repealed
• Authority G.S. 83-4; 150A-11; 150A-12(a); 150A-12(d); 150A-12(e)
• 150A-12(6); 150A-13; 150A-14
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 02 .0411 Presiding Officer: Power and Duties

History

• Status: repealed
• Authority G.S. 83-4; 150A-11; 150A-12(a); 150A-12(d); 150A-12(e)
• 150A-12(6); 150A-13; 150A-14
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 02 .0412 Statement of Reasons for Decision

History

• Status: repealed
• Authority G.S. 83-4; 150A-11; 150A-12(a); 150A-12(d); 150A-12(e)
• 150A-12(6); 150A-13; 150A-14
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 02 .0413 Record of Proceedings

History

• Status: repealed
• Authority G.S. 83-4; 150A-11; 150A-12(a); 150A-12(d); 150A-12(e)
• 150A-12(6); 150A-13; 150A-14
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 02 .0414 Emergency Rules

History

• Status: repealed
• Authority G.S. 83-4; 150A-11; 150A-12(a); 150A-12(d); 150A-12(e)
• 150A-12(6); 150A-13; 150A-14
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 02 .0501 Procedure for Declaratory Ruling

(a) The Board shall decide whether to grant or deny a request to make a declaratory ruling on the validity of a rule, or on the applicability of particular facts to a statute or to a rule or order of the Board, within 60 days of receiving the petition. The Board shall refuse to grant a petition for a declaratory ruling when there has been a similar factual determination in a contested case or one is likely to be made in a pending contested case or investigation.

(b) The Board will presume that its current rules are valid unless this presumption is rebutted by persuasive evidence as offered in the petition for the declaratory ruling. When the Board determines that a rule is invalid, the Board shall initiate rule-making proceedings to repeal the rule and send written notice of the proceeding to the person who submitted the request.

History

• Authority G.S. 83A-6; 150B-4
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0502 Submission of Request for Ruling

History

• Status: repealed
• Authority G.S. 83-4; 150A-11; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 02 .0503 Disposition of Requests

History

• Status: repealed
• Authority G.S. 83-4; 150A-11; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 02 .0504 Record of Decision

History

• Status: repealed
• Authority G.S. 83-4; 150A-11; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 02 .0505 Effective Date

History

• Status: repealed
• Authority G.S. 83-4; 150A-11; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 02 .0601 Professional Standards Committee

(a) The Professional Standards Committee ("Committee") shall be appointed by the President of the Board. Complaints regarding violations of the law or Board rules shall be referred to the Committee.

(b) The Committee shall determine whether a complaint warrants further investigation or, if proven, constitutes probable cause and justifies contested case proceedings.

(c) If probable cause is found by the Committee, the staff and board counsel shall serve a Notice of Hearing for a contested case proceeding.

(d) If probable cause is not found, the Committee shall dismiss such a matter with or without prejudice.

History

• Authority G.S. 83A-6; 83A-14; 83A-15; 150B-41
• Eff. March 1, 1984
• Amended Eff. November 1, 1991; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0602 Right to Hearing

History

• Status: repealed
• Authority G.S. 83A-6; 150B-11; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Recodified from 21 NCAC 2 .0601
• Amended Eff. May 1, 1989
• Repealed Eff. June 1, 1995.

21 NCAC 02 .0603 Request for Hearing

(a) Any time an individual believes he is a person aggrieved by the Board's administrative action, but has not received notice of a right to an administrative hearing, the aggrieved person may file a request for a hearing, in accordance with Paragraph (c) of this Rule.

(b) Before filing a request for a hearing, that individual shall exhaust all reasonable efforts to resolve the issue informally with the Board.

(c) To request a hearing, the individual shall submit a written request to the Board's office, with the request bearing the notation: REQUEST FOR ADMINISTRATIVE HEARING. The request must contain the following information:

(1) name and address of the petitioner;

(2) a concise statement of the action taken by the Board which is challenged;

(3) a concise statement of the way in which the petitioner has been aggrieved; and

(4) a clear and specific statement of request for a hearing.

History

• Authority G.S. 83A-6; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Recodified from 21 NCAC 2 .0602
• Amended Eff. June 1, 1995; June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0604 Granting or Denying Hearing Requests

(a) The Board shall grant a request for a hearing if it determines that the party requesting the hearing is a "person aggrieved" within the meaning of G.S. 150B-2(6).

(b) The denial of request for a hearing shall be issued no later than 60 days after the submission of the request. Such denial shall contain a statement of the reasons for the denial of the request.

History

• Authority G.S. 83A-6; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Recodified from 21 NCAC 2 .0603
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0605 Notice of Hearing

The Board shall serve the party or parties in a contested case with written notice of hearing not less than 30 days before the hearing. Said notice shall contain the following information, in addition to the items specified in G.S. 150B-38(b):

(1) the name, position, address and telephone number of a person at the offices of the Board to contact for further information or discussion; and

(2) the date, time, and place for a pre-hearing conference, if any.

History

• Authority G.S. 83A-6; 150B-3(c); 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Recodified from 21 NCAC 2 .0604
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0606 Who Shall Hear Contested Cases

History

• Status: repealed
• Authority G.S. 83A-6; 150B-11; 150B-38; 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Recodified from 21 NCAC 2 .0605
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015.
• Repealed Eff. April 1, 2024.

21 NCAC 02 .0607 Petition for Intervention

History

• Status: repealed
• Authority G.S. 83A-6; 150B-11; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Recodified from 21 NCAC 2 .0606
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Repealed Eff. June 1, 2026.

21 NCAC 02 .0608 Types of Intervention

History

• Status: repealed
• Authority G.S. 83A-6; 150B-11; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Recodified from 21 NCAC 2 .0607
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Repealed Eff. June 1, 2026.

21 NCAC 02 .0609 Informal Procedures

(a) The Board and the party or parties may agree in advance to simplify the hearing by entering into written stipulations that:

(1) decrease the number of issues to be contested at the hearing;

(2) accept the admissibility or authenticity of certain proposed evidence; and

(3) accept findings of fact or conclusions of law.

(b) Informal disposition may be made of any contested case or any issue therein by stipulation, agreement, or consent order at any time.

History

• Authority G.S. 83A-6; 150B-22; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Recodified from 21 NCAC 2 .0608
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0610 Disqualification of Board Members

(a) Self-disqualification. If for any reason a Board member determines that personal bias or other factors render that member unable to participate in Board business in an impartial manner, or gives the appearance that the member is unable to conduct Board business in an impartial manner, that Board member shall voluntarily decline to participate in the hearing or decision.

(b) Petition for Disqualification. If for any reason any party in a contested case believes that a Board member is personally biased or otherwise unable to conduct the hearing and perform all duties in an impartial manner, the party may file a sworn, notarized affidavit with the Board. The title of such affidavit must bear the notation: AFFIDAVIT OF DISQUALIFICATION OF BOARD MEMBER IN THE CASE OF (name of case).

(c) Contents of Affidavit. The affidavit must state all facts the party deems to be relevant to the disqualification of the Board member.

(d) Timeliness of Affidavit. An affidavit of disqualification will be considered timely if filed at least 10 days before commencement of the hearing. Any other affidavit will be considered timely provided it is filed at the first opportunity after the party becomes aware of facts which give rise to a reasonable belief that a Board member may be disqualified under this Rule.

(e) Procedure for Determining Disqualification:

(1) The Board will appoint a Board member to investigate the allegations of the affidavit.

(2) The investigator will report to the Board the findings of the investigation.

(3) The Board shall decide whether to disqualify the challenged individual.

(4) The person whose disqualification is to be determined will not participate in the decision but may be called upon to furnish information to the other members of the Board.

(5) A record of proceedings and the reasons for any decision reached will be maintained as part of the contested case record.

(6) When a Board member is disqualified prior to the commencement of the hearing or after the hearing has begun, such hearing will continue with the remaining members sitting provided that the remaining members still constitute a majority of the Board.

(7) If disqualification of a Board member leaves less than a majority of the Board, the Board shall petition the Office of Administrative Hearings to appoint an administrative law judge to hear the contested case pursuant to G.S. 150B-40(e).

(8) Where a petition for disqualification is filed less than 10 days before or during the course of a hearing, the hearing shall continue with the challenged Board member sitting. Petitioner shall have the opportunity to present evidence supporting his or her petition, and the petition and any evidence relative thereto presented at the hearing shall be made a part of the record. The Board, before rendering its decision, shall decide whether the evidence justifies disqualification. In the event of disqualification, the disqualified member will not participate in further deliberation or decision of the case.

History

• Authority G.S. 83A-6; 150B-38; 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Recodified from 21 NCAC 2 .0609
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0701 Continuances Failure to Appear

Motions for a continuance of a hearing shall be reviewed in accordance with the North Carolina Rules of Civil Procedure as set forth in G.S. 1A-1, Rule 40(b). The Board is not required to grant a motion to continue. All motions for continuance shall be addressed to the presiding officer. In determining whether good cause exists as set forth in G.S. 1A-1, Rule 40, the presiding officer shall consider the ability of the party requesting a continuance to proceed without a continuance. Motions for a continuance shall be in writing and shall be received in the office of the Board no less than seven calendar days before the hearing date. A motion for a continuance shall be denied if a continuance has been previously granted unless the reason for the motion could not have been ascertained earlier.

History

• Authority G.S. 83A-6; G.S. 1A-1, Rule 40(b); 150B-38; 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. November 1, 2010; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0702 Witnesses

Any party may be a witness and may present testimony of witnesses on the party's behalf at the hearing. All oral testimony at the hearing shall be under oath or affirmation and shall be recorded or transcribed. At the request of a party or upon the Board's own motion, the presiding officer may exclude witnesses from the hearing room so that they cannot hear the testimony of other witnesses.

History

• Authority G.S. 83A-6; 150B-38; 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0703 Subpoenas

(a) Requests for subpoenas for the attendance and testimony of witnesses or for the production of documents, either at a hearing or for the purposes of discovery, shall be made in writing to the Board, shall identify any document sought with sufficient particularity, and shall include the full name and home or business address of all persons to be subpoenaed and, if known, the date, time, and location in which the witness is commanded to appear. The Board shall issue the requested subpoenas within five business days of its receipt of the written request.

(b) Subpoenas shall contain:

(1) the caption of the case;

(2) the name and address of the person subpoenaed;

(3) the date, hour, and location of the hearing in which the witness is commanded to appear;

(4) a particularized description of the books, papers, records, or objects the witness is directed to bring with them to the hearing, if any;

(5) the identity of the party on whose application the subpoena was issued;

(6) the date of issuance;

(7) the signature of one of the members of the Board or the Board's Secretary; and

(8) a "return of service." The "return of service" form, as filled out pursuant to Paragraph (c) of this Rule shall include:

(A) the name and capacity of the person serving the subpoena,

(B) the date on which service was made,

(C) the person on whom service was made,

(D) the manner in which service was made, and

(E) the signature of the person making service.

(c) Subpoenas shall be served in a manner as set forth in Rule 45 of the N.C. Rules of Civil Procedure.

(d) Any person receiving a subpoena from the Board may object thereto by filing a written objection to the subpoena with the Board's office.

(e) Such objection shall include a concise, but complete, statement of reasons why the subpoena should be revoked or modified.

(f) Any such objection to a subpoena shall be served on the party who requested the subpoena simultaneously with the filing of the objection with the Board.

(g) The party who requested the subpoena, in such time as may be granted by the presiding officer, may file a written response to the objection. The written response shall be served by the requesting party on the objecting witness simultaneously with filing the response with the Board.

(h) After receipt of the objection and response thereto, if any, the presiding officer shall issue a notice to the party who requested the subpoena and the party challenging the subpoena, and may notify any other party or parties, of an open hearing, to be scheduled as soon as practicable, at which time evidence and testimony may be presented, limited to the narrow questions raised by the objection and response.

(i) After the close of such hearing, the Board shall rule on the challenge and issue a written decision. A copy of the decision shall be issued to all parties and made a part of the record.

History

• Authority G.S. 83A-6; 150B-38; 150B-39
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. November 1, 2010; May 1, 1989
• Readopted Eff. June 1, 2026; October 1, 2015.

21 NCAC 02 .0704 FINAL Agency DECISION

The Board will issue its written final decision within 60 days after its next regularly scheduled meeting following the close of the contested case hearing, in accordance with G.S. 150B-42.

History

• Authority G.S. 83A-6; 150B-38; 150B-42
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. October 1, 2021
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0705 Proposals for Decisions

(a) When an administrative law judge conducts a hearing pursuant to G.S. 150B-40(e), a "proposal for decision" shall be rendered to the Board by the N.C. Office of Administrative Hearings. The parties may file written exceptions to this "proposal for decision" and submit to the Board their own proposed findings of fact and conclusions of law. The exceptions and alternative proposals shall be submitted to the Board within 10 days after the party has been served with the "proposal for decision."

(b) Any exceptions shall be written and shall refer specifically to pages of the record or otherwise precisely identify the occurrence to which exception is taken. The written exceptions shall bear the notation: EXCEPTIONS TO THE PROCEEDINGS IN THE CASE OF (name of case).

(c) Any party may present oral and written argument to the Board upon request, pursuant to G.S. 150B-40(e). The requests must be included with the written exceptions.

(d) Upon receipt of request for further oral argument, the Board shall issue notice to all parties designating the time and place for such oral argument.

(e) The Board's final decision shall be a part of the record and shall be served on the parties in accordance with G.S. 150B-42. The decision as adopted or modified becomes the "final agency decision" for the right to judicial review. Said decision will be rendered by the Board within 60 days of the next regularly scheduled meeting following the oral arguments, if any. If there are no oral arguments presented, the decision will be rendered within 60 days of the next regularly scheduled Board meeting following receipt of the written exceptions.

History

• Authority G.S. 83A-6; 150B-38; 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0801 Right to Judicial Review

History

• Status: repealed
• Authority G.S. 83-4; 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 02 .0802 Manner of Seeking Review: Time for Filing Petition: Waiver

History

• Status: repealed
• Authority G.S. 83-4; 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 02 .0901 Scope

History

• Status: repealed
• Authority G.S. 83A-6(a)(4); 83A-6(a)(5); 83A-11
• Eff. July 1, 1998
• Amended Eff. July 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Amendment Eff. November 30, 2021
• Amended Eff. June 1, 2022
• Repealed Eff. June 1, 2026.

21 NCAC 02 .0902 Definitions

History

• Status: repealed
• Authority G.S. 83A-6(a)(4); 83A-6(a)(5); 83A-11
• Eff. July 1, 1998
• Repealed Eff. October 1, 2012.

21 NCAC 02 .0903 Requirements

(a) Every licensee and registrant shall obtain 12 contact hours of continuing education for each calendar year. "Contact Hour" means 50 minutes of direct contact.

(b) The contact hours shall be obtained in structured educational activities intended to increase or update the architect's or registered interior designer's knowledge and competence in technical and professional architectural and interior design subjects related to safeguarding public health, safety, and welfare ("HSW"). "Structured educational activities" are activities in which at least 75 percent of an activity's content and instructional time is devoted to HSW subjects related to the practice of architecture, including courses of study or other activities under the areas identified as HSW by individuals or organizations, whether delivered by direct contact or distance learning methods.

(c) Licensees and registrants shall not carry forward any contact hours into the subsequent calendar year.

(d) Licensees and registrants shall certify completion of the contact hours for the previous calendar year with annual renewal.

History

• Authority G.S. 83A-6(a)(4); 83A-6(a)(5); 83A-11
• Eff. July 1, 1998
• Amended Eff. October 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Amendment Eff. November 30, 2021
• Amended Eff. June 1, 2022
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0904 Determination of Credit

The Board may randomly audit the compliance of individual licensees and registrants and require proof, in the form of records maintained pursuant to Rule .0905 of this Section, of participation in courses or programs that conform with the content and contact hours calculation requirements contained in G.S. 83A-6(a) and these Rules.

History

• Authority G.S. 83A-6(a)(4); 83A-6(a)(5); 83A-11
• Eff. July 1, 1998
• Amended Eff. October 1, 2012; July 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Amendment Eff. November 30, 2021
• Amended Eff. June 1, 2022
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0905 Record Keeping

(a) The licensee or registrant shall maintain records to support credits claimed. Records shall be any of the following:

(1) a self-made log showing the type of activity claimed, sponsoring organization, location, duration, the name of the instructor or speaker, and contact hours earned; or

(2) attendance certificates or other evidence of participation that includes the type of activity claimed, sponsoring organization, location, duration, the name of the instructor or speaker, and contact hours earned; or

(3) records maintained by the American Institute of Architects Continuing Education System (AIA/CES) or the International Design Continuing Education Council (IDCEC).

(b) Records shall be retained by the licensee or registrant for a period of six years after the credit is claimed and provided to the Board upon request.

History

• Authority G.S. 83A-6(a)(4); 83A-6(a)(5); 83A-11
• Eff. July 1, 1998
• Amended Eff. October 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Amendment Eff. November 30, 2021
• Amended Eff. June 1, 2022
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0906 cONTINUING EDUCATION EXCEPTIONS

A licensee or registrant shall be exempt from the continuing education requirements for any of the following reasons:

(1) new licensees or registrants for the calendar year in which they become licensed or registered;

(2) architects or registered interior designers currently licensed by or registered and in good standing with the Board (whose license or registration is not suspended or revoked) who are serving in the armed forces of the United States and who are eligible for an extension of time to file a tax return pursuant to G.S. 105-249.2 are granted a waiver of their mandatory continuing education requirements for the time period disregarded pursuant to the Internal Revenue Code 26 U.S.C. 7508;

(3) the Board shall exempt a licensee or registrant if the Board determines that the licensee or registrant is experiencing physical disability, illness, or other extenuating circumstances that prevent the licensee or registrant from continuing education. Supporting documentation must be furnished to the Board; or

(4) licensees who receive emeritus status from the Board. In order to return to active practice, licensees shall complete continuing education requirements for each exempted year not to exceed two years.

History

• Authority G.S. 83A-6(a)(4); 83A-6(a)(5); 83A-11
• Eff. July 1, 1998
• Amended Eff. October 1, 2012; July 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Amendment Eff. November 30, 2021
• Amended Eff. June 1, 2022
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0907 Reinstatement

A former licensee or registrant may only apply for reinstatement pursuant to G.S. 83A-11 if he or she has earned all delinquent contact hours within the 12 months preceding the application. However, if the total number of contact hours required to become current exceeds 24, then 24 shall be the maximum number required.

History

• Authority G.S. 83A-6(a)(4); 83A-6(a)(5); 83A-11
• Eff. July 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Amendment Eff. November 30, 2021
• Amended Eff. June 1, 2022
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0908 Continuing EDUCATION RECIPROCITY

The continuing education requirements of North Carolina shall be deemed satisfied by a non-resident licensee or registrant provided:

(1) the licensee or registrant's resident jurisdiction has a similar continuing education program; and

(2) the same jurisdiction accepts the North Carolina continuing education requirements as satisfying their requirements.

History

• Authority G.S. 83A-6(a)(4); 83A-6(a)(5); 83A-11
• Eff. July 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Amendment Eff. November 30, 2021
• Amended Eff. June 1, 2022
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0909 Documentation and audits

All renewal applications shall require the completion of a continuing education certification provided by the Board documenting the contact hours claimed for the renewal period. Upon request by the Board, the licensee or registrant shall supply documentation as set forth in Rule .0905 of this Chapter to permit audit verification.

History

• Authority G.S. 83A-6(a)(4); 83A-6(a)(5); 83A-11
• Eff. July 1, 1998
• Amended Eff. October 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Amendment Eff. November 30, 2021
• Amended Eff. June 1, 2022
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0910 Non-Compliance

(a) If any credits are disallowed by the Board, then the licensee or registrant shall have 60 calendar days from the date on the notice to substantiate the original claim or obtain other contact hours to meet the minimum requirements.

(b) A licensee or registrant who fails to complete the continuing education requirement by the end of the previous calendar year shall have his or her license or registration placed on probation and shall complete the outstanding continuing education by December 31st of the current calendar year. If the licensee or registrant fails to complete the outstanding continuing education requirements his or her license shall be suspended for 60 days or until such time as compliance is demonstrated if prior to 60 days. If the licensee or registrant fails to complete the outstanding continuing education within the 60 days suspension period, his or her license or registration shall be revoked.

History

• Authority G.S. 83A-6(a)(4); 83A-6(a)(5); 83A-11; 83A-15
• Eff. July 1, 1998
• Amended Eff. October 1, 2012; July 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Temporary Amendment Eff. November 30, 2021
• Amended Eff. June 1, 2022
• Readopted Eff. June 1, 2026.

21 NCAC 02 .0911 Emergency Rule - Continuing Education for Individuals Impacted by Hurricane Helene AS SET FORTH IN SESSION LAW 2024-53, SENATE BILL 743

History

• Status: expired
• Authority: G.S. 83A-6(a)(4); 83A-6(a)(5); 83A-11; Session Law 2024-53 Senate Bill 743
• Emergency Adoption Eff. November 21, 2024
• Emergency Adoption Expired Eff. March 1, 2025.

Chapter 03 Athletic Trainer Examiners

21 NCAC 03 .0101 Application for Licensure

(a) An application for licensure shall be completed on the forms provided by the Board and shall include:

(1) Proof of having passed the examination administered by the Board of Certification, Inc., by enclosing a copy of the certification card.

(2) Evidence of good moral character. "Good moral character" means a personal history of honesty, trustworthiness, fairness, a good reputation for fair dealings, and respect for the rights of others and for state and federal laws, subject to the requirements of G.S. 93B-8.1(b).

(3) A copy of the diploma from a college or university in Sports Medicine or Athletic Training or a transcript showing the following courses of study or similar courses of study: Human Anatomy, Human Physiology, Kinesiology/Biomechanics, Psychology, Exercise Physiology, Prevention of Athletic Injuries, Evaluation of Athletic Injuries, First Aid and Emergency Care, Therapeutic Modalities, Therapeutic Exercise, Personal Community Health, Nutrition and Administration of Athletic Training Programs.

(4) The applicant's full name.

(5) The applicant's address.

(6) The applicant's employment history.

(7) The applicant's current employment, address, and job title.

(8) A current form of identification with photograph.

(9) Official verification from the respective state boards of any other U.S. athletic training licenses held, both current and lapsed.

(b) The license issuance fee pursuant to 21 NCAC 03 .0201 shall accompany the application.

History

• Authority G.S. 90-525; 90-528; 90-529; 90-530
• Temporary Adoption Eff. March 16, 1998
• Eff. May 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. April 1, 2023
• Readopted Eff. September 1, 2026.

21 NCAC 03 .0102 Good Moral Character

Evidence of good moral character shall be shown by two affidavits from persons not related to the applicant. "Good moral character" means a personal history of honesty, trustworthiness, fairness, a good reputation for fair dealings, and respect for the rights of others and for state and federal laws, subject to the requirements of G.S. 93B-8.1(b).

History

• Authority G.S. 90-525; 90-528; 90-529; 90-530
• Temporary Adoption Eff. March 16, 1998
• Eff. May 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Readopted Eff. September 1, 2026.

21 NCAC 03 .0103 Athletic Trainers Not Certified

History

• Status: expired
• Authority G.S. 90-525; 90-530
• Temporary Adoption Eff. March 16, 1998
• Eff. May 1, 1999
• Expired Eff. May 1, 2019 pursuant to G.S. 150B-21.3A.

21 NCAC 03 .0201 Fees

(a) The following fees are payable to the Board by cash, check, or money order:

(1) License issuance fee $200.00

(2) License renewal fee $75.00

(3) Reinstatement of lapsed license fee $100.00

(b) Copies of any public documents filed in the Board Office are available at the "actual cost" as defined in G.S. 132-6.2(b) for making the copy and the mailing cost if applicable. The Board shall provide its "actual cost" on the Board website.

History

• Authority G.S. 90-525; 90-534
• Temporary Adoption Eff. March 16, 1998
• Eff. May 1, 1999
• Amended Eff. August 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Readopted Eff. September 1, 2026.

21 NCAC 03 .0202 Suspension of Authority and Escrow of Funds

The Board shall file the annual reports set forth in G.S. 93B-2 no later than October 31 of each year. In the event the Board fails to file the reports as required by G.S. 93B-2 and the Board's authority to expend any funds is suspended until such time as the Board files the required reports, the Board shall deposit any fees or funds received during the period of suspension into an escrow account established by the Board solely for this purpose.

History

• Authority G.S. 90-525; 93B-2
• Eff. July 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Readopted Eff. September 1, 2026.

21 NCAC 03 .0301 Renewal Request Form

Requests for license renewal shall be submitted on the form provided by the Board. The renewal form shall contain the following:

(1) The licensee's full name;

(2) The licensee's address;

(3) The licensee's job concentration area, address, and job title;

(4) Verification of a current Board of Certification, Inc. certification via current card; and

(5) Affirmation the licensee has not been convicted of any violations of law in the last 12 months.

History

• Authority G.S. 90-525; 90-532
• Temporary Adoption Eff. March 16, 1998
• Eff. May 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Readopted Eff. September 1, 2026.

21 NCAC 03 .0302 Continuing Education

(a) Continuing education courses for license renewal shall be in one of the following content areas: Human Anatomy, Human Physiology, Kinesiology/Biomechanics, Psychology, Exercise Physiology, Prevention of Athletic Injuries, Evaluation of Athletic Injuries, First Aid and Emergency Care, Therapeutic Modalities, Therapeutic Exercise, Personal Community Health, Nutrition, and Administration of Athletic Training Programs.

(b) A licensee shall complete 75 contact hours of continuing education during a three-year license renewal period. Contact hours are defined as the number of actual clock hours spent in a course of study. One semester hour of credit is equivalent to 10 contact hours.

(c) Licensed athletic trainers who fail to document sufficient appropriate continuing education to renew their licenses shall be notified in writing of the deficiency and shall be allowed 45 days to respond. Continuing education may not be undertaken during this period to supplement the deficiency. The licenses of athletic trainers who fail to respond within the 45-day period, or who are unable to provide sufficient continuing education shall lapse and be subject to the lapsed license requirements set forth in 21 NCAC 03 .0303.

History

• Authority G.S. 90-525; 90-533
• Temporary Adoption Eff. March 16, 1998
• Eff. May 1, 1999
• Amended Eff. January 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Readopted Eff. September 1, 2026.

21 NCAC 03 .0303 Lapsed License

(a) The lapsed license may be renewed within a period of five years after expiration upon payment of the lapsed license fee pursuant to 21 NCAC 03 .0201 and the completion of 25 contact hours of continuing education for each year that the license has lapsed.

(b) A license that has lapsed for more than five years shall be renewed upon payment of the lapsed license fee pursuant to 21 NCAC 03 .0201 and the completion of 28 contact hours of continuing education for each year that the license has lapsed.

History

• Authority G.S. 90-525; 90-532; 90-533
• Temporary Adoption Eff. March 16, 1998
• Eff. May 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Readopted Eff. September 1, 2026.

21 NCAC 03 .0304 Board Approval of Courses

The Board shall approve any of the following programs or courses:

(1) Those provided by a college or university that is accredited and legally authorized to grant academic degrees.

(2) Those sponsored by the North Carolina Athletic Trainers' Association.

(3) Those that the Board determines as otherwise satisfying the course and program requirements of G.S. 90-533.

History

• Authority G.S. 90-525; 90-533
• Temporary Adoption Eff. March 16, 1998
• Eff. May 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Readopted Eff. September 1, 2026.

21 NCAC 03 .0310 Armed Services Extension for Credential

Upon receipt of a written request by or on behalf of a licensed athletic trainer who is currently in good standing with the Board, is serving in the armed forces of the United States, and to whom G.S. 105-249.2 authorizes an extension of time to file a tax return, the Board shall postpone renewal fees, renewal application deadlines, continuing education requirements, and any other requirements or conditions related to the maintenance of the credential issued by the Board or to the renewal thereof for the same period of time as the extended period of time to file a tax return that is granted pursuant to G.S. 93B-15.

History

• Authority G.S. 90-525; 93B-15
• Eff. July 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Readopted Eff. September 1, 2026.

21 NCAC 03 .0401 Disciplinary Actions

Board disciplinary actions may include the following:

(1) Reprimand. Reprimand is a public rebuke for misconduct as an athletic trainer.

(2) Restriction. Restriction is a stay of suspension or revocation allowing limited practice within conditions stipulated by the Board.

(3) Suspension. Suspension is the withdrawal of the privilege to practice for a specified time.

(4) Revocation. Revocation is the withdrawal of the privilege to practice as a licensed athletic trainer in the State of North Carolina.

History

• Authority G.S. 90-525; 90-536
• Temporary Adoption Eff. March 16, 1998
• Eff. May 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Readopted Eff. September 1, 2026.

21 NCAC 03 .0501 Minimum Requirements

The practice protocol for each athletic trainer pursuant to G.S. 90-523(2) shall be an outline of practices for which the athletic trainer has been trained and shall be individualized to accommodate the skills of the athletic trainer. The practice protocol shall not allow the athletic trainer to undertake medical diagnosis or to prescribe or dispense prescription drugs or prescription devices. The practice protocol shall not allow the athletic trainer to independently provide treatments for athletes with fractures, head or spinal injuries, or other serious medical conditions, except the athletic trainer may render appropriate first aid or emergency care. The protocol shall specify provisions for physician involvement in the event of serious injuries. The athletic trainer and the physician shall sign and file a statement with the North Carolina Medical Board agreeing to abide by the protocol. The format of the protocol shall be typewritten on letter size paper.

History

• Authority G.S. 90-523; 90-525
• Temporary Adoption Eff. March 16, 1998
• Eff. May 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Readopted Eff. September 1, 2026.

Chapter 04 Auctioneers

Subchapter A

21 NCAC 04A .0101 Definitions

History

• Status: repealed
• Authority G.S. 85B-1 to 85B-8
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. July 1, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0102 Board: Description: Offices

History

• Status: repealed
• Authority G.S. 85B-1 to 85B-8
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. July 1, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0103 Mailing Address

History

• Status: repealed
• Authority G.S. 85B-1 to 85B-8
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. July 1, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0104 Purpose

History

• Status: repealed
• Authority G.S. 85B-1 to 85B-8
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. July 1, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0105 Rule-Making and Administrative Hearing Procedures

History

• Status: repealed
• Authority G.S. 85B-3(f); 85B-8; 150A et seq.
• Eff. July 1, 1982
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0201 Proposed Rules

History

• Status: repealed
• Authority G.S. 85B-3(f); 150A-11(1); 150A-12(3); 150A-15
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Repealed Eff. July 1, 1982.

21 NCAC 04A .0202 Petitions for Rule Changes

History

• Status: repealed
• Authority G.S. 85B-3(f); 150A-11(1); 150A-12(3); 150A-15
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Repealed Eff. July 1, 1982.

21 NCAC 04A .0203 Disposition of Petitions

History

• Status: repealed
• Authority G.S. 85B-3(f); 150A-11(1); 150A-12(3); 150A-15
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Repealed Eff. July 1, 1982.

21 NCAC 04A .0204 Reasons for Rule

History

• Status: repealed
• Authority G.S. 85B-3(f); 150A-11(1); 150A-12(3); 150A-15
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Repealed Eff. July 1, 1982.

21 NCAC 04A .0301 Petition

History

• Status: repealed
• Authority G.S. 85B-3(f); 150A-11(1); 150A-17
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Repealed Eff. July 1, 1982.

21 NCAC 04A .0302 Form and Contents of Petition

History

• Status: repealed
• Authority G.S. 85B-3(f); 150A-11(1); 150A-17
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Repealed Eff. July 1, 1982.

21 NCAC 04A .0303 Disposition of Petition

History

• Status: repealed
• Authority G.S. 85B-3(f); 150A-11(1); 150A-17
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Repealed Eff. July 1, 1982.

21 NCAC 04A .0304 Applicability of Ruling

History

• Status: repealed
• Authority G.S. 85B-3(f); 150A-11(1); 150A-17
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Repealed Eff. July 1, 1982.

21 NCAC 04A .0401 Eligibility for Filing

History

• Status: repealed
• Authority G.S. 85B-3; 85B-4; 85B-5; 85B-6
• Eff. February 1, 1976
• Amended Eff. November 17, 1977
• Readopted Eff. December 19, 1977
• Amended Eff. February 1, 1984; July 1, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0402 Forms

History

• Status: repealed
• Authority G.S. 85B-3; 85B-4; 85B-5; 85B-6
• Eff. February 1, 1976
• Amended Eff. November 17, 1977
• Readopted Eff. December 19, 1977
• Amended Eff. February 1, 1984; July 1, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0403 Filing and Fees

History

• Status: repealed
• Authority G.S. 85B-3; 85B-4; 85B-5; 85B-6
• Eff. February 1, 1976
• Amended Eff. November 17, 1977
• Readopted Eff. December 19, 1977
• Amended Eff. February 1, 1984; July 1, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0404 Payment of Application Fees

History

• Status: repealed
• Authority G.S. 85B-3; 85B-4; 85B-5; 85B-6
• Eff. February 1, 1976
• Amended Eff. November 17, 1977
• Readopted Eff. December 19, 1977
• Amended Eff. February 1, 1984; July 1, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0405 Surety Bonds

History

• Status: repealed
• Authority G.S. 85B-3(f); 85B-4(f)
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Repealed Eff. February 1, 1984.

21 NCAC 04A .0501 Time and Place

History

• Status: repealed
• Authority G.S. 85B-3(f); 85B-4(d); 85B-6
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. July 1, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0502 Subject Matter

History

• Status: repealed
• Authority G.S. 85B-3(f); 85B-4(d); 85B-6
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. July 1, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0503 Re-Examination

History

• Status: repealed
• Authority G.S. 85B-3(f); 85B-4(d); 85B-6
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. July 1, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0504 Exam Review

History

• Status: repealed
• Authority G.S. 85B-3(f); 85B-4(d); 85B-6
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. July 1, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0505 Examination Papers and Contents

History

• Status: repealed
• Authority G.S. 85B-3(f); 85B-4(d); 85B-6
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. July 1, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0601 Character

History

• Status: repealed
• Legislative Objection Lodged Eff. June 29, 1983
• Statutory Authority G.S. 85B-3(f); 85B-4(a),(c); 85B-8(a)(1)
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. July 1, 1983; January 1, 1983; November 1, 1978
• Curative Amended Eff. September 7, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0602 License Number

History

• Status: repealed
• Legislative Objection Lodged Eff. June 29, 1983
• Statutory Authority G.S. 85B-3(f); 85B-4(a),(c); 85B-8(a)(1)
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. July 1, 1983; January 1, 1983; November 1, 1978
• Curative Amended Eff. September 7, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0603 License Renewal: Penalty for Nonrenewal

History

• Status: repealed
• Legislative Objection Lodged Eff. June 29, 1983
• Statutory Authority G.S. 85B-3(f); 85B-4(a),(c); 85B-8(a)(1)
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. July 1, 1983; January 1, 1983; November 1, 1978
• Curative Amended Eff. September 7, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0604 Lapsed License

History

• Status: repealed
• Legislative Objection Lodged Eff. June 29, 1983
• Statutory Authority G.S. 85B-3(f); 85B-4(a),(c); 85B-8(a)(1)
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. July 1, 1983; January 1, 1983; November 1, 1978
• Curative Amended Eff. September 7, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0605 Apprentice Auctioneer

History

• Status: repealed
• Legislative Objection Lodged Eff. June 29, 1983
• Statutory Authority G.S. 85B-3(f); 85B-4(a),(c); 85B-8(a)(1)
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. July 1, 1983; January 1, 1983; November 1, 1978
• Curative Amended Eff. September 7, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0606 Payment of License Fees

History

• Status: repealed
• Legislative Objection Lodged Eff. June 29, 1983
• Statutory Authority G.S. 85B-3(f); 85B-4(a),(c); 85B-8(a)(1)
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. July 1, 1983; January 1, 1983; November 1, 1978
• Curative Amended Eff. September 7, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0607 Duplicate License Fee

History

• Status: repealed
• Legislative Objection Lodged Eff. June 29, 1983
• Statutory Authority G.S. 85B-3(f); 85B-4(a),(c); 85B-8(a)(1)
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. July 1, 1983; January 1, 1983; November 1, 1978
• Curative Amended Eff. September 7, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0608 General Grounds for Discipline

History

• Status: repealed
• Legislative Objection Lodged Eff. June 29, 1983
• Statutory Authority G.S. 85B-3(f); 85B-4(a),(c); 85B-8(a)(1)
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. July 1, 1983; January 1, 1983; November 1, 1978
• Curative Amended Eff. September 7, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0609 Only Exception Allowing Unlicensed Bid Callers

History

• Status: repealed
• Legislative Objection Lodged Eff. June 29, 1983
• Statutory Authority G.S. 85B-3(f); 85B-4(a),(c); 85B-8(a)(1)
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. July 1, 1983; January 1, 1983; November 1, 1978
• Curative Amended Eff. September 7, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0701 Application for Course Approval

History

• Status: repealed
• Authority G.S. 85B-3(f); 85B-4(d)
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. February 1, 1984
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0702 Requirements for Approval/Minimum Standards

History

• Status: repealed
• Authority G.S. 85B-3(f); 85B-4(d)
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. February 1, 1984
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0703 Certification of Course Completion

History

• Status: repealed
• Authority G.S. 85B-3(f); 85B-4(d)
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. February 1, 1984
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0704 Records Must Be Maintained

History

• Status: repealed
• Authority G.S. 85B-3(f)
• Eff. February 1, 1984
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0705 Grounds for Approval: Suspension of Revocation

History

• Status: repealed
• Authority G.S. 85B-3(f)
• Eff. February 1, 1984
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0801 Display of License

History

• Status: repealed
• Authority G.S. 85B-3(f); 85B-7(a)
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. July 1, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0802 Change of Address or Business Name

History

• Status: repealed
• Authority G.S. 85B-3(f); 85B-7(a)
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. July 1, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0803 Advertising

History

• Status: repealed
• Authority G.S. 85B-3(f); 85B-7(a)
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. July 1, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0804 Disputes

History

• Status: repealed
• Authority G.S. 85B-3(f); 85B-7(a)
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Amended Eff. July 1, 1983
• Repealed Eff. November 1, 1984.

21 NCAC 04A .0901 Form and Preparation of Complaints

History

• Status: repealed
• Authority G.S.85B-3(f);85B-8(c); 150A-12(d); 150A-23; 150A-23(d); 150A-25(b)
• 150A-27:
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Repealed Eff. July 1, 1982.

21 NCAC 04A .0902 Request for a Hearing

History

• Status: repealed
• Authority G.S.85B-3(f);85B-8(c); 150A-12(d); 150A-23; 150A-23(d); 150A-25(b)
• 150A-27:
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Repealed Eff. July 1, 1982.

21 NCAC 04A .0903 Notice of Hearing

History

• Status: repealed
• Authority G.S.85B-3(f);85B-8(c); 150A-12(d); 150A-23; 150A-23(d); 150A-25(b)
• 150A-27:
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Repealed Eff. July 1, 1982.

21 NCAC 04A .0904 Failure to Request or Appear for Hearing

History

• Status: repealed
• Authority G.S.85B-3(f);85B-8(c); 150A-12(d); 150A-23; 150A-23(d); 150A-25(b)
• 150A-27:
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Repealed Eff. July 1, 1982.

21 NCAC 04A .0905 Filing Answers

History

• Status: repealed
• Authority G.S.85B-3(f);85B-8(c); 150A-12(d); 150A-23; 150A-23(d); 150A-25(b)
• 150A-27:
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Repealed Eff. July 1, 1982.

21 NCAC 04A .0906 Intervention

History

• Status: repealed
• Authority G.S.85B-3(f);85B-8(c); 150A-12(d); 150A-23; 150A-23(d); 150A-25(b)
• 150A-27:
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Repealed Eff. July 1, 1982.

21 NCAC 04A .0907 Subpoenas

History

• Status: repealed
• Authority G.S.85B-3(f);85B-8(c); 150A-12(d); 150A-23; 150A-23(d); 150A-25(b)
• 150A-27:
• Eff. February 1, 1976
• Readopted Eff. December 19, 1977
• Repealed Eff. July 1, 1982.

Subchapter B

21 NCAC 04B .0101 Purpose

(a) It is the responsibility of the Board to license auctioneers, apprentice auctioneers, and auction firms and ensure that the qualifications and activities of those engaged in auctioneering activities comply with G.S. 85B.

(b) The Board is not a board of arbitration and has no jurisdiction to settle disputes between parties concerning

the rate of commissions, the division of commissions, or pay of assistants.

History

• Authority G.S. 85B-3.1
• Eff. November 1, 1984
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0102 Board Office

(a) The administrative offices of the Board are located at:

108 Ber Creek Drive

Fuquay-Varina, North Carolina 27526

Telephone: (919) 567-2844

(b) The Board's website is www.ncalb.org.

(c) Office hours are 8:30 a.m. until 5:00 p.m., Monday through Friday, excluding State holidays as set forth in 25 NCAC 01E .0901, which is hereby incorporated by reference including subsequent amendments.

History

• Authority G.S. 85B-3.1
• Eff. November 1, 1984
• Amended Eff. March 1, 2003; June 1, 1999; July 1, 1995; April 1, 1989
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0103 Definitions

Whenever used in this Chapter:

(1) "Auction house," "auction barn," or "auction gallery" shall mean an auction business that conducts auctions at a single location and where consignments are brought to the location by either the auctioneer/auction firm or the public to be sold at auction.

(2) "Auctioneers Law" or "licensing law" shall refer to G.S. 85B.

(3) "Board" shall mean the North Carolina Auctioneers Commission.

(4) "Buyer's Premium" shall mean any additional charge owed by a buyer to the auctioneer, auction firm, or to the seller above the highest accepted bid amount.

(5) "Course" shall mean the curriculum, instruction, and activities of schools of auctioneering subject to the rules of this Subchapter.

(6) "Minimum Bid" shall mean minimum opening bids.

(7) "Principal(s)" as it pertains to auction firms shall mean director(s), officer(s), owner(s), and partner(s).

(8) "Sole Proprietor Auction Business" shall mean a licensed auctioneer whose business is not defined as an "Auction Firm" as set forth in G.S. 85B-1(6).

History

• Authority G.S. 85B-1; 85B-3.1; 85B-4
• Eff. November 1, 1984
• Amended Eff. May 1, 2006; April 1, 2001; April 1, 1996; January 1, 1995
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0104 Administrative Law Procedures

(a) Contested Cases. Administrative hearings in contested cases conducted by the Board or an administrative law judge as authorized in G.S. 150B-40(e) shall be governed by:

(1) Article 3A of G.S. 150B;

(2) the Rules of Civil Procedure as contained in G.S. 1A-1; and

(3) the General Rules of Practice for the Superior and District Courts as authorized by G.S. 7A-34 and found in the Rules Volume of the North Carolina General Statutes.

The General Rules of Practice for the Superior and District Courts are hereby incorporated by reference for contested cases for which the Board has authority to adopt rules under G.S. 150B-38(h). These incorporations shall include any later amendments and editions of the incorporated matter.

(b) Declaratory Rulings. Petitions for declaratory rulings shall be submitted to the Board and shall contain:

(1) the petitioner's name, address, and telephone number;

(2) the statute, rule, or order to which the request relates;

(3) all facts and information that the petitioner considers relevant to the request;

(4) a statement of the manner in which petitioner has been aggrieved; and

(5) a statement as to whether the petitioner desires to present oral argument, not to exceed 30 minutes, to the Board prior to its decision.

The Board shall refuse to issue a declaratory ruling when:

(A) the petition does not comply with this Rule;

(B) the Board has issued a declaratory ruling on the same facts;

(C) the Board has issued a final agency decision in a contested case on the same facts;

(D) the facts underlying the request for a declaratory ruling were considered at the time of the adoption of a rule or order in question; or

(E) the subject matter of the request is involved in pending litigation.

(c) Petitions For Rule-Making. In addition to the procedures set out in G.S. 150B-20, petitions for rule-making shall be submitted to the Board and shall contain:

(1) the petitioner's name, address, and telephone number;

(2) a draft of the proposed rule adoption or amendment; and

(3) the effect of the proposal on existing rules.

History

• Authority G.S. 85B-3.1; 150B-4; 150B-20; 150B-38(h)
• Eff. November 1, 1984
• Amended Eff. July 1, 1995; January 1, 1995; April 1, 1989
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0201 Application Forms

(a) Auctioneer. Each applicant for an auctioneer license shall make application on a form prescribed by the Board, which may be obtained from the Board using the information in Rule .0102 of this Subchapter.

(1) The application form requires:

(A) the applicant's legal name;

(B) the applicant's physical, postal mail, and email addresses;

(C) the applicant's telephone number(s);

(D) the county, state, and country of the applicant's legal residence;

(E) the applicant's social security number;

(F) the applicant's date of birth;

(G) the applicant's qualification for licensure as set forth in G.S. 85B-4(b);

(H) the places of residence within the previous five years for the applicant;

(I) the applicant's current employment (if any);

(J) any places of employment within the previous five years for the applicant;

(K) two character endorsements for the applicant;

(L) any doing business names for the applicant; and

(M) the applicant's notarized signature.

(2) This application shall be submitted to the Board and shall be accompanied by:

(A) one forward facing, 2" x 2" color photograph of the applicant's head and shoulders taken within the previous six months for identification;

(B) the completed fingerprint cards provided by a law enforcement agency and the form signed by the applicant consenting to the check of the criminal history and to the use of fingerprints and other identifying information;

(C) a copy of the applicant's high school diploma or proof of equivalency;

(D) an employee classification form provided by the Board;

(E) the applicable fees, as set forth in 21 NCAC 04B .0202; and

(F) documentation of required auctioneer schooling or auctioneer experience, as follows:

(i) Applicants who base their application upon their completion of a school of auctioneering with its curriculum and instructors approved by the Board as set forth in 21 NCAC 04B .0500 shall submit a final transcript. If the applicant has completed this school more than the five years preceding the date of his or her application, the applicant shall submit documentation of the applicant's lawful participation in auctions within the two years preceding the date of application. The above-referenced participation in auctions is defined as "Auctioneering" as set forth in G.S. 85B-1(8); or

(ii) Applicants who base their application upon their successful completion of an apprenticeship shall submit a log maintained and completed during the apprenticeship period that lists the hours and dates when they obtained apprenticeship experience, with each entry being verified and signed by their supervising auctioneer(s). At least 100 hours of experience during the apprenticeship two-year period shall be obtained. Not less than 25 of the total hours accumulated shall be attributable to bid calling. Not less than 50 hours shall be attributable to working as a ring person, drafting and negotiating contracts, evaluating merchandise, advertising, clerking, and cashiering, with not less than five hours of accumulated experience documented for each activity. An apprentice who applies for an auctioneer license under this Part shall submit his or her application and supporting documentation and obtain a passing score on the auctioneer exam prior to the expiration of his or her apprentice auctioneer license.

(b) Non-Resident Reciprocal Auctioneer. Each non-resident applicant for an auctioneer license who applies for a North Carolina license pursuant to G.S. 85B-5 shall make application on a form prescribed by the Board, as set forth in Paragraph (a) of this Rule. This form shall be submitted to the Board and shall be accompanied by:

(1) one forward facing, 2" x 2" color photograph of the applicant's head and shoulders taken within the previous six months for identification;

(2) the completed fingerprint cards provided by a law enforcement agency and the form signed by the applicant consenting to the check of the criminal history and to the use of fingerprints and other identifying information;

(3) a copy of the applicant's high school diploma or proof of equivalency;

(4) an employee classification form provided by the Board;

(5) the applicable fees, as set forth in 21 NCAC 04B .0202;

(6) a statement of good standing from the licensing board or Commission of each jurisdiction where the applicant holds an auctioneer, apprentice auctioneer, or auction firm license; and

(7) irrevocable consent of the applicant that service to the Board shall be sufficient service of process for actions against the applicant by a resident of this State arising out of his or her auctioneering activities with notarized signature and notarial seal affixed.

(c) Apprentice Auctioneer. Each applicant for an apprentice auctioneer license shall make application on a form prescribed by the Board, as set forth in Paragraph (a) of this Rule. This form shall be submitted to the Board and shall be accompanied by:

(1) one forward facing, 2" x 2" color photograph of the applicant's head and shoulders taken within the previous six months for identification;

(2) the completed fingerprint cards provided by a law enforcement agency and the form signed by the applicant consenting to the check of the criminal history and to the use of fingerprints and other identifying information;

(3) a copy of the applicant's high school diploma or proof of equivalency;

(4) an employee classification form provided by the Board;

(5) the applicable fees, as set forth in 21 NCAC 04B .0202;

(6) the signature, as designated on the apprentice applicant form, of the licensed auctioneer(s) who will be supervising the apprentice auctioneer; and

(7) a written statement of each proposed supervisor's background and experience in the auction profession, including the number and types of auctions conducted or participated in annually, as set forth in 21 NCAC 04B .0403.

(d) Auction Firms. An applicant for an auction firm shall be a principal within the firm. Each applicant for an auction firm license shall make application on a form prescribed by the Board, which may be obtained from the Board using the information in Rule .0102 of this Subchapter.

(1) The application form requires:

(A) the firm's legal name, and any assumed names or trade names;

(B) the firm's type of business entity;

(C) the names, addresses, telephone numbers, and titles of each owner, officer, and partner of the firm;

(D) the firm's physical, postal mail, and email addresses;

(E) the firm's website address (if any);

(F) the firm's telephone number(s);

(G) the applicant's name, which shall be an owner of the firm;

(H) the applicant's physical, postal mail, and email addresses;

(I) the county, state, and country of the applicant's legal residence;

(J) the applicant's social security number;

(K) the applicant's qualification for licensure as set forth in G.S. 85B-4(b);

(L) the designated person(s) of the firm as set forth in G.S. 85B-4(g) and 21 NCAC 04B .0607;

(M) two character endorsements for the applicant; and

(N) the applicant's notarized signature.

(2) This form shall be submitted to the Board and shall be accompanied by:

(A) each of the principal's and proposed designated person's of the auction firm completed fingerprint cards provided by a law enforcement agency and the form signed by each consenting to the check of the criminal history and to the use of fingerprints and other identifying information;

(B) a copy of each principal's and proposed designated person's high school diploma or proof of equivalency;

(C) the applicable fees, as set forth in 21 NCAC 04B .0202;

(D) a certified copy of any applicable Articles of Incorporation, Articles of Organization, Partnership Agreement, or Assumed Name Certificate; and

(E) a statement of good standing from the licensing board or Commission of each jurisdiction where the applicant firm and any principal and proposed designated person of such firm holds an auctioneer license of any type; and

(F) an employment classification form provided by the Board.

History

• Authority G.S. 85B-1; 85B-3.1; ; 85B-3.2; 85B-4; 85B-5
• Eff. November 1, 1984
• Amended Eff. April 1, 1996; January 1, 1995; June 1, 1991
• Temporary Amendment Eff. January 1, 2000
• Amended Eff. May 1, 2006; April 1, 2001
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0202 Filing and Fees

(a) Completed applications shall be received in the Board office at least seven days prior to a published Board meeting date, or in the case of an application for auctioneer examination, at least 10 days prior to a scheduled examination as published on the Board's website, and shall be accompanied by all required documents.

(b) License fees are as follows:

(1) New auctioneer license for an applicant who did not serve an apprenticeship $250.00

This includes a $150.00 annual license fee; $50.00 application fee; and

$50.00 examination fee.

(2) New auctioneer license for an applicant who served an apprenticeship $200.00

This includes a $150.00 annual license fee; and $50.00 examination fee.

(3) Renewal of auctioneer license $150.00

(4) New apprentice auctioneer license $150.00

This includes a $100.00 license fee and a $50.00 application fee.

(5) Renewal of apprentice auctioneer license $100.00

(6) New auction firm license (no examination) $200.00

This includes a $150.00 annual license fee; and $50.00 application fee.

(7) New auction firm license (examination) $250.00

This includes a $150.00 annual license fee; $50.00 application fee; and

$50.00 examination fee.

(8) Renewal of an auction firm license $150.00

(9) Application and processing fee for conversion of non-resident reciprocal license to $50.00

in-state license

(10) Reinstatement of lapsed license $50.00

(11) Fingerprint card background check fee $38.00

(c) The renewal fee for a non-resident reciprocal licensee under G.S. 85B-5 shall be calculated in the same manner as the initial application fee pursuant to G.S. 85B-6.

(d) Fees may be paid in the form of cash or a check, cashier's check, certified check, or money order made payable to the North Carolina Auctioneer Licensing Board. Checks drawn on escrow or trust accounts shall not be accepted. License renewal fees and reinstatement of license fees may be paid by credit card or debit card only when a license renewal fee (and when applicable, a reinstatement of license fee) is submitted by the licensee through the Board's website.

History

• Authority G.S. 85B-3.2(g); 85B-4.1; 85B-5(i); 85B-6
• Eff. November 1, 1984
• Amended Eff. April 1, 2001; January 1, 2000; April 1, 1996; January 1, 1995; April 1, 1989
• Temporary Amendment Eff. October 19, 2001
• Temporary Amendment Expired August 12, 2002
• Amended Eff. April 1, 2003
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0203 Extensions for Members of the Armed Forces

The Board shall waive the license renewal fee and shall grant an extension of time for up to one year for completing and reporting continuing education credits for those licensees currently licensed and in good standing with the Board who are serving in the Armed Services of the United States, and to whom G.S. 105-249.2 grants an extension of time to file a tax return.

History

• Authority G.S. 93B-15
• Eff. July 1, 2020.

21 NCAC 04B .0301 Subject Matter

(a) The auctioneer license examination shall test the applicant's knowledge of the following subjects:

(1) a working knowledge of the auction business including conduct of auctions, auctioneering ethics, contract drafting, bid calling, basic mathematical computations and percentages, advertising, settlement statements, and laws and rules that relate to the auctioneering profession;

(2) the provisions of the licensing law; and

(3) the rules of this Subchapter.

(b) The auction firm license examinations shall test the applicants knowledge of the following;

(1) the provisions of the licensing law; and

(2) the rules of this Subchapter.

History

• Authority G.S. 85B-4(d); 85B-4(g)
• Eff. November 1, 1984
• Amended Eff. May 1, 2006; January 1, 1995
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0302 Re-Examination/Refund of Fees

If the applicant does not appear at the initial examination for which he or she has been scheduled or fails to pass such examination, he or she will be re-scheduled for the next scheduled examination. If the applicant again does not appear or fails to pass this examination, the Board shall refund the licensure fee, but not the application or examination fee. A new application and appropriate fees shall be required if the person wishes to reapply.

History

• Authority G.S. 85B-4; 85B-6
• Eff. November 1, 1984
• Amended Eff. June 1, 1991
• Temporary Amendment Eff. January 1, 2000
• Amended Eff. April 1, 2001
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0303 Exam: Review: Papers and Contents

(a) Any applicant who fails to obtain a passing score of 75 percent or higher on an examination may request an appointment with the Board staff to review his or her examination.

(b) All examination papers shall remain the property of the Board. The contents thereof shall not be divulged, except by express written authorization of the Board.

History

• Authority G.S. 85B-4; 93B-8
• Eff. November 1, 1984
• Amended Eff. June 1, 1991
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0401 License Number: Display of License and Pocket Card

(a) The Board shall issue to each individual or firm a non-transferable license number. If the number is retired for any reason such as death, failure to continue in the auction business, or failure to renew his or her license, the Board shall not reissue the number.

(b) A pocket card shall be issued by the Board with the auctioneer, apprentice auctioneer, or auction firm's name, license number, and date of expiration. The pocket card shall be carried when auctioneering activities are being conducted by the licensee, and in the case of auction firms, each of the designated persons, and shall be available for inspection by the Executive Director or designated agent of the Board.

(c) An auction firm shall display its license in its premises, so as to be visible for inspection by patrons of the firm.

History

• Authority G.S. 85B-3.1; 85B-4
• Eff. November 1, 1984
• Amended Eff. May 1, 2006; April 1, 2001; January 1, 1995; April 1, 1989
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0402 License Renewal

(a) Any licensee seeking the renewal of a license that is in good standing shall submit the required fees, records, and documentation as set forth in 21 NCAC 04B .0801(a) and G.S. 143-788(a)(5) to verify the licensee's compliance with G.S. 85B and the rules in this Chapter.

(b) Applications for renewal of licenses shall only be processed by the Board upon receipt of the required fee and any records, documents, or information required by Paragraph (a) of this Rule.

(c) Any person or entity who engages in any auctioneering activities governed by the auctioneers law while the license is lapsed shall be subject to the penalties pursuant to G.S. 85B-9.

(d) Persons or firms whose license has been lapsed or suspended in excess of 24 months and who desire to be licensed shall apply for a new license and shall meet all the requirements in effect at that time. Persons or firms whose license has been lapsed or suspended in excess of 24 months and who desire to be licensed shall be exempt from the auctioneer school or the apprenticeship requirements if the continuing education requirements have been met for all lapsed or suspended years.

History

• Authority G.S. 85B-3.1; 85B-4
• Eff. November 1, 1984
• Amended Eff. April 1, 2001; January 1, 1995; April 1, 1989
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0403 Apprentice Auctioneer License

(a) An apprentice auctioneer's license shall be valid only while he or she is associated with and supervised by a licensed auctioneer approved by the Board. In order to be approved by the Board as a supervisor, the Board shall receive a written notice, signed by the prospective supervisor and the apprentice, requesting that the licensed auctioneer be approved as a supervisor for the apprentice. Upon receipt of such a request, the Board shall review the requested approval. The requested approval shall be denied by the Board if the prospective supervisor fails to possess a minimum of five years of active experience in the auctioneering profession or has committed any act that resulted in license suspension or revocation under the rules of this Subchapter or under G.S. 85B.

(b) The supervising auctioneer shall be on the premises of the sale location and supervise the apprentice auctioneer at all times that an apprentice auctioneer is engaged in bid calling. Additionally, the supervising auctioneer shall supervise the apprentice and ensure that the apprentice auctioneer conforms with the auctioneer law and the rules of this Subchapter.

(c) Any licensed auctioneer who undertakes the supervision of an apprentice auctioneer shall provide the apprentice with training and supervision in the following:

(1) a working knowledge of the auction business including conduct of auctions, auctioneering ethics, contract drafting, bid calling, basic mathematical computations, advertising, and settlement statements;

(2) the provisions of the licensing law;

(3) the rules of this Subchapter; and

(4) the preparation and maintenance of written agreements, record books, and other sales records as required by G.S. 85B-7.

(d) Apprentices shall not conduct or contract to conduct any auction without the prior express written consent of the supervisor(s). No supervisor shall authorize an apprentice to conduct or contract to conduct an auction, to act as principal auctioneer, or handle any funds related to an auction unless the supervisor has determined that the apprentice has received the training to do so. An apprentice auctioneer may work under more than one Board-approved licensed auctioneer at any given time.

(e) The supervisor(s) shall ensure that the apprentice complies with all of the laws and Rules as they apply to any auction-related transaction approved by the supervisor.

(f) An apprentice auctioneer shall notify the Board, in writing, within 10 days of termination of his or her association with his or her supervising auctioneer, at which time his or her license shall be placed in an invalid status. If an apprentice auctioneer's supervising auctioneer's license has been suspended or revoked, the apprentice auctioneer's license shall be placed in an invalid status. Once in an invalid status, an apprentice auctioneer shall not conduct or contract to conduct any auction. If an apprentice's license is invalid greater than 90 days due to a lack of an approved sponsor, the apprentice upon securing an approved sponsor shall be required to submit a reinstatement fee as set forth in 21 NCAC 04B .0202(b)(10). Upon termination of the association between a supervisor and the apprentice, both licensees shall notify the Board in writing within 10 days, specifying the date and cause of termination. At this time the apprentice auctioneer's license shall be placed in an invalid status, unless at least one Board-approved supervisor remains in place for the apprentice.

History

• Authority G.S. 85B-3.1; 85B-4; 85B-7
• Eff. November 1, 1984
• Amended Eff. April 1, 2001; April 1, 1996; January 1, 1995; June 1, 1991
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0404 Grounds for License Denial or Discipline

(a) The Board may assess a civil penalty in accordance with G.S. 85B-3.1(b) or deny, suspend, or revoke a license, or issue a letter of reprimand to a licensee, upon any of the following grounds:

(1) violation of any provision of G.S. 85B;

(2) violation of any rule in this Subchapter;

(3) a check given to the Board in payment of fees is returned unpaid;

(4) allowing an unlicensed person to call a bid at a sale, except as authorized in 21 NCAC 04B .0506;

(5) auctioneering at an unlicensed auction firm sale;

(6) failure to complete an application or making any false statement or giving any false information in connection with an application for a license, renewal, or reinstatement of a license including:

(A) failure to cooperate with any investigation; or

(B) making any false statement or giving any false information in connection with any investigation by the Board or the Board's staff;

(7) being adjudicated mentally incompetent by a court;

(8) being convicted of a crime that meets the requirements of G.S. 93B-8.1(b);

(9) violation of any federal or state statute, rule, or regulation that relates to the auctioneering profession;

(10) practicing the profession for which the individual is licensed while his or her ability to practice was impaired by alcohol or other drugs or physical or mental disability or disease;

(11) being incompetent in practice. In this Subparagraph, "being incompetent in practice" means the licensee has engaged in conduct that shows a lack of ability, fitness, or knowledge to apply principles or skills of the auctioneering profession;

(12) engaging in unprofessional conduct. In this Subparagraph, "unprofessional conduct" means the licensee has committed any prohibited act as set forth in G.S. 85B-8(a);

(13) obtaining or attempting to obtain compensation by fraud or deceit;

(14) violation of any order of the Auctioneer Licensing Board requiring a licensee to comply with any provision of the Board's law or administrative rules;

(15) failure to possess truth, honesty, and integrity sufficient to be entitled to the high regard and confidence of the public. In this Subparagraph, "a lack of truth, honesty, and integrity" shall be shown by proof that the applicant or licensee is in violation of other provisions of the Board's law and administrative rules that demonstrate that the applicant or licensee fails to meet this standard; or

(16) failure to make the disclosures required by 21 NCAC 04B .0405.

(b) When applying the requirements of Paragraph (a) of this Rule to auction firms or their applications, the requirements shall apply to the firm, all the principals, and all of the designated persons of the firm.

History

• Authority G.S. 85B-3.1; 85B-8
• Eff. November 1, 1984
• Amended Eff. January 1, 1995
• Temporary Amendment Eff. January 1, 2000
• Amended Eff. April 1, 2001
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0405 Involvement in Court Action or Administrative Hearing

(a) All auctioneers, apprentice auctioneers, and auction firms, including their principals and designated person(s), shall report to the Board all criminal arrests for, charges of, or convictions of a misdemeanor that has as an element dishonesty, deceit, fraud, or misrepresentation, or any arrests, charges, or convictions of any felony. Convictions include findings of guilt, guilty pleas, and pleas of nolo contendere. The Board shall receive written notice of any such arrest, charge, or criminal conviction within 30 days of the occurrence of any or all of these events.

(b) All auctioneers, apprentice auctioneers, and auction firms, including their principals and designated person(s), shall report to the Board all civil suits involving them that are based upon any allegation of gross negligence, dishonesty, fraud, misrepresentation, or incompetency, or that in any way involve an auction sale or a transaction related to an auction matter or auctioneering. The Board shall receive written notice of any such civil suit within 30 days of the date the complaint in the suit is served on the defendant in the action, or the date a pleading containing one or more of these allegations is served on a party.

(c) All auctioneers, apprentice auctioneers, and auction firms, including their principals and designated person(s), shall report to the Board all administrative proceedings commenced against them that involve any potential revocation or suspension of, or other disciplinary action against, any auction license or auctioneer license that they hold in another state. The Board shall receive written notice of any such administrative proceeding within 30 days of the date the auctioneer, apprentice auctioneer, or auction firm, including its principals and designated person(s), is notified of the administrative proceeding.

History

• Authority G.S. 85B-3.1; 85B-4
• Eff. November 1, 1984
• Amended Eff. April 1, 2001; January 1, 1995; April 1, 1989
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0501 Application for Course Approval

(a) Schools of auctioneering seeking approval of its curriculum and instructors by the Board shall make application on a form prescribed by the Board, which may be obtained from the Board using the information in Rule .0102 of this Subchapter. The application form requires:

(1) the school name;

(2) the name of the school director;

(3) the school's physical, postal mail, and email addresses;

(4) the school's website address (if any);

(5) the school's telephone number(s);

(6) the name, education and experience qualifications, and hours to be taught for each instructor;

(7) the instructor(s) for, and hours to be taught in each Essential Core Curriculum topic;

(8) the instructor(s) for, and hours to be taught in each supplemental Instruction topic; and

(9) the school director's signature.

(b) The school shall notify the Board within 30 days of any change in the information required by the application form set forth in Paragraph (a) of this Rule. This requirement shall continue as long as the school's curriculum and instructors remain approved by the Board.

History

• Authority G.S. 85B-3.1; 85B-4(d)
• Eff. November 1, 1984
• Amended Eff. April 1, 2001; March 1, 1995
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0502 Requirements for Approval/Minimum Standards

(a) The course curriculum shall contain classroom instruction in the following subjects for the minimum number of hours shown:

(1) Essential Core Curriculum (minimum 50 hours):

15 Hours - Bid Calling, Voice Control, Proper Breathing Techniques,

and Use and Sequence of Numbers;

4 Hours - Advertising and Marketing;

8 Hours - Auctioneers Law and Rules and Regulations;

2 Hours - Uniform Commercial Code and Bulk Transfers;

2 Hours - Drafting and Negotiating Contracts;

2 Hours - Closing Statements and Settlements;

8 Hours - Accounting and Mathematics;

2 Hours - Auctioneering Ethics;

2 Hours - Handling Sale Proceeds and Escrow Accounts;

2 Hours - Auction Preparation and Setup; and

3 Hours - Review and Testing (End of Course).

(2) Supplemental Instruction Areas (minimum 30 hours):

Antiques Heavy Equipment

Real Estate Automobiles

Technology Cattle and Livestock

Environmental Issues Public Speaking

Computers Estate Sales

Firearms Appraising

Foreclosure and Bankruptcy Sales Sales Tax Requirements

Art, Rugs, Jewelry Ring Work

Body Language Consignment Auctions

Farm Machinery

Cyber Security and Client Property Protection

Each Supplemental Instruction Area shall be addressed in the school.

(3) Schools that include students that have expressed to the school an interest to become North Carolina applicants shall provide a minimum of 2 hours of instruction on the North Carolina Auctioneers Law and Rules, G.S. 85B and 21 NCAC 04B. This instruction shall be included within the minimum required 8 hours instruction of Auctioneers Law and Rules and Regulations.

(b) Students attending an approved course shall attend and complete a minimum of 80 hours of classroom instruction according to the list of subjects and minimum hours of instruction in each subject specified in Paragraph (a) of this Rule. An hour of creditable instruction is defined as 50 minutes of classroom instruction or practical exercise accompanied by a 10 minute break.

(c) Each school's curriculum shall include instruction by a minimum of five different instructors, at least two of whom shall be professional auctioneers. Regardless of the total number of hours taught by any given instructor, no more than 20 hours of an individual's instruction may be counted to satisfy the requirements of Paragraph (a) of this Rule.

(d) The school shall establish standards for all persons who instruct in an approved school with minimum training or experience, or a combination thereof, in the particular field in which they are instructing.

(e) The instructors shall exhibit truth, honesty, and integrity as set forth in Rule 21 NCAC 04B .0404(a)(15).

(f) The school shall provide or make available facilities, equipment, materials, and supplies necessary for the course, including:

(1) a climate-controlled classroom with a seating capacity sufficient to accommodate all students; and

(2) audio-visual equipment and other instructional devices and aids necessary and beneficial to the delivery of training.

History

• Authority G.S. 85B-3.1; 85B-4(d)
• Eff. November 1, 1984
• Amended Eff. May 1, 2006; April 1, 2001; March 1, 1995
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0503 Certification of Course Completion

Schools shall furnish each student who completes his or her course a transcript containing the student's name, the date the course was completed, and the total number of hours completed by that student.

History

• Authority G.S. 85B-4(d)
• Eff. November 1, 1984
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0504 Records Must Be Maintained

Each school shall maintain for five years, and make available upon request of the Board or its staff, records containing the following information:

(1) the dates, times of instruction, and location of every course offered;

(2) for each student, the names, address(es), and numbers of hours completed;

(3) a list of all instructors used by the school, the qualifications of each, and their addresses; and

(4) for each course offered, the names of all instructors used, the subject(s) taught, the number of hours that each instructor devoted to each subject, and the dates and times of the instruction.

History

• Authority G.S. 85B-4(d)
• Eff. November 1, 1984
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0505 Grounds for Approval, Denial, Suspension, or Revocation

(a) The approval of a school's curriculum and instructors by the Board shall be valid for a period of two years. Each approval shall be evaluated for reapproval by the Board prior to the expiration of the two-year period.

(b) The Board may deny, suspend, or revoke the approval of any school's curriculum and instructors when it finds that the school has failed to meet or to maintain any requirement of this Section. The Board may deny, suspend, or revoke the approval of any school's curriculum and instructors upon a finding that any information required under this Section was falsified or misrepresented.

History

• Authority G.S. 85B-3(f); 85B-4(d)
• Eff. November 1, 1984
• Amended Eff. April 1, 1996
• Readopted Eff. July 1, 2020
• Amended Eff. September 1, 2022.

21 NCAC 04B .0506 Allowing Unlicensed Bid Callers: Exception

A person enrolled in a class at a school of auctioneering with Board-approved curriculum and instructors may call bids without a license if it is done for the purpose of training and receiving instruction. The bid calling by an unlicensed individual shall be done under the direct supervision of a licensed auctioneer who is also an instructor in the school and who further assumes responsibility for the activities of the student in the matter involving bid calling.

History

• Authority G.S. 85B-4(d)
• Eff. November 1, 1984
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0601 Change of Address or Business Name or Ownership

(a) All licensees shall notify the Board in writing of each change or addition of residence or business address, including mailing address, and change of trade name, assumed name, or combination of names under which the licensee conducts business related to auctions.

(b) In the case of a corporate license, the licensee shall notify the Board of any change in the directors or officers of the corporation. The new director(s) or officer(s) shall comply with the provisions of 21 NCAC 04B .0201(d)(2)(A), (B), (D), (E), and (F). If the new directors or officers have a 51% or greater controlling interest in the corporation, the firm license shall be retired and the firm shall apply for a new license.

(c) In the case of a partnership license, the licensee shall notify the Board of any change in partners and such new partners shall comply with the provisions of 21 NCAC 04B .0201(d)(2)(A), (B), (D), (E), and (F).

(d) In the case of an auction firm license, the licensee shall notify the Board of any change in a designated person(s). If the designated person is a currently licensed auctioneer under G.S 85B, the designated person shall be required to comply with the provisions of 21 NCAC 04B .0201(d)(2)(A), (B), (D), (E), and (F). If the designated person is not a currently licensed auctioneer under G.S. 85B, the designated person shall be required to comply with the provisions of 21 NCAC 04B .0201(d)(2)(A), (B), (D), (E), and (F).

(e) Any changes of reported information required by this Rule shall be reported within 10 days of the occurrence of such change.

History

• Authority G.S. 85B-3.1
• Eff. November 1, 1984
• Amended Eff. April 1, 1996; January 1, 1995
• Temporary Amendment Eff. January 1, 2000
• Amended Eff. April 1, 2001
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0602 Advertising

(a) In all advertisements relating to an auction, the auctioneer's, apprentice auctioneer's, or auction firm's name and license number shall be given. If an auctioneer is working for or in conjunction with an auction firm, the relationship shall be disclosed and both license numbers shall be given. A general advertisement that does not concern a specific sale or specific sales and that does not list sale dates, times, or locations, referred to as "trolling" or "holding" advertisements, shall not be subject to any identification requirement. A licensee may advertise under a name, assumed name, trade name, or combination of names, only if written notice has been filed with the Board.

(b) Any licensee who advertises an "Estate Sale" shall disclose, in all advertisement materials, whether it is the estate of a living or deceased person. Before conducting an auction as an "estate sale," the majority of items in the sale shall come from the estate of the living or deceased person(s). Other items not related to or in an estate may be sold with an estate if disclosed at or before the time of the auction.

(c) It shall be a violation of this Rule to advertise a "Bankruptcy Sale" unless the item(s) offered for sale, whether real or personal, are from an active bankruptcy action. Before conducting an auction as a "bankruptcy sale," the majority of the items in the sale shall come from the bankruptcy of one or more parties. Other items not related to or from a bankruptcy action may be sold with items from a bankruptcy action if disclosed at or before the time of the auction.

(d) It shall be a violation of this Rule to advertise an item, either real or personal, as "Absolute" or "Without Reserve" if the item is subject to confirmation, minimum bid, or any other condition of sale. Before advertising an auction as absolute or without reserve, the majority of items in the sale shall be offered for sale absolute or without reserve. Items that are not absolute may be included in the auction provided they are designated as such in all announcements and advertisements.

(e) It shall be a violation of this Rule to advertise any auction using such descriptive words as "Urgent," "Emergency," "Distress" or any other word that connotes liquidation of assets or that the buyers will be in a position to reap some unusual bargain without disclosing, in the written advertisement in a print size equal to the descriptive word, the reason that the sale is "urgent," the nature of the "emergency," or the cause of the "distress."

(f) It shall be a violation of this Rule to advertise any auction using such descriptive words as "Seized," "Confiscated," "Forfeited," or any other word that connotes a governmental action whereby items are seized or taken by a government department, agency, or commission and released or sold or that the buyers will, for some governmental reason, be in a position to reap some unusual bargain without disclosing, in the written advertisement in a print size equal to the descriptive word, the exact nature of the government action.

(g) It shall be a violation of this Rule to advertise any items as being from an "estate" or a "bankruptcy," or from an "urgent," "emergency," "distress," "seized," "confiscated," "forfeited," or similar sale, unless the consignor of the item(s) to be sold is the original owner of the item(s), the designated representative of the owner, or a federal, state, or local department, agency, or commission charged with disposing of the item(s), and consigned the item(s) directly to the advertised sale.

(h) It shall be a violation of this Rule to:

(1) Reference the U.C.C. or any other uniform act or federal or state law in any advertisement unless the act or law is required, by law, to be referenced;

(2) Reference or mention any federal, state, or local department, agency, or commission in any advertisement unless required by law to do so or unless prior written approval is received from such department, agency, or commission; or

(3) Otherwise connote in any advertisement that the auction is under the auspices of, at the direction of, or required by federal or state law or act or a federal, state, or local department, agency, or commission and that the buyers will, for some legal or governmental reason, be in a position to reap some unusual bargain.

(i) It shall be a violation of this Rule to advertise for sale items that the auctioneer/firm does not intend to offer for sale at the advertised auction.

(j) It shall be a violation of this Rule for an auctioneer or auction firm to permit its name or license number to appear on any advertisement for an auction without reviewing the contents of the advertisement prior to its publication to ascertain its compliance with G.S. 85B and this Subchapter.

(k) It shall be a violation of this Rule to advertise any auction using such descriptive words as "Contents," "Stock," "Inventory," "Liquidation," or any other word that connotes that the items to be auctioned are present on the premises of a residence, business, building, or establishment unless the items were physically present without interruption for 30 days prior to the signing of the contract or written agreement. Before conducting an auction using any of the descriptive words, the majority of the items in the sale shall be from the premises. Other items not related to or from the contents of the residence or business may be included in the auction provided they are designated as such in all advertisements previous to the sale. The 30-day requirement shall not apply to items used in direct conjunction with the residence or business and brought to the site solely for the purpose of sale at auction.

(l) At all auctions that include a buyer's premium, the amount of the buyer's premium shall be announced at the beginning of the auction and a written notice of this information shall be displayed or distributed to the public at the auction site.

History

• Authority G.S. 85B-1; 85B-3.1; 85B-8(a)(4)
• Eff. November 1, 1984
• Amended Eff. May 1, 2006; April 1, 2001; April 1, 1996; January 1, 1995; June 1, 1991
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0603 Sale Proceeds, Accounting and Escrow Accounts

(a) Each payment made payable to the auctioneer/firm of which any portion belongs to others, and not disbursed to the seller on auction day, shall be deposited in an escrow account for the benefit of the owner or seller of such property within three business days after receipt of same.

(b) Any licensee who disburses any funds on auction day shall prepare a receipt or settlement statement in compliance with G.S. 85B-7.1(a) and maintain records in compliance with G.S. 85B-7.1(b).

(c) Every auctioneer/firm that does not disburse all funds to the seller on auction day shall establish and maintain a separate bank account designated as "Custodial Account for Sellers Proceeds" or some similar identifying designation, to disclose that the depositor is acting as a fiduciary and that the funds in the account are trust funds.

(d) Custodial accounts created pursuant to Paragraph (c) of this Rule shall be established and maintained in banks, credit unions, or savings and loan associations located in North Carolina whose deposits are insured by the Federal Deposit Insurance Corporation, or comparable state or federal recognized insurance agency or program.

(e) The custodial account created pursuant to Paragraph (c) of this Rule shall be drawn on only for payment of:

(1) the net proceeds to the seller, or to any person that the auctioneer/firm knows is entitled to payment;

(2) to pay charges against the property that the auctioneer/firm in its agency capacity is required to pay; and

(3) to obtain any sums due the auctioneer/firm as compensation for its services.

(f) In the event of a dispute between the seller and buyer of goods or property or between the licensee and any person in whose name trust or escrow funds are held, the licensee shall retain the monies in his or her trust or escrow account until he or she has obtained a written release from the parties consenting to its disposition or until disbursement is ordered by a court of competent jurisdiction.

(g) Each auctioneer/firm shall keep accounts and records that document the handling of funds in a custodial account created pursuant to Paragraph (c) of this Rule. Accounts and records shall disclose the names of buyers and the amount of purchase and payment from each, the names of the sellers, and the amount due and payable to each from funds in the custodial account created pursuant to Paragraph (c) of this Rule. The names of the buyers and amount of purchase and payment from each buyer related to an individual seller shall be delivered to the seller within 14 days of a written request made within 90 days of settlement of a specific auction.

(h) All trust or escrow account records and records of disbursement shall be available for inspection by the Board staff without advance notice, and copies shall be provided to the Board upon request.

History

• Authority G.S. 85B-7.1; 85B-8(a)
• Eff. June 1, 1991
• Amended Eff. April 1, 2003; January 1, 1995
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0604 Contracts, Consignment Records, Sales Records, and Bidder Registration Records

(a) All written agreements for auctions and registration, sales, and accounting records shall be maintained at the site during the conduct of the auction and, upon request, shall be made available to the Board or its staff.

(b) An auction house, auction barn, or auction gallery business may enter into a written agreement with repeat dealers or sellers for an extended period of time, not to exceed one year.

(c) The consignment records and sales records shall be kept by the licensee for a period of two years from the date of the auction.

(d) At an auction house, auction barn, or auction gallery, when consignments are brought to the location by the public during that specific auction sale, the sales records and the consignment records may be the same.

(e) The bidder registration records shall contain the bidders' names, addresses, telephone numbers, and email addresses. The bidder registration records shall be kept by the licensee for a period of two years from the date of the auction.

(f) All required records shall be open for inspection by the Board or its designated agent at reasonable times, or copies of the same shall be provided to the Board or its designated agent upon written request.

(g) In auctions of consigned property, any buyer's premium shall be calculated, collected, and distributed according to terms authorized by the consignor in a written auction contract.

History

• Authority G.S. 85B-7; 85B-7.1; 85B-8
• Eff. January 1, 1995
• Amended Eff. May 1, 2006
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0605 Bidding

(a) No auctioneer/auction firm shall bid on items in a sale he or she is conducting or procure the bid without the intent to purchase the item. However, in a sale with reserve, the auctioneer/auction firm may bid on the reserve item up to, and including, the amount of the reserve price without the intent to purchase the item. In any auction where the auctioneer/auction firm bids or such auctioneer/auction firm procures such a bid, the auctioneer shall announce such bidding in advance of the auction.

(b) A minimum opening bid shall not be required in an absolute auction. Following an opening bid, the auctioneer may set reasonable minimum bid increments. Such a policy shall be disclosed in the auctioneer's/auction firm's spoken, posted, and written terms and conditions of the sale. In this Paragraph "reasonable minimum bid increments" shall be determined by the auctioneer or auction firm, based on the type and value of the property being offered at an auction.

History

• Authority G.S. 25-2-328(4); 85B-1; 85B-3.1
• Eff. January 1, 1995
• Amended Eff. May 1, 2006; April 1, 2001
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0606 Auction Firms

(a) All licensed auction firms shall have at least one Board-approved designated person as defined by G.S. 85B-1(10). If a licensed auction firm does not have at least one Board-approved designated person, it shall not engage in auctioneering activity.

(b) Only Board-approved designated person(s) for an auction firm shall have the authority to transact business under the firm license. This includes arranging, managing, soliciting, and contracting auctions; the supervision of the auction staff; the supervision of the acceptance of consignments of items for sale at auction; the supervision of the advertising of an auction; and the supervision of the acceptance of payment and disbursement of monies for items sold at auction.

(c) At least one designated person shall be on the premises of an auction firm's auction sale location while the auction sale is conducted.

(d) Any auctioneer licensed under G.S. 85B may call bids for a licensed auction firm without being a designated person.

(e) Any apprentice auctioneer licensed under G.S. 85B and supervised by his or her supervising auctioneer may call bids for a licensed auction firm without being a designated person.

(f) Individuals that hold a currently valid real estate broker license shall be exempt from the auction firm examination. Their authority to transact business as a designated person under the auction firm license is limited to real estate sales at auction.

History

• Authority G.S. 85B-1; 85B-3.1; 85B-4
• Eff. May 1, 2006
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0607 sole proprietor auction BUSINESSES

(a) A licensed auctioneer who owns and operates a sole proprietor auction business has the responsibility for arranging, managing, soliciting, and contracting auctions; the supervision of the auction staff; the supervision of the acceptance of consignments of items for sale at auction; the supervision of the advertising of an auction; and the supervision of the acceptance of payment and disbursement of monies for items sold at auction.

(b) A licensed auctioneer or an apprentice auctioneer who is employed or contracted by another licensed auctioneer who owns and operates a sole proprietor auction business shall only be responsible for calling bids and performing duties that a non-auctioneer is allowed to perform.

(c) A licensed auctioneer who owns and operates a sole proprietor auction business shall be on the premises of his or her businesses' auction sale location while the auction sale is conducted.

History

• Authority G.S. 85B-1; 85B-3.1
• Eff. May 1, 2006
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0701 Applications

All verified applications will be served upon the Commission in accordance with the procedures set forth in G.S. 1A-1, Rule 4(j)(4).

History

• Authority G.S. 85B-4.2
• Eff. January 1, 1995
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0801 Continuing Education Course

(a) To renew a license in active status, an auctioneer, apprentice auctioneer, or designated person(s) in an auction firm shall complete Board-approved course(s) consisting of the hours of instruction as established as in Paragraph (d) of this Rule and shall provide documentation of completion of Board-approved course(s) to the Board.

(1) An auctioneer, apprentice auctioneer, or designated person(s) in an auction firm shall provide documentation on required continuing education courses to the Board by May 15th of the current renewal period.

(2) The Board shall not process a license renewal until the licensee has complied with this Rule.

(b) The Board shall approve courses that shall be conducted by sponsors approved by the Board under the rules of this Section. The subject matter of this course shall be determined by the course sponsor. The course sponsor shall provide instructor and student materials. The course shall be conducted as prescribed by the rules in this Section.

(c) The sponsor may conduct the course at any location as often as desired during the approval period. Approval of a sponsor to conduct a course authorizes the sponsor to conduct the course using an instructor who has been approved by the Board as a course instructor under Rule .0804 of this Section.

(d) The minimum classroom hours of instruction for each year shall be four.

(e) An auctioneer, an apprentice auctioneer, or a designated person(s) in an auction firm shall complete the continuing education requirements for each renewal period that his or her license was lapsed or suspended.

(f) Credit hours applied to the current renewal of a license shall not be used for future renewals.

(g) Excess continuing education hours may be carried forward as credits for a maximum of one renewal year.

(h) No part of any prelicensing course curriculum shall count as continuing education credit hours.

(i) Continuing education shall not be required until the second renewal after initial licensing pursuant to G.S. 85B-4(e).

History

• Authority G.S. 85B-4(e1)
• Eff. July 1, 1999
• Amended Eff. April 1, 2001; January 1, 2000
• Temporary Amendment Eff. October 12, 2001
• Temporary Amendment Expired July 29, 2002
• Amended Eff. April 1, 2003
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0802 Application for Original Approval

(a) An entity seeking original approval to sponsor a course shall make application on a form prescribed by the Board, which may be obtained from the Board using the information in Rule .0102 of this Subchapter. The application form requires:

(1) the sponsor's legal name, and any assumed names or trade names;

(2) the sponsor's physical, postal mail, and email addresses;

(3) the sponsor's website address (if any);

(4) the sponsor's telephone number(s);

(5) the applicant's name, which must be an owner of the sponsor;

(6) the applicant's physical, postal mail, and email addresses;

(7) the applicant's telephone number(s);

(8) the course name;

(9) the credit hours of the course;

(10) a description of the content and subject matter of the course;

(11) the name of the course instructor(s);

(12) the name of the sponsor's continuing education coordinator; and

(13) the applicant's signature.

An applying entity that is not based in North Carolina shall also file with the application a consent to service of process and pleadings.

(b) Approval to sponsor a course shall be granted to an applicant upon showing to the Board that:

(1) The applicant has submitted all information required by the Board in the application;

(2) The applicant satisfies all of the requirements of Rule .0805 of this Section relating to qualifications or eligibility of course sponsors;

(3) The continuing education coordinator required by Rule .0805(e) shall exhibit truth, honesty, and integrity as set forth in 21 NCAC 04B .0404(a)(15). The Board shall consider the reputation and character of any owner, officer, or director of any corporation, association, or organization applying for sponsor approval; and

(4) The applicant has at least one proposed instructor who meets the requirements for Board approval as a course instructor under Rule .0804 of this Section.

History

• Authority G.S. 85B-4(e1)
• Eff. July 1, 1999
• Amended Eff. April 1, 2001; January 1, 2000
• Temporary Amendment Eff. October 12, 2001
• Temporary Amendment Expired July 29, 2002
• Amended Eff. April 1, 2003
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0803 Student Fee for Courses

Sponsors of a course may establish the amount of the fee to be charged to students taking the course. However, the established fee shall be an all-inclusive fee and no separate or additional fee may be charged to students for providing course materials, providing course completion certificates, reporting course completion to the Board, or for recouping other administrative expenses.

History

• Authority G.S. 85B-4(e1)
• Temporary Adoption Eff. January 1, 2000
• Eff. April 1, 2001
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0804 Approval of Continuing Education Instructors

(a) Approval of course instructors shall occur at the time of the approval of the course sponsor. Approval of a course instructor authorizes the instructor to teach the course only for the approved course sponsor. An approved course instructor may not conduct a course unless the instructor is conducting the course under the supervision of an approved course sponsor.

(b) An entity seeking original approval as a course sponsor shall submit an application for each instructor for the course on a form prescribed by the Board, which may be obtained from the Board using the information in Rule .0102 of this Chapter. The application requires:

(1) the instructor's name;

(2) the instructor's postal mail and email addresses;

(3) the instructor's telephone number;

(4) the instructor's education and experience; and

(5) the instructor's signature.

No additional application fee is required.

(c) The instructor(s) shall exhibit truth, honesty, and integrity as set forth in 21 NCAC 04B .0404(a)(15).

(d) The instructor(s) shall be qualified under one or more of the following standards:

(1) Possession of a baccalaureate or higher degree with a major in the field of marketing, finance, or business administration;

(2) Possession of a current North Carolina auctioneer or auction firm license, three years experience in auctioneering within the previous 10 years, and 30 classroom hours of auction education, excluding prelicensing education, within the past three years, such education covering topics that are in compliance with these Rules;

(3) Possession of a current North Carolina real estate broker license, three years experience in the real estate business within the previous 10 years, and experience teaching real estate prelicensing and continuing education courses;

(4) Possession of a license to practice law in North Carolina and three years experience in law practice within the previous 10 years; or

(5) Possession of qualifications found by the Board to be equivalent to one or more of the standards set forth in this Rule.

(e) The Board shall deny or withdraw approval of any course instructor upon finding that:

(1) The course sponsor or the instructor made any false statements or presented false information in connection with an application for approval;

(2) The instructor failed to meet the criteria for approval described in Paragraph (d) of this Rule or refused or failed to comply with any other provisions of this Subchapter;

(3) The instructor failed to demonstrate, during the teaching of courses, teaching skills described in Rule .0815 of this Section; or

(4) The instructor provided false or incorrect information in connection with any reports a course sponsor submitted to the Board.

(f) If a licensee who is an approved course instructor engages in any dishonest, fraudulent, or improper conduct in connection with the licensee's activities as an instructor, the licensee shall be subject to disciplinary action pursuant to G.S. 85B-8 and G.S. 85B-9.

(g) Upon the written request of the Board, an approved course instructor shall submit to the Board a video recording depicting the instructor teaching the course. The video recording shall have been made within 12 months of the date of submission, shall be in electronic format, and shall identify the instructor and the date of the presentation.

(h) An approved instructor who is a licensee of the Board shall receive continuing education credit hours for instruction at a rate of one hour for every one-half hour of approved course taught.

History

• Authority G.S. 85B-4(e1)
• Eff. July 1, 1999
• Temporary Amendment Eff. October 12, 2001
• Temporary Amendment Expired July 29, 2002
• Amended Eff. April 1, 2003
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0805 Sponsor Requirements

(a) An entity is eligible to seek approval as a sponsor of continuing education courses, provided that the entity seeking approval is either the owner of the proprietary rights to the course or has acquired from the course owner the right to seek course approval from the Board and to conduct the course.

(b) The official name used by any course sponsor in connection with the offering of an approved continuing education course shall distinguish the sponsor from any other approved continuing education course sponsor. Unless the sponsor is an auction school with approved curriculum and instructors pursuant to G.S. 85B-4(d) that is proposing to operate continuing education courses in its own name, the official name also shall distinguish the sponsor from any auction school with approved curriculum and instructors. Sponsor applicants proposing to use a sponsor name that does not comply with this Paragraph shall be required to adopt a different name as a condition of approval.

(c) Any advertisement or promotional material utilized by an approved course sponsor shall include the course sponsor's official name and shall not include any other name for the sponsor.

(d) All sponsors shall obtain written approval from the Board prior to advertising a course or conducting a course and shall not advertise that a course is or may be approved for continuing education credit in North Carolina prior to Board approval. No retroactive approval to conduct a course shall be granted for any reason.

(e) A sponsor of a course shall designate one person to serve as the continuing education coordinator for all Board-approved continuing education courses offered by the sponsor. The designated coordinator shall serve as the contact person for the sponsor and shall be responsible for the following:

(1) Supervising the sponsor's Board-approved continuing education courses;

(2) Signing the course completion certificates provided by the sponsor to licensees completing courses; and

(3) Submitting to the Board all required rosters, reports and other information.

History

• Authority G.S. 85B-4(e1)
• Temporary Adoption Eff. January 1, 2000
• Eff. April 1, 2001
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0806 Course Completion Reporting

(a) Course sponsors shall prepare and submit to the Board reports verifying the student's completion of each continuing education course conducted. Sponsors shall submit these reports to the Board within 30 calendar days following the course, but in no case later than May 15 for courses conducted prior to that date. Reports shall include the following:

(1) the course name;

(2) the sponsor and coordinator name, mailing address, and telephone number;

(3) the coordinator signature certifying that the information is correct;

(4) the name, address, and North Carolina license number of each licensee who completed the course and who desires continuing education credit for the course;

(5) the physical location where the course was conducted;

(6) the date(s) and starting and ending times of each course; and

(7) the number of credit hours.

(b) Course sponsors shall provide each licensee who completes an approved continuing education course a course completion certificate. Sponsors shall provide the certificates to licensees within 30 calendar days following the course, but in no case later than May 15 for any course completed prior to that date. Course completion certificates shall include the following:

(1) the course name;

(2) the name of the licensee who completed the course;

(3) the date(s) of attendance;

(4) the number of credit hours; and

(5) the coordinator signature certifying that the information is correct.

(d) When a licensee in attendance at a continuing education course does not comply with the student participation standards of Rule .0817 of this Section, the course sponsor shall inform the Board in writing at the time reports verifying completion of continuing education for the course are submitted. A sponsor who determines that a licensee failed to comply with either the Board's attendance standards of Rule .0816(a) of this Section or the student participation standards of Rule .0817 of this Section shall not provide the licensee with a course completion certificate, nor shall the sponsor include the licensee's name on the reports verifying completion of continuing education.

History

• Authority G.S. 85B-4(e1)
• Temporary Adoption Eff. January 1, 2000
• Eff. April 1, 2001
• Amended Eff. May 1, 2006
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0807 Change in Sponsor Ownership and Other Information

(a) The approval granted to a course sponsor may be transferred to a new or different entity only with the advance approval of the Board.

(b) Course sponsors shall notify the Board in writing prior to any change in business name, continuing education coordinator, address, or business telephone number.

(c) Course sponsors shall obtain advance approval from the Board for any changes to be made in the content or number of hours for courses. However, changes in course content made for the purpose of assuring that information provided in a course is current and accurate do not require approval during the approval period, but shall be reported at the time the sponsor requests renewal of course approval. Requests for approval of changes shall be in writing.

History

• Authority G.S. 85B-4(e1)
• Temporary Adoption Eff. January 1, 2000
• Eff. April 1, 2001
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0808 Course Records

All course sponsors shall retain on file for two years records of student registration and attendance for each session of a continuing education course that is conducted and shall make such records available to the Board, or its staff, upon request.

History

• Authority G.S. 85B-4(e1)
• Temporary Adoption Eff. January 1, 2000
• Eff. April 1, 2001
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0809 Renewal of Course and Sponsor Approval

Board approval of all continuing education course sponsors shall expire on the next June 30 following the date of issuance. A completed renewal application prescribed by the Board shall be submitted to the Board annually on or before April 30. Applicants for renewal as a continuing education course sponsor shall make application on a form prescribed by the Board, which may be obtained from the Board using the information in Rule .0102 of this Subchapter. The application form requires:

(1) the sponsor's legal name, and any assumed names or trade names;

(2) the sponsor's physical, postal mail, and email addresses;

(3) the sponsor's website address (if any);

(4) the sponsor's telephone number(s);

(5) the applicant's name, which must be an owner of the sponsor;

(6) the applicant's physical, postal mail, and email addresses;

(7) the applicant's telephone number(s);

(8) the name(s) of any new course(s);

(9) the credit hours of any new course(s);

(10) a description of the content and subject matter of any new course(s);

(11) the name of the course instructor(s) for any new course(s);

(12) the name of the sponsor's continuing education coordinator; and

(13) the applicant's signature.

Any continuing education course sponsor's renewal applications that are not received or that are not complete on or before April 30 shall not have met the requirements for renewal and in order to conduct continuing education shall seek approval pursuant to Rule .0802 of this Section.

History

• Authority G.S. 85B-4(e1)
• Temporary Adoption Eff. January 1, 2000
• Eff. April 1, 2001
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0810 Denial or Withdrawal of Approval

(a) The Board may deny or withdraw approval of any course or course sponsor upon finding that:

(1) The course sponsor has made any false statements or presented any false information in connection with an application for course or sponsor approval or renewal of approval;

(2) The course sponsor or any instructor in the employ of the course sponsor has refused or failed to comply with any of the provisions of the rules of this Section;

(3) The course sponsor or any instructor in the employ of the course sponsor has provided false or incorrect information in connection with any reports the course sponsor is required to submit to the Board;

(4) An instructor in the employ of the course sponsor fails to conduct approved courses in accordance with the teaching skills described in Rule .0815 of this Section; or

(5) Any court of competent jurisdiction has found the course sponsor, any instructor, or any person in the employ of the course sponsor to have violated, in connection with the offering of continuing education courses, any applicable federal or state law or regulation prohibiting discrimination on the basis of disability, requiring places of public accommodation to be in compliance with prescribed accessibility standards, or requiring that courses related to licensing or certification for professional or trade purposes be offered in a place and manner accessible to persons with disabilities.

(b) If a licensee who is an approved course sponsor or an instructor in the employ of an approved course sponsor engages in any dishonest, fraudulent, or unlawful conduct in connection with the licensee's activities as a course sponsor or instructor, the licensee shall be subject to disciplinary action pursuant to G.S. 85B-8 and G.S. 85B-9.

History

• Authority G.S. 85B-4(e1)
• Temporary Adoption Eff. January 1, 2000
• Eff. April 1, 2001
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0811 Minimum Class Size

History

• Status: repealed
• Authority G.S. 85B-4(e1)
• Temporary Adoption Eff. January 1, 2000
• Eff. April 1, 2001
• Repealed Eff. July 1, 2020.

21 NCAC 04B .0812 Scheduling and Notice of Scheduled Courses

(a) An hour of creditable instruction is defined as 50 minutes of instruction or practical exercise accompanied by a break of up to 10 minutes.

(b) Sponsors shall provide the Board written notice of all scheduled course offerings not later than 10 days prior to a scheduled course date. The notice shall include the name of the sponsor and, for each scheduled course, the name of the course, the scheduled date and time, specific location, and name of the instructor(s).

(c) Sponsors shall notify the Board of any schedule changes or course cancellations at least five days prior to the original scheduled course date. If a change or cancellation is necessary five or less days before the course date due to weather, staffing, or other unforeseen circumstance, then notice shall be provided to the Board as soon as possible, and in no event more than 10 days later.

History

• Authority G.S. 85B-4(e1)
• Temporary Adoption Eff. January 1, 2000
• Eff. April 1, 2001
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0813 Advertising; Providing Course Information

(a) Course sponsors shall not utilize advertising of any type that is false or misleading. In any advertisement for a course, the sponsor shall state the total number of hours of the course and the number of those hours that are Board-approved for continuing education credit.

(b) Any flyers, brochures, or similar materials utilized to promote a continuing education course shall state the fee to be charged and the sponsor's cancellation and fee refund policies.

(c) Upon course approval, course sponsors shall include in course descriptions and promotional materials the information contained in the following illustration: This course [seminar or program] has been approved by the Board for continuing education credit in the amount of __ hours. This course is not sponsored by the Board.

(d) Course sponsors of any course shall provide to any prospective student, upon request, a description of the course content.

History

• Authority G.S. 85B-4(e1)
• Temporary Adoption Eff. January 1, 2000
• Eff. April 1, 2001
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0814 Conduct of Classes

(a) All class sessions of approved continuing education courses shall be open to all licensees on a first-come/first-served basis. The sponsor of a course that has an education or experience prerequisite, such as an advanced course leading to a special auctioneer designation, may refuse admission to a licensee not satisfying such prerequisite.

(b) Courses not conducted by electronic means shall be conducted in a facility that provides a learning environment as set forth in 21 NCAC 04B .0502(f).

History

• Authority G.S. 85B-4(e1)
• Temporary Adoption Eff. January 1, 2000
• Eff. April 1, 2001
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0815 Instructor Conduct and Performance

(a) All instructors shall ensure that class sessions are conducted at the scheduled time and for the full amount of time that is scheduled.

(b) Instructors shall conduct courses in accordance with the Board's rules, and shall demonstrate the ability to:

(1) present accurate and relevant information;

(2) communicate using correct grammar and vocabulary;

(3) present instruction in an organized manner, utilize illustrative examples, and respond to questions from students;

(4) utilize a variety of instructional techniques that require students to analyze and apply course content, including teacher-centered approaches, such as lecture discussion, reading, group problem solving, case studies, and scenarios;

(5) utilize instructional aids;

(6) identify key concepts and correct student misconceptions;

(7) maintain control of a class; and

(8) avoid criticism of any other person, agency, or organization.

History

• Authority G.S. 85B-4(e1)
• Temporary Adoption Eff. January 1, 2000
• Eff. April 1, 2001
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0816 Monitoring Attendance

(a) Sponsors and instructors shall monitor attendance for the duration of each class session to ensure that all students reported as completing a course according to these Rules have attended at least 90 percent of the scheduled classroom hours. Sponsors shall not admit students to a class session after 10 percent of the scheduled classroom hours have been conducted. Unless a student satisfies the attendance requirement in this Paragraph, the sponsor shall not allow the student to sign a course completion card, issue a course completion certificate to a student, or report to the Board that the student completed the course. Sponsors and instructors shall not make any exceptions to the attendance requirement for any reason.

(b) Sponsors shall provide adequate personnel, in addition to the instructor, during all class sessions to assist the instructor in monitoring attendance and performing the administrative tasks associated with conducting a course.

History

• Authority G.S. 85B-4(e1)
• Temporary Adoption Eff. January 1, 2000
• Eff. April 1, 2001
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0817 Student Participation Standards

(a) Students shall comply with the following student participation standards:

(1) A student shall direct his or her attention to the instruction being provided and refrain from engaging in activities unrelated to the instruction.

(2) A student shall refrain from engaging in any activities that are disruptive to other students or the instructor, or that otherwise disrupt the conduct of a class.

(3) A student shall comply with all instructions provided by the sponsor or instructor related to providing information needed to report completion of a course by the student.

(b) Instructors and sponsors may dismiss from a class any student who fails to comply with the student participation standards in Paragraph (a) of this Rule.

(c) Sponsors shall not issue a course completion certificate to any student who fails to comply with the student participation standards set forth in Paragraph (a) of this Rule, nor shall sponsors include the name of such student on their reports verifying completion of a continuing education course. Sponsors shall submit to the Board with their reports for the class session a written statement that includes the name and license number of the student for whom the sponsor does not report course credit, details concerning the student's failure to comply with the student participation standards, and names of other persons in attendance at the class who witnessed the student's conduct.

History

• Authority G.S. 85B-4(e1)
• Temporary Adoption Eff. January 1, 2000
• Eff. April 1, 2001
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0818 Additional Sponsor Requirements

(a) Sponsors and instructors may make available for purchase by continuing education students materials that belong to the sponsor or instructor. Class time may not be used to promote or sell any materials or to solicit affiliation or membership in any business, organization, or association.

(b) Course sponsors shall administer course cancellation and fee refund policies in a consistent and non-discriminatory manner. In the event a scheduled course is canceled, the course sponsor shall attempt to notify preregistered students of the cancellation and all prepaid fees received from such preregistered students shall be refunded within 30 days of the date of cancellation or, with the student's permission, applied toward the fees for another course.

(c) Course sponsors shall admit the Board's authorized representative to monitor any continuing education class without prior notice. The representative shall not be required to register or pay any fee and shall not be reported as having completed the course.

(d) Course sponsors may deviate from the rules of this Section concerning the conduct of continuing education courses, such as rules addressing classroom facilities and instructional methods, as may be necessary in order for the sponsor to comply with the Americans with Disabilities Act or other laws requiring such sponsors to accommodate persons with disabilities. A sponsor providing a special accommodation for a licensee with a disability that requires the sponsor to deviate from these Rules shall notify the Board in writing of the accommodation at the time reports are submitted for the class session attended by the licensee.

History

• Authority G.S. 85-4(e1)
• Temporary Adoption Eff. January 1, 2000
• Eff. April 1, 2001
• Readopted Eff. July 1, 2020.

21 NCAC 04B .0819 Alternative Compliance

(a) An auctioneer, apprentice auctioneer, or designated person of an auction firm who is unable to attend a Board-approved course and obtain the requisite hours of instruction established by the Board may submit evidence of alternative compliance.

(b) A written submission of alternative compliance shall be received by the Board by May 15 of the year when the requisite hours of instruction are to be completed.

(c) The course of instruction submitted as alternative compliance shall be completed prior to license renewal.

(d) Alternative compliance shall include:

(1) Academic courses at a community college, junior college, college, or university accredited by an agency recognized by the United States Department of Education in any of the following topics:

(A) Accounting;

(B) Finance;

(C) Business Management;

(D) Business Law;

(E) Economics;

(F) Marketing;

(G) Computer Science; or

(H) Sales.

(2) Completion of any real estate course accredited by a state real estate licensing body.

History

• Authority G.S. 85B-4(e1)
• Temporary Adoption Eff. January 1, 2000
• Eff. April 1, 2001
• Amended Eff. May 1, 2006
• Readopted Eff. July 1, 2020.

Chapter 05 Behavior Analyst Licensure

21 NCAC 05 .0102 Board Address and Website

(a) Unless otherwise directed, all correspondence shall be mailed to the following address:

701 Exposition Place

Suite 206

Raleigh, NC 27615

(b) The Board website shall be www.ncbehavioranalystboard.org.

History

• Authority G.S. 90-734
• Eff. February 1, 2023.

21 NCAC 05 .0201 Application for Licensure of Licensed Behavior Analyst and Licensed Assistant Behavior Analyst

(a) The Behavior Analyst License applicant shall submit the following to the Board:

(1) Documentation of all previous professional human services licenses held by the applicant;

(2) Attestation that the applicant has read and agrees to adhere to the current version of the Ethics Code for Behavior Analysts published by the certifying entity;

(3) Documentation of all work experience in the field of behavior analysis, including internships, practicum, and other field experience completed as part of an educational course of study;

(4) Documentation of all certifications of behavior analysis currently or previously granted by national or other state certification bodies as described in Rule .0203 of this Section.

(5) Payment of all required fees;

(6) Signed consent form provided by the State Bureau of Investigation or NC Department of Justice authorizing the completion of a certified criminal records check based on the applicant's fingerprints provided to a local law enforcement office; and

(7) Two letters of reference as described in Rule .0202 of this Section.

(b) The Assistant Behavior Analyst License applicant shall submit the following to the Board:

(1) Documentation of all previous professional human services licenses held by the applicant;

(2) Attestation that the applicant has read and agrees to adhere to the current version of the Ethics Code for Behavior Analysts published by the certifying entity;

(3) Documentation of all work experience in the field of behavior analysis, including internships, practicum, and other field experience completed as part of an educational course of study;

(4) Documentation of all certifications of behavioral analysis currently or previously granted by national or other state certification bodies as described in Rule .0203 of this Section.

(5) Payment of all required fees;

(6) Signed consent form provided by the State Bureau of Investigation or NC Department of Justice authorizing the completion of a certified criminal records check based on the applicant's fingerprints provided to a local law enforcement office; and

(7) Two letters of reference as described in Rule .0202 of this Section.

History

• Authority G.S. 90-734; 90-736; 90-737; 90-738
• Eff. February 1, 2023.

21 NCAC 05 .0202 References

The application for Behavior Analyst License and Assistant Behavior Analyst shall include two letters of reference, to be submitted to the Board by the applicant. The two letters of references shall include:

(1) name of reference and applicant;

(2) period of time the reference has known the applicant;

(3) nature of professional relationship; and

(4) knowledge of the applicant's training, experience, professional skills, and adherence to legal and ethical standards.

History

• Authority G.S. 90-734; 90-736
• Eff. February 1, 2023.

21 NCAC 05 .0203 Certification

(a) The applicant for Behavior Analyst License or Assistant Behavior Analyst shall submit an official copy of the applicant's Behavior Analyst certification to the Board.

(b) The Board shall accept electronic submissions of the Behavior Analyst certification.

History

• Authority G.S. 90-734; 90-736; 90-737; 90-738
• Eff. February 1, 2023.

21 NCAC 05 .0301 Fees

(a) The fees to obtain a Behavior Analyst License shall be:

(1) Application Fee – Two hundred fifty dollars ($250.00);

(2) Renewal Fee – Two hundred dollars ($200.00);

(3) Late Renewal Fee – Fifty dollars ($50.00);

(4) Reciprocity Fee – Two hundred fifty dollars ($250.00); and

(5) Temporary License Fee – One hundred dollars ($100.00).

(b) The fees to obtain an Assistant Behavior Analyst License shall be:

(1) Application Fee – Two hundred dollars ($200.00);

(2) License renewal Fee – One hundred fifty dollars ($150.00);

(3) Late renewal Fee – Fifty dollars ($50.00);

(4) Reciprocal license application Fee – Two hundred dollars ($200.00); and

(5) Temporary license application Fee – One hundred dollars ($100.00).

(c) The Board may amend any fee imposed on an applicant or licensee in accordance with G.S. 93B-15.

History

• Authority G.S. 90-743
• Eff. February 1, 2023.

21 NCAC 05 .0401 Supervision of Assistant Behavior Analyst

(a) Applicants for licensure as an assistant behavior analyst shall provide to the Board a supervisory agreement between the licensed behavior analyst and the licensed assistant behavior analyst.

(b) Applicants for licensure as an assistant behavior analyst shall maintain a copy of the supervisory agreement while supervised. The supervisor of the licensed assistant behavior analyst shall maintain a copy of the signed supervisor agreement, supervision logs, and evaluations for at least seven years following the termination of the supervisory relationship This documentation shall be made available to the Board upon request.

(c) Supervision activities by the licensed behavior analyst include:

(1) Direct observation of the supervisee implementing behavior analytic assessment and intervention procedures with clients in natural environments or training others to implement them, with feedback from the supervisor. The observation may be done in-person, on-site, or using asynchronous or synchronous formats.

(2) One-to-one, live, person-to-person, or synchronous virtual interactions between supervisor and supervisee to review and discuss assessment and treatment plans and procedures, client assessment and progress data and reports, published research, ethical and professional standards and guidelines, professional development needs and opportunities, and relevant laws, regulations, and policies.

(3) Live, person-to-person, or synchronous virtual interactions between a supervisor and a group of supervisees to review and discuss assessment and treatment plans and procedures, client assessment and progress data and reports, published research, ethical and professional standards and guidelines, professional development needs and opportunities, and relevant laws, regulations, and policies.

(4) The frequency and nature of supervision interactions shall be consistent with the supervisory requirements set forth by the certifying entity in the Board Certified Assistant Behavior Analyst (BCaBA) handbook, which is hereby incorporated by reference, including subsequent amendments and editions, and may be found at https://www.bacb.com/ at no cost.

History

• Authority G.S. 90-734; 90-738; 90-732; 90-739
• Eff. February 1, 2023.

21 NCAC 05 .0402 Supervision of Behavior Technicians

(a) Behavior technicians shall be supervised by a licensed behavior analyst or a licensed assistant behavior analyst.

(b) Any licensed behavior analyst or licensed assistant behavior analyst employing or supervising behavior technicians who are implementing applied behavior analysis interventions designed by the licensed behavior analyst or licensed assistant behavior analyst shall maintain professional responsibility for the quality of the interventions rendered and for the effects of the interventions upon the client, patient, or other individuals.

(c) The behavior analyst shall have face-to-face contact, including in-person or synchronous virtual interactions, during the course of services with all patients, clients, or other recipients of services delivered by behavior technicians as part of the interventions designed by the licensed behavior analysts or licensed assistant behavior analysts.

(d) Any licensed behavior analyst or licensed assistant behavior analyst employing or supervising behavior technicians who are implementing applied behavior analysis interventions designed by the licensed behavior analyst or licensed assistant behavior analyst shall maintain documentation to demonstrate their adherence to this Rule. This documentation shall be supervision contracts, supervision logs, and meeting notes. The licensed behavior analyst or licensed assistant behavior analyst shall maintain this documentation for at least seven years following the termination of applied behavior analysis services by the behavior technician.

(e) Behavior technicians shall be utilized to perform only:

(1) non-client-related tasks, clerical tasks, maintenance activities, and the preparation of the work area and equipment; and

(2) client-related tasks that, in the opinion of and under the supervision of a licensed behavior analyst or a licensed assistant behavior analyst, have no potential to adversely impact the client or the client's treatment plan and do not constitute the practice of behavior analysis. The behavior technician shall not design assessment or intervention plans or procedures.

(f) Failure of any licensed behavior analyst or licensed assistant behavior analyst to supervise behavior technicians shall subject that licensed behavior analyst or licensed assistant behavior analyst to disciplinary action pursuant to 21 NCAC 05 .0603.

History

• Authority G.S. 90-734; 90-732; 90-745
• Eff. February 1, 2023.

21 NCAC 05 .0501 Ethics

The Board shall use The Ethics Code for Behavior Analysts, which is hereby incorporated by reference, including subsequent amendments and editions, and may be found at https://www.bacb.com/ at no cost, in determining whether ethical violations have occurred.

History

• Authority G.S. 90-731; 90-734; 90-742
• Eff. February 1, 2023.

21 NCAC 05 .0601 Complaint Procedures

SECTION .0600 – DISCIPLINARY INVESTIGATION

(a) Initiation. Any individual with personal knowledge that any person has violated the Code of Conduct, any other rules of this Chapter, or G.S. 90, Article 43, may file a complaint by submitting the Ethics Complaint Form found on the Board's website.

(b) Form. The complaint shall be in typed or handwritten format stating the nature of the alleged offense and signed by the complainant. The complaint shall include:

(1) the name, address, and telephone number of the complainant;

(2) the name and address of the person against whom the complaint is made ("respondent"); and

(3) a statement of the facts that describe the allegations against the person.

(c) The complaint shall be investigated as set out in Rule .0602 of this Section.

(d) Upon completion of the investigation of the complaint, the ethics committee shall take action as set out in Rule .0602 of this Section.

(e) If the ethics committee concludes there is a basis to schedule a disciplinary hearing before the Board, the committee chairperson shall notify the respondent. The notice to the respondent shall include the following:

(1) the sections of the Code of Conduct, other rules of this Chapter, or G.S. 90, Article 43 that the complaint alleges has been violated;

(2) direct that the respondent reply to the Board in writing and by certified mail within 15 days of receipt of this notice; and

(3) inform the respondent that failure to respond in writing within 15 days may result in revocation of a license.

(f) The Board shall issue notice by regular postage mail, certified mail, or personal service at the last known address of the respondent. If given by certified mail, notice shall be deemed to have been given on the delivery date appearing on the return receipt.

(g) The Board may receive correspondence in an ethics case through e-mail in order to conduct the investigation or when the subject of an investigation is unable to use or has been unresponsive to certified mail or other methods of delivery. The Board may use local law enforcement or a private investigator licensed by the Private Protective Services Board to personally serve a respondent.

(h) If notice cannot be given either by regular postage mail, personal service, or by certified mail, a notice that a complaint has been brought against the respondent shall then be given by publication. Service of notice by publication shall consist of publication once a week for three successive weeks in a newspaper that is qualified for legal advertising in accordance with G.S. 1-597 and G.S. 1-598 and circulated in the area where the respondent is believed to be located. The notice shall include a statement by the Board that a complaint has been made against the respondent that is scheduled to be heard by the Board within 90 days. The notice shall inform respondent that respondent shall be given 30 days from the date of the last date of publication in which to respond to the service by publication for the purpose of notifying the Board of respondent's whereabouts. Response shall be made in writing to the Board at the address provided by the Board in its notice. If respondent provides the Board with information whereby he or she can be served by the deadline specified in the notice, the Board shall provide notice either personally or by certified mail as provided in Paragraph (g) of this Rule. Failure of respondent notified by publication of a complaint brought by the Board shall be treated as a failure of respondent to reply to the charges.

(i) Failure of the respondent to reply to the charges, including each specific allegation, may be considered an admission of the facts contained in the allegation(s).

History

• Authority G.S. 90-731; 90-734; 90-742; 90-744; 90-746; 90-747
• Eff. February 1, 2023.

21 NCAC 05 .0602 Investigation of Complaint

(a) The ethics committee shall consist of a member of the Board as chairperson, the Board administrator and the Board's legal counsel. The ethics committee shall investigate the allegations in the complaint. The chairperson may appoint another Board member or name a subcommittee of the Board to serve on the ethics committee, if they determine there is a conflict of interest or that the complaint is outside of their investigatory skillset.

(b) The ethics committee may contact the complainant and person against whom the complaint is made.

(c) Upon completion of the investigation, the ethics committee may determine that:

(1) the person against whom the complaint is made is not a licensee or applicant of the Board, and does not qualify for an exemption pursuant to G.S. 90-745. The ethics committee shall cease disciplinary action and the chairperson shall refer the matter for prosecution pursuant to G.S. 90-746.

(2) the complaint is without merit. The ethics committee shall dismiss the complaint. The chairperson shall notify both parties of the dismissal; and

(3) upon completion of an investigation wherein the complaint is found to have merit or is not dismissed, the ethics committee chairperson may:

(A) offer a settlement resolution pursuant to G.S. 150B-22;

(B) schedule a meeting with the respondent;

(C) notice a formal hearing before the Board; or

(D) take a voluntary dismissal of the case where the respondent relinquishes their license for an agreed upon period of time through a consent order.

History

• Authority G.S. 90-734; 90-742; 150B-22; 150B-38; 150B-39; 150B-40; 150B-41; 150B-42
• Eff. February 1, 2023.

21 NCAC 05 .0603 Method of Discipline

(a) Following an investigation or hearing the Board may:

(1) deny a license;

(2) revoke a license;

(3) suspend a license until further order of the Board or for a specified period of time;

(4) reprimand the Respondent; or

(5) take other actions not to be considered a disciplinary action, including a letter of caution or letter of warning without the consent of the Respondent.

(b) Disciplinary or other actions by the Board with the Respondent's consent may be stayed while the Respondent satisfies all of the conditions of the consent order.

History

• Authority G.S. 90-734; 90-742
• Eff. February 1, 2023.

Chapter 06 Barber and Electrolysis Examiners

Subchapter A

21 NCAC 06A .0101 Formal Name

History

• Status: repealed
• Authority G.S. 86A-4
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 06A .0102 Address

(a) The Board's mailing address is 7001 Mail Service Center, Raleigh, North Carolina 27699-7000 and email addresses are barbers@nc.gov and electrolysis@nc.gov.

(b) The Board's physical address is 4328 Bland Rd, Raleigh, North Carolina 27609.

(c) The Board's website addresses are barbers.nc.gov and ncbee.com.

(d) The Board's phone number is (919) 814-0640.

History

• Authority S.L. 2022-72, s. 2
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. June 1, 2008; May 1, 1989
• Readopted Eff. July 1, 2016
• Amended Eff. February 1, 2023; May 1, 2021; April 1, 2019.

21 NCAC 06A .0103 Office Hours

History

• Status: repealed
• Authority G.S. 86A-6
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. June 1, 2008; May 1, 1989
• Repealed Eff. September 1, 2013.

21 NCAC 06A .0104 Mailing Address

History

• Status: repealed
• Authority G.S. 86A-6
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Repealed Eff. June 1, 2008.

21 NCAC 06A .0105 Purposes and Responsibilities

History

• Status: repealed
• Legislative Objection Lodged Eff. March 7, 1983
• Statutory Authority G.S. 86A-5; 86A-9; 86A-12; 86A-15; 86A-17; 86A-18; 86A-19; 86A-21
• 86A-22; 86A-25
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 06A .0201 Composition

History

• Status: repealed
• Legislative Objection Lodged (.0202) Eff. March 7, 1983
• Statutory Authority G.S. 86A-4; 86A-6; 86A-7
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Curative Amended (.0202) Eff. April 6, 1983
• Amended Eff. March 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 06A .0202 Term of Office

History

• Status: repealed
• Legislative Objection Lodged (.0202) Eff. March 7, 1983
• Statutory Authority G.S. 86A-4; 86A-6; 86A-7
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Curative Amended (.0202) Eff. April 6, 1983
• Amended Eff. March 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 06A .0203 Qualifications

History

• Status: repealed
• Legislative Objection Lodged (.0202) Eff. March 7, 1983
• Statutory Authority G.S. 86A-4; 86A-6; 86A-7
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Curative Amended (.0202) Eff. April 6, 1983
• Amended Eff. March 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 06A .0204 Officers and Executive Secretary

History

• Status: repealed
• Legislative Objection Lodged (.0202) Eff. March 7, 1983
• Statutory Authority G.S. 86A-4; 86A-6; 86A-7
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Curative Amended (.0202) Eff. April 6, 1983
• Amended Eff. March 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 06A .0205 Compensation

History

• Status: repealed
• Legislative Objection Lodged (.0202) Eff. March 7, 1983
• Statutory Authority G.S. 86A-4; 86A-6; 86A-7
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Curative Amended (.0202) Eff. April 6, 1983
• Amended Eff. March 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 06A .0206 Instructors Certificate

History

• Status: repealed
• Authority G.S. 86A-7
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. March 1, 1983.

21 NCAC 06A .0207 Conflict of Interest

History

• Status: repealed
• Authority G.S. 86A-7
• Eff. February 1, 1976
• Repealed Eff. February 8, 1978.

21 NCAC 06A .0208 Inspection and Reports

History

• Status: repealed
• Authority G.S. 86A-7
• Eff. February 1, 1976
• Repealed Eff. February 8, 1978.

21 NCAC 06A .0209 Monthly Reports

History

• Status: repealed
• Authority G.S. 86A-7
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06A .0301 EXECUTIVE secretary

History

• Status: repealed
• Authority G.S. 86A-6
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989; March 1, 1989
• Repealed Eff. September 1, 2013.

21 NCAC 06A .0302 Instructors Certificate

History

• Status: repealed
• Authority G.S. 86A-7; 86A-25
• Eff. February 1, 1976
• Repealed Eff. February 8, 1978.

21 NCAC 06A .0303 DUTIES OF EXECUTIVE secretary

History

• Status: repealed
• Authority G.S. 86A-5(a)(4)
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Repealed September 1, 2013.

21 NCAC 06A .0304 Qualifications

History

• Status: repealed
• Authority G.S. 86A-7; 86A-25
• Eff. February 1, 1976
• Repealed Eff. February 8, 1978.

21 NCAC 06A .0305 Conflict of Interest

History

• Status: repealed
• Authority G.S. 86A-7; 86A-25
• Eff. February 1, 1976
• Repealed Eff. February 8, 1978.

21 NCAC 06A .0306 Funds Collected

History

• Status: repealed
• Authority G.S. 86A-6
• Eff. March 1, 1983
• Repealed Eff. May 1, 1989.

Subchapter B

21 NCAC 06B .0101 Petition for Rule-Making

Any person submitting a petition to adopt, amend, or repeal a rule by the Board shall address a petition to the Chairman at the office address in 21 NCAC 06A .0102.

(1) The petition shall contain the following:

(a) for petitions to adopt or amend a rule, a draft of the proposed rule or amendment;

(b) a statement of the effect of the requested rule change; and

(c) the name and address of the petitioner.

(2) The petition may contain the following:

(a) the reason for the proposal;

(b) the effect of the new rule on existing rules; or

(c) any data supporting the rule proposal.

History

• Authority G.S. 150B-20
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Readopted Eff. August 1, 2016.

21 NCAC 06B .0102 Contents of Petitions

History

• Status: repealed
• Authority G.S. 86A-25; 150A-11(1); 150A-16
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06B .0103 Petition for Amendment or Repeal of Rule

History

• Status: repealed
• Authority G.S. 150B-20
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Repealed Eff. August 1, 2016.

21 NCAC 06B .0104 Contents of Petitions

History

• Status: repealed
• Authority G.S. 86A-25; 150A-11(1); 150A-16
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06B .0105 Granting or Denying Petitions

Within 120 days of submission of the petition, the Board shall render a final decision. If the decision is to grant the petition, the Board shall initiate a rule-making proceeding by issuing a notice as provided for in G.S. 150B-20(c). If the decision is to deny the petition, the Board shall send the petitioner written notice of the decision. The notice shall state the reasons for denying the petition and refer to the appeal rights set forth in G.S. 150B-20(d).

History

• Authority G.S. 150B-20
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Readopted Eff. October 1, 2016.

21 NCAC 06B .0106 Recommendation

History

• Status: repealed
• Authority G.S. 86A-25; 150A-11(1); 150A-16
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06B .0107 Final Decision

History

• Status: repealed
• Authority G.S. 86A-25; 150A-11(1); 150A-16
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06B .0201 Notice to Parties

History

• Status: repealed
• Authority G.S. 86A-12; 150A-11(1); 150A-16; 150A-23
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06B .0202 Mailing List

Any person or agency desiring to be placed on the mailing list for the Board's rule-making notices may file such request in writing furnishing his or her or the agency name and mailing address to the Chairman at the office address listed in 21 NCAC 06A .0102.

History

• Authority G.S. 150B-21.2(d)
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Readopted Eff. July 1, 2016.

21 NCAC 06B .0203 Public Notice

History

• Status: repealed
• Authority G.S. 86A-12; 150A-11(1); 150A-12
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06B .0204 Information Requests

History

• Status: repealed
• Authority G.S. 150B-21.2(d)
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Repealed Eff. July 1, 2016.

21 NCAC 06B .0301 Location of Hearings

History

• Status: repealed
• Authority G.S. 86A-5; 150B-21.2
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. June 1, 2008; May 1, 1989
• Repealed Eff. August 1, 2016.

21 NCAC 06B .0302 Oral Presentations

History

• Status: repealed
• Authority G.S. 150B-21.2(e)
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Repealed Eff. August 1, 2016.

21 NCAC 06B .0303 Request for Oral Presentations

History

• Status: repealed
• Authority G.S. 86A-25; 150A-11(1); 150A-12(e); 150A-16
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06B .0304 Oral Presentation

History

• Status: repealed
• Authority G.S. 86A-25; 150A-11(1); 150A-12(e); 150A-16
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06B .0305 Written Statement

History

• Status: repealed
• Authority G.S. 150B-21.2(f)
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Repealed Eff. August 1, 2016.

21 NCAC 06B .0306 Acknowledgment

History

• Status: repealed
• Authority G.S. 150B-21.2(f)
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Repealed Eff. July 1, 2016.

21 NCAC 06B .0307 Control of Hearings

(a) The presiding officer at a rule-making hearing shall have control of the proceedings including the following:

(1) the recognition of speakers;

(2) the time allotment for presentations and extension of any time allotments; and

(3) the management of the hearing.

(b) The presiding officer at all times shall ensure that each person participating in the hearing is given an equal opportunity to present views, data, and comments.

History

• Authority G.S. 150B-21.2(e)
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Readopted Eff. July 1, 2016.

21 NCAC 06B .0308 Request for Statement on Final Decision

History

• Status: repealed
• Authority G.S. 150B-21.2(h)
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Repealed Eff. August 1, 2016.

21 NCAC 06B .0309 Records

History

• Status: expired
• Authority G.S. 150B-21.2(i)
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Readopted Eff. July 1, 2016
• Expired Eff. May 1, 2025 pursuant to G.S. 150B-21.3A.

21 NCAC 06B .0401 Power to Issue

History

• Status: repealed
• Authority G.S. 150B-13
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Repealed Eff. June 1, 2008.

21 NCAC 06B .0402 Length of Effectiveness

History

• Status: repealed
• Authority G.S. 150B-13
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Repealed Eff. June 1, 2008.

21 NCAC 06B .0501 Request for Declaratory Ruling

All requests for declaratory rulings shall be in writing and mailed to the Chairman at the office address in 21 NCAC 06A .0102.

History

• Authority G.S. 150B-4
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. June 1, 2008; May 1, 1989
• Readopted Eff. July 1, 2016.

21 NCAC 06B .0502 Contents of Request

All requests for a declaratory ruling shall include the following information:

(1) the name and address of petitioner;

(2) the statute, rule, or order to which the petition relates;

(3) a statement of the manner in which the petitioner is affected, or thinks that he or she may be affected, by the rule, statute, or order and its application to him or her; and

(4) a statement of whether an oral hearing is desired and if so, the reasons for an oral hearing.

Readopted Eff. July 1, 2016.

History

• Authority G.S. 150B-4
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989

21 NCAC 06B .0503 Refusal to Issue Declaratory Ruling

(a) The Board shall issue a declaratory ruling, except when:

(1) the request for a declaratory ruling does not meet the requirements set forth in 21 NCAC 06B .0501;

(2) the Board has previously issued a declaratory ruling on similar facts;

(3) the Board has previously issued a final agency decision for a contested case for which the petitioner was a party;

(4) the facts underlying the request for a declaratory ruling were considered at the time the Rule was adopted; or

(5) the subject matter of the petition is involved in pending litigation.

(b) When the Board refuses to issue a declaratory ruling, it shall notify the petitioner of its decision in writing, stating reasons for the denial of a declaratory ruling.

History

• Authority G.S. 150B-4
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Readopted Eff. October 1, 2016.

21 NCAC 06B .0504 Issuance of Declaratory Ruling

History

• Status: repealed
• Authority G.S. 86A-25; 150A-17
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06B .0505 Procedure

History

• Status: repealed
• Authority G.S. 150B-4
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. October 1, 2016.

21 NCAC 06B .0506 Validity of Rule

History

• Status: repealed
• Authority G.S. 86A-25; 150A-17
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06B .0507 Circumstances

History

• Status: repealed
• Authority G.S. 86A-25; 150A-17
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06B .0601 Fee Schedule

History

• Status: repealed
• Authority G.S. 86A-25; 150A-11(1)
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06B .0602 Amount

History

• Status: repealed
• Authority G.S. 86A-25; 150A-11(1)
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

Subchapter C

21 NCAC 06C .0101 Administrative Hearings

History

• Status: expired
• Authority G.S. 150B-38
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Readopted Eff. July 1, 2016
• Expired Eff. May 1, 2025 pursuant to G.S. 150B-21.3A.

21 NCAC 06C .0102 Hearings

History

• Status: repealed
• Authority G.S. 86A-25; 150A-2; 150A-23
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06C .0201 Request

History

• Status: repealed
• Authority G.S. 150B-38
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. July 1, 2016.

21 NCAC 06C .0202 Informal Resolution Encouraged

History

• Status: repealed
• Authority G.S. 150B-22; 150B-38
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. June 1, 2008; May 1, 1989
• Repealed Eff. October 1, 2016.

21 NCAC 06C .0203 Request After Informal Efforts

History

• Status: repealed
• Authority G.S. 150B-22; 150B-38
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. June 1, 2008; May 1, 1989
• Repealed Eff. October 1, 2016.

21 NCAC 06C .0204 Contents of Request

A written request for an administrative hearing shall contain the following information:

(1) the name and address of petitioner;

(2) a statement of the Board action being challenged;

(3) a statement of the way in which the petitioner has been aggrieved; and

(4) a demand for a hearing.

History

• Authority G.S. 150B-38
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Readopted Eff. July 1, 2016.

21 NCAC 06C .0205 Acknowledgement

History

• Status: repealed
• Authority G.S. 150B-38
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. June 1, 2008; May 1, 1989
• Repealed Eff. July 1, 2016.

21 NCAC 06C .0301 Granting a Hearing

History

• Status: repealed
• Authority G.S. 86A-25; 150A-2; 150A-11(1); 150A-23
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06C .0302 Criteria

History

• Status: repealed
• Authority G.S. 86A-25; 150A-2; 150A-11(1); 150A-23
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06C .0303 Issuance

History

• Status: repealed
• Authority G.S. 86A-25; 150A-2; 150A-11(1); 150A-23
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06C .0304 Approval of Request

History

• Status: repealed
• Authority G.S. 86A-25; 150A-2; 150A-11(1); 150A-23
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06C .0401 Failure to Notify

History

• Status: repealed
• Authority G.S. 86A-25; 150A-11(1); 150A-25
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06C .0402 Failure to Appear

History

• Status: repealed
• Authority G.S. 86A-25; 150A-11(1); 150A-25
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06C .0501 Reasonable Notice

History

• Status: repealed
• Authority G.S. 150B-38
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Repealed Eff. August 1, 2016.

21 NCAC 06C .0502 Notice and Hearing

History

• Status: expired
• Authority G.S. 150B-38
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Readopted Eff. July 1, 2016
• Expired Eff. May 1, 2025 pursuant to G.S. 150B-21.3A.

21 NCAC 06C .0503 Additional Information on Notices and Hearings

History

• Status: repealed
• Authority G.S. 150B-38
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Repealed Eff. July 1, 2016.

21 NCAC 06C .0504 Written Answers to Notice

History

• Status: repealed
• Authority G.S. 150B-38
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Repealed Eff. July 1, 2016.

21 NCAC 06C .0601 Who Hears Contested Cases

History

• Status: repealed
• Authority G.S. 150B-40
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Repealed Eff. July 1, 2016.

21 NCAC 06C .0602 Appointment

History

• Status: repealed
• Authority G.S. 86A-25; 150A-32
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06C .0701 Location

History

• Status: repealed
• Authority G.S. 150B-38
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Repealed Eff. July 1, 2016.

21 NCAC 06C .0702 Alternative Locations

History

• Status: repealed
• Authority G.S. 86A-25; 150A-24
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06C .0801 Requirements for Intervention

History

• Status: repealed
• Authority G.S. 150B-38
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Repealed Eff. July 1, 2016.

21 NCAC 06C .0802 Permissive Intervention

History

• Status: repealed
• Authority G.S. 86A-25; 150A-23
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06C .0803 Discretionary Intervention

History

• Status: repealed
• Authority G.S. 86A-25; 150A-23
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06C .0804 Advisability

History

• Status: repealed
• Authority G.S. 86A-25; 150A-23
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06C .0805 Written Petition

History

• Status: repealed
• Authority G.S. 86A-25; 150A-23
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06C .0806 Petition for Intervention

History

• Status: repealed
• Authority G.S. 86A-25; 150A-23
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06C .0807 Allowance

History

• Status: expired
• Authority G.S. 150B-38
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Readopted Eff. July 1, 2016
• Expired Eff. May 1, 2025 pursuant to G.S. 150B-21.3A.

21 NCAC 06C .0808 Denial

History

• Status: repealed
• Authority G.S. 150B-38
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. July 1, 2016.

21 NCAC 06C .0901 Hearing Officer

History

• Status: repealed
• Authority G.S. 86A-25; 150A-25; 150A-32; 150A-33
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06C .0902 Conduct

History

• Status: repealed
• Authority G.S. 86A-25; 150A-25; 150A-32; 150A-33
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06C .0903 Bias of Board Member

If for any reason a member of the Board determines that personal bias or other factors precludes him or her from being able to hear a contested case and perform all duties in an impartial manner, he or she shall submit in writing to the Chairman his or her disqualification and the reasons therefore as required by Chapter 138A of the General Statutes.

History

• Authority G.S. 138A-36; 150B-38; 150B-40
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. June 1, 2008; May 1, 1989
• Readopted Eff. July 1, 2016.

21 NCAC 06C .0904 Bias Claimed by Party

History

• Status: repealed
• Authority G.S. 150B-40
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Repealed Eff. July 1, 2016.

21 NCAC 06C .0905 Affidavit of Disqualification

An affidavit of disqualification shall state all facts the party deems relevant to the disqualification of the member of the Board.

History

• Authority G.S. 150B-40
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Readopted Eff. July 1, 2016.

21 NCAC 06C .0906 Filing Affidavit

An affidavit of disqualification shall be considered timely if filed before commencement of the hearing.

History

• Authority G.S. 150B-40
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Readopted Eff. July 1, 2016.

21 NCAC 06C .0907 Disqualification

The members of the Board who are not challenged in an affidavit of disqualification shall decide whether to disqualify the person being challenged by the following procedural rules:

(1) The person whose disqualification is to be determined shall not participate in the decision but may be called upon to furnish information to the remaining members of the Board.

(2) The Chairman shall appoint a member of the Board or the Executive Director to investigate the allegations of the affidavit, if necessary.

(3) If appointed under Item (2) of this Rule, the investigator shall report his or her findings and recommendations to the remaining members of the Board, who shall then decide whether to disqualify the challenged individual.

History

• Authority G.S. 150B-40
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. September 1, 2013; May 1, 1989
• Readopted Eff. July 1, 2016.

21 NCAC 06C .0908 New Hearing

History

• Status: repealed
• Authority G.S. 86A-25; 150A-25; 150A-32; 150A-33
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06C .0909 Disqualification of Majority of Board

History

• Status: repealed
• Authority G.S. 150B-40
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Repealed August 1, 2016.

21 NCAC 06C .0910 Determination to Continue

History

• Status: repealed
• Authority G.S. 86A-25; 150A-33; 150A-34; 150A-37
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06C .0911 Records

History

• Status: repealed
• Authority G.S. 86A-25; 150A-33; 150A-34; 150A-37
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06C .0912 Complaints

(a) An individual who wishes to make a complaint alleging a violation of G.S. 86A or the Board's rules shall submit the complaint in writing to the address or through the website set forth in 21 NCAC 06A .0102.

(b) Upon receipt of a complaint, the Board's Executive Director shall review the complaint. The Executive Director shall assign a staff member to investigate the complaint, except for complaints that are dismissed as set forth in Paragraph (c) of this Rule.

(c) The Executive Director shall dismiss the complaint and notify the complainant if the complaint:

(1) lacks information, such as barbershop location or a description of the alleged conduct, necessary to investigate the complaint. Before dismissal, the Executive Director shall attempt to collect additional information from the complainant; or

(2) alleges conduct that is not prohibited by G.S. 86A or the Board's rules or is not within the Board's jurisdiction. The Executive Director shall refer the complaint to any other agency that may have jurisdiction.

(d) After conducting an investigation, the assigned staff member shall:

(1) recommend to the Executive Director that the Board counsel issue a probable cause letter for violations of G.S. 86A or the Board's rules; or

(2) recommend that the Executive Director dismiss the complaint because there is insufficient evidence of a violation of G.S. 86A or the Board's rules or the alleged conduct is not within the Board's jurisdiction.

(e) After receiving a recommendation required by Paragraph (d) of this Rule, the Executive Director shall:

(1) request additional investigation by the assigned staff member on a case-by-case basis when the recommendation does not contain facts to support the actions set forth in Subparagraphs (2) or (3) of this Paragraph;

(2) recommend that the Board counsel issue a probable cause letter for violations of G.S. 86A or the Board's rules; or

(3) dismiss the complaint and notify the complainant, except that the Executive Director shall refer the complaint to any other agency that may have jurisdiction.

(f) At each regularly scheduled Board meeting, the Executive Director shall submit to the Board a report of dismissed complaints that he or she has not previously reported, with a summary of the allegations and a justification for the dismissal. If the complaint was dismissed within 30 days of the Board meeting, the Executive Director may instead include the dismissal in the report for the Board meeting following the next regularly scheduled meeting.

(g) By a majority vote, the Board may reopen any complaint that the Executive Director has dismissed, in which case the complaint shall be handled as if the Executive Director had not dismissed the complaint.

History

• Authority G.S. 86A-5
• Eff. April 1, 2017
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06C .0913 Predeterminations for Individuals with Criminal Records

(a) An individual who wishes to request a predetermination under G.S. 93B-8.1(b6) shall submit a petition with the following:

(1) The person's full name;

(2) The person's social security number;

(3) The person's date of birth;

(4) The person's current address;

(5) A complete and accurate criminal history record from the Federal Bureau of Investigation;

(6) Three character references from individuals chosen by the petitioner;

(7) A notarized affirmation under oath that the information in the petition is accurate and true to the best of the petitioner's knowledge; and

(8) For each offense in the criminal history record, the following information:

(A) Whether the crime was a felony or misdemeanor;

(B) The date that the person was convicted of the offense;

(C) The sentence imposed for the crime;

(D) If the petitioner has completed the sentence, documentation from the appropriate court showing that the petitioner has met all court-imposed sentencing conditions or that records pertaining to the applicant either do not exist or have been purged;

(E) If the petitioner has not completed the sentence, either a statement written by the petitioner describing, or documentation from the sentencing court showing, the status of the petitioner's efforts toward meeting the sentencing requirements, including the expected date of completion;

(F) If applicable, evidence of a Certificate of Relief granted under G.S. 15A-173.2;

(G) If applicable, evidence of completion of or active participation in rehabilitative measures, such as drug or alcohol treatment, domestic-violence or anger-management counseling, or Drug Court programs; and

(H) A statement by petitioner that describes the circumstances surrounding the commission of the crime.

(b) The petition shall be accompanied by a non-refundable petition fee of forty-five dollars ($45.00).

(c) The Board delegates authority to make predeterminations to the Executive Director, who shall issue a response as required by G.S. 93B-8.1(b6).

History

• History: Authority G.S. 93B-8.1
• Eff. July 1, 2020.

Subchapter D

21 NCAC 06D .0101 Contested Case Hearings

History

• Status: repealed
• Authority G.S. 150B-38
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Repealed Eff. July 1, 2016.

21 NCAC 06D .0102 Alternatives of Hearing Officer

History

• Status: repealed
• Authority G.S. 86A-25; 150A-11(1); 150A-25; 150A-33
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06D .0103 Continuances

History

• Status: repealed
• Authority G.S. 86A-25; 150A-11(1); 150A-25; 150A-33
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06D .0104 Petition to Reopen

History

• Status: repealed
• Authority G.S. 86A-25; 150A-11(1); 150A-25; 150A-33
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06D .0105 Criteria for Reopening a Case

History

• Status: repealed
• Authority G.S. 86A-25; 150A-11(1); 150A-25; 150A-33
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06D .0201 Discretion to Hold Conference

History

• Status: repealed
• Authority G.S. 86A-25; 150A-11(1); 150A-23; 150A-31; 150A-33(5)
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06D .0202 Purposes

History

• Status: repealed
• Authority G.S. 86A-25; 150A-11(1); 150A-23; 150A-31; 150A-33(5)
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06D .0203 Nature of Conference

History

• Status: repealed
• Authority G.S. 86A-25; 150A-11(1); 150A-23; 150A-31; 150A-33(5)
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06D .0204 Notice of Pre-Hearing Conference

History

• Status: repealed
• Authority G.S. 86A-25; 150A-11(1); 150A-23; 150A-31; 150A-33(5)
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06D .0205 Simplification of Issues

History

• Status: repealed
• Authority G.S. 86A-25; 150A-11(1); 150A-23; 150A-31; 150A-33(5)
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06D .0301 Authority to Issue

History

• Status: repealed
• Authority G.S. 86A-25; 150A-23; 150A-25; 150A-27
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06D .0302 Issuance

History

• Status: repealed
• Authority G.S. 86A-25; 150A-23; 150A-25; 150A-27
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06D .0303 Service of Subpoenas

History

• Status: repealed
• Authority G.S. 86A-25; 150A-23; 150A-25; 150A-27
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06D .0304 Unreasonable Subpoenas

History

• Status: repealed
• Authority G.S. 86A-25; 150A-23; 150A-25; 150A-27
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06D .0305 Objections

History

• Status: repealed
• Authority G.S. 86A-25; 150A-23; 150A-25; 150A-27
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06D .0306 Statement of Reasons

History

• Status: repealed
• Authority G.S. 86A-25; 150A-23; 150A-25; 150A-27
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06D .0307 Service of Objections

History

• Status: repealed
• Authority G.S. 86A-25; 150A-23; 150A-25; 150A-27
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06D .0308 Responses to Objections

History

• Status: repealed
• Authority G.S. 86A-25; 150A-23; 150A-25; 150A-27
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06D .0309 Hearings on Subpoena Challenges

History

• Status: repealed
• Authority G.S. 86A-25; 150A-23; 150A-25; 150A-27
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06D .0310 Rulings

History

• Status: repealed
• Authority G.S. 86A-25; 150A-23; 150A-25; 150A-27
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06D .0401 Discovery of Information

History

• Status: repealed
• Authority G.S. 86A-25; 150A-28
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06D .0402 Failure to Submit to Discovery

History

• Status: repealed
• Authority G.S. 86A-25; 150A-28
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06D .0501 Use of Depositions

History

• Status: repealed
• Authority G.S. 86A-25; 150A-28
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06D .0502 Procedure for Taking a Deposition

History

• Status: repealed
• Authority G.S. 86A-25; 150A-28
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06D .0503 Rulings on Depositions

History

• Status: repealed
• Authority G.S. 86A-25; 150A-28
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

Subchapter E

21 NCAC 06E .0101 Hearing Officers

History

• Status: repealed
• Authority G.S. 86A-25; 150A-33; 150A-34
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06E .0102 Proposal for Decision

History

• Status: repealed
• Authority G.S. 86A-25; 150A-33; 150A-34
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06E .0103 Exceptions

History

• Status: repealed
• Authority G.S. 86A-25; 150A-33; 150A-34
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06E .0201 Form

History

• Status: repealed
• Authority G.S. 86A-25; 150A-23; 150A-25; 150A-37
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06E .0202 Records

History

• Status: repealed
• Authority G.S. 86A-25; 150A-23; 150A-25; 150A-37
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06E .0203 Substantial Prejudice

History

• Status: repealed
• Authority G.S. 86A-25; 150A-23; 150A-25; 150A-37
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06E .0204 Oral Arguments

History

• Status: repealed
• Authority G.S. 86A-25; 150A-23; 150A-25; 150A-37
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06E .0205 Notice

History

• Status: repealed
• Authority G.S. 86A-25; 150A-23; 150A-25; 150A-37
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

Subchapter F

21 NCAC 06F .0101 Physical Structure

(a) For the purpose of this Rule, "practical area" means the area of the school where barbering services are provided.

(b) The physical structure of barber schools in North Carolina shall conform to the following criteria:

(1) be a minimum of 14 linear feet wide;

(2) be equipped with a minimum of five barber chairs for barber schools within jail or prison facilities or 10 barber chairs for all other schools, and these chairs shall meet the sanitary conditions required by G.S. 86A-15(a)(2);

(3) have a minimum of 896 square feet in the practical area;

(4) have an additional 70 square feet in the practical area for each additional barber chair over 10 chairs;

(5) have at least five linear feet of space between each chair, center to center;

(6) have no more than two students enrolled per barber chair;

(7) be equipped with toilet facilities with hand-washing sink or basin;

(8) have concrete or wood floors covered with smooth, nonporous materials;

(9) have instructional materials, such as blackboard space or slide programs;

(10) have a workstand, with a mounted mirror with minimum dimensions of 36 inches tall and 20 inches wide, for each barber chair in the practical area, constructed of material that can be washed and cleansed;

(11) have the solutions and containers required by G.S. 86A-15(a)(2)(a) located at the workstand identified in Subparagraph (b)(10) of this Rule;

(12) have a tool cabinet for each barber chair, with a door to limit exposure of the tools to the open air;

(13) have a towel cabinet, or other method of storage, so that clean towels are stored separate from used towels;

(14) have at least one functional sink or lavatory, with hot and cold water, for each two barber chairs, located within seven unobstructed linear feet of each barber chair. This sink distance requirement does not apply to schools permitted on or before September 1, 2009;

(15) have the school separate from any other place or type of business, except for a business allowed by G.S. 86A-15(a)(1)(b), by a wall of ceiling height;

(16) have a classroom area, separate from the practical area, with desk chairs sufficient to serve the number of students enrolled, and a desk and chair for the instructors;

(17) have a means for electronic recordation of student hours;

(18) have a sign displayed in each practical area of the school stating that all barbering services are performed by students; and

(19) have a bulletin board hanging in each classroom area with a posting of the rules in this Subchapter and the minimum school curricula as set forth in 21 NCAC 06F .0120.

This Paragraph applies to barber schools permitted on or after December 1, 1994 or which undergo structural renovations after that date, except as specified in Paragraph (b)(14) of this Rule.

(c) All barber schools seeking a new permit shall receive a satisfactory building inspection by the jurisdiction having authority prior to obtaining a shop inspection pursuant to 21 NCAC 06L .0105.

History

• Authority G.S. 86A-5; 86A-13; 86A-15; 86A-22
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. September 1, 2013; October 1, 2009; June 1, 2008; December 1, 1994; May 1, 1989
• Readopted Eff. July 1, 2016
• Amended Eff. April 1, 2022; August 1, 2018.

21 NCAC 06F .0102 Manager

(a) Each barber school shall designate one of the instructors required by G.S. 86A-22(2) as the school manager.

(b) The barber school manager is responsible for the school's compliance with G.S. 86A-15 and the rules in this Subchapter, whether present on the school premises or not.

History

• Authority G.S. 86A-15; 86A-22
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. April 1, 2010; May 1, 1989; March 1, 1983
• Readopted Eff. July 1, 2016
• Amended Eff. January 1, 2018
• RRC objection due to lack of statutory authority Eff. April 20, 2023.

21 NCAC 06F .0103 Filing

(a) Each barber school shall file with the Board the name of the manager of the school.

(b) When a change in the management of a barber school occurs, the school shall report the change at least 30 days before the change is effective, except in emergencies, such as termination of a manager. If such change is due to an emergency, the filing shall be made not later than 10 days after the change of management has occurred.

History

• Authority G.S. 86A-22
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. June 1, 2008; May 1, 1989; March 1, 1983
• Readopted Eff. July 1, 2016.

21 NCAC 06F .0104 Instructors

(a) At least one barber instructor shall supervise students engaged in barbering activities at all times.

(b) Barber instructors shall barber only for the purpose of instruction or demonstration while on the premises of the barber school.

(c) All course work as outlined under 21 NCAC 06F .0120 shall be taught by a certified barber instructor.

History

• Authority G.S. 86A-22; 86A-23
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. September 1, 2009; June 1, 2008; May 1, 1989
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06F .0105 Qualifications

History

• Status: repealed
• Authority G.S. 86A-18; 86A-22; 86A-25
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 06F .0106 Conduct of Managers and Instructors

History

• Status: repealed
• Authority G.S. 86A-18; 86A-22; 86A-25
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 06F .0107 Student Permits

History

• Status: repealed
• Authority G.S. 86A-18; 86A-22; 86A-25
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 06F .0108 Re-Examination

History

• Status: repealed
• Authority G.S. 86A-25
• Eff. February 1, 1976
• Repealed Eff. February 8, 1978.

21 NCAC 06F .0109 Re-Entering School

A new application for a student permit shall be filed with the Board for:

(1) each student who drops out and later re-enrolls in a barber school; and

(2) any barber re-enrolling in barber school for additional instruction.

History

• Authority G.S. 86A-22(3)
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Readopted Eff. July 1, 2016.

21 NCAC 06F .0110 Roster and Student Records

Each barber school shall:

(1) maintain an up-to-date written roster system that shall be used to ensure that each student serves substantially equal numbers of patrons for practical work;

(2) maintain a record of each student, including a weekly record of the number of days and hours the student attended classes in practical work and theory;

(3) maintain a separate daily record of the number of patrons the student served for haircuts, shaves, and other barbering services;

(4) maintain a weekly record of the subject matter taught to the student in theory classes;

(5) submit the Form BAR-10 as required by 21 NCAC 06N .0111;

(6) provide to the Board the list of students required by G.S. 86A-22(5) by the 15th day of each month; and

(7) maintain the signed acknowledgment required by 21 NCAC 06F .0116.

History

• Authority G.S. 86A-22
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. April 1, 2010; June 1, 2008; May 1, 1989; March 1, 1983
• Readopted Eff. September 1, 2016.

21 NCAC 06F .0111 Copies of Barber School Records

(a) Barber schools shall furnish to the Board copies of all records or reports the schools are required to keep, either by the North Carolina General Statutes or by the rules of the Board, including time sheets for instructors to verify compliance with 21 NCAC 06F .0104.

(b) A school shall not refuse to submit any required records or reports due to a dispute or unfulfilled obligation with a student, instructor, or third party.

History

• Authority G.S. 86A-22
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. September 1, 2009; June 1, 2008; May 1, 1989
• Readopted Eff. July 1, 2016.

21 NCAC 06F .0112 Enrollment Standards

History

• Status: repealed
• Authority G.S. 86A-22; 86A-25
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 06F .0113 Student Permit

(a) The barber school shall submit an application as required by 21 NCAC 06N .0104 for a student permit to the Board at an address listed in 21 NCAC 06A .0102.

(b) The Board shall issue the student permit within:

(1) Five business days for applications submitted online; or

(2) Ten calendar days for applications submitted by mail or in person.

(c) A student cannot be enrolled in the school until the Board issues the student permit. The student shall receive no credit for training received in barber school until a student permit has been issued for the student.

(d) Within five business days of the date on which any student completes his or her course of study, drops out of school, or transfers to another school, the barber school shall return the student permit to the Board.

(e) The Board issues a student permit only for the specific application. Once a student permit is issued, the Board shall not refund the fee.

History

• Authority G.S. 86A-22
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. June 1, 2008; May 1, 1989; March 1, 1983
• Readopted Eff. July 1, 2016
• Amended Eff. April 1, 2019.

21 NCAC 06F .0114 Signatures on Reports

History

• Status: repealed
• Authority G.S. 86A-22
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. December 1, 1994; May 1, 1989
• Repealed Eff. July 1, 2016.

21 NCAC 06F .0115 Physician's Certificate

History

• Status: repealed
• Authority G.S. 86A-22(3)
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 06F .0116 Students with Criminal Records

Prior to enrollment and the acceptance of any enrollment fee or tuition, the barber school shall notify the applicant of the statutes regarding criminal convictions in G.S. 86A-18 and G.S. 93B-8.1 and have the applicant sign and date the notice indicating that the applicant has been so informed.

History

• Authority G.S. 86A-18; 86A-22; 93B-8.1
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Legislative Objection Lodged Eff. March 7, 1983
• Amended Eff. September 1, 2013; April 1, 2010; May 1, 1989
• Readopted Eff. October 1, 2016.

21 NCAC 06F .0117 Penal Institutions

History

• Status: repealed
• Authority G.S. 86A-22
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 06F .0118 Fees

History

• Status: repealed
• Authority G.S. 86A-25
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. July 1, 2016.

21 NCAC 06F .0119 Intrastate Transfers

Students attending barber schools that qualify under Chapter 86A of the North Carolina General Statutes and the rules in this Subchapter may transfer from one school to another and receive credit for the attendance at each of the schools where the student was enrolled.

Readopted Eff. July 1, 2016.

History

• Authority G.S. 86A-22(5)
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989; March 1, 1983

21 NCAC 06F .0120 Barber School Curricula

(a) The following categories and courses shall comprise the minimum course work for all students at barber schools:

Hours

Classroom Lecture and Study Periods:

Hygiene and Good Grooming, Professional Ethics 25

Bacteriology, Sterilization, Sanitation 50

Implements, Honing, Stropping, and Shaving 30

Men's Haircutting 20

Cutting and Styling Curly Hair, Mustaches, and Beards 10

Shampooing and Rinsing, Scalp and Hair Treatments 10

Theory of Massage and Facial Treatments 5

Men's Razor Cutting, Women's Razor, and Shear Cutting 30

Finger Waving Men's Hair, Air Waving, and Curling Iron Techniques 5

Permanent Waving For Men, Chemical Hair Relaxing, and Blow Drying 25

Hair Coloring 10

Men's Hair Pieces 5

The Skin, Scalp, and Hair 30

Disorders of the Skin, Scalp, and Hair 15

Anatomy and Physiology 10

Electricity Therapy, Light Therapy, and Chemistry 10

Barber Styling, Shop Management, and Product Knowledge 70

Licensing Laws and Rules and History of Barbering 20

Supervised Practice in Barbering:

Shampooing and Scientific Hair and Scalp Treatments 55

Shaving 50

Tapered Hair Cutting 250

Hair Styling of Men and Women 400

Facials, Massages, and Packs 10

Bleaching, Frosting, Hair Coloring, and Body Permanents 90

Cutting and Fitting Hair Pieces 5

Hair Straightening 5

The Analyzing and Treatment of Hair and Skin Disorders 10

Lectures and Demonstrations on Practical Work:

Shampooing and Scientific Hair and Scalp Treatments 15

Shaving 20

Tapered Hair Cutting 70

Hair Styling of Men and Women 100

Facials, Massages, and Packs 5

Bleaching, Frosting, Hair Coloring, and Permanent Waving 30

Cutting and Fitting Hair Pieces 5

Hair Straightening 3

The Analyzing and Treating of Hair and Skin Disorders 10

Men's and Women's Razor Cutting 15

Total Hours 1528

(b) Barber schools shall offer no more than the following hours through online classes based on the curriculum set forth in Paragraph (a) of this Rule:

Hours

Classroom Lecture and Study Periods: 380

Supervised Practice in Barbering:

Tapered Hair Cutting 25

Hair Styling of Men and Women 34

Bleaching, Frosting, Hair Coloring, and Body Permanents 35

Lectures and Demonstrations on Practical Work:

Shampooing and Scientific Hair and Scalp Treatments 8

Shaving 5

Tapered Hair Cutting 20

Hair Styling of Men and Women 50

Bleaching, Frosting, Hair Coloring, and Permanent Waving 5

The Analyzing and Treating of Hair and Skin Disorders 7

Men's and Women's Razor Cutting 7

Total Online Hours 576

(c) All barber schools shall use course books and training materials specifically created for the purpose of teaching barbering skills. Unless the course book or training material has separate and distinct sections covering the practice of barbering, cosmetology course books and training materials are not acceptable.

(d) Through December 31, 2021, barber schools may offer all hours listed in Paragraph (a) of this Rule through online classes, Paragraph (b) of this Rule notwithstanding.

History

• Authority G.S. 86A-22(1); 86A-22(4)
• Eff. March 1, 1983
• Amended Eff. June 1, 2008; May 1, 1989
• Readopted Eff. July 1, 2016
• Amended Eff. April 1, 2021
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06F .0121 Penal Institutions

(a) The Board may enter into memoranda of understanding or other agreements with the North Carolina Department of Adult Correction for the approval of schools of barbering at penal institutions within North Carolina.

(b) Schools operated by the Department of Adult Correction shall comply with all rules in this Subchapter; however, they are exempt from the requirements of Rule .0101(b)(7) and (11) of this Section.

History

• Authority S.L. 2022-72, s. 2
• Eff. June 1, 2008
• Readopted Eff. July 1, 2016
• Amended Eff. February 1, 2023.

21 NCAC 06F .0122 Uniforms and Identification

All students shall wear a clean, washable uniform, smock, or similar professional attire along with a nametag at all times during instructional hours.

History

• Authority G.S. 86A-22
• Eff. September 1, 2009
• Readopted Eff. July 1, 2016.

21 NCAC 06F .0123 Records of Student Hours

Each student shall use an electronic means to record instructional hours pursuant to Rule .0124 of this Section. The school shall maintain student time data for one year following the individual student's graduation, transfer to another school, or termination of enrollment. Individual student time data shall be available for review by the Board.

History

• Authority S.L. 2022-72, s. 2
• Eff. September 1, 2009
• Readopted Eff. July 1, 2016
• Amended Eff. February 1, 2023.

21 NCAC 06F .0124 Student Hours

(a) No student shall be given credit for more than eight total hours during any instruction day.

(b) Students shall record their start time by electronic means upon entering the school for practical or theory hours. Students shall not record any period of break from instruction, even if remaining on school premises.

(c) In meeting the minimum course work and designated barber school curricula required by Rule .0120 of this Section, no student shall be given credit for more than eight hours per month and 40 hours for the duration of enrollment in the school that were obtained by instruction or demonstration off school premises or from a field trip, except for hours received through online classes allowed under Rule .0120 of this Subchapter.

History

• Authority G.S. 86A-22
• Eff. September 1, 2009
• Readopted Eff. July 1, 2016
• Amended Eff. April 1, 2021.

21 NCAC 06F .0125 School Handbooks and Enrollment Agreements

(a) Every school shall provide a school handbook to its students upon enrollment containing the enrollment agreement, tuition fee schedule, any monetary penalties and fees, reimbursement policies, school rules and regulations, tardiness and absenteeism policies, a syllabus or list of the school curricula containing the minimum hours for each subject matter to be taught in accordance with Rule .0120 of this Section, and the grading system for said curricula.

(b) A copy of the school handbook shall be submitted to the Board. An updated copy of the handbook shall be re-submitted to the Board following any amendment or revision.

History

• Authority G.S. 86A-22
• Eff. September 1, 2009
• Readopted Eff. July 1, 2016.

21 NCAC 06F .0126 Extended Education

For the purposes of this Rule, "extended education" is additional coursework beyond the 1,528 hours required to complete barber school, or to initially obtain a license from the North Carolina Board of Barber and Electrolysis Examiners.

(1) When a barber school wishes to provide extended education, the school shall:

(a) Submit a proposed curriculum or syllabus that:

(i) describes the purpose of the instruction;

(ii) indicates how many students are expected to participate in the instruction;

(iii) states where the instruction would be provided; and

(iv) states how many hours of instruction are required or will be provided in the course of instruction;

(b) Identify the instructors providing the instruction; and

(c) Submit samples of the advertising or promotion for the program.

(2) After the instruction has been approved, the barber school shall notify the Board if there are any changes to the instruction, including suspension or discontinuation the class.

(3) Upon approval, the course offering shall be subject to review of the barber school by the Board inspector. The inspector shall evaluate:

(a) Whether the school maintains accurate records as to the individuals in the class and the number of hours in the class;

(b) The presentation of the class;

(c) Whether the class is offered in classrooms for practical and academic instruction that meet the requirements of Rule .0101 of this Section; and

(d) Whether the class complies with the requirements of other barber school instruction.

History

• Authority S.L. 2022-72, s. 2
• Eff. July 1, 2016
• Amended Eff. February 1, 2023.

21 NCAC 06F .0127 State Authorization as a Postsecondary Institution

(a) If a barber school seeks to be authorized by the Board as a postsecondary educational institution as set forth in 34 C.F.R. 600.9:

(1) the school handbooks and enrollment agreements required by 21 NCAC 06F .0125 shall require prospective students to have a high school diploma or equivalent; and

(2) the school shall submit a copy of the student's high school diploma or equivalency documentation with each Form BAR-3 required by 21 NCAC 06N .0104 as set forth in 21 NCAC 06F .0113.

(b) If a barber school meets the requirements set forth in Paragraph (a) of this Rule, the Board shall include the phrase "Postsecondary Institution" on the barber school permit issued under G.S. 86A-13. If the school already holds a school permit issued by the Board, the Board shall issue the permit with the phrase "Postsecondary Institution" at no additional cost, and the school shall relinquish the permit without the phrase to the Board.

(c) The Board shall determine that a school no longer complies with Paragraph (a) based on an inspection or investigation, notification to the Board by the school, or a failure by the school to comply with Paragraph (a)(2) of this Rule. If the Board makes this determination:

(1) the Board shall issue at no charge a duplicate copy of the permit without the phrase "Postsecondary Institution";

(2) the school shall relinquish to the Board the permit with the phrase "Postsecondary Institution"; and

(3) the Board shall notify the federal Department of Education of the school's change in postsecondary status.

(d) This Rule shall not be construed to authorize the Board to delay issuing a permit without the phrase "Postsecondary Institution" to a school that otherwise meets the requirements of the North Carolina General Statutes and the rules of the Board.

History

• Authority G.S. 86A-13; 86A-22; 20 U.S.C. 1001; 20 U.S.C. 1002; 34 C.F.R. 600.9
• Eff. January 1, 2017
• Amended Eff. April 1, 2019.

21 NCAC 06F .0128 Waiver of Requirements During Disaster or Emergency

(a) If the Governor declares a state of emergency, the following exceptions shall apply to barber schools and students:

(1) Schools shall maintain a monthly record of the subject matter taught to the student in theory classes, the requirement in Rule .0110(4) of this Subchapter for a weekly record notwithstanding.

(2) Schools shall provide to the Board the list of students required by G.S. 86A-22(5) by the last day of each month, the requirement in Rule .0110(6) of this Subchapter for schools to submit the list by the 15th of each month notwithstanding.

(3) Within 60 days of the date on which any student completes his or her course of study, drops out of school, or transfers to another school, the barber school shall return the student permit to the Board, the requirement in Rule .0113(d) of this Subchapter to return the student permit within five business days notwithstanding.

(4) Students shall not be required to meet the requirements in Rule .0122 of this Subchapter if the students are attending online classes.

(5) No student shall be given credit for more than 10 total hours during any instruction day, the restriction to eight hours in Rule .0124(a) of this Subchapter notwithstanding.

(6) The restrictions on off-campus hours in Rule .0124(c) of this Subchapter shall not apply to hours that students receive during a state of emergency.

(7) Schools shall not be required to revise the handbooks required by Rule .0125 of this Subchapter to reflect the exceptions listed in this Rule.

(b) The exceptions in this Rule shall only apply through the duration of the state of emergency.

History

• Authority G.S. 86A-22
• Emergency Adoption Eff. March 27, 2020
• Temporary Adoption Eff. June 1, 2020
• Eff. February 1, 2021.

21 NCAC 06F .0129 Requirements for Barber School Instructors During Pandemic

History

• Status: expired
• Authority S.L. 2020-3, s. 4.38.(b)
• Emergency Adoption Eff. May 19, 2020, to expire pursuant to S.L. 2020-3, s. 4.38.(e)
• Emergency Adoption Expired Eff. August 1, 2020 pursuant to S.L. 2020-3, s. 4.38.(e).

Subchapter G

21 NCAC 06G .0101 Experience

History

• Status: repealed
• Authority G.S. 86A-22(2); 86A-23(a); 86A-25
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 06G .0102 Application

History

• Status: repealed
• Authority G.S. 86A-22(2); 86A-23(a); 86A-25
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 06G .0103 Instructor Examination

(a) A prospective instructor of barbering shall make a grade of at least 80 percent on both parts (written and practical) of the instructor's examination before being certified.

(b) If any applicant to be licensed as a barber school instructor fails one portion of the examination, but passes the other portion, he or she may take and pass the failed portion within six months of the notification of failure. If the failed portion is not passed within six months of the notification of failure, the applicant shall take all parts of the examination again.

History

• Authority G.S. 86A-23
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989; March 1, 1983
• Readopted Eff. July 1, 2016.

21 NCAC 06G .0104 Permission to Instruct

History

• Status: repealed
• Legislative Objection Lodged (.0004) Eff. March 7, 1983
• Statutory Authority G.S. 86A-22; 86A-23; 86A-25
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 06G .0105 Student-Instructor Ratio

History

• Status: repealed
• Legislative Objection Lodged (.0004) Eff. March 7, 1983
• Statutory Authority G.S. 86A-22; 86A-23; 86A-25
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 06G .0106 Instructor Application

To become a registered barber instructor an applicant shall furnish the Board with the Form BAR-6 as set forth in 21 NCAC 06N .0107 and pay the fee in 21 NCAC 06N .0101(a)(11).

History

• Authority G.S. 86A-23(a); 86A-25
• Eff. October 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

Subchapter H

21 NCAC 06H .0101 Duties and Responsibilities

(a) Barber school managers shall:

(1) file for a school permit at least 30 days before opening the school for business;

(2) ensure that all students are instructed;

(3) ensure compliance with the North Carolina General Statutes governing barber schools and barbering and the administrative rules of the Board.

(b) A barber school manager shall have 30 days to fill a vacancy to ensure compliance with G.S. 86A-22(2).

(c) Managers of schools that are organized as nonprofits, have obtained a determination from the Internal Revenue Service recognizing their tax-exempt status, and wish to have the lower number of instructors allowed under G.S. 86A-22 shall provide to the Board a copy of the Internal Revenue Service determination before offering instruction with the reduced number of instructors.

History

• Authority G.S. 86A-13; 86A-15; 86A-22
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. September 1, 2013; June 1, 2008; May 1, 1989; March 1, 1983
• Readopted Eff. July 1, 2016
• RRC objection due to lack of statutory authority Eff. April 20, 2023.

21 NCAC 06H .0102 Student-Instructor Ratio

History

• Status: repealed
• Authority G.S. 86A-22
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Legislative Objection Lodged Eff. March 7, 1983
• Curative Amended Eff. April 6, 1983
• Amended Eff. February 1, 1996; May 1, 1989
• Repealed Eff. August 1, 2016.

Subchapter I

21 NCAC 06I .0101 Credit for Out-of-State Training

The Board may grant a student credit hours for training in a barber school in another state if the Board determines that:

(1) the school is accredited by the National Accrediting Commission of Career Arts and Sciences;

(2) if required by the state in which the school is located, the school has a current license; and

(3) based on a certified transcript submitted by the student, the hours are for topics set forth in 21 NCAC 06F .0120(a).

History

• Authority G.S. 86A-15(b)
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Readopted Eff. October 1, 2016.

21 NCAC 06I .0102 Credit

History

• Status: repealed
• Authority G.S. 86A-25
• Eff. February 1, 1976
• Repealed Eff. February 8, 1978.

21 NCAC 06I .0103 Attendance

History

• Status: repealed
• Authority G.S. 86A-25
• Eff. February 1, 1976
• Repealed Eff. February 8, 1978.

21 NCAC 06I .0104 Full-Time Attendance

History

• Status: repealed
• Authority G.S. 86A-25
• Eff. February 1, 1976
• Repealed Eff. February 8, 1978.

21 NCAC 06I .0105 Apprentice Barber

A student who has trained in another state may take the examination to become a registered apprentice barber provided:

(1) his or her hours of training in the out-of-state barber school have been credited under Rule .0101of this Subchapter;

(2) he or she completes and furnishes to the Board the Form BAR-4 that meets the requirements of 21 NCAC 06N .0105; and

(3) he or she pays the required fee in 21 NCAC 06N .0101(a)(6).

History

• Authority G.S. 86A-5; 86A-18; 86A-24; 86A-25
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Legislative Objection Lodged Eff. March 7, 1983
• Amended Eff. September 1, 2013; June 1, 2008; May 1, 1989
• Readopted Eff. October 1, 2016
• Amended Eff. April 1, 2017
• RRC objection due to lack of statutory authority Eff. April 20, 2023
• Amended Eff. May 2, 2023.

Subchapter J

21 NCAC 06J .0101 Licensed Apprentice

A registered apprentice shall:

(1) attend an approved barber school for a period of at least 1,528 hours as set forth in 21 NCAC 06F .0120;

(2) furnish the Board with the Form BAR-4 as set forth in 21 NCAC 06N .0105 and pay the fee according to 21 NCAC 06N .0101(a)(6); and

(3) make a score of at least 70 percent on both a written and practical apprentice examination.

History

• Authority G.S. 86B-23; 86B-26; 86B-40; 86B-41
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Legislative Objection Lodged Eff. March 7, 1983
• Amended Eff. September 1, 2013; June 1, 2008; May 1, 1989
• Readopted Eff. October 1, 2016
• RRC objection due to lack of statutory authority Eff. April 20, 2023
• Amended Eff. May 2, 2023.

21 NCAC 06J .0102 Forfeiture of Fee

History

• Status: repealed
• Authority G.S. 86A-24; 86A-25; 93B-15
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. April 1, 2010; February 1, 1996; December 1, 1994; May 1, 1989
• Repealed Eff. July 1, 2016.

21 NCAC 06J .0103 Renewal as Registered Apprentice; Waiver

History

• Status: repealed
• Authority G.S. 86A-24; 86A-25; 93B-15
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. April 1, 2010; February 1, 1996; December 1, 1994; May 1, 1989
• Repealed Eff. July 1, 2016.

21 NCAC 06J .0104 Certificate Addresses

History

• Status: repealed
• Authority G.S. 86A-25
• Eff. February 1, 1976
• Repealed Eff. February 8, 1978.

21 NCAC 06J .0105 Physician's Certificate

History

• Status: repealed
• Authority G.S. 86A-22(3)
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 06J .0106 Student Permission to Barber

History

• Status: repealed
• Authority G.S. 86A-11
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989
• Repealed Eff. July 1, 2016.

21 NCAC 06J .0107 Validity of Physician's Certificate

History

• Status: repealed
• Authority G.S. 86A-22(3)
• Eff. March 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 06J .0108 Examination

If any applicant to be licensed as an apprentice barber fails either the written or practical portion of the examination, he or she shall take and pass the failed portion within six months of the notification of failure. If the failed portion is not passed within six months of the notification of failure, the applicant shall take both portions of the examination again.

History

• Authority G.S. 86A-24
• Eff. March 1, 1983
• Amended Eff. May 1, 1989
• Readopted Eff. July 1, 2016.

21 NCAC 06J .0109 Identification

All apprentice barbers and student barbers with temporary permits shall maintain their license as defined in 21 NCAC 06P .0103(7) in their possession at all times while performing barbering services. The individual shall produce the identification to the Board's Executive Director or inspector upon request.

History

• Authority G.S. 86A-1; 86A-10
• Eff. June 1, 2008
• Readopted Eff. July 1, 2016.

21 NCAC 06J .0110 Notification of Address Change

All apprentice barbers and student barbers with temporary permits shall notify the Board within 60 days of any change in their permanent mailing address.

History

• Authority G.S. 86A-11; 86A-24
• Eff. September 1, 2009
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

Subchapter K

21 NCAC 06K .0101 Registered Barber

To become a registered barber, an applicant shall:

(1) meet the qualifications in G.S. 86A-3;

(2) furnish the Board with Form BAR-5 as set forth in 21 NCAC 06N .0106 and pay the fee according to 21 NCAC 06N .0101; and

(3) make a score of at least 70 percent on the clinical portion of the registered barber examination.

History

• Authority G.S. 86A-3; 86A-25
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Legislative Objection Lodged Eff. March 7, 1983
• Curative Amended Eff. April 6, 1983
• Amended Eff. June 1, 2008; May 1, 1989
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06K .0102 Certificate of Registration

History

• Status: repealed
• Authority G.S. 86A-25
• Eff. February 1, 1976
• Repealed Eff. February 8, 1978.

21 NCAC 06K .0103 Forfeiture of Fee

History

• Status: repealed
• Authority G.S. 86A-25
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. February 1, 1996; December 1, 1994; May 1, 1989
• Repealed Eff. July 1, 2016.

21 NCAC 06K .0104 Out-of-State Applicants

An applicant who is licensed as a barber in another state and who wants to apply to become registered as a barber in this State shall establish his or her out-of-state license and experience and provide:

(1) the Form BAR-8 as set forth in 21 NCAC 06N .0109 and the required fee as set forth in 21 NCAC 06N .0101(a)(21); and

(2) a certified statement from the applicant's out-of-state Board stating the following:

(a) the applicant's length of licensure in that state;

(b) whether such licensure has been continuous or has been interrupted by periods when the applicant was not licensed in the state;

(c) the reasons for any such interruptions in licensure; and

(d) whether or not there have been any disciplinary actions against the applicant's license.

History

• Authority G.S. 86A-12; 86A-25
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Legislative Objection Lodged Eff. March 7, 1983
• Amended Eff. September 1, 2013; May 1, 1989
• Readopted Eff. October 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06K .0105 In-State Apprentice Requirements

History

• Status: repealed
• Authority G.S. 86A-25
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06K .0106 Permission to Work

History

• Status: repealed
• Authority G.S. 86A-25
• Eff. February 1, 1976
• Repealed Eff. February 8, 1978.

21 NCAC 06K .0107 Barber Demonstrations

History

• Status: repealed
• Authority G.S. 86A-25
• Eff. February 1, 1976
• Repealed Eff. February 8, 1978.

21 NCAC 06K .0108 Out-of-State Applicants

History

• Status: repealed
• Authority G.S. 86A-25
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. March 1, 1983.

21 NCAC 06K .0109 Acceptance

History

• Status: repealed
• Authority G.S. 86A-25
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Repealed Eff. May 1, 1989.

21 NCAC 06K .0110 Identification

All registered barbers shall maintain their permit as defined in 21 NCAC 06P .0103(7) in their possession at all times while performing barbering services. The individual shall produce the identification to the Board's Executive Director or inspector upon request.

History

• Authority G.S. 86A-1; 86A-10
• Eff. June 1, 2008
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06K .0111 Notification of Change of Address

All registered barbers shall notify the Board within 60 days of any change in their permanent mailing address.

History

• Authority G.S. 86A-5; 86A-10; 86A-21
• Eff. September 1, 2009
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06K .0112 Applicants with Military Training and Expertise

(a) Except for individuals who want to apply under G.S. 86A-12 for licensure as a registered barber, an individual who has military training and expertise and wants to apply to become a registered barber in this State shall:

(1) meet the requirements of G.S. 93B-15.1(a) or (a2); and

(2) submit the Form BAR-11 as set forth in 21 NCAC 06N .0112.

(b) The applicant shall submit with the Form BAR-11 a certification letter from the applicant's out-of-state agency of the applicant's licensure in that state if the following apply:

(1) the applicant has been licensed in another state;

(2) the applicant wants to be licensed without examination;

(3) the military service records do not show that the applicant received at least 1,500 hours of military training and that the applicant practiced at least two of the five years preceding the date of application; and

(4) the combination of the certification letter and the military service records show that the applicant received at least 1,500 hours of training and practiced at least two of the five years preceding the date of application.

(c) If the applicant meets the requirements in Paragraph (a) of this Rule and G.S. 93B-15.1(a2), the applicant shall:

(1) submit the fee as set forth in 21 NCAC 06N .0101(a)(4); and

(2) make a score of at least 70 percent on the clinical examination.

(d) After being approved under this Rule, the applicant shall submit the following fee:

(1) if the applicant meets the requirements of this Rule for licensure without examination, the fee as set forth in 21 NCAC 06N .0101(a)(21); or

(2) if the applicant meets the requirements of Paragraph (c) of this Rule, the fee as set forth in 21 NCAC 06N .0101(a)(1).

(e) The Board shall issue a temporary permit for the applicant to work as a registered barber while he or she complies with the requirements of this Rule under the following circumstances:

(1) if the applicant has submitted the Form BAR-11 and part of the documentation required by 21 NCAC 06N .0112(a)(2), and this partial documentation establishes that he or she served in the military and has certification or experience in barbering, the Board shall issue a temporary permit that lasts 90 days or until the Board denies the application, whichever is earlier; or

(2) if the applicant is required to take the practical examination and has met the requirements in Paragraph (a) and Subparagraph (c)(1) of this Rule, the Board shall issue a temporary permit that last 90 days or until the Board denies the application, whichever is earlier. Upon written request by the applicant, this temporary permit shall be extended for 90 days no more than twice, unless the Board denies the application.

History

• Authority G.S. 86A-1; 86A-11; 86A-12; 86A-25; 93B-15.1
• Eff. April 1, 2017
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06K .0113 Military spouses

(a) An individual who is currently licensed as a barber in another state, is the spouse of a person serving in the military, and wants to apply to become a registered barber in this State shall provide the following, unless he or she wants to apply under another provision in G.S. 86A for licensure as a registered barber:

(1) the Form BAR-12 as set forth in 21 NCAC 06N .0113; and

(2) a certification letter from the applicant's out-of-state agency of the applicant's licensure in that state.

(b) The applicant shall instead apply for out-of-state licensure under G.S. 86A-12 and Rule .0104 of this Section if the certification letter required by Subparagraph (a)(2) of this Rule does not show that the applicant:

(1) completed at least 1,500 hours of barber school training; and

(2) has been licensed as a barber for at least one of the five years preceding the date of application.

(c) After being approved under this Rule, the applicant shall submit the fee set forth in 21 NCAC 06N .0101(a)(21).

(d) Upon request by the applicant, the Board shall issue one temporary permit for the applicant to work as a registered barber for 90 days while the applicant gathers the documents required by this Rule.

History

• Authority G.S. 86A-1; 86A-3; 86A-11; 86A-12; 86A-25; 93B-15.1
• Eff. April 1, 2017
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

Subchapter L

21 NCAC 06L .0101 Residential Building

History

• Status: repealed
• Authority G.S. 86A-25
• Eff. February 1, 1976
• Repealed Eff. February 8, 1978.

21 NCAC 06L .0102 Measurements of Barber Shop

(a) Each barber shop shall be a minimum of 196 square feet measured from the inside walls of the shop, not including common areas shared with other businesses or residents.

(b) Each chair shall be located in an area where there is no less than eight linear feet from front wall to back wall, measured through the center of the chair, with the back wall being the wall or plane to which the backstand is affixed. There shall be a minimum of five linear feet of space between each barber chair, from center to center of each chair and there shall be no less than three linear feet from the center of any chair to any side wall. There shall be an unobstructed aisle in front of each chair of no less than four feet.

(c) Paragraphs (a) and (b) apply to barber shops permitted on or after December 1, 1994 or that undergo modification or structural renovations on or after that date.

(d) Barber shops permitted prior to February 1, 1976, shall be a minimum of 12 feet in width and 14 feet in length.

(e) Barber shops permitted between February 1, 1976 and November 30, 1994 shall be a minimum of 14 feet in width and 14 feet in length.

(f) Barber shops permitted within the North Carolina Department of Public Safety, Division of Adult Correction and Juvenile Justice prior to July 1, 2010 are exempt from the requirements of this Rule.

History

• Authority G.S. 86A-15
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. September 1, 2009; June 1, 2008; December 1, 1994; May 1, 1989
• Readopted Eff. July 1, 2016
• Amended Eff. April 1, 2017.

21 NCAC 06L .0103 Equipment

(a) Each barber shall have a cabinet for barbering equipment. The cabinets shall be constructed of material that may be cleaned.

(b) Each shop shall have smooth finished walls and floors.

(c) Each barber chair shall be covered with a smooth, non-porous surface, such as vinyl or leather, which is easily cleaned as required by G.S. 86A-15(a)(2)(c).

(d) Each shop shall have within the shop or building functioning toilet facilities for employees and patrons.

(e) Each barber shop shall have a cabinet, or other method of storage, such that clean towels are stored separate from used towels.

(f) In addition to the requirements of Paragraph (d) of this Rule, barber shops that are permitted on or after January 1, 1995 or undergo structural renovations after that date, shall have within the shop or building a hand-washing sink or lavatory for patrons with hot and cold water, soap, and disposable towels.

(g) Where a barber shop is located within a shop licensed by the North Carolina Board of Cosmetic Art Examiners, the toilet facility and sink may be shared with the cosmetology shop.

(h) Paragraphs (a), (d), and (f) of this Rule do not apply to barber shops operated by the North Carolina Department of Public Safety, Division of Adult Correction and Juvenile Justice.

(i) All equipment and tools used in the practice of barbering as set forth in G.S. 86A-2 shall be suitable for the safe cutting of hair and shall be maintained in a sanitary and good operating condition as required by G.S. 86A-15(a)(2).

(j) The solutions and containers required by G.S. 86A-15(a)(2)(a) shall be located at the backstand identified in Rule .0102(b) of this Subchapter.

History

• Authority G.S. 86A-5; 86A-13; 86A-15
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. September 1, 2013; September 1, 2009; June 1, 2008; January 1, 1995; May 1,
• 1989; March 1, 1983
• Readopted Eff. July 1, 2016
• Amended Eff. April 1, 2022; April 1, 2018.

21 NCAC 06L .0104 Shop Permits

(a) All applications for shop permits shall be on file in the office of the Board 15 days prior to the date when a shop will be complete and ready for inspection. Applications shall meet the requirements of 21 NCAC 06N .0102.

(b) If the shop is not ready for inspection on a scheduled date, the owner or manager shall notify the Board.

(c) Failure to notify the Board of a change of address shall result in forfeiture of the inspection fee.

History

• Authority G.S. 86A-1; 86A-13
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989; March 1, 1983
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06L .0105 Fees

The Board shall inspect all newly established or reopened barber shops before issuing a permit. The barber shop shall submit the fee established by 21 NCAC 06N .0101(a)(19) for inspection when submitting the application for a shop permit.

History

• Authority G.S. 86A-1; 86A-13; 86A-25
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Legislative Objection Lodged Eff. March 7, 1983
• Curative Amended Eff. April 6, 1983
• Amended Eff. May 1, 1989
• Readopted Eff. July 1, 2016.

21 NCAC 06L .0106 Separation from Other Businesses; Residential Shops; Mobile Homes

(a) When a building or room is used for both a barber shop and for some other business and the building or room does not have air conditioning, ventilation, or heat outlets, or air circulation, the required partition between the shop and the other business may be completed from the floor up to a minimum of six feet with material from six feet to the ceiling that permits good air circulation.

(b) Notwithstanding Paragraph (a) of this Rule and 21 NCAC 06L .0102, when a barber shop is located within a shop licensed by the North Carolina Board of Cosmetic Art Examiners and was permitted on or after January 1, 1995, or undergoes modifications or structural renovations after that date, the area where the barber chair or chairs are located shall comply with the sanitary regulations in G.S. 86A-15(a) and this Subchapter not inconsistent with this Rule.

(c) A barber shop permitted on or after July 1, 2008 that operates in a residential building shall maintain a separate entrance that shall not open off the living quarters, and shall not have any doors or openings leading to the living quarters that are unlocked during business hours. Entrance through garages or any other rooms is not permitted.

(d) The toilet facilities or any sink in the living quarters of any residence shall not be considered to comply with the toilet facility and sink requirements in 21 NCAC 06L .0103 or the sink distance requirement in 21 NCAC 06L .0107.

(e) For barber shops permitted on or after July 1, 2008, mobile homes, motor homes, trailers or any type of recreational vehicle shall be permanently affixed so they cannot be moved. Any such structure approved for a barber shop shall maintain a separate entrance that shall not open off the living quarters, and shall not have any doors or openings to the living quarters that are unlocked during business hours.

History

• Authority G.S. 86A-15
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. April 1, 2010; June 1, 2008; January 1, 1995; May 1, 1989; March 1, 1983
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06L .0107 Lavatory

(a) Each barber shop permitted before January 1, 1995 that is not modified or structurally renovated after that date shall have for each barber a functioning sink with hot and cold water, located at a convenient place as required by G.S. 86A-15(a)(1)(d).

(b) For barber shops permitted on or after January 1, 1995 or that undergo modifications or structural renovation after that date, a sink shall be located within seven unobstructed linear feet of each barber chair.

History

• Authority G.S. 86A-15
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. June 1, 2008; January 1, 1995; May 1, 1989
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06L .0108 Moved Shop

History

• Status: repealed
• Authority G.S. 86A-1; 86A-15
• Eff. March 1, 1983
• Amended Eff. September 1, 2009
• Repealed Eff. July 1, 2016.

21 NCAC 06L .0109 Commercial Chemicals

(a) No person, shop, or school licensed or registered under Chapter 86A of the North Carolina General Statutes shall use any commercial chemical in the practice of barbering unless the commercial chemical is received with a list of all contents and instructions for its use.

(b) For the purposes of this Rule, "commercial chemical" is defined in G.S. 86A-5(b)(1).

History

• Authority G.S. 86A-5
• Eff. March 1, 1983
• Amended Eff. May 1, 1989
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06L .0110 Sanitary Condition Rating

History

• Status: repealed
• Legislative Objection Lodged Eff. March 7, 1983
• Statutory Authority G.S. 86A-15(b)
• Eff. March 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 06L .0111 Where Barber Services May Be Performed

(a) Except as provided in this Rule, all barber services as defined in G.S. 86A-2 shall only be performed at a location permitted by the Board as a barber shop.

(b) A registered barber may perform barbering services in a client's home, and the home shall be exempt from the inspection requirements of G.S. 86A-15(b), under the following conditions:

(1) The client upon whom barber services are being performed is unable, due to a medical necessity, to come to a licensed barber shop;

(2) The licensed barber maintains a log of each instance where this exemption is used, including the name of the client, address of the home where the services were performed, the date services were performed, and the medical necessity requiring that barber services be provided in the home. The log shall be made available to the Board and its inspectors for; review and

(3) The licensed barber otherwise complies with G.S. 86A-15(a).

(c) For purposes of this Rule, a "client's home" includes the client's residence, nursing homes, rest homes, retirement homes, mental health institutions, and similar institutions where the client has established permanent residency.

History

• Authority G.S. 86A-15(c)
• Eff. June 1, 2008
• Amended Eff. April 1, 2010
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06L .0112 Rented Booth Space

(a) Where a barber shop rents or leases space to a barber, the Board shall hold the barbershop manager and licensee responsible for the barbering services performed in the rented or leased space and for the sanitary conditions of the rented or leased space.

(b) The Board's inspectors shall examine the entire premises of each shop irrespective of booth space allotments.

History

• Authority G.S. 86A-15
• Eff. June 1, 2008
• Readopted Eff. July 1, 2016
• RRC objected due to lack of statutory authority and necessity Eff. April 20, 2023.

21 NCAC 06L .0113 Diseases

(a) No holder of a registered barber, apprentice, or student barber permit shall serve a patron:

(1) with an open sore or sores;

(2) exhibiting symptoms of an infectious dermatologic disease or disorder;

(3) with parasitic infestations of the skin or hair; or

(4) with a communicable disease.

(b) No holder of a registered barber, apprentice, or student barber permit who knows he or she has an infectious dermatologic disease that can be spread by providing barbering services, infectious disease with open sore or sores on the hand or hands, or parasitic infestation of the skin or hair in a communicable stage or any other communicable disease shall provide barber service in a barber shop or, when authorized by Rule .0111 of this Section, in a client's home.

(c) The Board shall have the right to require a physical examination of any barber employed in any barber shop who is suspected of having an infectious dermatologic disease, infectious disease with open sore or sores on the hand or hands, or parasitic infestation of the skin or hair in a communicable stage.

History

• Authority G.S. 86A-15
• Eff. June 1, 2008
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06L .0114 Pets Prohibited

With the exception of trained guide or assistance animals, no animals shall be permitted in a barber shop.

History

• Authority G.S. 86A-15
• Eff. June 1, 2008
• Amended Eff. September 1, 2013
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06L .0115 Inspections of Shops

(a) The Board's Executive Director and its inspectors may enter and make inspections of any shop during its business hours for the purpose of determining whether or not G.S. 86A and the Board's administrative rules are being followed. Persons authorized to make an inspection of shops shall prepare a report according to Rule .0119 of this Section. The report shall be signed by the inspector and shall be available free of charge upon request by the owner or manager or any member of the public. The copy of any violation notice shall be left with the owner or manager, and retained within the barbering area until the violation is resolved with the Board.

(b) The Board's Executive Director and its inspectors may inspect all areas of the shop, including the backstand and its drawers and cabinets, and any other drawers, closets or other enclosures within the permitted shop.

(c) The Board's Executive Director and its inspectors may determine and assign numerical and letter sanitary grades to a shop following inspections as set forth in Rules .0118 and .0119 of this Section. The grade shall be displayed in a place visible to the public at the front of the shop.

History

• Authority G.S. 86A-5(a)(1); 86A-15
• Eff. June 1, 2008
• Amended Eff. April 1, 2010
• Readopted Eff. July 1, 2016
• Amended Eff. January 1, 2017
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06L .0116 Barber Shop Managers

(a) All barber shop managers shall verify that any licensee employed in the barber shop is the person whose name appears on the license or permit prior to allowing the licensee to perform barbering services in the shop. This verification shall be based on government issued identification.

(b) The shop manager is responsible for the sanitary condition, as defined in 21 NCAC 06P .0103(10), of the entire shop.

(c) The barber shop manager is accountable for activities at the shop whether present on the premises or not.

History

• Authority G.S. 86A-15; 86A-22
• Eff. June 1, 2008
• Amended Eff. April 1, 2010
• Readopted Eff. July 1, 2016
• Amended Eff. January 1, 2018
• Temporary Amendment Eff. May 10, 2023
• Temporary Amendment Exp. Eff. February 26, 2024.

21 NCAC 06L .0117 General Sanitation

All barber shops shall remain free of any signs of rodents, vermin, insects, mold, mildew, or water damage.

History

• Authority G.S. 86A-15
• Eff. June 1, 2008
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06L .0118 Sanitary Ratings and Posting of Ratings

(a) The sanitary rating of a barber shop shall be based on a system of grading outlined in 21 NCAC 06L .0119. Based on the grading, all establishments shall be rated in the following manner:

(1) all establishments receiving a sanitary rating of at least 90 percent shall be awarded a grade A;

(2) all establishments receiving a sanitary rating of at least 80 percent, and less than 90 percent, shall be awarded a grade B; and

(3) a sanitary rating of less than 80 percent shall be awarded a failing grade.

(b) Every barber shop shall be given a sanitary rating.

(c) The sanitary rating of A, B, or failing given to a barber shop establishment shall be posted in a conspicuous place, defined as a place easily seen by the public at the front of the shop, at all times.

(d) No newly established barber shop shall be permitted to operate without first having obtained a sanitary rating card with a grade of not less than 80 percent.

(e) Barber inspectors shall give each barber shop a new sanitary rating card at the time of inspection.

History

• Authority G.S. 86A-5; 86A-15
• Eff. June 1, 2008
• Amended Eff. September 1, 2013
• Readopted Eff. October 1, 2016
• Amended Eff. April 1, 2022
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06L .0119 Systems of Grading Barber Shops and Barber Schools

The system of grading the sanitary rating of all barber shops and schools shall be as follows, setting forth areas to be inspected, and the maximum points given for compliance. In cases where barber shops or schools are exempt from specific rules cross-referenced below, the barber shop or school shall receive the maximum points for that listing:

(1) whether the entrance and waiting area are sanitary 2;

(2) whether there is a water system with hot and cold running water and plumbing or a septic system for removal of sewage 2;

(3) whether the walls and floors:

(a) comply with 21 NCAC 06F .0101(b)(8) for barber schools or 21 NCAC 06L .0103(b) for barber shops 9;

(b) are sanitary 7;

(4) whether the barber shop or school is well-lighted and well-ventilated, with sanitary windows, fixtures, and ventilation surfaces 3;

(5) whether the public toilet or lavatories:

(a) are sanitary and well-ventilated 5;

(b) have soap and individual towels 5;

(c) have hot and cold running water 2;

(6) whether each person working as a barber is sanitary in person and dress 1;

(7) for towels and linens:

(a) whether there is a supply of sanitary towels 2;

(b) whether clean towels are stored separately as set forth in 21 NCAC 06F .0101(b)(12) for barber schools or 21 NCAC 06L .0103(e) for barber shops 3;

(c) whether barbers have a sanitary hair cloth or cape for clients 1;

(8) whether there is a soiled towel receptacle that meets the requirements set forth in G.S. 86A-15(a)(2)(d) 4;

(9) for tools and instruments:

(a) whether disinfectants used by the barber shop or school are selected from those approved by the federal Environmental Protection Agency 4;

(b) whether disinfectants are used according to manufacturer instructions 4;

(c) whether all implements are cleaned and disinfected and, when not in use, stored in a tool cabinet as set forth in 21 NCAC 06F .0101(b)(11) for barber schools or 21 NCAC 06L .0103(a) for barber shops 8;

(10) for working areas:

(a) whether the work stand is sanitary 3;

(b) whether sinks are sanitary 2;

(c) whether jars and containers are sanitary and disinfected 1;

(d) whether the work area is free from equipment that is unnecessary to provide barbering services, and whether articles in the work area are sanitary 1;

(11) whether the license, permit, or certificate of registration is current and posted as set forth in G.S. 86A-16 10;

(12) whether the sanitary rules and regulations are posted in a conspicuous place as set forth in G.S. 86A-15(b) 1;

(13) whether there are sterilizing containers and solutions that are used according to manufacturer instructions 20.

History

• Authority G.S. 86A-5(a)(1); 86A-15; 86A-16
• Eff. June 1, 2008
• Amended Eff. September 1, 2013
• Readopted Eff. October 1, 2016
• Amended Eff. April 1, 2018
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06L .0120 Notification of Change of Address

The barber shop owner or manager shall notify the Board of a change in the barber shop's mailing or, if changed by the United States Postal Service, the physical address, within five business days of the change.

History

• Authority G.S. 86A-1
• Eff. September 1, 2009
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06L .0201 vehicles

History

• Status: expired
• Authority G.S. 86B-30
• Temporary Adoption Eff. May 2, 2023
• Temporary Rule Expired Eff. February 9, 2024.

21 NCAC 06L .0202 Equipment

History

• Status: expired
• Authority G.S. 86B-30
• Temporary Adoption Eff. May 2, 2023
• Temporary Rule Expired Eff. February 9, 2024.

21 NCAC 06L .0203 Toilets, SINKS, SEWAGE, AND WASTEWATER

History

• Status: expired
• Authority G.S. 86B-30
• Temporary Adoption Eff. May 2, 2023
• Temporary Rule Expired Eff. February 9, 2024.

21 NCAC 06L .0205 Monthly Reports of Locations

History

• Status: expired
• Authority G.S. 86B-30
• Temporary Adoption Eff. May 2, 2023
• Temporary Rule Expired Eff. February 9, 2024.

Subchapter M

21 NCAC 06M .0101 Qualifications

History

• Status: repealed
• Authority G.S. 86A-7
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. May 1, 1989; March 1, 1983
• Repealed Eff. September 1, 2013.

21 NCAC 06M .0102 Duties and Responsibilities

History

• Status: repealed
• Authority G.S. 86A-7; 86A-13; 86A-15; 86A-22
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. September 1, 2013; June 1, 2008; December 1, 1994; May 1, 1989; March 1, 1983
• Repealed Eff. July 1, 2016.

Subchapter N

21 NCAC 06N .0101 Fees, Access to Forms, and Renewals

(a) The Board charges the following amounts for the fees authorized by G.S. 86A-25:

(1) Certificate of registration or renewal as a barber $50.00

(2) Certificate of registration or renewal as an apprentice barber $50.00

(3) Barbershop permit or renewal $50.00

(4) Examination to become a registered barber $85.00

(5) Examination to become a registered apprentice barber $85.00

(6) Late fee for restoration of an expired barber certificate within first year after expiration $35.00

(7) Late fee for restoration of an expired barber certificate after first year after expiration but within five years after expiration $70.00

(8) Late fee for restoration of an expired apprentice certificate within the first year after expiration

$35.00

(9) Late fee for restoration of an expired apprentice certificate after first year after expiration but within three years of first issuance of the certificate $45.00

(10) Late fee for restoration of an expired barber shop certificate $45.00

(11) Examination to become a barber school instructor $165.00

(12) Student permit $25.00

(13) Issuance of any duplicate copy of a license, certificate, or permit $10.00

(14) Barber school permit or renewal $130.00

(15) Late fee for restoration of an expired barber school certificate $85.00

(16) Barber school instructor certificate or renewal $85.00

(17) Late fee for restoration of an expired barber school instructor certificate within first year after expiration $45.00

(18) Late fee for restoration of an expired barber school instructor certificate after first year after expiration but within three years after expiration $85.00

(19) Inspection of newly established barbershop $120.00

(20) Inspection of newly established barber school $220.00

(21) Issuance of a registered barber or apprentice certificate by certification $120.00

(22) Charge for certified copies of public documents $10.00 for first page, $0.25 per page thereafter

(23) Charge for duplication services and material shall be as set forth in 26 NCAC 01 .0103(a), including any subsequent amendments and editions of the Rule

(24) Certificate of registration or renewal as a barber for barbers over 70 years of age $0.00

(25) Administrative fee under G.S. 86A-27(d) for paying any required fee for renewal or restoration, or a civil penalty and attorney fee, where the apprentice barber or registered barber is subject to a pick-up order issued to an inspector. $70.00

(b) Except as set forth in Paragraph (c) of this Rule, if an applicant is unable to attend an examination, he or she may request a refund of the fee. To request the refund, the applicant shall submit a written request to the address listed in 21 NCAC 06A .0102 at least 10 days before the scheduled examination.

(c) If an applicant submits a request for a refund of examination fees later than 10 days before the scheduled examination, the Board shall consider the request on a case-by-case basis and only grant the request if the applicant demonstrates good cause for not complying with Paragraph (b) of this Rule. For the purpose of this Rule, "good cause" means that the applicant could not have submitted the written request as set forth in Paragraph (b) of this Rule due to circumstances such as illness, injury, or death in the family.

(d) Renewal and late fees set forth in Paragraph (a) of this Rule are nonrefundable.

(e) In the event the Board's authority to expend funds is suspended pursuant to G.S. 93B-2, the Board shall continue to issue and renew licenses and all fees tendered shall be placed in the escrow account maintained by the Board for this purpose.

(f) The forms set forth in this Subchapter may be obtained on the website or at the address listed in 21 NCAC 06A .0102.

(g) All timely renewals of licenses, permits, or certificates of registration shall be submitted online at the Board's website, along with any fees required by this Rule.

(h) Barber school permits shall be exempt from the online renewal requirement in Paragraph (g) of this Rule.

(i) Registered barbers, apprentice barbers, barber instructors, or barber shops that are unable to comply with the online requirement of Paragraph (g) of this Rule may submit the renewal and payment by mail or in person after receiving a waiver from the Board. This waiver shall be effective only for one renewal period. The Board shall issue a waiver within five business days after receiving the following:

(1) For registered barbers, apprentice barbers, or barber instructors, a statement from the holder of the license, permit, or certificate of registration that the individual is not able to renew online; or

(2) For barber shops, a statement from the manager or owner that neither the manager nor owner are able to renew online.

History

• Authority G.S. 86A-5; 86A-25; 86A-27(d); 93B-2
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. April 1, 2010; September 1, 2009; June 1, 2008; April 1, 2005; May 1, 1989; March 1, 1983
• Readopted Eff. July 1, 2016
• Amended Eff. April 1, 2022; February 1, 2019; January 1, 2018; April 1, 2017
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. February 9, 2024.

21 NCAC 06N .0102 Form Bar-1

(a) The Form BAR-1 shall be filed when one applies to open or manage a new barber shop. It requests the following:

(1) the name and address of the shop;

(2) the name, address, and certificate number of the manager;

(3) the name and address of the shop owner;

(4) the physical dimensions of the shop;

(5) the shop business hours;

(6) the type of fixtures installed; and

(7) the date the shop will be ready for inspection.

(b) The fee required by Rule .0101(a)(19) of this Section shall accompany this form.

(c) The Form BAR-1 shall include the applicant's attestation that the information in the form is correct.

History

• Authority G.S. 86A-1; 86A-13; 86A-15; 86A-25
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Legislative Objection Lodged Eff. March 7, 1983
• Curative Amended Eff. April 6, 1983
• Amended Eff. May 1, 1989
• Readopted Eff. July 1, 2016
• Amended Eff. February 1, 2021; October 1, 2020
• Temporary Amendment Eff. May 10, 2023
• Temporary Amendment Exp. February 26, 2024.

21 NCAC 06N .0103 Form Bar-2

(a) The Form BAR-2 shall be filed when there is a change of management at any barber shop. It requires the following:

(1) the name, mailing address, and permit number of the barber shop before the change of management;

(2) the name of the barber shop after the change of management, if the barber shop name changes;

(3) the name, address, and certificate number of the new manager or managers;

(4) if the barber shop was closed at the time the Form BAR-2 was submitted, the date of closure; and

(5) the former manager's name and certificate number.

(b) The Form BAR-2 shall be notarized.

History

• Authority G.S. 86A-1; 86A-25
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Legislative Objection Lodged Eff. March 7, 1983
• Curative Amended Eff. April 6, 1983
• Amended Eff. May 1, 1989
• Readopted Eff. October 1, 2016
• RRC objection due to lack of statutory authority Eff. April 20, 2023.

21 NCAC 06N .0104 Form Bar-3

(a) The Form BAR-3 shall be filed for permission to enroll in barber school. It requires the following:

(1) the name, address, social security number, and birth date of the applicant;

(2) the applicant's prior barber school attendance, if any;

(3) the name of the school enrolled;

(4) the date of enrollment; and

(5) the school manager's attestation that the information in the form is correct.

(b) The fee in 21 NCAC 06N .0101(a)(12) shall accompany this form.

History

• Authority G.S. 86A-18; 86A-22; 86A-25; 93B-14
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Legislative Objection Lodged Eff. March 7, 1983
• Curative Amended Eff. April 6, 1983
• Amended Eff. September 1, 2013; May 1, 1989
• Readopted Eff. October 1, 2016
• Amended Eff. October 1, 2020
• Temporary Amendment Eff. May 10, 2023
• Temporary Amendment Exp. February 26, 2024.

21 NCAC 06N .0105 Form Bar-4

(a) The Form BAR-4 shall be filed by one applying to take the examination to receive a registered apprentice certificate. It requires the following:

(1) the name, address, social security number, and birthdate of the applicant;

(2) the name of any barber school attended and the date of enrollment and graduation; and

(3) the place of proposed employment as an apprentice barber.

(b) The fee in Rule .0101(a)(5) of this Section shall be submitted with the application.

(c) The Form BAR-4 shall include the applicant's attestation that the information in the form is correct.

History

• Authority G.S. 86A-1; 86A-10; 86A-24; 86A-25; 93B-14
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Legislative Objection Lodged Eff. March 7, 1983
• Curative Amended Eff. April 6, 1983
• Amended Eff. September 1, 2013; May 1, 1989
• Readopted Eff. July 1, 2016
• Amended Eff. October 1, 2020; January 1, 2017
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06N .0106 Form Bar-5

(a) The Form BAR-5 shall be filed by one applying to take the examination to receive a registered barber certificate. It requires the following:

(1) the name, address, social security number, and birthdate of the applicant;

(2) barber school training; and

(3) the length of barbering experience.

(b) The Form BAR-5 shall include the applicant's attestation that the information in the form is correct.

(c) The fee in 21 NCAC 06N .0101(a)(4) shall accompany this form.

History

• Authority G.S. 86A-1; 86A-3; 86A-10; 86A-25; 93B-14
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Legislative Objection Lodged Eff. March 7, 1983
• Curative Amended Eff. April 6, 1983
• Amended Eff. September 1, 2013; May 1, 1989
• Readopted Eff. October 1, 2016
• Amended Eff. October 1, 2020
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06N .0107 Form Bar-6

(a) The Form BAR-6 shall be filed by one applying to take an examination as a barber school instructor. It requires the following:

(1) the name, address, social security number, and birthdate of the applicant;

(2) the current registered certificate number;

(3) the name of barber school attended; and

(4) the proposed place of employment, if any.

(b) The fee in Rule .0101(a)(11) of this Section shall accompany this form.

(c) The Form BAR-6 shall include the applicant's attestation that the information in the form is correct.

History

• Authority G.S. 86A-23; 86A-25; 93B-14
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Legislative Objection Lodged Eff. March 7, 1983
• Curative Amended Eff. April 6, 1983
• Amended Eff. May 1, 1989
• Readopted Eff. July 1, 2016
• Amended Eff. October 1, 2020
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06N .0108 Form Bar-7

History

• Status: repealed
• Authority G.S. 86A-1; 86A-12; 86A-25
• Eff. February 1, 1976
• Readopted Eff. February 8, 1978
• Amended Eff. March 1, 1983
• Legislative Objection Lodged Eff. March 7, 1983
• Curative Amended Eff. April 6, 1983
• Amended Eff. September 1, 2013; May 1, 1989
• Repealed Eff. October 1, 2016.

21 NCAC 06N .0109 Form Bar-8

(a) The Form BAR-8 shall be filed by one who has practiced as a barber in a state other than North Carolina for three years or more and is applying to obtain a certificate as a registered barber in North Carolina. It requires the following:

(1) the name, address, social security number, and birthdate of the applicant;

(2) the name and address of any barber school attended in another state; and

(3) barbering experience and the status of each barber license in another state.

(b) The fee in Rule .0101(a)(21) of this Section shall accompany this form.

(c) The Form BAR-8 shall include the applicant's attestation that the information in the form is correct.

(d) The Form BAR-8 shall be accompanied by verification from the applicant's out-of-state agency of the applicant's licensure in that state.

History

• Authority G.S. 86A-1; 86A-12; 86A-25
• Eff. March 1, 1983
• Legislative Objection Lodged Eff. March 7, 1983
• Curative Eff. April 6, 1983
• Amended Eff. September 1, 2013; May 1, 1989
• Readopted Eff. July 1, 2016
• Amended Eff. October 1, 2020; January 1, 2017
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06N .0110 Form Bar-9

(a) The Form BAR-9 shall be filed when one applies to open a new barber school. It requires the following:

(1) the date the barber school will be ready for the Board inspection;

(2) the name and address of the barber school;

(3) the name and address of the owner;

(4) the name and address of the manager;

(5) the names, instructor certificate numbers, and address of the instructors;

(6) the physical dimensions of the barber school;

(7) the number of barber chairs, tool cabinets, towel cabinets, and lavatories; and

(8) a copy of the bond or alternative to a bond required by G.S. 86A-22(7)(a) or a request for waiver under G.S. 86A-22(7)(c).

(b) The Form BAR-9 shall include the applicant's attestation that the information in the form is correct.

(c) The Form BAR-9 shall be accompanied by the fee in 21 NCAC 06N .0101(a)(20).

History

• Authority G.S. 86A-1; 86A-22
• Eff. March 1, 1983
• Amended Eff. May 1, 1989
• Readopted Eff. August 1, 2016
• Amended Eff. October 1, 2020
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06N .0111 Form Bar-10

(a) Each barber school shall submit the Form BAR-10 monthly for each student enrolled in barber school. The Form BAR-10 shall include the following:

(1) the name of the school submitting the report;

(2) the student's name;

(3) the month and year for which the report is filed; and

(4) the number of hours the student attended during the month and year for which the report is filed.

(b) The school shall submit Form BAR-10 to the Board online at the website address listed in 21 NCAC 06A .0102.

(c) Notwithstanding the requirement in Paragraph (b) of this Rule to submit the Form BAR-10 online, if a student completes his or her course of study, drops out of school, or transfers to another school, the barber school shall submit a paper version of the Form BAR-10 to the Board:

(1) within five business days; or

(2) within 30 days if the student's enrollment ends during the effective period of a state of emergency declared by the Governor.

History

• Authority G.S. 86A-22
• Eff. May 1, 1989
• Readopted Eff. July 1, 2016
• Emergency Adoption Eff. March 27, 2020
• Temporary Adoption Eff. June 1, 2020
• Amended Eff. January 1, 2024; February 1, 2021.

21 NCAC 06N .0112 Form Bar-11

(a) The Form BAR-11 shall be filed by an individual who has military training and expertise and who wants to apply to become a registered barber pursuant to 21 NCAC 06K .0112. It requires the following:

(1) the name, address, social security number, and birthdate of the applicant; and

(2) copies of the military service records showing the applicant's military certification and experience in barbering.

(b) The applicant shall submit with the Form BAR-11 a certification letter from the applicant's out-of-state agency of the applicant's licensure if the conditions set forth in 21 NCAC 06K .0112(b) apply.

(c) The Form BAR-11 shall include the applicant's attestation that the information in the form is correct.

History

• Authority G.S. 86A-1; 86A-12; 93B-14; 93B-15.1
• Eff. May 1, 1989
• Amended Eff. September 1, 2013
• Readopted Eff. July 1, 2016
• Amended Eff. October 1, 2020; April 1, 2017
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06N .0113 Form Bar-12

(a) The Form BAR-12 shall be filed by an individual who has practiced as a barber pursuant to Rule 21 NCAC 06K .0113. It requires the following:

(1) the name, address, social security number, and birthdate of the applicant; and

(2) copies of the military service records showing that the applicant's spouse is serving in the military, along with evidence of the marriage, such as a copy of the marriage license.

(b) The applicant shall submit with the Form BAR-12 a certification letter from the applicant's out-of-state agency of the applicant's licensure.

(c) The Form BAR-12 shall include the applicant's attestation that the information in the form is correct.

History

• Authority G.S. 86A-1; 86A-25; 93B-14; 93B-15.1
• Eff. April 1, 2017
• Amended Eff. October 1, 2020.

21 NCAC 06N .0114 Extensions for Members of the Armed Forces

(a) If an individual is licensed or owns a business licensed under G.S. 86A, is serving in the Armed Forces of the United States, and has received an extension of time to file a tax return under G.S. 105-249.2, the Board shall waive the following fees for the same period that would apply if the license fee were a tax:

(1) the late fee for restoration of an expired barber certificate within the first year after expiration as set forth in 21 NCAC 06N .0101(a)(6);

(2) the late fee for restoration of an expired barber certificate after the first year after expiration but within five years after expiration as set forth in 21 NCAC 06N .0101(a)(7);

(3) the late fee for restoration of an expired apprentice certificate within the first year after expiration as set forth in 21 NCAC 06N .0101(a)(8);

(4) the late fee for restoration of an expired apprentice certificate after the first year after expiration but within three years of first issuance of the certificate as set forth in 21 NCAC 06N .0101(a)(9);

(5) if the individual serving in the Armed Forces is the barbershop manager or owner, the late fee for restoration of an expired barber shop certificate as set forth in 21 NCAC 06N .0101(a)(10);

(6) if the individual serving in the Armed Forces is the barber school manager or owner, the late fee for restoration of an expired barber school certificate as set forth in 21 NCAC 06N .0101(a)(15);

(7) the late fee for restoration of an expired barber school instructor certificate within the first year after expiration as set forth in 21 NCAC 06N .0101(a)(17); and

(8) the late fee for restoration of an expired barber school instructor certificate after the first year after expiration but within three years after expiration as set forth in 21 NCAC 06N .0101(a)(18).

(b) To receive any extension as set forth in Paragraph (a) of this Rule, the individual shall submit the following to the Board at the address in 21 NCAC 06A .0102:

(1) a written request that states what extension he or she is seeking; and

(2) a copy of the documentation from the North Carolina Department of Revenue granting the extension under G.S. 105-249.2.

History

• Authority G.S. 93B-15(a)
• Eff. April 1, 2017
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06N .0115 Extension of Renewal Deadlines During Covid-19 State of Emergency

History

• Status: expired
• Authority S.L. 2020-3, s. 4.38.(b)
• Emergency Adoption Eff. May 19, 2020, to expire pursuant to S.L. 2020-3, s. 4.38.(e)
• Emergency Adoption Expired Eff. August 1, 2020 pursuant to S.L. 2020-3, s. 4.38.(e).

21 NCAC 06N .0116 Form Bar-13

History

• Status: expired
• Authority G.S. 86B-30
• Temporary Adoption Eff. May 10, 2023
• Temporary Rule Expired Eff. February 26, 2024.

21 NCAC 06N .0117 Request for Temporary Permit

(a) An individual who wishes to request a temporary permit shall submit the following information using the form available at the website listed in 21 NCAC 06A .0102:

(1) the requester's name, mailing address, phone number, and email address;

(2) if the requester attended a North Carolina barber school, the name of the school;

(3) the type of license application the requester has submitted; and

(4) the name, permit number, and physical address of the barbershop where the requester would like to work.

(b) Except as set forth in Paragraph (c) of this Rule, the Board shall not accept requests for temporary permits submitted in paper form.

(c) If an individual wishes to submit a request for a temporary permit in paper form because he or she cannot submit the request online, the individual shall submit a paper version of the form in Paragraph (a) of this Rule to the address listed in 21 NCAC 06A .0102, along with an explanation for why the request cannot be submitted online. The individual may request the paper version of the form by contacting the board at the phone number, email, or mailing address in 21 NCAC 06A .0102. The Board shall determine whether good cause exists for the individual not to submit a request online. For the purpose of this Rule, "good cause" means that the applicant could not have submitted the request online as set forth in Paragraph (a) of this Rule due to circumstances such as disability or lack of access to a computer or mobile device.

History

• Authority G.S. 86B-2; 86B-27
• Eff. August 1, 2023.

21 NCAC 06N .0119 2024 Hurricane Relief

History

• Status: expired
• Authority S.L. 2024-53, s. 4E.1.(b)
• Emergency Adoption Eff. November 14, 2024
• Emergency Adoption Expired Eff. March 1, 2025.

Subchapter O

21 NCAC 06O .0101 Schedule of Penalties

The rules in this Subchapter establish the schedule of civil penalties required by G.S. 86A-27(c). The amounts stated are the presumptive amounts that may be modified in accordance with G.S. 86A-27(b).

History

• Authority G.S. 86A-5(a)(6); 86A-27
• Eff. April 1, 2005
• Readopted Eff. July 1, 2016.

21 NCAC 06O .0102 Licensing of Barber Shops

(a) The presumptive civil penalty for operating a barber shop without first filing an application for a barber shop license, obtaining an inspection, and obtaining a shop permit:

(1) 1st offense $200.00

(2) 2nd offense $300.00

(3) 3rd offense $500.00

(b) The presumptive civil penalty for operating a barber shop with an expired permit:

(1) 1st offense $150.00

(2) 2nd offense $300.00

(3) 3rd offense $500.00

History

• Authority G.S. 86A-1; 86A-5(a)(6); 86A-27
• Eff. April 1, 2005
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06O .0103 Licensing of Barber Schools

(a) The presumptive civil penalty for operating a barber school without first filing an application for a barber school license, obtaining an inspection, and obtaining a school permit:

(1) 1st offense $200.00

(2) 2nd offense $300.00

(3) 3rd offense $500.00

(b) The presumptive civil penalty for operating a barber school with an expired permit:

(1) 1st offense $150.00

(2) 2nd offense $300.00

(3) 3rd offense $500.00

History

• Authority G.S. 86A-1; 86A-5(a)(6); 86A-27
• Eff. April 1, 2005
• Readopted Eff. July 1, 2016.

21 NCAC 06O .0104 Unsupervised Apprentice

(a) The presumptive civil penalty for a registered barber allowing an apprentice or student barber with a temporary permit to engage in barbering without supervision as required by G.S. 86A-24(b):

(1) 1st offense $300.00

(2) 2nd offense $400.00

(b) The presumptive civil penalty for an apprentice or student barber with a temporary permit engaging in barbering without supervision as required by G.S. 86A-24(b):

(1) 1st offense $200.00

(2) 2nd offense $300.00

(3) 3rd offense $500.00

History

• Authority G.S. 86A-5(a)(6); 86A-24; 86A-27
• Eff. April 1, 2005
• Amended Eff. September 1, 2009
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06O .0105 Unlicensed Barber

(a) The presumptive civil penalty for a barber shop manager allowing a barber to practice without a license:

(1) 1st offense $300.00

(2) 2nd offense $500.00

(b) The presumptive civil penalty for an individual engaging in barbering without a license:

(1) 1st offense $250.00

(2) 2nd offense $450.00

(3) 3rd offense $500.00

History

• Authority G.S. 86A-1; 86A-5(a)(6); 86A-27
• Eff. April 1, 2005
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 10, 2023
• Temporary Amendment Exp. Eff. February 26, 2024.

21 NCAC 06O .0106 Display of Current License

(a) The presumptive civil penalty for the failure of a barber shop or barber school to display a current shop or school license:

(1) 1st offense $100.00

(2) 2nd offense $150.00

(3) 3rd offense $250.00

(b) The presumptive civil penalty for a barber shop or barber school to allow an individual to perform barbering without displaying a current license or permit:

(1) 1st offense $100.00

(2) 2nd offense $150.00

(3) 3rd offense $250.00

(c) The presumptive civil penalty for an individual to practice barbering without displaying a current license or permit:

(1) 1st offense $100.00

(2) 2nd offense $150.00

(3) 3rd offense $250.00

History

• Authority G.S. 86A-1; 86A-5(a)(6); 86A-16; 86A-27
• Eff. April 1, 2005
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06O .0107 Fraudulent Misrepresentations or Submission of Fraudulent Document

The presumptive civil penalty for barbering or attempting to barber by fraudulent misrepresentations or the submission of fraudulent or false documents in connection with licensing or an application for license as prohibited by G.S. 86A-20: 1st offense $500.00.

History

• Authority G.S. 86A-1; 86A-5(a)(6); 86A-20(2); 86A-20(3); 86A-27
• Eff. April 1, 2005
• Readopted Eff. July 1, 2016.

21 NCAC 06O .0108 Inspections of Shops and Schools

The presumptive civil penalty for refusing to permit or preventing the inspection of a barber shop or barber school:

(1) 1st offense $150.00

(2) 2nd offense $300.00

(3) 3rd offense $500.00

History

• Authority G.S. 86A-1; 86A-5(a)(6); 86A-15(b); 86A-27
• Eff. April 1, 2005
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06O .0109 Expired License

(a) The presumptive civil penalty for engaging in the practice of barbering with a registered barber certificate that has expired for more than a six month duration:

(1) 1st offense $100.00

(2) 2nd offense $150.00

(3) 3rd offense $200.00

(b) The presumptive civil penalty for a barber shop manager allowing an individual to engage in the practice of barbering with a registered barber certificate that has expired for more than a six month duration:

(1) 1st offense $100.00

(2) 2nd offense $150.00

(3) 3rd offense $200.00

History

• Authority G.S. 86A-1; 86A-5(a)(6); 86A-17(b); 86A-27
• Eff. April 1, 2005
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06O .0110 Adequate Premises

(a) The presumptive civil penalty for a school to fail to maintain facilities as required by G.S. 86A-15 and 21 NCAC 06F .0101, after two written warnings:

(1) 1st offense $250.00

(2) 2nd offense $400.00

(3) 3rd offense $500.00

(b) The presumptive civil penalty for a shop to fail to maintain facilities as required by G.S. 86A-15 and the applicable rules in 21 NCAC 06L .0102 through .0109, after two written warnings:

(1) 1st offense $250.00

(2) 2nd offense $450.00

(3) 3rd offense $500.00

History

• Authority G.S. 86A-5(a)(6); 86A-15; 86A-18(6); 86A-18(7); 86A-22(6); 86A-27
• Eff. April 1, 2005
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06O .0111 School Instructors

The presumptive civil penalty for a school failing to provide sufficient instructors to meet the student-teacher ratios set forth in G.S. 86A-22(2):

(1) 1st offense $150.00

(2) 2nd offense $300.00

(3) 3rd offense $500.00

History

• Authority G.S. 86A-5(a)(6); 86A-22(2); 86A-27
• Eff. April 1, 2005
• Readopted Eff. July 1, 2016.

21 NCAC 06O .0112 Identification

(a) The presumptive civil penalty for a barber shop owner or manager failing to positively identify a registered barber, apprentice, or holder of a temporary permit:

(1) 1st offense $100.00

(2) 2nd offense $150.00

(3) 3rd offense $250.00

(b) The presumptive civil penalty for a registered barber, apprentice, or holder of a temporary permit failing to maintain and produce a license or permit as defined in 21 NCAC 06P .0103(7):

(1) 1st offense $100.00

(2) 2nd offense $150.00

(3) 3rd offense $250.00

(c) The presumptive civil penalty for a barber student failing to wear identification as set forth in 21 NCAC 06F .0122:

(1) 1st offense $100.00

(2) 2nd offense $150.00

(3) 3rd offense $250.00

History

• Authority G.S. 86A-1; 86A-10; 86A-11; 86A-27
• Eff. June 1, 2008
• Amended Eff. September 1, 2009
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 10, 2023
• Temporary Amendment Exp. Eff. February 26, 2024.

21 NCAC 06O .0113 Barber Shops in Residences and Mobile Homes

(a) The presumptive civil penalty for operating a barber shop in a residence in violation of 21 NCAC 06L .0106(c):

(1) 1st offense $150.00

(2) 2nd offense $250.00

(3) 3rd offense $500.00

(b) The presumptive civil penalty for operating a barber shop in a mobile home in violation of 21 NCAC 06L .0106(e):

(1) 1st offense $200.00

(2) 2nd offense $300.00

(3) 3rd offense $500.00

History

• Authority G.S. 86A-15; 86A-27
• Eff. June 1, 2008
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06O .0114 Animals in Barber Shops

The presumptive civil penalty for a barber manager allowing an animal in a barber shop in violation of 21 NCAC 06L .0114:

(1) 1st offense $100.00

(2) 2nd offense $150.00

(3) 3rd offense $250.00

History

• Authority G.S. 86A-15; 85A-27
• Eff. June 1, 2008
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 10, 2023
• Temporary Amendment Exp. Eff. February 26, 2024.

21 NCAC 06O .0115 School Failing to Maintain, Falsifying, or Failing to Submit Records

(a) The presumptive civil penalty for a barber school failing to maintain records:

(1) 1st offense $200.00

(2) 2nd offense $250.00

(3) 3rd offense $500.00

(b) The presumptive civil penalty for a barber school falsifying records:

(1) 1st offense $250.00

(2) 2nd offense $400.00

(3) 3rd offense $500.00

(c) The presumptive civil penalty for a barber school failing to submit required records:

(1) 1st offense $200.00

(2) 2nd offense $350.00

(3) 3rd offense $500.00

History

• Authority G.S. 86A-22; 86A-27
• Eff. June 1, 2008
• Amended Eff. September 1, 2009
• Readopted Eff. July 1, 2016.

21 NCAC 06O .0116 Unlicensed School Instructors

(a) The presumptive civil penalty for a barber school allowing an individual to instruct without an instructor's certificate:

(1) 1st offense $200.00

(2) 2nd offense $300.00

(3) 3rd offense $500.00

(b) The presumptive civil penalty for an individual engaging in instructing without an instructor's certificate:

(1) 1st offense $150.00

(2) 2nd offense $450.00

(3) 3rd offense $500.00

History

• Authority G.S. 86A-22; 86A-23; 86A-27
• Eff. September 1, 2009
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06O .0117 Barber Failing to Maintain or Produce Exemption Log

(a) The presumptive civil penalty for a barber failing to maintain the exemption log required by 21 NCAC 06L .0111:

(1) 1st offense $100.00

(2) 2nd offense $150.00

(3) 3rd offense $250.00

(b) The presumptive civil penalty for a barber failing to produce the exemption log required by 21 NCAC 06L .0111:

(1) 1st offense $100.00

(2) 2nd offense $150.00

(3) 3rd offense $250.00

History

• Authority G.S. 86A-15(c); 86A-27
• Eff. April, 1, 2010
• Readopted Eff. July 1, 2016
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06O .0118 Unlicensed Barber Student

(a) The presumptive civil penalty for a barber school allowing an individual to receive barber instruction without a barber student permit:

(1) 1st offense $200.00

(2) 2nd offense $300.00

(3) 3rd offense $500.00

(b) The presumptive civil penalty for an individual engaging as a barber student without a barber student permit:

(1) 1st offense $200.00

(2) 2nd offense $300.00

(3) 3rd offense $500.00

History

• Authority G.S. 86A-1; 86A-22; 86A-27
• Eff. July 1, 2016.

21 NCAC 06O .0119 Failure to Notify Board of Change of Address

(a) The presumptive civil penalty for the failure of a barber shop or barber school to fail to notify the Board of a change of address:

(1) 1st offense $50.00

(2) 2nd offense $100.00

(3) 3rd offense $200.00

(b) The presumptive civil penalty for an individual manager for the failure to notify the Board of a change of address for a barber shop or barber school:

(1) 1st offense $50.00

(2) 2nd offense $100.00

(3) 3rd offense $200.00

History

• Authority G.S. 86A-1; 86A-5(a)(6); 86A-27
• Eff. July 1, 2016.
• Temporary Amendment Eff. May 10, 2023
• Temporary Amendment Exp. Eff. February 26, 2024.

21 NCAC 06O .0121 Failure to Display Sanitation Grade and Shop Permit

The presumptive civil penalty for the failure of a shop to display its sanitation grade and shop permit in a place visible to the public at the front of the shop:

(1) 1st offense $50.00

(2) 2nd offense $100.00

(3) 3rd offense $200.00

History

• Authority G.S. 86A-1; 86A-5(a)(6); 86A-16; 86A-27
• Eff. July 1, 2016.
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06O .0122 Failure to Notify Board of Change of Barber Shop or School Manager

(a) The presumptive civil penalty for the failure of a barber shop or barber school to notify the Board of a change of barber shop manager:

(1) 1st offense $50.00

(2) 2nd offense $100.00

(3) 3rd offense $200.00

(b) The presumptive civil penalty for an individual manager for the failure to notify the Board of a change of manager of a barber shop or barber school:

(1) 1st offense $50.00

(2) 2nd offense $100.00

(3) 3rd offense $200.00

History

• Authority G.S. 86A-1; 86A-5(a)(6); 86A-22; 86A-27
• Eff. July 1, 2016
• Amended Eff. July 1, 2020
• RRC objection due to lack of statutory authority Eff. April 20, 2023.

21 NCAC 06O .0123 LICENSING OF mobile BARBER SHOPS

History

• Status: expired
• Authority G.S. 86B-10; 86B-21; 86B-29; 86B-30
• Temporary Adoption Eff. May 2, 2023
• Temporary Rule Expired Eff. February 9, 2024.

21 NCAC 06O .0124 Toilets, Sink, Sewage, and Wastewater in Mobile Barber Shops

History

• Status: expired
• Authority G.S. 86B-10; 86B-30
• Temporary Adoption Eff. May 2, 2023
• Temporary Rule Expired Eff. February 9, 2024.

21 NCAC 06O .0125 Mobile barber shop monthly reports

History

• Status: expired
• Authority G.S. 86B-10; 86B-30
• Temporary Adoption Eff. May 2, 2023
• Temporary Rule Expired Eff. February 9, 2024.

21 NCAC 06O .0201 Electrology apprenticeship program

History

• Status: expired
• Authority G.S. 86B-10; 86B-65
• Temporary Adoption Eff. June 1, 2023
• Temporary Rule Expired Eff. March 11, 2024.

Subchapter P

21 NCAC 06P .0101 Barbering

Unless specifically exempted by G.S. 86A-14, "the practice of barbering" or "barbering services" means any one or more of the activities defined in G.S. 86A-2 when performed upon a member of the public.

History

• Authority G.S. 86A-2
• Eff. June 1, 2008
• Readopted Eff. July 1, 2016.

21 NCAC 06P .0102 Barbering Exemptions

History

• Status: repealed
• Authority G.S. 86A-2
• Eff. June 1, 2008
• Repealed Eff. July 1, 2016.

21 NCAC 06P .0103 General Definitions

For purposes of the rules in this Chapter, the following definitions shall apply:

(1) "Barber" means any person who engages in or attempts to engage in the practice of barbering or provide barbering services.

(2) "Barber instructor" means any person who engages in or attempts to engage in the teaching of the practice of barbering.

(3) "Barber pole" means an actual or representation of a cylinder or pole with alternating stripes of any combination including red and white, and red, white, and blue that run diagonally along the length of the cylinder or pole.

(4) "Barber school" means any establishment that engages in or attempts to engage in the teaching of the practice of barbering.

(5) "Barber student" means any person who is enrolled in barber school, including those taking classes beyond the 1528 required hours.

(6) "Board" means the State Board of Barber Examiners.

(7) "License" or "permit" or "certificate of registration" means the actual license or permit issued by the Board and current government issued photo identification depicting the licensee's or permittee's photograph and legal name.

(8) "Military service record" means veteran service records, such as the U.S. Department of Defense Form 214 (DD-214), or other military service records from the military or National Archives.

(9) "Pick-up order" means an order issued by the Board and signed by the Executive Director authorizing an inspector to physically retrieve a permit or license.

(10) "Practice of barbering" and "barber services" means all activities set forth in G.S. 86A-2, and the sanitary requirements of Chapter 86A and the sanitary rules adopted by the Board.

(11) "Sanitary" means free of infectious agents, diseases, or infestation by insects or vermin and free of soil, dust, or dirt.

History

• Authority G.S. 86A-2; 86A-5; 86A-13; 86A-15; 86A-22; 86A-23; 93B-15.1
• Eff. June 1, 2008
• Readopted Eff. July 1, 2016
• Amended Eff. April 1, 2017
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

Subchapter Q

21 NCAC 06Q .0101 Additional Grounds for Denial or Discipline

Except as provided in Chapter 86A of the General Statutes, the Board:

(1) shall find fraudulent misrepresentation in the following examples:

(a) An individual or entity operates or attempts to operate a barber shop or barber school without a permit;

(b) An individual or entity advertises barbering services unless the establishment and personnel employed therein are licensed or permitted;

(c) An individual or entity uses or displays a barber pole only if the use of the barber pole is for the purpose of offering barber services to the public without a barber shop or barber school permit. This Rule does not prohibit use of a barber pole for purposes other than offering services that require a certificate of registration, license, or permit under G.S. 86A; and

(d) An individual or entity fails to produce a license or permit as defined by 21 NCAC 06P .0103(7) upon the request of the Board's Executive Director or a Board inspector during an inspection;

(2) will determine whether grounds for denial or discipline exist when:

(a) An individual violates a settlement agreement entered into with the Board;

(b) An individual or entity violates G.S. 86A or any rule adopted by the Board for barbers, barber shops or barber schools; or

(c) An individual fails to disclose a felony criminal conviction in dealing with the Board.

History

• Authority G.S. 86A-1; 86A-2; 86A-5(a); 86A-10; 86A-11; 86A-13; 86A-15; 86A-16; 86A-17; 86A- 18; 86A-20; 86A-22; 86A-23; 86A-24
• Eff. June 1, 2008
• Amended Eff. September 1, 2013
• Readopted Eff. October 1, 2016.
• Temporary Amendment Eff. May 2, 2023
• Temporary Amendment Exp. Eff. February 9, 2024.

21 NCAC 06Q .0102 Effect of Child Support Default on License or Certificate

History

• Status: repealed
• Authority G.S. 93B-13; 110-142.1
• Eff. June 1, 2008
• Repealed Eff. July 1, 2016.

21 NCAC 06Q .0103 Registered Sex Offender

History

• Status: repealed
• Authority G.S. 86A-17; 86A-18
• Eff. June 1, 2008
• Amended Eff. April 1, 2010
• Repealed Eff. October 1, 2016.

21 NCAC 06Q .0104 Effect of Notice of Violation on License or Certificate

History

• Status: repealed
• Authority G.S. 86A-1; 86A-10; 86A-17; 86A-18; 86A-20
• Eff. October 1, 2009
• Repealed Eff. October 1, 2016.

Subchapter R

21 NCAC 06R .0101 Display of Sign or Barber Pole

Every establishment permitted to practice barbering shall display at its entrance a sign that is visible from the street with lettering no smaller than three inches, stating "barber shop," "barber salon," "barber styling," or similar use of the designation, "shop, salon or styling." Alternatively, an establishment may display a "barber pole" as defined in 21 NCAC 06P .0103(3) that is visible from the street.

History

• Authority G.S. 86A-1; 86A-13
• Eff. June 1, 2008
• Amended Eff. September 1, 2009
• Readopted Eff. July 1, 2016
• RRC objection due to lack of statutory authority and ambiguity Eff. April 20, 2023.

Subchapter S

21 NCAC 06S .0101 General Examination Instructions

(a) For the purposes of this Rule, "test center" means those rooms where the Board administers written and practical examinations while the examinations are being conducted.

(b) All candidates scheduled for an examination conducted by the Board shall:

(1) provide two forms of identification, one of which shall have a photo of the candidate;

(2) submit a signed copy of the exam instructions that the Board sent to the candidate;

(3) wear closed-toed shoes and barber smocks or jackets, if they are taking a practical exam;

(4) bring tools and supplies as required by the Board in its exam instructions; and

(5) bring a hygienically clean model with natural hair and beard of sufficient length to demonstrate practical barbering proficiency as determined by the Board in its qualifying model policy.

(c) The following shall be prohibited in the test center during examinations:

(1) briefcases, bags, books, papers, or study materials;

(2) cell phones, calculators, or other electronic devices;

(3) eating, drinking, smoking, or chewing gum;

(4) visitors, children, or pets;

(5) talking by candidates; or

(6) wearing or carrying any school identification on uniforms or equipment.

(d) The Board shall not be responsible for lost or misplaced items.

(e) No extra time for the examination shall be permitted unless mandated by State or federal law, such as the Americans with Disabilities Act.

(f) No candidate shall leave the test center during the examination. Candidates may visit the restroom with the Board staff's permission but shall not receive any additional time for the examination.

(g) No candidate may give or receive assistance during the examination. If a candidate gives or receives assistance during the examination, the Board staff shall stop the candidate's examination and the candidate shall be dismissed from the test center. The Board staff shall not score the examination and shall report the candidate to the Board, which shall make any decisions regarding discipline.

History

• Authority G.S. 86A-5(a)(4); 86A-8; 86A-9; 86A-24
• Eff. September 1, 2009
• Amended Eff. September 1, 2013
• Readopted Eff. July 1, 2016
• Amended Eff. July 1, 2020.

Subchapter T

21 NCAC 06T .0103 Advertising

No advertisement by an electrologist for the services of any electrologist shall be false or misleading. An electrologist who fails to correct such an advertisement or who fails to cause it to be corrected within 10 days after receipt of written notice by the Board is subject to disciplinary action in accordance with G.S. 88A-21.

History

• Authority G.S. 88A-6; 88A-2
• Eff. December 1, 1995
• Amended Eff. September 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Recodified from 21 NCAC 19 .0104 Eff. January 1, 2023.

Subchapter U

21 NCAC 06U .0101 Fees

(a) The following fees are payable to the Board for licensure as an electrologist:

(1) Application for licensure $150.00

(2) Initial licensure $125.00

(3) Renewal of licensure $125.00

(b) The following fees are payable to the Board for licensure as a laser hair practitioner:

(1) Application for licensure $125.00

(2) Initial licensure $125.00

(3) Renewal of licensure $150.00

(c) The following fees are payable to the Board for certification as an instructor:

(1) Application for Electrology instructor $150.00

(2) Renewal of Electrology instructor $125.00

(3) Application for laser hair practitioner instructor $150.00

(4) Renewal of laser hair practitioner instructor $125.00

(d) The following fees are payable to the Board for certification as a Board approved school:

(1) IN STATE SCHOOL

(A) Application for certification as an Electrology school $250.00

(B) Renewal of certification as an Electrology school $150.00

(C) Application for certification as a laser, light source,

or pulse light treatment school $250.00

(D) Renewal of certification for a laser, light source,

or pulse light treatment school $150.00

(2) OUT-OF-STATE SCHOOL

(A) Application for certification as an Electrology school $400.00

(B) Initial certification as an Electrology school $100.00

(C) Renewal of certification for an Electrology school $100.00

(D) Application for certification as a laser, light source,

or pulse light treatment school $350.00

(E) Initial certification as a laser, light source,

or pulse light treatment school $75.00

(F) Renewal of certification as a laser, light source,

or pulse light treatment school $100.00

(e) The following other fees are payable to the Board:

(1) Electrologist Examination or reexamination $125.00

(2) Office inspection or re-inspection

(A) Electrologist – per licensee, for each office site $100.00

(B) Laser Hair Practitioner – per licensee, for each office site $100.00

(3) License by reciprocity $125.00

(4) Late renewal charge $50.00

(5) Reinstatement of expired license $250.00

(6) Reinstatement of instructor licensure $250.00

(7) Reactivation of license $150.00

(8) Reactivation of instructor licensure $150.00

(9) Duplicate license $25.00

(f) All fees shall be paid by check or money order, made payable to "The North Carolina Board of Electrolysis Examiners."

(g) Renewal fees required for Subparagraphs (a)(3), (b)(3), (c)(2), (c)(4), (e)(2), and (e)(9) of this Rule shall be waived for licensees under this Chapter that are exempt from renewal fees under G.S. 93B-15.

History

• Authority G.S. 88A-9; 93B-15
• Temporary Adoption Eff. December 1, 1991 for a period of 62 days to expire on February 1, 1992
• Eff. January 1, 1992
• Temporary Amendment Eff. September 17, 2001
• Amended Eff. September 1, 2015; October 9, 2010; December 4, 2002
• Readopted Eff. September 1, 2019
• Recodified from 21 NCAC 19 .0201 Eff. January 1, 2023
• Temporary Amendment Eff. June 1, 2023
• Temporary Amendment Exp. Eff. March 11, 2024.

21 NCAC 06U .0102 Application for Licensure

(a) All applicants for licensure as an electrologist shall submit an application on the form provided by the Board (available online at www.ncbee.com), accompanied by proof of being 21 years of age, a passport acceptable photograph (see photo requirements for U.S. passports at https//:travel.state.gov) taken within the past two years, the required application fee, as set forth in Rule .0101 of this Section, any information required by Paragraphs (b), (c), and (d) of this Rule, and certification of completion from each electrology and laser institution attended with verification of the number of hours completed in theory and clinical training. The Initial Electrolysis License Application may be obtained by contacting the Board or accessing it online at www.ncbee.com.

(b) All applications for licensure under G.S. 88A-11(2) shall be accompanied by:

(1) the address of the licensing agency in the other state or jurisdiction;

(2) any information such as a license number needed to identify the applicant in correspondence with that agency; and

(3) a statement authorizing that agency to certify to the Board that the applicant is currently licensed or certified by the other state or jurisdiction and is in good standing, to inform the Board whether there are any pending complaints about the applicant, and to provide the Board with a copy of the licensing requirements in that state or jurisdiction.

(c) Proof of age shall be shown by certified copy of a birth certificate. If the applicant cannot obtain a certified copy of the birth certificate, the applicant shall attach an explanation as to why no birth certificate is obtainable and shall submit other proof of age. Other proof of age includes passports, current life insurance policies held for at least one year showing date of birth, entries in family bibles, medical or school records showing date of birth, and marriage licenses showing age.

(d) Applicants from states that do not license electrologists or applicants from states that require less than 600 hours of certified education shall submit proof of practice as required by G.S. 88A-10(a1) supported by tax records or a copy of a privilege license that documents previous practice of electrolysis prior to date of application.

(e) All new electrologist applicants shall take and pass both a written and a practical examination except for applicants meeting the requirements of G.S. 88A-11(2).

(f) In addition to maintaining an active electrologist license from the Board, a laser hair practitioner shall submit:

(1) proof of completion of a 30-hour laser, light source, or pulsed light treatment certification course approved by the Board that encompasses the laser or light device being used by the laser hair practitioner; and

(2) a Supervisory Agreement between the laser hair practitioner and a supervising physician licensed with the North Carolina Medical Board (NCMB) as defined under G.S. Article 1 Chapter 90. The Agreement shall be in accordance with 21 NCAC 06W .0101.

(g) A copy of the Supervisory Agreement shall be filed with the Board and a copy shall be available in the office of the supervising physician and the laser hair practitioner for inspection by the Board or its agent.

(h) A new licensee's office(s) shall be inspected prior to commencing business by a designee of the Board.

(i) The Board shall reject an incomplete or partial application.

History

• Authority G.S. 88A-6; 88A-9; 88A-10; 88A-11; 88A-11.1; 88A-16; 88A-19; 88A-19.1; 88A-21
• Temporary Adoption Eff. December 1, 1991 for a period of 62 days to expire on February 1, 1992
• Eff. February 1, 1992
• Temporary Amendment Eff. October 13, 1993 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Amended Eff. October 1, 2015; September 1, 2010; February 1, 1994
• Readopted Eff. September 1, 2019
• Recodified from 21 NCAC 19 .0202 Eff. January 1, 2023.

21 NCAC 06U .0103 APPLICATION FOR RENEWAL, REINSTATEMENT, OR REACTIVATION OF electrolysis LICENSE

(a) Unless an applicant electrolysis' license expired more than 90 days prior to the filing of an Electrolysis Annual Renewal application, (available online at www.ncbee.com), each applicant for license renewal pursuant to G.S. 88A-12 shall pay the required renewal fee, including the late renewal charge if applicable, and shall provide proof of compliance with 21 NCAC 06Y .0101(a)(1).

(b) An electrologist whose license has been expired for more than 90 days but less than five years may apply for reinstatement by submitting an Electrolysis Reinstatement application (available online at www.ncbee.com), paying the reinstatement fee, and providing proof of competence pursuant to 21 NCAC 06Y .0101(a)(4).

(c) An electrologist who has been on the inactive list for less than five years and desires to be returned to active status shall submit an Electrolysis Reactivation application (available online at www.ncbee.com), pay the reactivation fee, and provide proof of competence pursuant to 21 NCAC 06Y .0101(a)(3).

(d) Proof of compliance with 21 NCAC 06Y .0101 shall be provided by a copy of a certificate of course completion issued by the course provider that identifies the course and includes the date, location, and number of hours taken by the applicant. The Board may request confirmation of the number of hours from the course provider if there are questions regarding the authenticity of the documentation and shall not give credit for hours that the entity does not confirm as hours actually taken by the applicant.

(e) Electrolysis Instructor Certification:

(1) Renewal of Electrolysis Instructor Certification: Unless the applicant's instructor certification expired more than 90 days prior to the filing of an application for renewal, each applicant for instructor certification renewal pursuant to G.S. 88A-18 may apply for renewal by:

(A) submitting an Electrolysis Instructor Renewal application (available online at www.ncbee.com);

(B) paying the renewal fee; and

(C) providing proof of current electrolysis licensure.

(2) Reactivation of Electrolysis Instructor Certification: An instructor whose certification has been expired for more than 90 days but less than 3 years may apply for reactivation of the expired certification by:

(A) submitting an Electrolysis Instructor Reactivation application (available online at www.ncbee.com);

(B) paying the reactivation fee; and

(C) providing proof of competence as described in 21 NCAC 06Y .0101(b)(1).

(3) Reinstatement of Electrolysis Instructor Certification: An instructor whose certification has been expired for three years or more may apply for reinstatement of the certification by:

(A) taking and passing the instructor's examination;

(B) submitting an Electrolysis Instructor Reinstatement application (available online at www.ncbee.com);

(C) paying the reinstatement fee; and

(D) providing proof of competence pursuant to 21 NCAC 06Y .0101(b)(2).

History

• Authority G.S. 88A-6; 88A-12; 88A-13; 88A-18
• Eff. March 1, 1995
• Amended Eff. October 1, 2015
• Readopted Eff. September 1, 2019
• Recodified from 21 NCAC 19 .0203 Eff. January 1, 2023.

21 NCAC 06U .0104 Application for Renewal, Reinstatement, or Reactivation of Laser Hair Practitioner License

(a) Unless an applicant laser hair practitioner's license expired more than 90 days prior to the filing of an application for renewal, each applicant for license renewal pursuant to G.S. 88A-12 shall file a Laser Annual Renewal application (available online at www.ncbee.com), pay the required renewal fee, including the late renewal charge if applicable, and shall provide proof of compliance with 21 NCAC 06Y .0101(a)(2).

(b) A laser hair practitioner who has been on the inactive list for less than five years who desires to be returned to active status, shall apply for reactivation by submitting a Laser Reactivation application (available online at www.ncbee.com), paying the reactivation fee, and providing proof of competence pursuant to 21 NCAC 06Y .0101(a)(3).

(c) A laser hair practitioner whose license has been expired for more than 90 days but less than five years shall apply for reinstatement by submitting a Laser Reinstatement application (available online at www.ncbee.com), paying the reinstatement fee, and providing proof of competence pursuant to 21 NCAC 06Y .0101(a)(4).

(d) Proof of compliance with 21 NCAC 06Y .0101 shall be provided by a copy of a certificate of course completion issued by the entity that offered the program or course, that identifies the course and includes the date, location, and number of hours taken by the applicant. The Board may request confirmation of the number of hours from the course provider if there are questions regarding the authenticity of the documentation and shall not give credit for hours that the entity does not confirm as hours actually taken by the applicant.

(e) Laser Hair Removal Instructor Certification:

(1) Renewal of Laser Hair Removal Instructor Certification: Unless the applicant's instructor certification expired more than 90 days prior to the filing of an application for renewal, each applicant may apply for renewal by:

(A) submitting a Laser Instructor Renewal application (available online at www.ncbee.com);

(B) paying the renewal fee; and

(C) providing proof of current laser hair removal licensure.

(2) Reactivation of Laser Hair Removal Instructor Certification: An instructor whose certification has been expired for less than 3 years but more than 90 days may apply for reactivation of the expired certification by:

(A) submitting a Laser Instructor Reactivation application (available online at www.ncbee.com);

(B) paying the reactivation fee; and

(C) providing proof of competence as described in 21 NCAC 06Y .0101(b)(1).

(3) Reinstatement of Laser Hair Removal Instructor Certification: An instructor whose certification has been expired for three years or more may apply for reinstatement of the certification by:

(A) submitting a Laser Instructor Reinstatement application (available online at www.ncbee.com);

(B) paying the reinstatement fee; and

(C) providing proof of competence pursuant to 21 NCAC 06Y .0101(b)(2).

History

• Authority G.S. 88A-6; 88A-12; 88A-13; 88A-14; 88A-18
• Eff. September 1, 2010
• Amended Eff. October 1, 2015
• Readopted Eff. September 1, 2019
• Recodified from 21 NCAC 19 .0204 Eff. January 1, 2023.

21 NCAC 06U .0105 Temporary License for Electrology Applicants

(a) An applicant for an electrologist license who is required to take the Board's examination and has complied with Rule .0102 of this Section may request a temporary license.

(b) The applicant shall submit the request for a temporary license to an address set forth in 21 NCAC 06A .0102. The request shall include the following:

(1) The applicant's name, email address, mailing address, and phone number;

(2) The name of the electrology facility where the applicant plans to work under the temporary permit;

(3) The name and license number of the electrologist who will supervise the applicant; and

(4) A written statement by a North Carolina licensed electrologist indicating that the applicant will work under that electrologist's direct supervision.

(c) A temporary permit shall be effective for either six months from issuance or one month past the practical exam date, whichever date is sooner.

(d) Applicants who fail the first practical exam may request one additional temporary permit if they pay the exam retake fee set forth in 21 NCAC 06U .0101(e)(1). Applicants shall submit the request as set forth in Paragraph (b) of this Rule.

(e) Notwithstanding Paragraph (d) of this Rule, applicants who fail to appear for their first practical exam may request an additional temporary permit as set forth in Paragraph (b) of this Rule only if they show to the satisfaction of the Board that they were unable to appear and take the examination for which they were scheduled due to causes beyond their control.

(f) The holder of a temporary license shall practice only under the supervision of a licensed electrologist. As used in this Rule, "supervision" means that licensed electrologist is physically present in the same establishment, though not necessarily in the same room, as the holder of the temporary license when electrology services occur and that the acts done by the holder of the temporary license are done pursuant to the licensed electrologist's order, control, and approval.

History

• Authority G.S. 86B-54
• Eff. December 1, 1995
• Recodified from 21 NCAC 19 .0204 Eff. September 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1,
• 2018
• Recodified from 21 NCAC 19 .0205 Eff. January 1, 2023
• Amended Eff. September 1, 2026.

21 NCAC 06U .0106 Student Permit for Electrology Apprenticeship Program

History

• Status: expired
• Authority G.S. 86B-65; 93B-14
• Temporary Adoption Eff. June 1, 2023
• Temporary Rule Expired Eff. March 11, 2024.

21 NCAC 06U .0107 Monthly Reports for Electrology Apprenticeship Program

History

• Status: expired
• Authority G.S. 86B-65
• Temporary Adoption Eff. June 1, 2023
• Temporary Rule Expired Eff. March 11, 2024.

21 NCAC 06U .0108 Application for Instructor in Electrology Apprenticeship Program

History

• Status: expired
• Authority G.S. 86B-65
• Temporary Adoption Eff. June 1, 2023
• Temporary Rule Expired Eff. March 11, 2024.

21 NCAC 06U .0109 Post-Apprenticeship Application for Licensure

History

• Status: expired
• Authority G.S. 86B-65; 93B-14
• Temporary Adoption Eff. June 1, 2023
• Temporary Rule Expired Eff. March 11, 2024.

21 NCAC 06U .0110 Application for Approval as an Electrology Apprenticeship Program

History

• Status: expired
• Authority G.S. 86B-65
• Temporary Adoption Eff. June 1, 2023
• Temporary Rule Expired Eff. March 11, 2024.

Subchapter V

21 NCAC 06V .0101 Offices

(a) Each electrolysis office, wherever located, shall:

(1) have a treatment table or other piece of furniture for placing clients for treatment;

(2) have at least one circuline type lamp, halogen lamp, or other type or magnifying lamp;

(3) have hand washing facilities on the same floor and toilet facilities in the same building, both with a supply of either soap or a germicidal skin preparation for washing hands;

(4) have a supply of labeled non-sterile examination gloves, cotton balls and antiseptic product for cleaning client's skin, materials for cleaning instruments and other items, materials for cleaning the workplace or documentation of cleaning contract, paper or cotton towels, and puncture-resistant containers and plastic bags for used materials;

(5) have sterilization equipment and supplies needed for the sterilization methods used;

(6) have a covered trash can and, if linens are used, a laundry bag or closed container for laundry, available to each workplace area;

(7) have storage facilities to contain the equipment, instruments, and supplies of the electrolysis practice;

(8) be inspected annually at each location where the licensee practices; and

(9) be inspected prior to the commencement of practice if the office is relocated.

(b) In addition to the items required in Paragraph (a) of this Rule, each laser practitioner office shall have the following:

(1) all doors leading to laser room shall have laser-specific safety signs displayed in accordance with American National Standard Institute (ANSI) Z136.1 Z136.1, which is incorporated herein by reference, including subsequent amendments or additions, and may be obtained at a cost of two hundred and three dollars ($203.00) from www.lia.org;

(2) no uncovered mirrors or reflective surfaces;

(3) laser safety eyewear that is labeled with the same wavelength and optical density as the laser device operated and that is worn while treatment is administered;

(4) all windows protected from laser beam with either an opaque material or white blinds;

(5) a fire extinguisher in the treatment room;

(6) face masks to be worn while treatment is administered; and

(7) an air filter.

(c) A laser, pulsed-light, or light-based hair removal practice shall be maintained in accordance with local zoning regulations.

(d) Laser, pulsed-light, and light-based devices shall be maintained and operated in accordance with Occupational Safety and Health Administration (OSHA) standards, which are incorporated herein by reference, including subsequent amendments or editions and may be accessed at no cost at https://www.osha.gov/SLTC/laserhazards.

(e) A copy of the current "Supervisory Agreement" shall be available in the office for inspection upon request.

History

• Authority G.S. 88A-6(9); 88A-11.1; 88A-16
• Eff. June 1, 1993
• Amended Eff. September 1, 2010
• Readopted Eff. September 1, 2019
• Recodified from 21 NCAC 19 .0403 Eff. January 1, 2023.

21 NCAC 06V .0102 Definitions and Overview

In addition to the terms defined in G.S. 88A, the following terms have the following meanings:

(1) "Alcohol-based hand rub or gel" means a preparation that contains 60 percent to 95 percent ethanol or isopropanol that is designed for application to the hands to reduce the number of viable microorganisms on the hands.

(2) "Antiseptic" means a germicide used on skin or living tissue to inhibit or destroy microorganisms.

(3) "Aseptic technique" means the term used to describe the precautionary measures taken to help reduce the risk of post treatment infections by decreasing the opportunity for microorganisms to enter the body. Precautionary measures include handwashing, disinfection, sterilization of surfaces and instruments, use of protective barriers, containment and disposal of waste, and instrument and surface manipulations that minimize cross contamination.

(4) "Autoclave" means a vessel used for sterilization by the application of saturated steam under pressure and heat.

(5) "Chemical indicator" means a chemically treated paper strip used to monitor parameters of a heat sterilization process by means of a characteristic color change. A chemical indicator does not indicate that sterilization has been achieved, but a chemical indicator indicates that the temperature needed has been attained.

(6) "Cleaning" means the removal of all visible organic material from objects using friction, detergent, and water prior to the disinfection and sterilization processes.

(7) "Contaminated" means the presence of potentially infectious pathogenic microorganisms on surfaces of a objects.

(8) "Continuing education unit" or "CEU" means one contact hour of participation in an organized learning experience that:

(a) is related to the practice of electrolysis or laser light-based hair reduction;

(b) is related to the scope of practice of a practitioner of electrolysis or laser light-based hair reduction;

(c) occurs after the original granting of licensure; and

(d) is approved by the Board at least 60 days before the event according to the standards set forth in G.S. 88A-13.

(9) "Cross-contamination" means the process by which bacteria or other microorganisms are transferred from one substance or object to another with harmful effect.

(10) "Critical items" means instruments, devices, objects, or environmental surfaces that will come in direct contact with the bloodstream or other normally sterile areas of the body.

(11) "Decontaminate" means to neutralize or remove dangerous substances or germs from an area or object.

(12) "Decontamination" means the use of physical or chemical means to remove, inactivate, or destroy pathogens on a surface or item so that they are no longer capable of transmitting infectious particles and to render the surface or item safe for handling, use, or disposal.

(13) "Disinfect" means to clean with a disinfectant to destroy bacteria.

(14) "Disinfectant" means a chemical agent used on inanimate surfaces and objects to destroy infectious fungi and bacteria, but not necessarily their spores, and is classified into levels of potency as follows:

(a) "High-level," which is utilized for the reprocessing of semi-critical instruments or devices and includes Food and Drug Administration (FDA) regulated substances such as glutaraldehyde-, chlorine dioxide-hydrogen peroxide, orthophthaldehyde-, and peracetic acid-based formulations;

(b) "Intermediate-level," which is utilized for disinfecting tips for epilator needles and includes Environmental Protection Agency (EPA) regulated substances such as alcohols containing 70 to 90 percent ethanol or isopropanol, chlorine compounds, and certain phenolic or iodophor preparations as determined by the EPA;

(c) "Low-level," which is utilized for disinfecting environmental or non-instrument surfaces and includes EPA regulated substances such as quaternary ammonium compounds and certain phenolic or iodophor preparations as determined by the EPA.

(15) "Disinfection" means a procedure that reduces the level of microbial contamination and is classified into the following levels:

(a) "High-level," which inactivates some, but not necessarily all, bacterial spores. This process will also kill Mycobacterium tuberculosis var. bovis and all microorganisms except for high levels of bacterial spores.

(b) "Intermediate-level," which does not kill bacterial spores but can kill M. tuberculosis var. bovis, most vegetative bacteria and fungi, as well as viruses such as hepatitis B virus (HBV) and human immunodeficiency virus (HIV);

(c) "Low-level," which inactivates most bacteria, some viruses, and fungi, but not bacterial spores or Mycobacterium tuberculosis var. bovis.

(16) "Dry heat sterilizer" means a forced air oven-type device designed to sterilize items by exposure to high temperatures for designated exposure periods.

(17) "Environmental surfaces" means surfaces in the electrology treatment room that may contribute to cross-contamination by contact with the electrologist or instruments that will subsequently contact clients.

(18) "Enzyme detergent" means the detergent that helps break down organic soils and fats and suspends particles during cleaning. An enzyme detergent is used as a soaking solution for critical and non-critical instruments and as the detergent used in the ultrasonic device.

(19) "Epilator" means an electrical device used to perform electrolysis.

(20) "Epilator cords" means insulated plastic covered cords used to complete the current circuit between the epilator and the epilator needle or the indifferent electrode.

(21) "Forceps" means the sterilized instruments or "tweezers" used in electrology treatments to lift the treated hair from the follicle.

(22) "Gloves" means coverings for the hands that provide a protective barrier against infections and toxic substances.

(23) "Hand hygiene" means the general term that applies to:

(a) "Hand washing," the decontamination process for the removal of soil and transient microorganisms from the hands by a vigorous rubbing together of all surfaces of hands lathered with plain soap for at least 15 seconds, followed by rinsing under a stream of water;

(b) "Antiseptic hand wash," the washing of hands with water and soap or other detergents containing an antiseptic agent;

(c) "Antiseptic hand rub," the application of an alcohol-based hand rub product, to all surfaces of the hands to reduce the number of microorganisms present; and

(d) "Hand antisepsis," a preoperative antiseptic hand wash or antiseptic hand rub to eliminate transient microorganisms and reduce resident hand flora.

(24) "Health History Assessment File" means the cumulative and permanent documentation of a client's medical and treatment record that is maintained by the electrologist as set forth in Rule .0409 of this Section.

(25) "Hirsute or Hirsutism" means the excessive growth of hair that is thickened caused by hormonal or biochemical imbalances or genetic predisposition.

(26) "Home study" means an educational activity undertaken by an individual, completed by correspondence or online, and with a certification of completion awarded at the end of the course.

(27) "Hospital-grade disinfectant" means a chemical germicide that is classed in a spectrum of activity as either low-level or intermediate-level, as defined in Item (15) of this Rule, with labeled claims for effectiveness against Salmonella choleraesuis, Staphylococcus aureus, and Pseudomonas aeruginosa.

(28) "Indifferent electrode" means a stainless steel bar held by the client during electrology treatments to complete current circuit with galvanic electrolysis modality or with the use of a timer delay switch in automatic delivery epilators.

(29) "In-person seminar" means continuing education that occurs in a physical location rather than online.

(30) "Instruments" means tools or devices designed to perform a specific function within the field of electrology, such as grasping, holding, or retracting.

(31) "Intact skin" means skin in which the natural protective barrier has not been altered by infection or trauma.

(32) "Microbial" means a minute life form; a microorganism, especially a bacterium that causes disease.

(33) "Nitrile" means non-sterile, latex-free substance from which gloves are manufactured.

(34) "Needle" means the pre-sterilized, disposable wire filament that is inserted into the hair follicle for application of electrical current in electrology.

(35) "Non-intact skin" means skin in which there is a break in the skin's natural integrity, for example, exposed skin that is chapped, abraded, or afflicted with dermatitis.

(36) "Packaging" means a generic term meant to include all types of containment, such as woven or non-woven wraps, paper or film pouches, or rigid container systems.

(37) "Pathogen" means a microorganism or substance capable of producing a disease.

(38) "Phoresis rollers" means sterilized stainless steel rollers used to apply current to skin before or after electrology treatment.

(39) "Plain soap" means a detergent-based cleanser without antimicrobial additives that is used for the physical removal of dirt and transient microorganisms.

(40) "Protective disposable barrier" means a disposable, moisture-resistant covering that reduces the potential for contaminating environmental or medical device surfaces that may be difficult or inconvenient to clean and disinfect routinely, for example, tables, pillows, or hard-to-clean surfaces, such as light handles and epilator surfaces.

(41) "Reprocessing" means the process of cleaning, disinfecting, or sterilizing a reusable instrument that has been used or contaminated in order to be made safe for its intended use.

(42) "Semi-critical items" means instruments, devices, objects, or environmental surfaces that may come in contact with mucous membranes and non-intact skin, but do not ordinarily penetrate body surfaces. Semi-critical items require sterilization or exposure to high-level disinfection as set in Item (41) of this Rule.

(43) "Sharps container" means a manufactured and labeled, leak-proof, rigid, puncture-resistant, durable plastic container into which needles are placed after use and that is designed to be disposed of as an item of medical waste regulated by the North Carolina Department of Environmental Quality.

(44) "Standards" means the level of quality or excellence.

(45) "Sterility assurance file" means the record containing the sterilizer maintenance and use log and culture report from each biological monitor.

(46) "Sterilization" means the process that destroys all forms of microbial life. The methods of sterilization of instruments and items used in the practice of electrology are the dry heat sterilizer or the autoclave.

(47) "Treatment room" means the operatory where electrolysis treatments are performed.

(48) "Ultrasonic cleaner" means a device that uses ultrasonic waves transmitted through the cleaning solution in a mechanical process known as cavitation. The transmitted sound waves produce tiny air bubbles on instrument surfaces that scrub tightly adhering or embedded particles from solid surfaces and remove soil deposits from hard-to-reach areas.

History

• Authority G.S. 88A-6; 88A-13; 88A-16
• Eff. December 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. November 1, 2022
• Recodified from 21 NCAC 19 .0404 Eff. January 1, 2023.

21 NCAC 06V .0103 Hand Hygiene

(a) Electrologists shall cleanse their hands by handwashing or by degerming through hand antisepsis:

(1) before and after treatment on each client;

(2) before donning gloves;

(3) immediately after gloves are removed; and

(4) immediately, if bare-handed contact with blood, body fluids, secretions, excretions, non-intact skin, mucous membranes or contaminated equipment occurs.

(b) As used in this Rule, handwashing includes:

(1) wetting hands with running warm water and applying plain soap in the amount recommended by the manufacturer;

(2) rubbing hands together at least 15 seconds, covering all surfaces of hands, including between fingers and fingernail areas;

(3) rinsing hands under a stream of water;

(4) drying hands with a clean disposable paper towel;

(5) turning faucets off with the paper towel; and

(6) disposing of the paper towel in a covered receptacle.

(c) As used in this Rule, hand antisepsis is achieved by:

(1) applying the product label recommended amount of an antiseptic alcohol-based gel or rinse to the palm of one hand;

(2) rubbing hands together, covering all surfaces of hands, especially between fingers and fingernail areas; and

(3) continuing to rub hands together at least 15 seconds or until the alcohol dries.

History

• Authority G.S. 88A-16
• Eff. December 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Recodified from 21 NCAC 19 .0405 Eff. January 1, 2023.

21 NCAC 06V .0104 Use of Gloves

Electrologists shall:

(1) Wear a fresh pair of non-sterile, medical grade, latex, nitrile or vinyl disposal examination gloves:

(a) during the treatment of each client;

(b) when contact with blood or other potentially infectious materials, mucous membranes and non-intact skin could occur; and

(c) during the procedures of soaking, cleaning, rinsing, drying and packaging of forceps and other contaminated instruments.

(2) Refrain from using latex gloves if the client's health history assessment file indicates a sensitivity or allergic reaction to latex-based products.

(3) Decontaminate hands in accordance with the procedures in Rule .0103 of this Section before putting on gloves and immediately after gloves are removed.

(4) In the event of an interrupted treatment session:

(a) remove and discard gloves;

(b) decontaminate hands before touching items or surfaces; and

(c) decontaminate hands before re-gloving with a fresh pair of gloves before resuming treatment.

(5) In the event of torn or perforated gloves:

(a) remove torn or perforated gloves immediately;

(b) decontaminate hands; and

(c) re-glove with fresh gloves.

(6) After each treatment:

(a) remove gloves;

(b) dispose in a receptacle located in the treatment room; and

(c) immediately decontaminate hands.

History

• Authority G.S. 88A-16
• Eff. December 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Recodified from 21 NCAC 19 .0406 Eff. January 1, 2023.

21 NCAC 06V .0105 cleaning, sterilization, and safety precautions for instruments and OTHER treatment-related ITEMS

(a) Each office of each electrologist and laser hair practitioner shall be inspected by the Board or its agent:

(1) prior to initial licensure;

(2) each time an office is relocated;

(3) annually after a license is issued; and

(4) at any time the Board deems necessary to ensure safety of the public, including in response to a complaint or inquiry.

(b) Electrologists shall observe the following safety precautions for the cleaning and sterilization of instruments:

(1) Coordinate sterilized instruments and supplies needed for each treatment in a manner whereby adherence to aseptic technique is maintained;

(2) Wear gloves when handling soiled instruments; and

(3) Avoid puncture injury from instruments.

(c) As used in this Rule, instruments and other items include:

(1) Needles that are:

(A) single-use, pre-sterilized, and disposable;

(B) stored in a manner that will maintain sterile conditions of contents;

(C) not recapped, bent, or otherwise manipulated by hand prior to disposal;

(D) placed in a puncture-resistant sharps container after use, when opened or found damaged, when contaminated before use, or when not used before pre-printed expiration date; and

(E) disposed of in accordance with State and local regulations when the sharps container is no more than three quarters full;

(2) Forceps, phoresis rollers, and epilator tips that are:

(A) disinfected before initial use and after use on the client;

(B) disinfected after a 24-hour period when packaging is opened and instruments are unused or when packaging is contaminated before use, for example, dropped or placed on a surface not protected by barriers;

(C) accumulated after use and before cleaning and sterilization in a covered holding container by submersion in a solution of a protein-dissolving enzyme detergent and water, following manufacturer's instruction for dilution, then rinsed and drained; and

(D) cleaned and sterilized in accordance with the standards in Paragraphs (d) and (e) of this Rule.

(d) Electrologists shall observe the following standards for cleaning:

(1) Place items and other instruments in the basket of a covered ultrasonic cleaning unit containing a fresh solution of a protein-dissolving enzyme detergent and water;

(2) Follow manufacturer's instructions for dilution and ultrasonic running times;

(3) Remove basket from ultrasonic unit rinse under running water and drain;

(4) Drain and air dry items on a clean, disposable, absorbent, non-shedding cloth in an area protected from exposure to contaminants with a hot-air dryer or by placement into a drying cabinet;

(5) Package forceps, rollers, and heat-stable tips individually in woven or non-woven wraps, paper or film pouches, or rigid container systems for the sterilization process;

(6) Place packaged instruments and items in an autoclave or dry-heat sterilizer with a chemical indicator;

(7) If dry-heat sterilizers are used, subject the heat-sensitive tips to an intermediate-level disinfectant, after which the tips are rinsed and dried; and

(8) Store instruments and items in a clean and dry covered container, drawer or closed cabinet after the cleaning process.

(e) Electrologists shall observe the following standards for sterilization:

(1) The required minimum time and temperature relationship for sterilization methods shall be:

(A) for the dry heat method, the minimum time-temperature relationship required to be attained is 340° F (170° C) for one hour or 320° F (160° C) for two hours; and

(B) for the autoclave (steam under pressure) method, the minimum time-temperature-pressure relationship required to be attained is 15 to 20 minutes at 121°C (250°F) and 15 psi (pounds per square inch) for unpackaged instruments and items and 30 minutes at 121° C (250° F) and 15 psi (pounds per square inch) for packaged instruments and items.

(C) temperature and exposure requirements in Parts (A) and (B) of this Subparagraph relate to the time of exposure after attainment of the required temperature and do not include a penetration of heat-up lag time, drying time, or cool-down time;

(2) Sterilizers shall have visible physical indicator gauges, for example, thermometers, timers, on the devices that shall be monitored during the sterilization cycle;

(3) The interior of the sterilization devices shall be cleaned according to the manufacturer's instructions;

(4) Packaging for sterilization shall:

(A) accommodate the size, shape, and number of instruments to be sterilized;

(B) be able to withstand the physical conditions of the selected sterilization process;

(C) allow enough space between items in each package for the sterilization of all surfaces to occur; and

(D) chemical indicators shall be visible on the outside of each package sterilized that indicates the instruments and items have been exposed to a sterilization process.

(5) Manufacturer's recommendations shall be followed for aseptic removal of contents in the sterilized packages;

(6) Biological monitors shall be used no less than once a month for each sterilization device according to manufacturer's instruction in order to ensure that proper mechanical function of the sterilizer is maintained; and

(7) Recorded laboratory reports from the biological monitors shall be filed in a permanent sterility assurance file.

(f) Safety precautions shall be observed for other treatment related items as follows:

(1) Indifferent electrodes, epilator cords, and eye shields shall be cleaned, dried, and subjected to intermediate-level disinfection before initial use and after each treatment and replaced when showing signs of wear and tear;

(2) Ultrasonic cleaning units and all other containers and their removable parts shall be used during soaking and cleaning procedures, cleaned, dried daily, and used and maintained according to manufacturer's instructions; and

(3) Environmental surfaces directly related to treatment shall be cleaned and subjected to low-level disinfection daily and whenever visibly contaminated.

History

• Authority G.S. 88A-6(9); 88A-16
• Eff. December 1, 2010
• Amended Eff. September 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Recodified from 21 NCAC 19 .0407 Eff. January 1, 2023.

21 NCAC 06V .0106 Environmental Control and Housekeeping

(a) Electrologists shall observe the following elements of environmental control:

(1) Each treatment room shall be kept lighted, ventilated, and free from dirt, dust, and contamination;

(2) Each treatment room shall be equipped with labeled containers, covered storage for supplies, a puncture-resistant sharps container labeled as a biohazard, and covered trash containers;

(3) Treatment table surfaces shall be made of materials that can be washed with detergents and treated with disinfectants;

(4) Treatment table surfaces shall be covered with newly laundered linens, new disposable paper drapes, or barrier before each client treatment;

(5) Headrests shall be covered with newly laundered linens, new disposable paper drapes, or barrier before each client treatment;

(6) Treatment table surfaces that may come in contact with bare skin during treatments shall be covered with newly laundered linens, new disposable paper drapes, or barrier;

(7) Containers for dispensing products, such as soap, alcohol hand-rubs, and treatment supplies shall be labeled;

(8) All treatment supplies shall be disposable or, if reusable, the supplies containers shall be cleaned and dried before being refilled with fresh products;

(9) Aseptic techniques for dispensing creams, lotions, ointments and antiseptics during treatment shall be followed;

(10) Manufacturer's recommendations for the use and disposal of products and containers when contaminated, or when expiration date is reached, shall be followed;

(11) Environmental surfaces that are touched during treatment, such as epilator needle holder and cords, epilator cart, magnification lamps, light devices and epilator controls shall be covered with a new protective disposable barrier before each treatment of a client or decontaminated after each treatment of a client, following manufacturer's instructions;

(12) Disposable items such as cotton, paper drapes and protective disposal barriers shall be stored in covered containers, closed cabinets, or drawers before use;

(13) Used disposable items shall be discarded into a covered trash container lined with a plastic bag that is tightly fastened when ready for disposal, and is disposed of daily into the trash, unless otherwise specified by State and local health regulations;

(14) Reusable items such as sheets, pillowcases, and towels that are used to cover the treatment table or as a client drape shall be stored in covered containers, closed cabinets, or drawers before use; and

(15) After use, reusable items shall be placed in a covered container labeled as "soiled laundry," laundered with detergent and water temperatures that will ensure cleaning and disinfection, and dried in a gas or electric clothes dryer.

(b) Electrologists shall observe the following elements of housekeeping:

(1) A low-level hospital-grade disinfectant registered with the Environmental Protection Agency (EPA) shall be used for cleaning non-critical environmental surfaces such as epilator surfaces, magnifying lamps, epilator carts, floors, walls, door knobs, tabletops, and window sills that will only contact intact skin;

(2) All other environmental surfaces in the treatment room shall be cleaned with water and detergent using a hospital-grade disinfectant or detergent designed for general housekeeping purposes, as indicated on the product label;

(3) Countertops shall be of smooth, non-porous material and shall be cleaned daily in the areas where cleaning and sterilizing of instruments and items takes place;

(4) Sinks and toilet facilities shall be cleaned daily;

(5) Non-critical equipment, such as doorknobs, telephones, and treatment tables in the treatment room, shall be kept cleaned and disinfected;

(6) Floors cleaned weekly and carpets shall be vacuumed weekly or more often if necessary; and

(7) Walls, blinds, and curtains shall be cleaned when dirty or dusty.

History

• Authority G.S. 88A-16
• Eff. December 1, 2010
• Readopted Eff. September 1, 2019
• Recodified from 21 NCAC 19 .0408 Eff. January 1, 2023.

21 NCAC 06V .0107 Client Evaluation

As an evaluation for each client, the electrologist and laser hair practitioner shall:

(1) Prepare a Health History Assessment File that contains:

(a) the date, name, address, contact information, date of birth, and names of family physician, gynecological physician, and dermatologist, if applicable;

(b) the areas of face and body to be treated;

(c) the hirsute family history;

(d) any current and previous methods of hair removal;

(e) any current and previous medications;

(f) any current and previous physical examination dates and results;

(g) any skin irregularities; and

(h) the date and signature of client.

(2) Update and evaluate the client's current health condition to determine if the client should be referred to a physician.

(3) Examine the client's skin for signs of infection or rashes prior to each treatment and delay treatment if actual or potential signs or symptoms of infection are present.

(4) Refer the client to a physician when evaluation of health history or skin examination indicates.

(5) Instruct the client on post-treatment care to promote healing of the treated skin site.

(6) Update active client Health History Assessment annually.

History

• Authority G.S. 88A-2; 88A-6
• Eff. December 1, 2010
• Amended Eff. September 1, 2015
• Readopted Eff. September 1, 2019
• Recodified from 21 NCAC 19 .0409 Eff. January 1, 2023.

21 NCAC 06V .0108 Needlestick Safety and Prevention

Electrologists shall comply with the Needlestick Safety and Prevention Act published January 18, 2001 to amend United States Occupational Safety & Health Administration (OSHA) Regulation 29 CFR 1910.1030, which is hereby incorporated by reference including subsequent amendments and editions. Copies may be obtained at no cost at: http://www.osha.gov/SLTC/bloodbornepathogens/.

History

• Authority G.S. 88A-16
• Eff. December 1, 2010
• Readopted Eff. September 1, 2019
• Recodified from 21 NCAC 19 .0410 Eff. January 1, 2023.

21 NCAC 06V .0109 FOLLOW-UP PROCEDURES FOR EXPOSURES TO HEPATITIS, Human immunodeficiency virus (HIV), AND OTHER BLOOD-BORNE PATHOGENS

Electrologists shall comply with the blood-borne pathogens standards contained in the Needlestick Safety and Prevention Act, published in United States Occupational Safety & Health Administration (OSHA). Regulation 29 CFR 1910.1030. which is hereby incorporated by reference including subsequent amendments and editions. Copies may be obtained at no cost at http://www.osha.gov/SLTC/bloodbornepathogens.

History

• Authority G.S. 88A-16
• Eff. December 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Recodified from 21 NCAC 19 .0411 Eff. January 1, 2023.

21 NCAC 06V .0110 Standard Precautions for Disease Control and Prevention

Electrologists shall:

(1) Wear a mask and eye protection or a face shield to protect mucous membranes of the eyes, nose, and mouth during procedures and client care activities that may generate splashes or sprays of blood and body fluids;

(2) Wear scrubs, lab coat, or medical grade clothing to protect skin and prevent soiling of clothing during procedures and client care activities that may generate splashes or sprays of blood and body fluids;

(3) Remove soiled medical clothing at the conclusion of client procedures and wash hands; and

(4) Wear protective gloves to prevent puncture injuries when using or cleaning instruments and when disposing of used needles.

History

• Authority G.S. 88A-16
• Eff. December 1, 2010
• Readopted Eff. September 1, 2019
• Recodified from 21 NCAC 19 .0412 Eff. January 1, 2023.

Subchapter W

21 NCAC 06W .0101 Supervising Physician

(a) Supervision by Physician – It is the licensed laser practitioner's responsibility to perform procedures solely within his or her professional scope of practice. A laser hair practitioner licensed under this Chapter shall perform laser hair removal only under the supervision of a physician licensed by the State of North Carolina to perform surgical services. The laser hair practitioner shall receive physician supervision before the initial laser treatment procedure. The laser hair practitioner shall perform services only after a physician or other practitioner licensed by the NC Medical Board (NCMB) under G.S. 1, Article 90 has examined the patient. This examination shall include a medical history and focused physical examination of the patient's skin condition to identify abnormalities that might be altered after exposure to a laser beam. The laser hair practitioner shall ensure that the supervising physician is readily available during services in accordance with G.S. 88A-11.1(c) so that the supervising physician is able to respond to patient emergencies and questions by the laser practitioner.

(b) Supervisory Agreement – A laser hair practitioner shall not operate any laser equipment without a signed Supervisory Agreement in accordance with 21 NCAC 06U .0102 in place and on file with the Board. The Supervisory Agreement shall include the following elements:

(1) the supervising physician's name, business address, business telephone number, NCMB license number, and medical specialty;

(2) an attestation that the supervising physician is licensed to practice medicine in North Carolina and plans to maintain licensure during the timeframe of the agreement;

(3) a list of devices, makes, and models being used by the laser hair practitioner;

(4) an attestation that the supervising physician is knowledgeable in the use of the listed devices;

(5) an attestation that the supervising physician ensures the laser hair practitioner has training to perform laser hair reduction with the listed devices;

(6) an attestation that the supervising physician will provide personal and responsible direction to the laser hair practitioner;

(7) an attestation that the supervising physician will be available and able to respond to patient emergencies and to questions by the laser hair practitioner under supervision;

(8) the geographical distance between the supervising physician and the laser hair practitioner;

(9) an attestation that the supervising physician will ensure that patient contact, evaluation, and education have been provided for the prescription medications that are related to laser hair reduction, both before and after treatment; and

(10) a provision for biannual renewal of the Supervisory Agreement, with a copy provided to the Board.

(c) A laser hair practitioner shall notify the Board within 30 days of the termination of the Supervisory Agreement with the supervising physician.

History

• Authority G.S. 88A-11.1
• Eff. October 1, 2010
• Amended Eff. October 1, 2015
• Readopted Eff. June 15, 2020
• Recodified from 21 NCAC 19 .0501 Eff. January 1, 2023.

Subchapter X

21 NCAC 06X .0101 Curriculum

(a) The course of study for electrolysis shall consist of at least 600 clock hours of instruction in theory and clinical practice as set out in the following table:

| Subject | Theory Hours | Clinical Hours | | --- | --- | --- | | General Orientation | 20 | 0 | | Rules of the school | | | | Personal hygiene and dress | | | | Professional ethics and office rules | | | | State and local laws governing electrolysis | | | | History of electrolysis | | | | Trichology (Hair Growth) | 20 | 0 | | Hair structure and function | | | | Growth cycles, including regrowth cycles | | | | Follicle structure and function | | | | Endocrinology | 20 | 0 | | Causes of hair growth, including new hair stimulation | | | | Study and function of glands | | | | Dermatology | 30 | 0 | | Skin structure and function | | | | Disease of the skin (as related to the practice of electrology) | | | | Reaction of the skin as related to the clinical application of electrolysis | | | | Neurology/Angiology (as related to electrology) | 20 | 0 | | Nervous system | | | | Pain thresholds | | | | Pain variables | | | | Synoptic responses | | | | Circulatory system | | | | Cardiovascular system | | | | Lymphatic system | | | | Bacteriology | 25 | 40 | | Sanitation | | | | Sterilization | | | | Rules and standards promulgated by the Board | | | | Principles of Electricity | 20 | 80 | | Short wave (Alternating) current | | | | Direct (Galvanic) current | | | | Equipment | 30 | 200 | | Modalities | | | | Electrolysis (DC ‑ Galvanic) | | | | Thermolysis (SW ‑ Shortwave) | | | | Blend (Combination of Galvanic and Shortwave) | | | | Variables | | | | Probes | | | | Intensity | | | | Timing | | | | Depth of insertion | | | | Equipment maintenance and upkeep | | | | General Treatment Procedure | 25 | 30 | | Consultation with clients | | | | Consultation instruction shall include methods of developing case histories and health history assessments and providing information on hair growth cycles, modalities used, pain factors, scheduling of appointments, and fees | | | | Positioning and draping | | | | Development of Practice | 20 | 20 | | Public relations and advertisement | | | | Office procedure and management | | | | Record keeping | | | | Telephone etiquette | | | | Housekeeping (Office) | | | | Totals: | 230 | 370 |

(b) The course of study for laser hair removal shall consist of at least 30 clock hours of instruction in theory and clinical practice, with a minimum of 20 hours in practical hands-on instruction and at least 10 hours of basic science (Didactic) instruction in the use of laser and light-based hair removal or reduction devices in the following topics:

(1) biology of hair;

(2) laser and light-based terminology;

(3) laser physics;

(4) types of laser and light-based hair removal devices;

(5) safety and precautions;

(6) tissue interaction;

(7) Fitzpatrick skin typing;

(8) patient history form and consultation;

(9) treatment contraindications;

(10) sterilization procedures;

(11) draping of patient;

(12) pre-treatment and post-treatment care;

(13) photo documentation; and

(14) photosensitive drugs and disorders.

History

• Authority G.S. 88A-6; 88A-19; 88A-19.1
• Eff. June 1, 1993
• Amended Eff. December 1, 2010
• Readopted Eff. September 1, 2019
• Recodified from 21 NCAC 19 .0601 Eff. January 1, 2023.

21 NCAC 06X .0102 Application for and Renewal of School Certification

(a) Each person applying for a school certification shall submit to the Board the information required by G.S. 88A-19 and 88A-19.1, and:

(1) A copy of the student contract required by Rule .0105 of this Section; and

(2) A copy of the form for student authorization to receive electrolysis treatment required by Rule .0105 of this Section.

(b) Applicants for renewal of a school certification shall pay the required renewal fee and update the information that was submitted in accordance with Paragraph (a) of this Rule. This update shall include any information required by virtue of amendments to this Rule in effect as of the date of renewal.

(c) Upon forfeiture, a school may reapply for certification by submitting an Electrolysis School Application or Laser School Application and paying the required application fee. Applications are available at www.ncbee.com.

History

• Authority G.S. 88A-6; 88A-19; 88A-19.1; 88A-20
• Eff. November 1, 1993
• Amended Eff. September 1, 2015
• Readopted Eff. September 1, 2019
• Recodified from 21 NCAC 19 .0602 Eff. January 1, 2023.

21 NCAC 06X .0103 Certifications Not Transferable

Consistent with G.S. 88A-19 and G.S. 88A-19.1, school certifications are valid only for the location named in the certification and are not transferable either to a new owner or to a new location. A school shall within 10 business days notify the Board in writing of a sale, transfer, change in management or change in ownership. Each school shall display its certification in a conspicuous place near the main entrance.

History

• Authority G.S. 88A-6; 88A-19; 88A-19.1; 88A-20
• Eff. November 1, 1993
• Amended Eff. December 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Recodified from 21 NCAC 19 .0603 Eff. January 1, 2023.

21 NCAC 06X .0104 Program Directors

Each school certified by the Board shall at all times be under the direction and supervision of a program director. The program director of each school shall be responsible for the organization, administration, development and general effectiveness of the school's electrolysis and laser, light source, or pulsed-light treatments training program.

History

• Authority G.S. 88A-6; 88A-19; 88A-19.1; 88A-20
• Eff. December 1, 1993
• Amended Eff. December 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Recodified from 21 NCAC 19 .0604 Eff. January 1, 2023.

21 NCAC 06X .0105 Enrollment Procedures

(a) Every school certified by the Board shall furnish to each student upon enrollment a signed copy of the school contract with the student and a copy of the school handbook which shall include the school curriculum as approved by the Board. The school shall also furnish to each student upon enrollment a copy of the statutes and rules governing electrologists or laser hair practitioners and the sanitation standards issued by the Board.

(b) Every school shall obtain from each student on enrollment a signed copy of the student's permission to receive electrolysis or laser, light source, or pulsed-light treatment. Any limitations on treatment shall be listed on the permission form.

(c) Within 10 business days after each student's enrollment, every school shall furnish the Board with the following:

(1) The name, address, date of enrollment, telephone number and specification of day or evening classes of each student, recorded on the school's stationery;

(2) A statement signed by the student stating that he or she has received a copy of the statutes and the rules governing electrologists or laser hair practitioners and the sanitation standards issued by the Board and is cognizant of the fact that in order to qualify for an electrologist or laser hair removal license, the student must meet the requirements of G.S. 88A-10 or G.S. 88A-11.1.

History

• Authority G.S. 88A-6; 88A-19; 88A-19.1; 88A-20
• Eff. November 1, 1993
• Amended Eff. December 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Recodified from 21 NCAC 19 .0605 Eff. January 1, 2023.

21 NCAC 06X .0106 School Equipment

(a) Every electrolysis school certified by the Board shall provide and maintain the following equipment in accordance with manufacturers' instructions:

(1) one high frequency or thermolysis (short wave) machine;

(2) one galvanic/thermolysis (blend) machine;

(3) stainless steel, insulated, and disposable epilation probes (or needles) of sizes 002, 003, 004, and 005;

(4) at least one circuline type lamp, halogen lamp, or other type of magnifying lamp per treatment table;

(5) two treatment tables and chairs for clients and adjustable chairs or stools for students;

(6) a cabinet for towels and utilities for each table;

(7) a covered trash container for each table;

(8) covered containers for all lotions, soaps, cotton balls, tissues, and other supplies and sterilizing solutions;

(9) six dozen epilation forceps (or tweezers);

(10) one plastic puncture resistant container (for used sharps) for each table;

(11) one autoclave sterilizer, dry heat sterilizer, and ultrasonic cleaner; and

(12) audio-visual teaching materials and equipment.

(b) Only Federal Food and Drug Administration (FDA) approved types of epilators and laser equipment shall be used by each school in training students.

(c) All epilators, laser equipment, autoclaves and dry heat sterilizers shall be monitored monthly by the school to ascertain effectiveness. Any changes from the list of equipment provided to the Board pursuant to G.S. 88A-19(a)(3) and 88A-19.1(a)(3) shall be reported to the Board.

History

• Authority G.S. 88A-6; 88A-19; 88A-19.1; 88A-20
• Eff. November 1, 1993
• Amended Eff. September 1, 2015; December 1, 2010
• Readopted Eff. September 1, 2019
• Recodified from 21 NCAC 19 .0608 Eff. January 1, 2023.

21 NCAC 06X .0107 School Library

Every school certified by the Board shall maintain a library containing at least one copy of each textbook used and shall make the books in the library available for use by the students. The school library shall contain the current copy of the International Board of Electrologist Certification (IBEC) compendium of study in preparation for examination by the Board.

History

• Authority G.S. 88A-6; 88A-19; 88A-20
• Eff. November 1, 1993
• Amended Eff. December 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Recodified from 21 NCAC 19 .0609 Eff. January 1, 2023.

21 NCAC 06X .0108 Record of Attendance

Every school certified by the Board shall:

(1) keep a daily record of the attendance of each student and a record of the time devoted by the student to practical and theoretical work;

(2) establish credits; and

(3) hold examinations before issuing diplomas.

These records or any part of the information contained in the records shall be made available on request to any inspector or member of the Board assigned by the Board to inspect records.

History

• Authority G.S. 88A-6; 88A-19; 88A-20
• Eff. November 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Recodified from 21 NCAC 19 .0610 Eff. January 1, 2023.

21 NCAC 06X .0109 Student Practical Work; Credit for Observing and Serving as a Client

(a) No practical work may be done by students attending a school certified by the Board except within the school premises and under the direct supervision of a licensed instructor.

(b) Hours of credit shall be given to a student for time spent as a client in the ratio of one hour of practical credit for every three hours as a client. The maximum hours of practical credit to be given a student for time spent as a client or observing will be 30 credit hours. Any student observing, or as a client, may receive either theory or clinical practice hours but not both for the same unit of time.

History

• Authority G.S. 88A-6; 88A-19; 88A-20
• Eff. November 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Recodified from 21 NCAC 19 .0612 Eff. January 1, 2023.

21 NCAC 06X .0110 Student/Teacher Ratio and Equipment

(a) For electrology, at least one instructor per 12 students, or fraction thereof, shall be in attendance at all times when students are engaged in clinical work. The school shall provide the necessary equipment, which was documented and approved in its school certification, for each student and client.

(b) For laser, at least one instructor per 12 students, or fraction thereof, shall be in attendance at all times when students are engaged in clinical work. A skills attained checklist that matches current curriculum requirements in Rule .0101(b) of this Section shall be completed and signed off on by the instructor for each student. The school shall provide the necessary equipment, which was documented and approved in its school certification, for each student and client.

History

• Authority G.S. 88A-6; 88A-19; 88A-19.1; 88A-20
• Eff. December 1, 1993
• Amended Eff. December 1, 2010
• Readopted Eff. September 1, 2019
• Recodified from 21 NCAC 19 .0613 Eff. January 1, 2023.

21 NCAC 06X .0111 Equipment Endorsements and Sales Prohibited

History

• Status: expired
• Authority G.S. 88A-6; 88A-19; 88A-19.1
• Eff. November 1, 1993
• Amended Eff. December 1, 2010
• Readopted Eff. September 1, 2019
• Recodified from 21 NCAC 19 .0619 Eff. January 1, 2023
• Expired Eff. May 1, 2025 pursuant to G.S. 150B-21.3A.

21 NCAC 06X .0112 Certification of Schools in Other States or Jurisdictions

(a) The Board shall certify a school in another state or jurisdiction for purposes of G.S. 88A-10 provided that:

(1) The school applies for certification, submits the information required by G.S. 88A-19(a)(1) through (7) or 88A-19.1(a)(1) through (7), and meets the requirements of, and remains in compliance with, all other applicable provisions of this Section;

(2) If the school is in a state or jurisdiction that approves electrolysis schools, the school is approved by the proper agency for that state or jurisdiction;

(3) The electrology school has a curriculum of 600 hours; and

(4) The laser hair removal school has a laser, light source, or pulsed-light curriculum of 30 hours.

(b) The Board shall revoke the certification of a school in another state or jurisdiction upon documentation that the school in a jurisdiction that licenses electrologists has lost its approval in that state.

(c) The school shall agree to teach North Carolina's sanitation standards to any student who states to the school an intention of taking North Carolina's licensing examination.

(d) Applications for electrolysis and laser schools may be accessed online at www.ncbee.com.

History

• Authority G.S. 88A-6; 88A-19; 88A-19.1; 88A-21(b)
• Eff. February 1, 1994
• Temporary Amendment Eff. September 1, 2001
• Amended Eff. September 1, 2015; December 1, 2010; December 4, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Recodified from 21 NCAC 19 .0622 Eff. January 1, 2023.

Subchapter Y

21 NCAC 06Y .0101 CONTINUINg EDUCATION requirements, LICENSE RENEWAL, reinstatement and REACTIVATION

(a) The following are requirements for the Board to approve renewals for electrologist or laser hair practitioners:

(1) Each electrologist licensed in this State shall complete 10 CEUs as defined in 21 NCAC 06V .0102 per license effective period as a requirement for renewal of the electrology license. Electrologists with 30 or more years of practice without interruption in licensure shall complete 10 CEUs every five years. The first five-year period shall be measured from the issuance date of the license in year 30, and subsequent periods shall be measured from the issuance date in each fifth year thereafter.

(2) A laser hair practitioner licensed in this State shall complete 10 CEUs per license effective period as a requirement for renewal of the laser hair practitioner license.

(3) An electrologist or laser hair practitioner who has been placed on the inactive list by the Board as set forth in G.S. 88A-14 for fewer than five years and desires to return to active status shall present certification of completion of 10 CEUs within the 12 months preceding the reactivation application in satisfaction of the competency requirement of G.S. 88A-14.

(4) An electrologist or laser hair practitioner whose license has been expired for 90 days or more but less than five years shall present certification of completion of 10 CEUs for each license effective period or part of a license effective period that has elapsed since the electrologist's or laser hair practitioner's license was last current, in satisfaction of the competency requirement of G.S. 88A-12. At least 10 of the CEUs offered in satisfaction of a competency requirement shall have been completed within the 12 months immediately preceding the application for reinstatement.

(5) Not more than 10 CEUs may be carried over to the next license effective period. CEUs earned through home study shall only be carried over to the next license effective period if the following occur:

(A) The education provider records the full name and license number of the attendee;

(B) There is both a host and a monitor administering the education, where the monitor verifies that attendees are present during the presentation;

(C) The attendee has a camera on at all times so that the monitor can verify that the attendee is participating in the presentation;

(D) The education provider records the time the attendee was present during the education; and

(E) The education provider submits verification of the licensee's attendance at the presentation within 30 days of the event to the address in 21 NCAC 06A .0102.

(6) Licensees shall not receive credit from the Board for more than 10 CEUs of home study for continuing education in each license effective period.

(7) In the initial year of licensure, new licensees who take a licensing examination after the sixth month of the calendar year shall not be required to obtain CEUs until the following renewal year.

(8) Over any two sequential license effective periods, the Board shall give credit for no more than five CEUs in the area of business management.

(9) New licensees shall be required to pay for inspections for the upcoming year.

(10) An initial license shall not be issued until an initial inspection has been completed on the practicing office.

(b) The following are requirements for the Board to approve renewals for instructors:

(1) An instructor whose certification has been placed on the inactive list for more than 90 days and fewer than three years shall present certification of completion of 10 CEUs within the 12 months immediately preceding the application for reactivation of certification.

(2) An instructor whose certification has been expired for more than 90 days, but less than three years shall present certification of completion of 10 CEUs for each license effective period or part of a license effective period that has elapsed since the instructor's license was last current. At least 10 of the CEUs offered in satisfaction of a competency requirement shall have been completed within the 12 months immediately preceding the application for reinstatement of certification.

History

• Authority G.S. 88A-6; 88A-12; 88A-13; 88A-18
• Eff. March 1, 1995
• Amendment Eff. October 1, 2015; December 1, 2010
• Readopted Eff. September 1, 2019
• Amended Eff. November 1, 2022
• Recodified from 21 NCAC 19 .0701 Eff. January 1, 2023.

21 NCAC 06Y .0102 Board Approval of Courses

(a) The Board shall approve a program or course if it is:

(1) in any subject required by 21 NCAC 06X .0101; and

(2) offered by one of the following entities:

(A) a college or university authorized to grant degrees in this State;

(B) a national professional electrolysis or laser hair practice association;

(C) a school or Continuing Education (CE) provider certified by the Board;

(D) American Society of Laser Medicine (ASLM);

(E) American Academy of Dermatology (AAD); or

(F) an entity providing a program of Certified Medical Education (CME).

(b) The applicant or entity offering the program or course shall provide the Board with the information listed in Paragraph (c) of this Rule and shall certify to the Board the names of all electrologists licensed by the Board who attended the program or course and their actual hours of attendance.

(c) The Board shall not approve a program or course without the following information:

(1) Title, location, and date of the course or courses;

(2) Sponsoring entity;

(3) Course objective and outline of each course's content;

(4) Hours of study for each course topic; and

(5) Name, education, and background of each instructor.

(d) An electrologist or laser hair practitioner seeking credit for a program or course offered by an entity not listed in Paragraph (a) of this Rule may request that the Board approve the course by submitting the application for approval of continuing education as set forth in Rule .0105 of this Section.

(e) The Board shall approve a program or course if requested pursuant to Paragraph (d) of this Rule upon finding that it meets the requirements of G.S. 88A-13. When making this finding, the Board shall consider the criteria set forth in The Continuing Education Unit Criteria and Guidelines, current edition, as adopted by the International Association for Continuing Education and Training (IACET) in conjunction with the American Standards National Institute (ANSI) and incorporated herein by reference including subsequent amendments or editions. Copies of The Continuing Education Unit Criteria and Guidelines, current edition, may be obtained for four hundred ninety-five dollars ($495.00) at http://www.IACET.org.

(f) The Board shall notify the electrologist by first-class mail of the Board's findings and decision regarding the request made pursuant to Paragraph (d) of this Rule.

(g) A change in subject matter, length, or instructor of a course requires reapproval by the Board.

(h) The entity offering the program or course shall either provide to the electrologist or directly to the Board certification of the electrologist's actual hours of attendance after the program or course is complete.

History

• Authority G.S. 88A-6; 88A-12; 88A-13; 88A-18
• Eff. March 1, 1995
• Amended Eff. September 1, 2015; December 1, 2010
• Readopted Eff. September 1, 2019
• Amended Eff. November 1, 2022
• Recodified from 21 NCAC 19 .0702 Eff. January 1, 2023.

21 NCAC 06Y .0103 Computation of Continuing Education Units

(a) To obtain credit as a contact hour of continuing education, the learning experience scheduled for an hour shall occupy at least 50 minutes of the hour.

(b) An electrologist may fulfill the continuing education requirements of Rule .0101 of this Section by completing more than one course if the total equals 10 or more CEUs.

(c) One semester credit hour at a university or college in a course that would enhance the practice of electrology or laser hair practice, such as a course in the endocrine system, shall be equivalent to 10 CEUs. A course may be audited or taken for credit.

(d) An electrologist who teaches in a program or course approved by the Board may obtain CEU credit at the rate of four contact hours for each contact hour of teaching.

History

• Authority G.S. 88A-6; 88A-12; 88A-13; 88A-18
• Eff. March 1, 1995
• Readopted Eff. September 1, 2019
• Amended Eff. November 1, 2022
• Recodified from 21 NCAC 19 .0703 Eff. January 1, 2023.

21 NCAC 06Y .0104 Time Limits on Credit

An electrologist or laser hair practitioner applying for reinstatement under 21 NCAC 06U .0103(b) and presenting CEUs in satisfaction of competency requirements may receive credit for any CEUs taken during the time the applicant's license was expired, subject to the requirements of Rule .0101 of this Section.

History

• Authority G.S. 88A-6; 88A-12; 88A-13; 88A-18
• Eff. March 1, 1995
• Amended Eff. December 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. November 1, 2022
• Recodified from 21 NCAC 19 .0704 Eff. January 1, 2023.

21 NCAC 06Y .0105 Application for Approval of Continuing Education

(a) An application for approval of continuing education as set forth in Rule .0102(d) of this Section shall include the following in his or her application:

(1) the application date;

(2) the sponsoring entity offering the continuing education;

(3) the name of the speakers or presenters;

(4) the title of the course;

(5) the location of the course;

(6) the date of the course;

(7) the number of hours of study;

(8) the course objectives and a summary of the course content;

(9) the educational or professional background of the speakers or presenters, or a copy of the curricula vitae of the speakers or presenters; and

(10) a summary of the learning outcomes of the course.

(b) An applicant shall submit the form to the address in 21 NCAC 06A .0102 at least two months before the course-registration date.

(c) Any change in subject matter, length, or instructor of a course shall require a new application.

(d) The application form is available at the website address listed in 21 NCAC 06A .0102.

(e) The application form shall be submitted as a fillable PDF and shall not be submitted as a handwritten form.

History

• Authority G.S. 88A-6; 88A-13
• Eff. November 1, 2022
• Recodified from 21 NCAC 19 .0705 Eff. January 1, 2023.

21 NCAC 06Y .0106 Waiver

The Board may waive any rule in this Chapter that is not statutorily required if a licensee, or applicant for license or certification, submits a written request to the address in 21 NCAC 06A .0102. Factors the Board shall use in determining whether to grant the waiver are:

(1) degree of disruption to the Board;

(2) cost to the Board;

(3) degree of benefit to the public;

(4) whether the requesting party had control over the circumstances that required the requested waiver;

(5) notice to and opposition by the public, provided that this notice does not conflict with laws that would prohibit disclosure of information, such as the Health Insurance Portability and Accountability Act or the North Carolina Identity Theft Protection Act;

(6) need for the waiver; and

(7) previous requests for waivers submitted from the requesting party.

History

• Authority G.S. 88A-6; 150B-19(6)
• Eff. November 1, 2022
• Recodified from 21 NCAC 19 .0706 Eff. January 1, 2023.

Subchapter Z

21 NCAC 06Z .0101 Enrollment Requirements and Student Permits

History

• Status: expired
• Authority G.S. 86B-65
• Temporary Adoption Eff. June 1, 2023
• Temporary Rule Expired Eff. March 11, 2024.

21 NCAC 06Z .0102 Curriculum

History

• Status: expired
• Authority G.S. 86B-65
• Temporary Adoption Eff. June 1, 2023
• Temporary Rule Expired Eff. March 11, 2024.

21 NCAC 06Z .0103 Facility Requirements

History

• Status: expired
• Authority G.S. 86B-65
• Temporary Adoption Eff. June 1, 2023
• Temporary Rule Expired Eff. March 11, 2024.

21 NCAC 06Z .0104 Student Hours and Permits

History

• Status: expired
• Authority G.S. 86B-65
• Temporary Adoption Eff. June 1, 2023
• Temporary Rule Expired Eff. March 11, 2024.

21 NCAC 06Z .0105 Program Handbooks and Enrollment Agreements

History

• Status: expired
• Authority G.S. 86B-65
• Temporary Adoption Eff. June 1, 2023
• Temporary Rule Expired Eff. March 11, 2024.

21 NCAC 06Z .0106 Instructors in an Electrology Apprenticeship Program

History

• Status: expired
• Authority G.S. 86B-65
• Temporary Adoption Eff. June 1, 2023
• Temporary Rule Expired Eff. March 11, 2024.

21 NCAC 06Z .0107 Transfers

History

• Status: expired
• Authority G.S. 86B-65
• Temporary Adoption Eff. June 1, 2023
• Temporary Rule Expired Eff. March 11, 2024.

21 NCAC 06Z .0108 Program Completion

History

• Status: expired
• Authority G.S. 86B-65
• Temporary Adoption Eff. June 1, 2023
• Temporary Rule Expired Eff. March 11, 2024.

21 NCAC 06Z .0109 Post-Apprenticeship Electrology License

History

• Status: expired
• Authority G.S. 86B-65
• Temporary Adoption Eff. June 1, 2023
• Temporary Rule Expired Eff. March 11, 2024.

21 NCAC 06Z .0110 Approval as an Electrology Apprenticeship Program

History

• Status: expired
• Authority G.S. 86B-65
• Temporary Adoption Eff. June 1, 2023
• Temporary Rule Expired Eff. March 11, 2024.

Chapter 07 Cemetery Commission

Subchapter A

21 NCAC 07A .0101 Name and Address

Codifier's Note: This Chapter, 21 NCAC 07, was transferred from 04 NCAC 05, effective March 1, 2013. See S.L. 2012-120.

The North Carolina Cemetery Commission of the Department of Commerce is located in Raleigh, North Carolina. The mailing address for the Cemetery Commission is 1001 Navaho Drive, Suite 100, Raleigh, North Carolina 27609. The office is open to the public Monday through Friday, 8:00 a.m. to 5:00 p.m., excluding scheduled state holidays.

History

• Authority G.S. 65-49; 65-51; 150B-10
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Amended Eff. September 1, 2007; May 3, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07A .0102 General Purpose

History

• Status: expired
• Authority G.S. 65-55; 65-57; 65-58; 150B-10
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018
• Expired Eff. September 1, 2025 pursuant to G.S. 150B-21.3A.

21 NCAC 07A .0103 Areas of Responsibility

History

• Status: repealed
• Authority G.S. 65-49; 65-50; 65-52; 65-53(1); 150B-10
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Repealed Eff. June 1, 2014.

21 NCAC 07A .0104 Functions

History

• Status: repealed
• Authority G.S. 65-49; 65-50; 65-52; 65-53(1); 150B-10
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Repealed Eff. June 1, 2014.

21 NCAC 07A .0105 Examinations

History

• Status: expired
• Authority G.S. 65-49; 150B-10
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Expired Eff. September 1, 2018, pursuant to G.S. 150B-21.3A.

21 NCAC 07A .0106 Fees

In addition to the licensing and penalty fees provided by statute to this Commission, the following fees are required:

(1) Two dollars ($2.00) per grave space, mausoleum crypt, and niche when interment, entombment or inurnment rights are conveyed;

(2) Five dollars ($5.00) per pre-need vault when contracted;

(3) Five dollars ($5.00) per each crypt in a bank of below ground crypts or lawn crypt garden when contracted. An additional two dollars ($2.00) shall be paid for each crypt as provided in Item (1) of this Rule;

(4) Five dollars ($5.00) per pre-need memorial when contracted;

(5) Five dollars ($5.00) per pre-constructed mausoleum crypt or niche when contracted. An additional two dollars ($2.00) shall be paid for each crypt or niche as provided in Item (1) of this Rule;

(6) All at need merchandise, property or services, cash or credit sales, do not require any assessments;

(7) Five dollars ($5.00) per pre-need opening and closing of a grave space when contracted.

History

• Authority G.S. 65-49; 65-54
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Amended Eff. December 1, 1981
• Temporary Amendment Eff. October 5, 1987, for a period of 180 days to expire on April 2, 1988
• Amended Eff. June 1, 2014; June 1, 2004; May 3, 1993; March 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07A .0107 Cemetery License Fee

The annual cemetery license fee shall be five hundred dollars ($500.00). This license has an expiration date of June 30 in each year.

History

• Authority G.S. 65-49; 65-54
• Eff. March 1, 1988
• Amended Eff. July 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07A .0201 Cemetery Commission Members

History

• Status: repealed
• Authority G.S. 65-49; 65-50; 65-52; 65-53(1)
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Repealed Eff. June 1, 2014.

21 NCAC 07A .0202 Administrator of Cemetery Commission

History

• Status: repealed
• Authority G.S. 65-49; 65-50; 65-52; 65-53(1)
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Repealed Eff. June 1, 2014.

21 NCAC 07A .0203 Cemetery Commission Examiners

History

• Status: repealed
• Authority G.S. 65-49; 65-50; 65-52; 65-53(1)
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Repealed Eff. June 1, 2014.

21 NCAC 07A .0204 Clerical Staff

History

• Status: repealed
• Authority G.S. 65-49; 65-50; 65-52; 65-53(1)
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Repealed Eff. June 1, 2014.

21 NCAC 07A .0205 Meetings

History

• Status: repealed
• Authority G.S. 65-49; 65-50; 65-52; 65-53(1)
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Repealed Eff. June 1, 2014.

Subchapter B

21 NCAC 07B .0101 Petitions

(a) Any person wishing to submit a petition requesting the adoption, amendment, or repeal of a rule by the Cemetery Commission shall address a petition to:

North Carolina Cemetery Commission

1001 Navaho Drive, Suite 100

Raleigh, North Carolina 27609.

(b) The petition shall contain the following information:

(1) a draft of the proposed rule;

(2) reason for proposal;

(3) effect on existing rules or orders;

(4) data supporting the proposal;

(5) names of those most likely to be affected by the proposed rule, with addresses if reasonably known;

(6) name(s) and address(es) of petitioner(s);

(7) a description as to how the petitioner(s) is (are) directly affected by the proposed rule.

(c) The Cemetery Commission shall determine, based on a study of the facts stated in the petition, whether the public interest will be served by granting the petition. It shall consider all the contents of the submitted petition, plus any additional information it deems relevant.

History

• Authority G.S. 65-49; 150B-20
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Amended Eff. September 1, 2007; May 3, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07B .0102 Notice

History

• Status: expired
• Authority G.S. 65-49; 150B-21.2
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Amended Eff. September 1, 2007; May 3, 1993; August 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018
• Expired Eff. September 1, 2025 pursuant to G.S. 150B-21.3A.

21 NCAC 07B .0103 Hearings

(a) Unless otherwise stated in the particular notice of text, hearings before the North Carolina Cemetery Commission shall be held at the offices of the North Carolina Department of Commerce in Raleigh, North Carolina.

(b) Any person wishing to make an oral presentation may submit a written copy of the presentation to the administrator prior to or at the hearing.

(c) A request to make an oral presentation must contain a brief summary of the individual's views with respect thereto, and a statement of the length of time the individual wants to speak. Presentations may not exceed 15 minutes.

(d) Upon receipt of a request to make an oral presentation, the Administrator of the Cemetery Commission shall acknowledge receipt of the request, and inform the requesting person of the imposition of any limitations deemed necessary to the end that a full and effective public hearing on the proposed rule may be held.

(e) Written submissions, except when otherwise stated in the particular notice of text must be sent to:

North Carolina Cemetery Commission

1001 Navaho Drive, Suite 100

Raleigh, North Carolina 27609.

Submission must clearly state the rule(s) or proposed rule(s) to which the comments are addressed.

(f) Upon receipt of written comments, the Administrator of the Cemetery Commission shall make prompt acknowledgement including a statement that the comments therein will be considered fully by the Cemetery Commission.

(g) The chairman of the commission, or his designate, shall have complete control of the hearing proceedings, including extension of any time requirements, recognition of speakers, time allotments for presentation, direction of the flow of the discussion, and the time management of the hearing. The chairman, or his designate, at all times, shall take care that each person participating in the hearing is given a fair opportunity to present views, data and comments.

(h) Any interested person desiring a statement of the principal reason(s) for and against the adoption of a rule by the Cemetery Commission and the factors that led to the overruling of the consideration urged for or against its adoption may submit a request addressed to:

North Carolina Cemetery Commission

1001 Navaho Drive, Suite 100

Raleigh, North Carolina 27609.

History

• Authority G.S. 65-49; 150B-21.2
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Amended Eff. September 1, 2007; May 3, 1993; August 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07B .0104 Temporary Rules

The North Carolina Cemetery Commission may issue temporary rules in the circumstances described in G.S. 150B-13. A temporary rule shall continue in effect for the period specified in the rule, which in no event shall be in excess of 180 days.

History

• Authority G.S. 65-49; 150B-13
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Amended Eff. August 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07B .0105 Declaratory Rulings

(a) The Cemetery Commission shall have the sole power to make declaratory rulings. All requests for declaratory rulings shall be written and mailed to:

North Carolina Cemetery Commission

1001 Navaho Drive, Suite 100

Raleigh, North Carolina 27609.

(b) All requests for a declaratory ruling must include the following information:

(1) name and address of petitioner;

(2) statute or rule to which petition relates;

(3) concise statement of the manner in which petitioner is aggrieved by the rule or statute or its potential application to him;

(4) a statement of whether an oral hearing is desired, and if so the reasons for such an oral hearing.

(c) Whenever the Cemetery Commission believes for good cause that the issuance of a declaratory ruling is undesirable, it may refuse to do so. When good cause for refusing to issue a declaratory ruling is deemed to exist, the Cemetery Commission shall notify the petitioner of its decision in writing, stating reasons for the denial of a declaratory ruling.

(d) For purposes of Paragraph (c) of this Rule, the Cemetery Commission shall not issue a declaratory ruling:

(1) where there has been a similar controlling factual determination in a contested case, or

(2) where the issue is pending in a current contested case, or

(3) where the subject matter of the request is involved in pending litigation in any state or federal court in North Carolina.

(e) A declaratory ruling procedure may consist of written submissions, oral hearings, or such other procedures as may be appropriate in a particular case.

History

• Authority G.S. 65-49; 150B-4
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Amended Eff. October 1, 2007; May 3, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07B .0201 Cemetery Commission Hearings

History

• Status: repealed
• Authority G.S. 65-49; 150B-23; 150B-37
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Repealed Eff. July 16, 1988 in accordance with G.S. 150B-59(c).

21 NCAC 07B .0202 Request for Hearing

History

• Status: repealed
• Authority G.S. 65-49; 150B-23; 150B-37
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Repealed Eff. July 16, 1988 in accordance with G.S. 150B-59(c).

21 NCAC 07B .0203 Notice

History

• Status: repealed
• Authority G.S. 65-49; 150B-23; 150B-37
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Repealed Eff. July 16, 1988 in accordance with G.S. 150B-59(c).

21 NCAC 07B .0204 Written Answers to Notice

History

• Status: repealed
• Authority G.S. 65-49; 150B-23; 150B-25(b)
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Repealed Eff. August 1, 1988.

21 NCAC 07B .0205 Waiver

History

• Status: repealed
• Authority G.S. 65-49; 150B-23; 150B-25(b)
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Repealed Eff. August 1, 1988.

21 NCAC 07B .0206 Depositions

History

• Status: repealed
• Authority G.S. 65-49; 150B-28
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Repealed Eff. July 16, 1988 in accordance with G.S. 150B-59(c).

21 NCAC 07B .0207 Discovery

History

• Status: repealed
• Authority G.S. 65-49; 150B-28
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Repealed Eff. August 1, 1988.

Subchapter C

21 NCAC 07C .0101 Application and Filing Fee

Any legal entity wishing to establish and operate a cemetery company, as defined in G.S. 65-48(5) must first obtain a license from this commission. The legal entity shall file written application with the commission on the Commission's Application for Certificate of Authority. This form provides a space for the name of the corporation and cemetery, the names of directors and officers of the corporation, the mailing address of the corporation and the address of the cemetery. A filing fee of one thousand dollars ($1,000.00) must accompany the application. The application form is available by contacting:

History

• Authority G.S. 65-48(5); 65-49; 65-55
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Amended Eff. July 1, 2005; May 3, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07C .0102 Cemetery Company License

(a) Upon proper application for a cemetery company license and where it appears after investigation that the criteria set forth in G.S. 65-55(c) and G.S. 65-55(f) have been met, the Commission shall issue said license to the applicant, provided that the required license fee has been paid and that not more than one year has elapsed between the time the proposed cemetery company receives the authority to organize and the time it requests its license.

(b) Any cemetery company that does not renew its license by January 1, after its expiration on July 1, shall not be allowed renewal privileges. If the cemetery company wishes to obtain a license it must apply for a new license and fulfill all requirements as if they were applying for a new license.

(c) A designated general manager under G.S. 65-55(c)(4) shall have had at least one year's experience in a management position in a cemetery licensed under the North Carolina Cemetery Act or its equivalent as determined by the Commission on an individual basis.

History

• Authority G.S. 65-49; 65-54; 65-55
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Amended Eff. March 1, 1984; December 1, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07C .0103 Change of Control

(a) Any entity wishing to purchase or acquire control of an existing cemetery company shall first make written application to the Cemetery Commission on the Commission's Application for Change of Control. This form provides space for the name and address of the present and proposed owner, along with the name of the corporation and the name of the cemetery. This form may be obtained by writing to the Commission at the address in Rule 21 NCAC 07A .0101.

(b) This form must be accompanied by a five hundred dollar ($500.00) filing fee. The Commission also requires the following:

(1) an examination by the Commission's inspectors to establish compliance with trust fund requirements, with the actual cost of the examination to be paid by the applicant;

(2) a signed certificate assuming liabilities of the existing cemetery company;

(3) a financial statement of the existing cemetery company showing net worth;

(4) certification by title insurance policy or by certificate of an attorney-at-law that the cemetery land, subject to appropriate acreage requirements of G.S. 65-55(f)(3), is owned in fee simple, free of all encumbrances;

(5) a financial statement of the proposed owner, showing the proposed owner's net worth and a statement of the proposed owner's experience in the cemetery business;

(6) when the applicant's intention is to bond, documentation satisfactory to the Commission establishing that the applicant is and will continue to be in compliance with all laws, rules and regulations relating to bonding and other insurance policies. Such documentation shall include all old bonding policies, all existing bonding policies and written proof of the terms of any future continuance of such bonding policies; and

(7) a true and correct copy of the most recent survey and, if it exists, recorded plat of the property that is the subject of the applicant's application for change of control.

(c) No one shall take over the operation of a cemetery company in anticipation of a change of control until all necessary information concerning that change of control has been submitted to the Cemetery Commission and until the Commission issues the certificate of approval. No one shall change control of a cemetery company without first obtaining approval of the Cemetery Commission. Once a change of control has been approved by the Cemetery Commission, the change of control must be completed within 90 days of the date of the Cemetery Commission's approval. If the change of control is not completed within 90 days of the date of the Cemetery Commission's approval, then the entity wishing to effect the change of control shall make a new application to the Cemetery Commission in accordance with the provisions of this Rule. Upon completion of the change of control, the entity requesting the change of control shall provide written notice to the Cemetery Commission of the completion. A representative of the buyer and the seller shall be notified by the Commission of and be present at any meeting when the Commission is going to consider the change of control application.

History

• Authority G.S. 65-49; 65-53(2); 65-53(6); 65-55; 65-59; 65-69
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Amended Eff. June 1, 2014; July 1, 2005; May 3, 1993; March 1, 1990; October 1, 1989; March 1, 1984
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07C .0104 Quality Specifications

All cemeteries must file plans and specifications showing minimum quality standards of any vaults, crypts or markers sold.

History

• Authority G.S. 65-49; 65-53(7)
• Eff. September 1, 1979
• Amended Eff. June 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07C .0105 Meeting Requirement

Any application and all related information for a new cemetery license or a change of control of a cemetery must be received by the administrator of the Commission 30 regular working days before the meeting date the item is to be heard.

History

• Authority G.S. 65-49; 65-55
• Eff. March 1, 1984
• Amended Eff. July 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07C .0201 Application and Filing Fee

(a) Any legal entity wishing to establish and operate a cemetery sales organization, cemetery management organization or a cemetery broker, as each are defined under G. S. 65-48, must first obtain a license from this commission. The legal entity shall file written application with the commission on the Commission's Application for Cemetery Broker, Sales and/or Management Contractor License. This form provides space for applicant's name and address; space is also provided for employment, references and criminal record for an individual, corporate officer or partner, as the case may be. The application form is available by contacting:

(b) The following documents shall accompany this application:

(1) If individual, officer or partner has not been licensed as a cemetery salesman for a period of two years, the application shall be accompanied by two letters of recommendation, attesting to the applicant's good character and experience in the cemetery business.

(2) Corporate applications shall be accompanied by:

(a) certified copy of that portion of the minutes of the corporation wherein the officer named on the application was elected an officer,

(b) certified copy of that portion of the minutes of the corporation wherein the officer named on the application was authorized to file the application on behalf of the corporation.

(3) All brokerage, sales or management contracts.

(c) Application filing fees are six hundred dollars ($600.00) for sales and management organizations, and four hundred dollars ($400.00) for brokers.

History

• Authority G.S. 65-49; 65-57
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Amended Eff. August 1, 2005; May 3, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07C .0202 License Fees

The annual license fee for sales organizations, management organizations, and brokers is five hundred ($500.00). These licenses have an expiration date of June 30 in each year.

History

• Authority G.S. 65-49; 65-57
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Amended Eff. July 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07C .0301 Application and Filing Fee

Any person who offers to sell pre-need grave spaces, mausoleum crypts, niches, memorials, vaults or any other pre-need cemetery merchandise or services that are authorized for any cemetery, cemetery sales groups or cemetery management groups must first obtain a license from the commission. Applications for a license must be filed with the Commission on the Application for Persons Selling Pre-need Cemetery Property together with a fee in the amount of one hundred dollars ($100.00), fifty dollars ($50.00) of which shall constitute an application fee and fifty dollars ($50.00) of which shall constitute a two year license fee. The form provides space for applicant's name, cemetery name, past address, previous employment and criminal record. The application form is available by contacting:

This license has an expiration date of June 30 of its expiration year, and is not transferable from the cemetery to which it is issued.

History

• Authority G.S. 65-49; 65-58
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Amended Eff. December 1, 2007; July 1, 2005; May 3, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07C .0302 License

History

• Status: expired
• Authority G.S. 65-49; 65-58
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Expired Eff. September 1, 2018, pursuant to G.S. 150B-21.3A.

21 NCAC 07C .0303 Display

Each salesperson licensed by the Commission shall display his or her license in the office of each cemetery he or she represents. If extra copies are needed, a fee of one dollar and fifty cents ($1.50) shall be charged for each duplicate license. Duplicate copies may be obtained by contacting:

North Carolina Cemetery Commission

1001 Navaho Drive, Suite 100

Raleigh, North Carolina 27609.

History

• Authority G.S. 65-49; 65-58; 150B-19
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Amended Eff. September 1, 2007; May 3, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07C .0304 Cemetery Owner

A cemetery owner who sells pre-need cemetery property and merchandise as classified in G. S. 65-58 of the laws of North Carolina must obtain a sales license as stated under G.S. 65-58.

History

• Authority G.S. 65-49; 65-58
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07C .0305 Trainee

At least one licensed salesperson must be present at the time that any pre-need property is sold and that any trainee, when accompanied by a licensed salesperson, is not required to be licensed.

History

• Authority G.S. 65-49
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07C .0306 Refund

If a licensed salesperson terminates his employment with a cemetery, no refund shall be allowed. If a sales license applicant terminates employment with a cemetery after offering to make or making a preneed sale but before receiving a license, no refund will be paid.

History

• Authority G.S. 65-49; 65-58
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Amended Eff. December 1, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07C .0307 Renewal

Before July 1 of the license expiration year, each licensed salesperson shall pay a license renewal fee of fifty dollars ($50.00) per license for a two-year renewal. Any individual preneed salesperson that does not renew the license by January 1 after its expiration on July 1 shall be denied renewal privileges. If the person wishes a license the person must apply for a new license.

History

• Authority G.S. 65-49; 65-58
• Eff. December 1, 1981
• Amended Eff. December 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07C .0308 Contract Identification

Each contract for the sale of interment rights, merchandise and services shall contain the name and license number of the salesperson witnessing the signature of the purchaser on the contract.

History

• Authority G.S. 65-49; 65-58
• Eff. December 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

Subchapter D

21 NCAC 07D .0101 Report

(a) Each licensed cemetery shall make a report of deposits to the perpetual care fund by the last day of each month.

(b) The report of deposits shall be made on a form provided by the Commission, the Report of Grave Spaces for the Month of _______________, that shall include:

(1) the deed numbers, listed in numerical order;

(2) the date of deed;

(3) the date of contract;

(4) the purchaser;

(5) the sale price;

(6) the lot number;

(7) the section; and

(8) the number of spaces deeded and amount due trust fund.

(c) This form may be obtained from and shall be returned to:

North Carolina Cemetery Commission

1001 Navaho Drive, Suite 100

Raleigh, North Carolina 27609.

History

• Authority G.S. 65-49; 65-64
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Amended Eff. September 1, 2017; September 1, 2007; May 3, 1993; September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07D .0102 Location of Fund

No person will be allowed to withdraw or transfer all or any portion of the corpus of the care and maintenance trust funds of any cemetery to any depository outside the State of North Carolina. Also the Commission will not approve the creation of a new perpetual care trust fund as called for under Chapter 65-55 of the General Statutes unless same is deposited with a trustee in the State of North Carolina.

History

• Authority G.S. 65-49; 65-55; 65-61
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07D .0103 Transfer of Funds

Any cemetery which desires to transfer their trust agreement must provide:

(1) copy of new proposed perpetual care trust fund agreement,

(2) a financial statement of the depository where the funds will be held, and

(3) as much information as possible about proposed new trustee.

History

• Authority G.S. 65-61
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07D .0104 Fine for Late Deposits

Any fine levied under G.S. 65-64(a) shall be one dollar ($1.00) a day for each grave space, niche, and mausoleum crypt a deposit is delinquent on subject to a maximum fine of one hundred per cent of the amount that was or is late to the care and maintenance trust fund.

(1) The first time a delinquency is found the cemetery will receive a 20 day notice in writing to cure the violation regardless of whether or not the delinquency was corrected before an examination by this Commission. The fine will start on the 21st day after notice of the violation if the money has not been deposited.

(2) Once a cemetery has received one 20 day notice, the fine for any later delinquency will begin running on the first day of delinquency. No notice of delinquency need be sent before a fine is incurred, and the fine may reach the maximum amount of one hundred percent of the amount that was or is owed or deposited late to the care and maintenance trust fund before the delinquency is discovered.

(3) A cemetery which has not been notified of or fined for a delinquency within the last five years will receive a new 20 day notice in the event of any delinquency.

(4) In the event a delinquency is found in a cemetery's care and maintenance trust fund and the cemetery does not make up the deposit, if still owed, and/or the fine within 20 days after notice from the Commission that a fine is due, then the Commission will take immediate steps to revoke the cemetery's license.

(5) It is the intent and policy of this Commission to levy a fine only for substantial, flagrant, or repeated late or delinquent deposits.

History

• Authority G.S. 65-49; 65-54(a)
• Eff. December 1, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07D .0105 Deposit for Multiple Burials

Each interment, entombment or inurnment right shall require a deposit to the care and maintenance trust fund.

History

• Authority G.S. 65-49; 65-63
• Eff. September 1, 1983
• Amended Eff. June 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07D .0106 Contract Disclaimer

Each contract for the sale of a grave space, mausoleum niche or crypt shall state that the amount deposited in a perpetual care trust fund from the proceeds of the sale are for the perpetual care of the grave space, mausoleum niche or crypt only and does not include deposits which may be subsequently required for perpetual care of monuments, markers or other merchandise.

History

• Authority G.S. 65-49
• Eff. April 1, 1987
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07D .0107 Excess Funds

If a cemetery collects Care and Maintenance Trust Funds in excess of the mandatory trust fund amount, the excess must be deposited into the trust fund by the last day of the following month. Excess funds may not be withdrawn from the trust fund or used to offset past or future deposits.

History

• Authority G.S. 65-49; 65-64
• Eff. May 3, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07D .0108 Withdrawals from Perpetual Care Trust Funds

(a) For purposes of this Rule, the following definitions shall apply:

(1) "corpus amount" means the sum of:

(A) the amount of all deposits made to a trust fund at the inception of the trust fund; and

(B) the aggregate amount of all deposits made to the trust fund after the inception of the trust fund.

(2) "deposits" means the deposits to trust funds required by G.S. 65-64.

(3) "income" means interest income, dividend income, or any amount of capital gain income to the extent allowed to be withdrawn by the Commission pursuant to this Rule.

(4) "total market value" means the total market value of the assets in the trust fund, as reflected in the records of the trustee.

(5) "trust fund" means a care and maintenance trust fund required by G.S. 65-61 or perpetual care trust fund required by G.S. 65-63.

(b) Without the prior written approval of the Commission pursuant to G.S. 65-61, no amounts from a trust fund may be withdrawn from the trust fund if either:

(1) at the time of the withdrawal, the total market value of the trust fund is less than the corpus amount; or

(2) immediately after the withdrawal is made, the total market value of the trust fund would be less than the corpus amount.

History

• Authority G.S. 65-49; 65-61
• Eff. April 1, 2020.

21 NCAC 07D .0201 Report

Each licensed cemetery shall make a report of deposits to the pre-need cemetery merchandise and pre-constructed mausoleum and below ground crypt trust fund to be completed and mailed to the office in Raleigh by the last day of each month. The form to be used is the "Monthly Report and Deposit Record for Pre-need Cemetery Merchandise, Pre-Constructed Mausoleums and Services Not Delivered." This form provides space for trustee's name, fund account number and the name of the savings institution used. It also provides space for the name of the purchaser, date of the contract, number of the contract, the full sales price, the total amount required, the amount deposited, and the total amount deposited to date. Copies of this form may be obtained from and must be returned to:

North Carolina Cemetery Commission

1001 Navaho Drive, Suite 100

Raleigh, North Carolina 27609.

History

• Authority G.S. 65-49
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Amended Eff. September 1, 2007; May 3, 1993; September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07D .0202 Delivery

(a) The Commission shall not consider vaults and crypts delivered unless installed or stored on the cemetery premises or stored off premises by a supplier.

(b) The Commission shall not consider markers, bases and vases delivered unless installed or stored at the cemetery or, if stored off premises by a supplier, there shall be no additional charge for delivery or freight, unless specified in bold print in the contract. If vaults, crypts or other merchandise are stored off premises, the cemetery company must submit to the Cemetery Commission not less than annually a report by a certified public accountant of each item which has been purchased through a licensed North Carolina cemetery company that, as of the date of the report, is in storage and thus, the property of the customer and not the supplier. If vaults, crypts or other merchandise are stored at the cemetery, the cemetery company must submit to the Cemetery Commission not less than annually a report by an accountant of each item that, as of the date of the report, is in storage and thus, the property of the customer and not the supplier.

History

• Authority G.S. 65-49; 65-60.1(c); 65-66
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Amended Eff. June 1, 2014; December 1, 2008; May 3, 1993; July 1, 1988; April 1, 1987; September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07D .0203 Trust Accounts

(a) Withdrawal requests made pursuant to G.S. 65-66(b)(4) shall be made no more than once per month.

(b) The corporate trustee or financial institution shall make full disclosure of the amount in the trust account available to the Commission within two business days upon request.

(c) Interest earned on trust accounts may be used to fund future deposits or, with written prior approval of the Commission, withdrawn.

History

• Authority G.S. 65-49; 65-66(b)(4)
• Eff. September 1, 1979
• Amended Eff. June 1, 2014; May 3, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

21 NCAC 07D .0204 Excess Funds

History

• Status: repealed
• Authority G.S. 65-49
• Eff. June 23, 1980
• Amended Eff. April 1, 1987
• Repealed Eff. May 3, 1993.

Chapter 08 Certified Public Accountant Examiners

Subchapter A

21 NCAC 08A .0101 Formal Name

The formal name for the agency is the State Board of Certified Public Accountant Examiners. The informal and acceptable title of the Board is the Board of CPA Examiners.

History

• Authority G.S. 93-12
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. July 1, 1987
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08A .0102 Address, Phone Number, and Website

The Board's physical address is Suite 104, 1101 Oberlin Road, Raleigh, North Carolina 27605. The mailing address is Post Office Box 12827, Raleigh, North Carolina 27605-2827. The telephone number is (919) 733-4222. The Board's website is https://nccpaboard.gov.

History

• Authority G.S. 93-12(3)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; April 1, 1987; October 1, 1984; April 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08A .0103 Office Hours

The office hours are 8:00 a.m. to 5:00 p.m., Monday through Friday. The office is closed on recognized state holidays.

History

• Authority G.S. 93-12(3)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; October 1, 1984
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08A .0104 Mailing Address

History

• Status: repealed
• Authority G.S. 150B-11(1)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 1982
• Repealed Eff. October 1, 1984.

21 NCAC 08A .0105 Purposes and Responsibilities

History

• Status: repealed
• Authority G.S. 93-12
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 1991; May 1, 1989; June 1, 1988; May 1, 1987
• Repealed Eff. April 1, 1994.

21 NCAC 08A .0201 Election of Officers

History

• Status: repealed
• Authority G.S. 93-12
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 2003; May 1, 1989; June 1, 1985; October 1, 1984
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Repealed Eff. June 1, 2026.

21 NCAC 08A .0202 Meetings of the Board

History

• Status: repealed
• Authority G.S. 93-12
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 08A .0203 Quorum

Four members of the Board shall constitute a quorum to transact all business.

History

• Authority G.S. 93-12
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984; August 24, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08A .0204 Composition

History

• Status: repealed
• Authority G.S. 93-12
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 24, 1981; June 16, 1980
• Repealed Eff. October 1, 1984.

21 NCAC 08A .0205 Qualification

History

• Status: repealed
• Authority G.S. 93-12
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 24, 1981; June 16, 1980
• Repealed Eff. October 1, 1984.

21 NCAC 08A .0206 Term of Office

History

• Status: repealed
• Authority G.S. 93-12
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 24, 1981; June 16, 1980
• Repealed Eff. October 1, 1984.

21 NCAC 08A .0301 Definitions

(a) The definitions set out in G.S. 93-1(a) apply when those defined terms are used in this Chapter.

(b) In addition to the definitions set out in G.S. 93-1(a), the following definitions apply when these terms are used in this Chapter:

(1) "Active," when used to refer to the status of a person, describes a person who possesses a North Carolina certificate of qualification and who has not otherwise been granted inactive or CPA-retired status;

(2) "Agreed-upon procedures" means a professional service whereby a CPA is engaged to issue a report of findings based on specific procedures performed on identified subject matter;

(3) "AICPA" means the American Institute of Certified Public Accountants;

(4) "Applicant" means a person who has applied to take the CPA examination or applied for a certificate of qualification;

(5) "Attest service" means a professional service whereby a CPA in the practice of public accounting is engaged to issue or does issue:

(A) any audit or engagement to be performed in accordance with the Statements on Auditing Standards, Statements on Generally Accepted Governmental Auditing Standards, Public Company Accounting Oversight Board Auditing Standards, and International Standards on Auditing;

(B) any review engagement to be performed in accordance with the Statements on Standards for Accounting and Review Services;

(C) any compilation engagement to be performed in accordance with the Statements on Standards for Accounting and Review Services; or

(D) any engagement to be performed in accordance with the Statements on Standards for Attestation Engagements;

(6) "Audit" means a professional service whereby a CPA is engaged to examine financial statements, items, accounts, or elements of a financial statement prepared by management, in order to express an opinion on whether the financial statements, items, accounts, or elements of a financial statement are presented in conformity with an applicable reporting framework, that enhances the degree of confidence that intended users can place on the financial statements, items, accounts, or elements of a financial statement;

(7) "Calendar year" means the 12 months beginning January 1 and ending December 31;

(8) "Candidate" means a person whose application to take the CPA examination has been accepted by the Board and who may sit for the CPA examination;

(9) "Client" means a person or an entity who orally or in writing agrees with a licensee to receive any professional services performed or delivered;

(10) "Commission" means compensation, except a referral fee, for recommending or referring any product or service to be supplied by another person;

(11) "Compilation" means a professional service whereby a CPA is engaged to present, in the form of financial statements, information that is the representation of management without expressing any assurance on the statements;

(12) "Contingent fee" means a fee established for the performance of any service pursuant to an arrangement in which no fee will be charged unless a specified finding or result is attained, or in which the amount of the fee is otherwise dependent upon the finding or result of such service;

(13) "CPA" means certified public accountant;

(14) "CPA firm" means an entity that is registered with the Board pursuant to Rule 08J .0108 of this Chapter or practices in the State by exercising the practice privilege as set forth by G.S. 93-10;

(15) "CPE" means continuing professional education;

(16) "Disciplinary action" means revocation, suspension of, or refusal to grant a certificate, or the imposition of a reprimand, probation, constructive comment, or any other penalty or condition;

(17) "FASB" means the Financial Accounting Standards Board;

(18) "Firm network" means an association of entities that includes one or more firms that cooperate for the purpose of enhancing the firms' capabilities to provide professional services and share one or more of the following characteristics:

(A) the use of a common brand name, including initials, as part of the firm name;

(B) common control among the firms through ownership, management, or other means;

(C) profits or costs, excluding costs of operating the association; costs of developing audit methodologies, manuals, and training courses; and other costs that are immaterial to the firm;

(D) common business strategy that involves ongoing collaboration amongst the firms whereby the firms are responsible for implementing the association's strategy and are accountable for performance pursuant to that strategy;

(E) significant part of professional resources; or

(F) common quality control policies and procedures that firms are required to implement and that are monitored by the association;

(19) "GASB" means the Governmental Accounting Standards Board;

(20) "Good moral character" means a personal history of honesty, trustworthiness, fairness, a good reputation for fair dealings, and respect for the rights of others and for state and federal laws, subject to the requirements of N.C. Gen. Stat. §93B-8.1(b).

(21) "Inactive," when used to refer to the status of a person, describes a person who has requested inactive status and has been approved by the Board and who does not use the title certified public accountant, nor does he or she allow anyone to refer to him or her as a certified public accountant, and neither he nor she nor anyone else refers to him or her in any representation as described in Rule .0308(b) of this Section;

(22) "IRS" means the Internal Revenue Service;

(23) "Jurisdiction" means any state or territory of the United States or the District of Columbia;

(24) "License year" means the 12 months beginning July 1 and ending June 30;

(25) "Member of a CPA firm" means any CPA who has an equity ownership interest in a CPA firm;

(26) "NASBA" means the National Association of State Boards of Accountancy;

(27) "NCACPA" means the North Carolina Association of Certified Public Accountants;

(28) "North Carolina office" means any office physically located in North Carolina;

(29) "Person" means any natural person, corporation, partnership, professional limited liability company, registered limited liability partnership, unincorporated association, or other entity;

(30) "Professional" means arising out of or related to the particular knowledge or skills associated with CPAs;

(31) "Referral fee" means compensation for recommending or referring any service of a CPA to any person;

(32) "Revenue Department" means the North Carolina Department of Revenue;

(33) "Review" means a professional service whereby a CPA is engaged to perform procedures, limited to analytical procedures and inquiries, to obtain a reasonable basis for expressing limited assurance on whether any material modifications should be made to the financial statements for them to be in conformity with generally accepted accounting principles or other comprehensive basis of accounting;

(34) "Reviewer" means a member of a review team including the review team captain;

(35) "Suspension" means a revocation of a certificate for a specified period of time. A CPA may be reinstated after a specific period of time if the CPA has met all conditions imposed by the Board at the time of suspension;

(36) "Work papers" mean the CPA's records of the procedures applied, the tests performed, the information obtained, and the conclusions reached in attest services, tax services, consulting services, special report services, or other engagements. Work papers include programs used to perform professional services, analyses, memoranda, letters of confirmation and representation, checklists, copies or abstracts of company documents, and schedules of commentaries prepared or obtained by the CPA. The forms include handwritten, typed, printed, word processed, photocopied, photographed, and computerized data, or in any other form of letters, words, pictures, sounds, or symbols; and

(c) Any requirement to comply by a specific date to the Board that falls on a weekend or federal holiday shall be received as in compliance if postmarked by U.S. Postal Service cancellation by that date, if received by a private delivery service by that date, or received in the Board office on the next business day.

History

• Authority G.S. 93-1; 93-12; 93-12(3)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. January 1, 2014; February 1, 2011; January 1, 2006; January 1, 2004; April 1, 1999; August 1, 1998; February 1, 1996; April 1, 1994; September 1, 1992
• Readopted Eff. February 1, 2016
• Amended Eff. May 1, 2017
• Readopted Eff. June 1, 2026.

21 NCAC 08A .0302 Accountant

History

• Status: repealed
• Authority G.S. 93-1
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 16, 1980
• Repealed Eff. June 1, 1983.

21 NCAC 08A .0303 Board

History

• Status: repealed
• Authority G.S. 93-1
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 16, 1980
• Repealed Eff. June 1, 1983.

21 NCAC 08A .0304 Certified Public Accountant

History

• Status: repealed
• Authority G.S. 93-1
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 16, 1980
• Repealed Eff. June 1, 1983.

21 NCAC 08A .0305 Public Accountant

History

• Status: repealed
• Authority G.S. 93-1
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 16, 1980
• Repealed Eff. June 1, 1983.

21 NCAC 08A .0306 Public Practice of Accountancy

History

• Status: repealed
• Authority G.S. 93-1
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 16, 1980
• Repealed Eff. June 1, 1983.

21 NCAC 08A .0307 Public Practice of Accountancy or Accounting

(a) A person is engaged in the "public practice of accountancy" who:

(1) holds out to the public as a certified public accountant or an accountant; and

(2) in consideration of compensation received or to be received, offers to perform or does perform for other persons services that involve:

(A) preparing, auditing, or verifying financial transactions, books, accounts, or records;

(B) preparing, verifying or certifying financial, accounting, and related statements intended for publication, including preparing tax returns;

(C) rendering professional services or assistance in or about any and all matters of principle or detail relating to accounting procedure and systems; or

(D) recording, presenting or certifying, and interpreting such service (including tax, consulting or management advisory services) through statements and reports.

(b) Services, as described in Subparagraph (a)(2) of this Rule, may be performed on a full-time, part-time or temporary basis in the various accounting fields, including public accounting, governmental or other not-for-profit accounting, industrial, commercial or financial accounting, taxation and tax-related matters.

History

• Authority G.S. 93-1(a)(5);93-12
• Eff. October 1, 1984
• Amended Eff. April 1, 1994; March 1, 1990
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08A .0308 Holding Out to the Public

(a) The phrase "holds himself out to the public as a certified public accountant," as used in defining "public practice of accountancy" in G.S. 93-1(a)(5) and in these rules, means any representation that a person holds a certificate of qualification, if that representation is made in connection with an offer to perform or the performance of accountancy services for the public, regardless of whether that representation is made by the person, someone associated with that person, or someone serving as that person's agent. Any such representation is presumed to invite the public to rely upon the professional skills implied by the certificate in connection with the professional services offered to be performed or performed by the person.

(b) For purposes of this Rule, a "representation" shall be deemed to include any oral, electronic, or written communication indicating that the person holds a certificate, including without limitation, the use of titles or legends on letterheads, reports, business cards, brochures, resumes, office signs, telephone directories, websites, the Internet, or any other advertisements, news articles, publications, listings, tax return signatures, signatures on experience or character affidavits for exam or certificate applicants, displayed membership in CPA associations, displayed CPA licenses from this or any other jurisdiction, and displayed certificates or licenses from other organizations which have the designation "CPA" or "Certified Public Accountant" by the person's name.

History

• Authority G.S. 93-1(a)(5); 93-12
• Eff. September 1, 1988
• Amended Eff. January 1, 2006; April 1, 1999; April 1, 1994; May 1, 1989
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08A .0309 Concentration in Accounting

(a) A concentration in accounting includes:

(1) at least 30 semester hours, or the equivalent in quarter hours, of undergraduate accountancy courses that shall include no more than six semester hours of accounting principles and no more than three semester hours of business law;

(2) at least 20 semester hours or the equivalent in quarter hours, of graduate accounting courses that are open exclusively to graduate students; or

(3) a combination of undergraduate and graduate courses that would be equivalent to Subparagraph (1) or (2) of this Rule.

(b) In recognition of differences in the level of graduate and undergraduate courses, one semester (or quarter) hour of graduate study in accounting is considered the equivalent of one and one-half semester (or quarter) hours of undergraduate study in accounting.

(c) Up to four semester hours, or the equivalent in quarter hours, of graduate income tax courses completed in law schools may count towards the semester hour requirement of Paragraph (a) of this Rule.

(d) When, in the Board's determination, an accounting course duplicates another course previously taken, only the semester (or quarter) hours of one of the courses shall be counted in determining if the applicant has a concentration in accounting.

(e) Accounting courses include such courses as principles courses at the elementary, intermediate and advanced levels; managerial accounting; business law; cost accounting; fund accounting; auditing; and taxation. There are many college courses offered that would be helpful in the practice of accountancy, but are not included in the definition of a concentration in accounting. Such courses include business finance, business management, computer science, economics, writing skills, accounting internships, and CPA exam review.

History

• Authority G.S. 93-12(5)
• Eff. May 1, 1989
• Amended Eff. February 1, 2011; January 1, 2001; April 1, 1994
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08A .0310 Direct Supervision Defined

"Direct supervision" means:

(1) having jurisdiction and oversight authority over the process of planning, coordinating, guiding, inspecting, controlling, and evaluating on a continuing basis the activities and accomplishments of the employees under one's command;

(2) having the power of direction and decision in implementing activities to meet the objectives of one's stewardship;

(3) having authority delegated by higher management to hire, transfer, suspend, recall, promote, assign, or discharge an employee under one's charge or to recommend such action through the proper administrative chain of command;

(4) having authority to supervise the employee in the usual line of authority unrestricted by multiple positions of influence; and

(5) having authority to verify the employee's experience in a notarized experience affidavit.

History

• Authority G.S. 93-12(5)
• Eff. May 1, 1989
• Amended Eff. April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08A .0311 Emphasis in Taxation or Accounting

History

• Status: repealed
• Authority G.S. 93-12(5)
• Eff. March 1, 1990
• Repealed Eff. January 1, 2006.

21 NCAC 08A .0315 New Cpa Firm, Ongoing Cpa Firm

History

• Status: repealed
• Authority G.S. 93-1; 93-12(8c)
• Eff. April 1, 1991
• Amended Eff. April 1, 1999
• Repealed Eff. January 1, 2004.

Subchapter B

21 NCAC 08B .0101 Petitions

Any person wishing to submit a petition requesting the adoption, amendment or repeal of a rule by the Board shall address a petition to the Board's Executive Director, at the address as set forth in 21 NCAC 08A .0102.

History

• Authority G.S. 93-12; 150B-20
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; July 1, 1987; October 1, 1984; April 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08B .0102 Contents of Petition for New Rule

A petition requesting the adoption of a rule should contain the following information:

(1) either a draft of the proposed rule or a summary of the contents of the proposed rule;

(2) reason for the proposal;

(3) effect of the new rule on existing rules;

(4) data supporting the rule proposal;

(5) effects of the rule on existing practices in the area involved; and

(6) name, address and phone number of each petitioner.

History

• Authority G.S. 93-12; 150B-20
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08B .0103 Amendment or Repeal

History

• Status: repealed
• Authority G.S. 93-12; 150B-11(1); 150B-16
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984; April 1, 1982
• Repealed Eff. July 1, 1987.

21 NCAC 08B .0104 Contents of Petitions for Rule Amendment or Repeal

A petition requesting the amendment or repeal of a rule should contain the following information:

(1) rule affected;

(2) reasons for change;

(3) either a draft of the proposed amendment or a summary of the proposed amendment, if the petition is to amend the rule;

(4) data supporting the rule proposal;

(5) effect of the proposed change on existing practices in the area involved; and

(6) name, address and phone number of each petitioner.

History

• Authority G.S. 93-12; 150B-20
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08B .0105 Granting or Denying Petitions

The Executive Director of the Board shall make a recommendation to a committee of the Board and the committee shall recommend to the full Board, based on a study of the facts stated in the petition, whether the public interest will be better served by granting or denying the petition. The Board will consider all the contents of the submitted petition plus any additional information deemed relevant.

History

• Authority G.S. 93-12; 150B-20
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; July 1, 1987; June 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08B .0106 Recommendation

History

• Status: repealed
• Authority G.S. 93-12; 150B-11(1); 150B-16
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. June 1, 1985.

21 NCAC 08B .0107 Final Decision

History

• Status: repealed
• Authority G.S. 93-12; 150B-11(1); 150B-16
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. March 1, 1987.

21 NCAC 08B .0201 Notice to Parties

History

• Status: repealed
• Authority G.S. 93-12; 150B-12
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1985
• Repealed Eff. March 1, 1987.

21 NCAC 08B .0202 Mailing List

(a) Persons or agencies desiring to be placed on the mailing list for the Board's rule-making notices issued pursuant to G.S. 150B-21.2 may file a request in writing, furnishing their name and mailing address to the Executive Director of the Board, at the address set forth in 21 NCAC 08A .0102.

(b) The request shall state the subject areas within the authority of the agency for which notice is requested.

History

• Authority G.S. 93-12; 150B-21.2
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 1994; May 1, 1989; April 1, 1987; October 1, 1984
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08B .0203 Public Notice

History

• Status: repealed
• Authority G.S. 93-12; 150B-11(1); 150B-12
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. March 1, 1987.

21 NCAC 08B .0204 Information Requests

History

• Status: repealed
• Authority G.S. 93-12; 150B-11(1); 150B-12
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. March 1, 1987.

21 NCAC 08B .0301 Location of Hearings

History

• Status: repealed
• Authority G.S. 93-12; 150B-11(1); 150B-12; 150B-12(e); 150B-16
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1985; October 1, 1984; April 1, 1982
• Repealed Eff. March 1, 1987.

21 NCAC 08B .0302 Arguments

History

• Status: repealed
• Authority G.S. 93-12; 150B-11(1); 150B-12; 150B-12(e); 150B-16
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1985; October 1, 1984; April 1, 1982
• Repealed Eff. March 1, 1987.

21 NCAC 08B .0303 Request for Oral Presentations

History

• Status: repealed
• Authority G.S. 93-12; 150B-11(1); 150B-12; 150B-12(e); 150B-16
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1985; October 1, 1984; April 1, 1982
• Repealed Eff. March 1, 1987.

21 NCAC 08B .0304 Oral Presentation

Upon receipt of a request to make an oral presentation at a rule-making hearing, the Executive Director will acknowledge receipt of the request and inform the person making the request of any limitations deemed necessary to achieve a full and effective public hearing on the proposed rule.

History

• Authority G.S. 93-12; 150B-21.2
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; June 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08B .0305 Written Statement

History

• Status: repealed
• Authority G.S. 93-12; 150B-11(1); 150B-12(e); 150B-16
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984; April 1, 1982
• Repealed Eff. March 1, 1987.

21 NCAC 08B .0306 Acknowledgement

History

• Status: repealed
• Authority G.S. 93-12; 150B-11(1); 150B-16
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. June 1, 1985.

21 NCAC 08B .0307 Control of Rule-Making Hearings

(a) The presiding officer of a rule-making hearing shall have complete control of the proceedings including the following:

(1) extension of any deadlines;

(2) rescheduling a hearing time, as announced at the published hearing, and continuation of any hearing;

(3) limitations for individual presentations;

(4) recognition of speakers; and

(5) direction of the flow of discussion and the management of the hearing.

(b) The presiding officer at all times shall take care that each person participating in the hearing is given a fair opportunity to present views, data and comments.

History

• Authority G.S. 93-12; 150B-21.2
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08B .0308 Request for Statement on Final Decision

History

• Status: repealed
• Authority G.S. 93-12; 150B-11(1); 150B-12(e); 150B-37; 150B-42
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984; April 1, 1982
• Repealed Eff. March 1, 1987.

21 NCAC 08B .0309 Records

History

• Status: repealed
• Authority G.S. 93-12; 150B-11(1); 150B-12(e); 150B-37; 150B-42
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984; April 1, 1982
• Repealed Eff. March 1, 1987.

21 NCAC 08B .0401 Power to Issue

History

• Status: repealed
• Authority G.S. 93-12; 150B-13
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. June 1, 1985.

21 NCAC 08B .0402 Length of Effectiveness

History

• Status: repealed
• Authority G.S. 93-12; 150B-13
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. June 1, 1985.

21 NCAC 08B .0501 Request for Declaratory Ruling

Any person aggrieved, as defined in G.S. 150B-2(6), by a statute administered or rule promulgated by the Board may request a declaratory ruling as to how the statute or rule applies to a given factual situation or whether a particular Board rule is valid. All requests for declaratory rulings shall be in writing and mailed to the Board at the address as set forth in 21 NCAC 08A .0102.

History

• Authority G.S. 93-12; 150B-4
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; October 1, 1984; April 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08B .0502 Contents of Request

All requests for a declaratory ruling must include the following information:

(1) name, address, and phone number of each petitioner;

(2) statute or rule to which the petition relates;

(3) concise statement of the manner in which the petitioner is aggrieved, as defined in G.S. 150B-2(6), or thinks that he or she may be injured by the rule or statute and its application to him or her; and

(4) statement of whether an oral hearing is desired and if so the reasons for such an oral hearing.

History

• Authority G.S. 93-12; 150B-4
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 1994; June 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08B .0503 Refusal to Issue Declaratory Ruling

Whenever the Board believes for good reason that issuing a declaratory ruling is undesirable, it may refuse to do so. The Board will notify the petitioner in writing of its reasons for refusing to issue a declaratory ruling.

History

• Authority G.S. 93-12; 150B-4
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08B .0504 Issuance of Declaratory Ruling

History

• Status: repealed
• Authority G.S. 93-12; 150B-17
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. March 1, 1987.

21 NCAC 08B .0505 Procedure

History

• Status: repealed
• Authority G.S. 93-12; 150B-17
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. March 1, 1987.

21 NCAC 08B .0506 Validity of Rule

History

• Status: repealed
• Authority G.S. 93-12; 150B-17
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. March 1, 1987.

21 NCAC 08B .0507 Circumstances

As a general rule the Board will issue a declaratory ruling except:

(1) when the subject of a requested declaratory ruling is also the subject of a lawsuit pending in a court of this state or a federal court;

(2) when the facts presented in the request were considered at a rule-making hearing; or

(3) in other special circumstances, as determined by the Board.

History

• Authority G.S. 93-12; 150B-4
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08B .0508 Requests for Informal Opinions

Requests to Board employees or legal counsel, or requests to Board members not in accordance with Rule .0501 of this Section, for opinions concerning the application of the Board's rules or any statutes are discouraged. If ever an opinion is given, it shall not be binding on the Board. Applicants, licensees, and any other persons who act in reliance on such opinions do so at their own risk.

History

• Authority G.S. 93-12(3); 93-12(9); 150B-17
• Eff. December 1, 1987
• Amended Eff. May 1, 1989
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08B .0601 Fee Schedule

History

• Status: repealed
• Authority G.S. 93-12; 150B-11(1)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. June 1, 1985.

21 NCAC 08B .0602 Amount

History

• Status: repealed
• Authority G.S. 93-12; 150B-11(1)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. October 1, 1984.

Subchapter C

21 NCAC 08C .0101 Administrative Hearings

History

• Status: repealed
• Authority G.S. 93-12; 150B-2; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. March 1, 1987.

21 NCAC 08C .0102 Notification

History

• Status: repealed
• Authority G.S. 93-12; 150B-2; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. March 1, 1987.

21 NCAC 08C .0103 Additional Information on Notices of Hearings

In addition to the items required by G.S. 150B-38 to be included in a notice of hearing for a contested case before the Board, such a notice shall include the following information:

(1) the name, title, address and phone number of Board personnel to contact for further information or discussion; and

(2) the date and place for any pre-hearing conference.

History

• Authority G.S. 93-12; 150B-38
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08C .0104 Written Petition for Intervention

A person desiring to intervene in a contested case must file a written petition with the Board at the address as set forth in 21 NCAC 08A .0102. A petition to intervene shall be filed in accordance with G.S. 1A-1, Rule 24.

History

• Authority G.S. 93-12; 150B-38
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08C .0105 Notice of Allowance or Denial of Petition to Intervene

(a) If a petition for intervention is one of right, or if a petition for permissive intervention is allowed by the Board, the Board will promptly send written notice of the intervention to all parties, including the intervenor. In cases of permissive intervention, such notification will also include a statement of any limitations of time, subject matter, evidence or any other matters the Board thereby imposes upon the intervenor.

(b) If the Board denies a petition for permissive intervention, it will promptly send written notice of such denial to the petitioner and all parties setting forth its reasons for denying the petition.

History

• Authority G.S. 93-12; 150B-38
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08C .0107 Disqualification of Board Member

(a) A Board member shall be disqualified from participating in the hearing of any contested case or performing any duties related to a contested case if personal bias or other factors would keep the member from being able to participate in the hearing or to perform any duty related to the contested case or hearing in an impartial manner.

(b) If a party to a hearing or any other interested person has a reasonable good faith belief that a Board member should be disqualified, that person shall submit an affidavit of disqualification to the Board.

History

• Authority G.S. 93-12; 150B-40
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08C .0108 Affidavit of Disqualification

An affidavit of disqualification must state all the facts the affiant deems relevant to the disqualification of the Board member.

History

• Authority G.S. 93-12; 150B-40
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08C .0109 Filing Affidavit of Disqualification

An affidavit of disqualification must be filed with the Board office before commencement of the hearing. However, it may be filed after the commencement of the hearing if it is filed within a reasonable time after the affiant knows or reasonably should know the facts giving rise to the affiant's reasonable belief that the Board member should be disqualified from participating in a contested case under this Section.

History

• Authority G.S. 93-12; 150B-40
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08C .0110 Determination of Disqualification

(a) The members of the Board not challenged in an affidavit of disqualification shall determine whether the challenged Board member should be disqualified from participating in the hearing of a contested case. In making this determination, those Board members may:

(1) call upon the challenged Board member to furnish relevant information; and

(2) appoint a member of the Board or a member of the staff to investigate the allegations of the affidavit and report their findings and recommendations to the Board.

(b) The Board will maintain a record of the proceedings on disqualification and a written summary of its conclusions as part of the record of the contested case.

History

• Authority G.S. 93-12; 150B-40
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08C .0111 New Hearing After Disqualification

(a) Upon request of a party to a contested case, the Board will conduct a new hearing of the contested case if a Board member was disqualified after the beginning of the initial hearing and if either:

(1) less than a majority of Board members remained at the hearing subsequent to the disqualification; or

(2) when the Board determines that substantial prejudice would result if a new hearing was not conducted.

(b) The Board member who has been disqualified shall not participate in the determination of whether substantial prejudice would result if a new hearing was not conducted.

History

• Authority G.S. 93-12; 150B-40
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08C .0114 Pre-Hearing Conference

(a) The Board may itself conduct an informal pre-hearing conference for the purposes set forth in 21 NCAC 8C .0115 or it may designate a committee to conduct such a conference. The committee so designated may be composed entirely of staff members.

(b) Evidence of conduct or evidence of statements made during the pre-hearing conference are not admissable at the hearing in a contested case. However, evidence otherwise discoverable shall not be excluded merely because it is presented during the pre-hearing conference.

History

• Authority G.S. 93-12; 150B-38
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08C .0115 Purposes of a Pre-Hearing Conference

The purposes of a pre-hearing conference in a contested case are:

(1) to determine the possibility of simplifying or eliminating the issues;

(2) to facilitate the stipulation to facts or findings by the parties;

(3) to identify evidence which will be needed at the hearing;

(4) to determine the validity of proposed evidence;

(5) to determine the need for depositions or subpoenas;

(6) to determine the relevance of findings in some other case to the case at hand;

(7) to determine the need for consolidation of cases or joint hearings; and

(8) to determine any other matters which will reduce cost or save time or otherwise aid in the expeditious disposition of the contested case.

History

• Authority G.S. 93-12; 150B-38
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08C .0116 Notice of Pre-Hearing Conference

Notice of a pre-hearing conference in a contested case will be given in the notice of hearing for the case or, if the decision to hold a pre-hearing conference is made after the notice of hearing has been sent, in a subsequent notice.

History

• Authority G.S. 93-12; 150B-38
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08C .0118 Continuances

A continuance of a pre-hearing conference will be granted to a party only under compelling circumstances, especially when a continuance has been previously requested by and granted to the party. Under no circumstances is the Board required to grant continuances.

History

• Authority G.S. 93-12; 150B-38
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08C .0121 Service of Subpoenas

(a) Subpoenas shall be served as the officer issuing the subpoenas shall direct and as may be appropriate to the circumstances of the case. The Executive Director, Board counsel, or staff member designated by the Executive Director may serve subpoenas on behalf of the Board pursuant to G.S. 1A-1, Rule 45(e).

(b) Subpoenas shall be issued in duplicate and contain a Return of Service. The Return of Service shall be the same as that found in the Subpoena and Return of Service forms provided by the North Carolina Administrative Office of the Courts. The person serving the subpoena shall fill out the Return of Service form for each copy and promptly return one copy of the subpoena containing the completed Return of Service form to the Board office.

History

• Authority G.S. 93-12; 150B-39
• Eff. May 1, 1989
• Amended Eff. March 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08C .0122 Objections to Subpoenas

(a) A person who is subject to a subpoena or a party to the contested case may file an objection to the subpoena with the Board within ten days of the issuance of the subpoena.

(b) An objection to a subpoena must include a concise but complete statement of reasons why the subpoena should be revoked or modified. These reasons may include, for example, lack of relevancy of the evidence requested, lack of particularity in the description of the evidence sought, or any other reason sufficient in law for holding the subpoena invalid, such as the evidence is privileged or the appearance or production would be so disruptive as to be unreasonable in light of the significance of the evidence sought or would produce some other undue hardship.

(c) The person objecting to the subpoena must serve a copy of the objection upon the party who requested the subpoena. Service must be on or before the date the objection is filed with the Board's office and may be accomplished by the United States Postal Service.

History

• Authority G.S. 93-12; 150B-39
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08C .0123 Responses to Objections to Subpoenas

(a) The person requesting the subpoena may file a written response to the objection to the subpoena with the Board within ten days of service of the objection.

(b) The person responding shall also serve a copy of the response upon the person who objected to the subpoena. Service must be on or before the date the response is filed with the Board's office and may be accomplished by the United States Postal Service.

History

• Authority G.S. 93-12; 150B-39
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08C .0124 Hearings on Subpoena Challenges

(a) After receipt of an objection to a subpoena, the Board shall schedule a public hearing on the objection within a reasonable time and shall issue a notice of hearing to the person requesting the subpoena and to the person objecting to it. The Board may also give notice to all other parties to the contested case.

(b) The hearing on objections to a subpoena shall be limited to the issues properly raised by the objection and any response, and all parties to the contested case may present evidence at the hearing relevant to those issues.

(c) Promptly after the close of a hearing, the Board shall rule on the objection to the subpoena and shall issue a written decision. The copy of the decision will be issued to all parties to the hearing and will be made a part of the permanent record of the contested case.

History

• Authority G.S. 93-12; 150B-39
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08C .0125 Records of Contested Cases

A copy of the record of a contested case proceeding may be obtained by requesting such in writing from the Board.

History

• Authority G.S. 93-12; 150B-42
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08C .0126 Hearing Exhibits

(a) The Board staff shall serve upon the Respondent copies of documents it plans to offer as evidence at a contested case hearing at least 10 business days prior to the scheduled hearing.

(b) Respondent shall likewise serve upon the Board staff copies of documents Respondent plans to offer as evidence at the hearing at least 10 business days prior to the scheduled hearing.

(c) A party may object to the admission of evidence that was not timely served in accordance with this Rule. The objecting party must show that it was prejudiced by a violation of this Rule. Upon a valid objection, the presiding officer may refuse to admit the evidence, continue the hearing to a future date, or take other action within the presiding officer's discretion.

(d) Respondents shall supply at the hearing 16 copies of any document(s) that was not served upon the Board staff in advance as prescribed in Paragraph (b) of this Rule.

History

• Authority G.S. 93-12; 150B-41
• Eff. February 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08C .0201 Request

History

• Status: repealed
• Authority G.S. 93-12; 150B-2; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984; April 1, 1982
• Repealed Eff. March 1, 1987.

21 NCAC 08C .0202 Prerequisites

History

• Status: repealed
• Authority G.S. 93-12; 150B-2; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984; April 1, 1982
• Repealed Eff. March 1, 1987.

21 NCAC 08C .0203 Written Request

History

• Status: repealed
• Authority G.S. 93-12; 150B-2; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984; April 1, 1982
• Repealed Eff. March 1, 1987.

21 NCAC 08C .0204 Contents of Request

History

• Status: repealed
• Authority G.S. 93-12; 150B-2; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984; April 1, 1982
• Repealed Eff. March 1, 1987.

21 NCAC 08C .0205 Acknowledgement

History

• Status: repealed
• Authority G.S. 93-12; 150B-2; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984; April 1, 1982
• Repealed Eff. March 1, 1987.

21 NCAC 08C .0301 Granting a Hearing

History

• Status: repealed
• Authority G.S. 93-12; 150B-2; 150B-11(1); 150B-23; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. March 1, 1987; October 1, 1984.

21 NCAC 08C .0302 Criteria

History

• Status: repealed
• Authority G.S. 93-12; 150B-2; 150B-11(1); 150B-23; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. March 1, 1987; October 1, 1984.

21 NCAC 08C .0303 Issuance

History

• Status: repealed
• Authority G.S. 93-12; 150B-2; 150B-11(1); 150B-23; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. March 1, 1987; October 1, 1984.

21 NCAC 08C .0304 Approval of Request

History

• Status: repealed
• Authority G.S. 93-12; 150B-2; 150B-11(1); 150B-23; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. March 1, 1987; October 1, 1984.

21 NCAC 08C .0401 Failure to Notify

History

• Status: repealed
• Authority G.S. 93-12; 150B-11(1); 150B-25; 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. March 1, 1987; October 1, 1984.

21 NCAC 08C .0402 Failure to Appear

History

• Status: repealed
• Authority G.S. 93-12; 150B-11(1); 150B-25; 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. March 1, 1987; October 1, 1984.

21 NCAC 08C .0501 Reasonable Notice

History

• Status: repealed
• Authority G.S. 93-12; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1985; October 1, 1984
• Repealed Eff. March 1, 1987.

21 NCAC 08C .0502 Notice and Hearing

History

• Status: repealed
• Authority G.S. 93-12; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1985; October 1, 1984
• Repealed Eff. March 1, 1987.

21 NCAC 08C .0503 Additional Information on Notices and Hearings

History

• Status: repealed
• Authority G.S. 93-12; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1985; October 1, 1984
• Repealed Eff. May 1, 1989.

21 NCAC 08C .0504 Written Answers to Notice

History

• Status: repealed
• Authority G.S. 93-12; 150B-25
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984; April 1, 1982
• Repealed Eff. March 1, 1987.

21 NCAC 08C .0601 Hearing Officers

History

• Status: repealed
• Authority G.S. 93-12; 150B-32; 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. March 1, 1987; October 1, 1984.

21 NCAC 08C .0602 Appointment

History

• Status: repealed
• Authority G.S. 93-12; 150B-32; 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. March 1, 1987; October 1, 1984.

21 NCAC 08C .0701 Location

History

• Status: repealed
• Authority G.S. 93-12; 150B-24; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1985; April 1, 1982
• Repealed Eff. March 1, 1987; June 1, 1985.

21 NCAC 08C .0702 Alternative Locations

History

• Status: repealed
• Authority G.S. 93-12; 150B-24; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1985; April 1, 1982
• Repealed Eff. March 1, 1987; June 1, 1985.

21 NCAC 08C .0801 Requirements

History

• Status: repealed
• Authority G.S. 93-12; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. March 1, 1987.

21 NCAC 08C .0802 Permissive Intervention

History

• Status: repealed
• Authority G.S. 93-12; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. March 1, 1987.

21 NCAC 08C .0803 Discretionary Intervention

History

• Status: repealed
• Authority G.S. 93-12; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. March 1, 1987.

21 NCAC 08C .0804 Advisability

History

• Status: repealed
• Authority G.S. 93-12; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. March 1, 1987.

21 NCAC 08C .0805 Written Petition

History

• Status: repealed
• Authority G.S. 93-12; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 1987; October 1, 1984; April 1, 1982
• Repealed Eff. May 1, 1989.

21 NCAC 08C .0806 Petition for Intervention

History

• Status: repealed
• Authority G.S. 93-12; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 1987; October 1, 1984; April 1, 1982
• Repealed Eff. May 1, 1989.

21 NCAC 08C .0807 Allowance

History

• Status: repealed
• Authority G.S. 93-12; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 1987; October 1, 1984; April 1, 1982
• Repealed Eff. May 1, 1989.

21 NCAC 08C .0808 Denial

History

• Status: repealed
• Authority G.S. 93-12; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 1987; October 1, 1984; April 1, 1982
• Repealed Eff. May 1, 1989.

21 NCAC 08C .0901 Hearing Officer

History

• Status: repealed
• Authority G.S. 93-12; 150B-25
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1985; October 1, 1984
• Repealed Eff. March 1, 1987.

21 NCAC 08C .0902 Conduct

History

• Status: repealed
• Authority G.S. 93-12; 150B-25
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1985; October 1, 1984
• Repealed Eff. March 1, 1987.

21 NCAC 08C .0903 Bias of Board Member

History

• Status: repealed
• Authority G.S. 93-12; 150B-25
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1985
• Repealed Eff. May 1, 1989.

21 NCAC 08C .0904 Bias Claimed by Party

History

• Status: repealed
• Authority G.S. 93-12; 150B-25
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. March 1, 1987.

21 NCAC 08C .0905 Affidavit of Disqualification

History

• Status: repealed
• Authority G.S. 93-12; 150B-25; 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. May 1, 1989.

21 NCAC 08C .0906 Filing Affidavit

History

• Status: repealed
• Authority G.S. 93-12; 150B-25; 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. May 1, 1989.

21 NCAC 08C .0907 Disqualification

History

• Status: repealed
• Authority G.S. 93-12; 150B-25; 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. May 1, 1989.

21 NCAC 08C .0908 New Hearing

History

• Status: repealed
• Authority G.S. 93-12; 150B-25; 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. May 1, 1989.

21 NCAC 08C .0909 Disqualification of Entire Board

History

• Status: repealed
• Authority G.S. 93-12; 150B-25
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. March 1, 1987.

21 NCAC 08C .0910 Determination to Continue

History

• Status: repealed
• Authority G.S. 93-12; 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 1987
• Repealed Eff. May 1, 1989.

21 NCAC 08C .0911 Records

History

• Status: repealed
• Authority G.S. 93-12; 150B-34; 150B-37
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. March 1, 1987.

Subchapter D

21 NCAC 08D .0101 Proceeding Without Party

History

• Status: repealed
• Authority G.S. 93-12; 150B-11(1); 150B-33; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984; April 1, 1982
• Repealed Eff. March 1, 1987.

21 NCAC 08D .0102 Alternatives of Hearing Officer

History

• Status: repealed
• Authority G.S. 93-12; 150B-11(1); 150B-33; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984; April 1, 1982
• Repealed Eff. March 1, 1987.

21 NCAC 08D .0103 Continuances

History

• Status: repealed
• Authority G.S. 93-12; 150B-11(1); 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 08D .0104 Petition to Reopen

History

• Status: repealed
• Authority G.S. 93-12; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984; April 1, 1982
• Repealed Eff. March 1, 1987.

21 NCAC 08D .0105 Criteria for Reopening a Case

History

• Status: repealed
• Authority G.S. 93-12; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984; April 1, 1982
• Repealed Eff. March 1, 1987.

21 NCAC 08D .0201 Discretion to Hold Conference

History

• Status: repealed
• Authority G.S. 93-12; 150B-11(1)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. March 1, 1987.

21 NCAC 08D .0202 Purposes

History

• Status: repealed
• Authority G.S. 93-12; 150B-11(1); 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. July 1, 1987
• Repealed Eff. May 1, 1989.

21 NCAC 08D .0203 Nature of Conference

History

• Status: repealed
• Authority G.S. 93-12; 150B-11(1); 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. July 1, 1987
• Repealed Eff. May 1, 1989.

21 NCAC 08D .0204 Notice of Pre-Hearing Conference

History

• Status: repealed
• Authority G.S. 93-12; 150B-11(1); 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. July 1, 1987
• Repealed Eff. May 1, 1989.

21 NCAC 08D .0205 Simplification of Issues

History

• Status: repealed
• Authority G.S. 93-12
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. March 1, 1987.

21 NCAC 08D .0301 Authority to Issue

History

• Status: repealed
• Authority G.S. 93-12; 150B-39
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977.
• Amended Eff. October 1, 1984
• Repealed Eff. March 1, 1987.

21 NCAC 08D .0302 Issuance

History

• Status: repealed
• Authority G.S. 93-12; 150B-39
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977.
• Amended Eff. October 1, 1984
• Repealed Eff. March 1, 1987.

21 NCAC 08D .0303 Service of Subpoenas

History

• Status: repealed
• Authority G.S. 93-12; 150B-39
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 08D .0304 Unreasonable Subpoenas

History

• Status: repealed
• Authority G.S. 93-12; 150B-39
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984; April 1, 1982
• Repealed Eff. March 1, 1987.

21 NCAC 08D .0305 Objections

History

• Status: repealed
• Authority G.S. 93-12; 150B-39
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984; April 1, 1982
• Repealed Eff. March 1, 1987.

21 NCAC 08D .0306 Statement of Reasons

History

• Status: repealed
• Authority G.S. 93-12; 150B-39
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1985
• Repealed Eff. May 1, 1989.

21 NCAC 08D .0307 Service of Objections

History

• Status: repealed
• Authority G.S. 93-12; 150B-39
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1985
• Repealed Eff. May 1, 1989.

21 NCAC 08D .0308 Responses to Objections

History

• Status: repealed
• Authority G.S. 93-12; 150B-39
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1985
• Repealed Eff. May 1, 1989.

21 NCAC 08D .0309 Hearings on Subpoena Challenges

History

• Status: repealed
• Authority G.S. 93-12; 150B-39
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1985
• Repealed Eff. May 1, 1989.

21 NCAC 08D .0310 Rulings

History

• Status: repealed
• Authority G.S. 93-12; 150B-39
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1985
• Repealed Eff. May 1, 1989.

21 NCAC 08D .0401 Discovery of Information

History

• Status: repealed
• Authority G.S. 93-12; 150B-39
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977.
• Amended Eff. October 1, 1984
• Repealed Eff. March 1, 1987.

21 NCAC 08D .0402 Failure to Submit to Discovery

History

• Status: repealed
• Authority G.S. 93-12; 150B-39
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977.
• Amended Eff. October 1, 1984
• Repealed Eff. March 1, 1987.

21 NCAC 08D .0501 Use of Depositions

History

• Status: repealed
• Authority G.S. 93-12; 150B-39
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. March 1, 1987.

21 NCAC 08D .0502 Procedure for Taking a Deposition

History

• Status: repealed
• Authority G.S. 93-12; 150B-39
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. March 1, 1987.

21 NCAC 08D .0503 Rulings on Depositions

History

• Status: repealed
• Authority G.S. 93-12; 150B-39
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. May 1, 1989.

Subchapter E

21 NCAC 08E .0101 Hearing Officers

History

• Status: repealed
• Authority G.S. 93-12; 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1985; October 1, 1984
• Repealed Eff. March 1, 1987.

21 NCAC 08E .0102 Proposal for Decision

History

• Status: repealed
• Authority G.S. 93-12; 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1985; October 1, 1984
• Repealed Eff. March 1, 1987.

21 NCAC 08E .0103 Exceptions

History

• Status: repealed
• Authority G.S. 93-12; 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. March 1, 1987; October 1, 1984; April 1, 1982
• Repealed Eff. May 1, 1989.

21 NCAC 08E .0201 Form

History

• Status: repealed
• Authority G.S. 93-12; 150B-38; 150B-40; 150B-42
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 1987; June 1, 1985; October 1, 1984; April 1, 1982
• Repealed Eff. May 1, 1989.

21 NCAC 08E .0202 Records

History

• Status: repealed
• Authority G.S. 93-12; 150B-38; 150B-40; 150B-42
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 1987; June 1, 1985; October 1, 1984; April 1, 1982
• Repealed Eff. May 1, 1989.

21 NCAC 08E .0203 Substantial Prejudice

History

• Status: repealed
• Authority G.S. 93-12; 150B-38; 150B-40; 150B-42
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 1987; June 1, 1985; October 1, 1984; April 1, 1982
• Repealed Eff. May 1, 1989.

21 NCAC 08E .0204 Oral Arguments

History

• Status: repealed
• Authority G.S. 93-12; 150B-38; 150B-40; 150B-42
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 1987; June 1, 1985; October 1, 1984; April 1, 1982
• Repealed Eff. May 1, 1989.

21 NCAC 08E .0205 Notice

History

• Status: repealed
• Authority G.S. 93-12; 150B-38; 150B-40; 150B-42
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 1987; June 1, 1985; October 1, 1984; April 1, 1982
• Repealed Eff. May 1, 1989.

Subchapter F

21 NCAC 08F .0101 Time and Place of Cpa Examinations

(a) The Board shall offer the CPA examination through the examination vendors(s), who have contracted with NASBA, through out the calendar year.

(b) The months the CPA Examination is administered are determined by the examination vendor(s).

(c) The examination vendor(s) shall provide examination applicants with computer access at the testing centers for the CPA examination.

History

• Authority G.S. 93-12(3); 93-12(4)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. February 1, 2011; January 1, 2004; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08F .0102 Type of Cpa Examination

The Uniform CPA Examination prepared by the AICPA shall be the CPA examination used by the Board.

History

• Authority G.S. 93-12(3); 93-12(4)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08F .0103 Filing of Examination Applications and Fees

(a) All applications for CPA examinations shall be filed with the Board and accompanied by the examination fees. The Board sets the fees for each examination at the amount that enables the Board to recover its actual costs of examination services. If a check or credit card authorization fails to clear the bank, the application shall be deemed incomplete and returned. CPA examination applications and fee information are on the Board's website at nccpaboard.gov and may be requested from the Board.

(b) The initial application filed to take the examination shall include supporting documentation demonstrating that all legal requirements have been met, including:

(1) minimum legal age;

(2) education; and

(3) good moral character.

(c) In addition, any person born outside the United States shall furnish to the Board office:

(1) evidence of citizenship; or

(2) evidence of resident alien status; or

(3) other bona fide evidence that the applicant is legally allowed to remain in the United States; or

(4) a notarized affidavit of intention to become a U.S. citizen; or

(5) evidence that the applicant is a citizen of a foreign jurisdiction that extends to citizens of this State like or similar privileges to be examined.

(d) Education and satisfaction of degree requirements shall be proven by submission of either original official transcripts, not photocopies, signed by the college registrar and bearing the college seal or by electronic delivery of official transcripts directly from the college registrar or through the institution's chosen provider. Official transcripts shall show the grades the applicant received on courses completed and shall also show degree(s) awarded. A letter from the college registrar of the school may be filed as documentation that the applicant has met the graduation requirements if the degree has not been awarded and posted to the transcript. No examination grades shall be released until an official transcript is filed with the Board confirming the education requirement as stated in the college registrar's letter.

(e) Applicants for re-examination shall not be required to resubmit official transcripts, additional statements, or affidavits regarding education.

(f) To document good moral character as required by G.S. 93-12(5), three persons not related by blood or marriage to the applicant shall sign the application certifying the good moral character of the applicant and the Board shall conduct a background check of the applicant including a check of criminal records.

(g) An applicant shall include as part of any application for the CPA examination a statement of explanation and a certified copy of the final disposition if the applicant has been arrested, charged, convicted or found guilty of, received a prayer for judgment continued, or pleaded nolo contendere to any criminal offense. An applicant shall not be required to disclose any arrest, charge, or conviction that has been expunged by a court.

(h) If an applicant has been denied any license by any state or federal agency, the applicant shall include as part of the application for the CPA examination a statement explaining such denial. An applicant shall include a statement of explanation and a certified copy of applicable license records if the applicant has been registered with or licensed by a state or federal agency and has been disciplined by that agency.

(i) An applicant shall submit one photograph or digital image as part of the application for the CPA examination. The photograph or digital image shall be of the applicant alone, front view, full face, taken in normal street attire without a hat or dark glasses, with a plain light background, and taken within the last six months. The photograph or digital image may be in black and white or in color. Retouched photographs or digital images shall not be accepted. If submitting a photograph, applicants shall write their names on the back of their photograph, with the photograph two by two inches in size.

(j) If an applicant's name has legally changed and is different from the name on any transcript or other document supplied to the Board, the applicant shall furnish copies of the documents legally authorizing the name change.

(k) Candidates shall file initial and re-exam applications to sit for the CPA examination on forms provided by the Board.

(l) Examination fees are valid for a six-month period from the date of the applicant's notice to schedule for the examination from the examination vendor.

(m) No application for examination shall be considered while the applicant is serving a sentence for any criminal offense. Serving a sentence includes incarceration, supervised probation, parole, or conditionally suspended sentence, any of which are imposed as a result of having been convicted or having pled to a criminal charge.

History

• Authority G.S. 93-2; 93-12(3); 93-12(4); 93-12(5); 93-12(7)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. January 1, 2014; February 1, 2011; January 1, 2006; January 1, 2004; August 1, 1998; February 1, 1996; April 1, 1994; March 1, 1990; May 1, 1989
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023; February 1, 2018
• Readopted Eff. June 1, 2026.

21 NCAC 08F .0104 Applications for Re-Examination

History

• Status: repealed
• Authority G.S. 93-12(3)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. February 1, 1983
• Repealed Eff. October 1, 1984.

21 NCAC 08F .0105 Conditioning Requirements

(a) Passing Grades. A candidate shall pass all sections of the examination with a grade of 75 or higher on each section.

(b) Military Service. A candidate who is on active military service shall not have the time on active military service counted against Subparagraph (c)(1) of this Rule unless the candidate applies to take the examination during the active military service, in which case each month a candidate sits shall be counted toward Subparagraph (c)(1) of this Rule.

(c) A candidate is subject to the following conditioning requirements:

(1) a candidate shall earn a passing grade on all sections of the examination within a 30-month period;

(2) a candidate may sit for any section of the examination individually and in any order;

(3) a candidate may retake the same section of the examination as many times during a one-year period as determined by the examination vendors but shall not retake a failed test section until the candidate has been notified of the score of the most recent attempt of that failed section;

(4) credit awarded by the Board for passage of a section of the examination shall be valid for a 30-month period from the date the passing scores are released by the examination vendors;

(5) the 30-month period begins on the date the first passing score is released to the candidate and concludes with the sit date of the final passed examination section, regardless of when the score is released by the examination vendors for the final passed section. A candidate, after earning credit for the initial passed section, must complete the remaining test sections of the examination by the last day of the 30-month period. If all four sections of the examination are not passed within the 30-month period, credit for any test section passed outside of the 30-month period shall expire; and

(6) notwithstanding Subparagraphs (c)(1), (c)(4), and (c)(5) of this Rule, the period of time in which to pass all test sections of the examination may be extended by the Board upon a showing that the credit was lost by reason of circumstances beyond the testing candidate's control.

History

• Authority G.S. 93-12(3); 93-12(4); 93-12(5)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. February 1, 2011; January 1, 2006; January 1, 2004; August 1, 1998; April 1, 1994; April 1, 1991; March 1, 1990
• Readopted Eff. February 1, 2016
• Amended Eff. April 1, 2024; September 1, 2023; January 1, 2020
• Readopted Eff. June 1, 2026.

21 NCAC 08F .0106 Granting Examination Credit from Other Jurisdictions

(a) The Board may grant candidates credit for passing parts of the AICPA Uniform CPA Examination in another jurisdiction or territory of the United States.

(b) To be considered for credit, the passing grades must meet the requirements of 21 NCAC 08F .0105. To transfer credit, the candidate must file an application with the Board on a form provided by the Board. Such application may be made simultaneously with the application to take the CPA examination.

History

• Authority G.S. 93-12(2); 93-12(3)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. January 1, 2006; May 1, 1989; October 1, 1984
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08F .0107 Communication of Results of Cpa Examinations

NASBA notifies candidates once their score(s) are finalized and the results are available for review. Grades awarded to candidates shall not be released to third parties except by written consent of the candidate.

History

• Authority G.S. 93-12(2); 93-12(3)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. January 1, 2006; April 1, 1999; April 1, 1994; May 1, 1989; December 1, 1987; June 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08F .0108 Appearance Before the Board

History

• Status: repealed
• Authority G.S. 93-12(3)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. March 1, 1987.

21 NCAC 08F .0109 Applications for Certificates

History

• Status: repealed
• Authority G.S. 93-12(5),(6),(7a)
• Eff. February 1, 1983
• Amended Eff. May 1, 1984; August 1, 1983
• Repealed Eff. October 1, 1984.

21 NCAC 08F .0110 Proctoring Other Jurisdictions' Candidates

History

• Status: repealed
• Authority G.S. 93-12
• Eff. December 1, 1987
• Amended Eff. January 1, 2004; May 1, 1989
• Repealed Eff. January 1, 2006.

21 NCAC 08F .0111 Ineligibility Due to Violation of Accountancy Act

(a) A person may not be eligible to take the CPA examination or receive a North Carolina certificate of qualification as a CPA if the Board determines that the person has engaged in conduct that would constitute a violation of G.S. 93 or the Rules of Professional Ethics and Conduct as set forth in 21 NCAC 08N.

(b) Any individual found to have engaged in conduct that subverts, or attempts to subvert the CPA Examination process may have his or her scores on the examination withheld and declared invalid, be disqualified from holding the CPA certification, and may be subject to the imposition of other appropriate sanctions.

(c) Conduct that subverts or attempts to subvert the examination process includes the following:

(1) conduct that violates the standard of the test administration such as communicating with any other examinee during the administration of the examination;

(2) having in one's possession during the administration of the examination any books, notes, written or printed material, or data of any other kind, other than the distributed examination materials;

(3) failure to cooperate with testing officials;

(4) conduct that violates the credentialing process, such as falsifying or misrepresenting educational credentials or other information required for admission to the examination, impersonating an examinee, or having an impersonator take the examination on another's behalf;

(5) conduct that violates the nondisclosure prohibitions of the examination or aiding or abetting another in doing so; or

(6) retaking or attempting to retake an examination section by an individual holding a valid CPA certificate in this State or a candidate who has unexpired credit for having already passed the same examination section, unless directed to do so by the Board.

History

• Authority G.S. 93-12(5); 93-12(9)
• Eff. May 1, 1989
• Amended Eff. April 1, 2003
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08F .0112 Candidate's Request to Sit in Another Jurisdiction

History

• Status: repealed
• Authority G.S. 93-12
• Eff. April 1, 1994
• Repealed Eff. January 1, 2006.

21 NCAC 08F .0113 Candidate's Request to Review Cpa Examination

The Board shall allow North Carolina candidates pursuant to G.S. 93B-8 to have the privilege to review their CPA examination. The candidate must make the request for the review within 60 days after the release of the grades in question.

History

• Authority G.S. 93-12(3)
• Eff. August 1, 1995
• Amended Eff. January 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08F .0201 Examination Fees

History

• Status: repealed
• Filed as a Temporary Amendment Eff. May 13, 1983 for a
• Period of 111 Days to Expire on September 1, 1983
• Statutory Authority G. S. 93-12(7)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 1983; November 19, 1979
• Repealed Eff. October 1, 1984.

21 NCAC 08F .0202 Examination Fee Refunds

History

• Status: repealed
• Filed as a Temporary Amendment Eff. May 13, 1983 for a
• Period of 111 Days to Expire on September 1, 1983
• Statutory Authority G. S. 93-12(7)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 1983; November 19, 1979
• Repealed Eff. October 1, 1984.

21 NCAC 08F .0203 Certification Fees

History

• Status: repealed
• Authority G.S. 93-12(7a)
• Eff. February 1, 1983
• Repealed Eff. October 1, 1984.

21 NCAC 08F .0301 General

History

• Status: repealed
• Authority G.S. 93-12(3); 93-12(5)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 1983; February 1, 1983; June 16, 1980
• Repealed Eff. October 1, 1984.

21 NCAC 08F .0302 Education Required Prior to Cpa Exam

(a) Applicants who intend to demonstrate their possession of sufficient education to become a CPA by showing that they possess a bachelor's degree shall submit official transcripts with their application to take the CPA examination. Official transcripts shall show the grades the applicant received on courses completed and shall also show degrees awarded.

(b) The Board may approve an application to take the CPA examination prior to the applicant's obtaining the concentration of accounting or the receipt of a bachelor's degree, if:

(1) the concentration in accounting that shall be included in or supplement the bachelor's degree is already complete or is reasonably expected to be completed by the end of the school term within which the examination falls; and

(2) an applicant reasonably expects to receive the bachelor's degree within 120 days after the application is approved by the Board. However, if the applicant fails to receive the degree within the specified time, the CPA examination grades shall not be released and if the applicant wishes to retake the examination, the applicant shall reapply.

History

• Authority G.S. 93-12(3); 93-12(5)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. February 1, 2011; August 1, 1998; April 1, 1994; May 1, 1989; September 1, 1988; April 1, 1987
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08F .0303 Semester Hour Equivalent

One quarter hour of undergraduate study reported on an official transcript shall equal two-thirds of a semester hour for the purposes of measuring earned educational credits.

History

• Authority G.S. 93-12(5)
• Eff. October 1, 1984
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08F .0304 Waiver of Education Required Prior to Examination

History

• Status: repealed
• Authority G.S. 93-12(5); 93-12(7)
• Eff. June 16, 1980
• Amended Eff. September 1, 1983
• Recodified from 8F .0406 Eff. October 1, 1984
• Amended Eff. January 1, 2006; May 1, 1989; January 1, 1988; July 1, 1987
• Repealed Eff. February 1, 2011.

21 NCAC 08F .0305 Concentration in Accounting

History

• Status: repealed
• Authority G.S. 93-12(5)
• Eff. April 1, 1987
• Amended Eff. December 1, 1987
• Repealed Eff. May 1, 1989.

21 NCAC 08F .0401 Work Experience Required of Candidates for Cpa Certification

(a) G.S. 93-12(5)c. sets forth work experience alternatives, one of which is required of candidates applying for CPA certification. In connection with those requirements, the following provisions apply:

(1) the work experience shall be acquired prior to the date a candidate applies for certification; and

(2) all experience that is required to be under the direct supervision of a CPA shall be under the direct supervision of a licensed CPA on active status in one of the U.S. states or jurisdictions.

(b) The following provisions apply to all candidates seeking to meet the work experience requirement of G.S. 93-12(5)c.3. by working in the field of accounting:

(1) One year of work experience is 52 weeks of full-time employment. The candidate is employed full-time when the candidate is expected by the employer to work for the employer at least 30 hours each week. Any other work is working part-time.

(2) All weeks of actual full-time employment are added to all full-time equivalent weeks in order to calculate how much work experience a candidate has acquired. Dividing that number by 52 results in the years of work experience the candidate has acquired.

(3) Full-time-equivalent weeks are determined by the number of actual part-time hours the candidate has worked. Actual part-time hours do not include hours paid for sick leave, vacation leave, attending continuing education courses, or other time not spent directly performing accounting services. For each calendar week during which the candidate worked actual part-time hours of 30 hours or more, the candidate receives one full-time-equivalent week. The actual part-time hours worked in the remaining calendar weeks are added together and divided by 30. The resulting number is the additional number of full-time-equivalent weeks to which the candidate is entitled.

(4) The candidate shall submit experience affidavits on forms provided by the Board from all of the relevant employers as identified by Rule .0411 of this section. If the experience was obtained while working under the supervision of a CPA, then the supervising CPA must sign the affidavit. The affidavit will confirm the dates of employment for the CPA and the type of duties assigned to the applicant. The affidavit does not require the supervising CPA to state an opinion regarding the applicant's competency or the quality of the applicant's work. If the experience was not acquired while employed with a CPA firm, the candidate shall also submit details of the work experience and supervision on a form provided by the Board. Experience affidavits for part-time work shall contain a record of the actual part-time hours the candidate has worked for each week of part-time employment. Both the experience affidavit and the form for additional detail shall be certified by the employer's office supervisor or an owner of the firm who is a certificate holder.

(c) Rule .0409 of this Section applies to teaching experience acquired pursuant to G.S.93-12(5)c.2 and 4.

History

• Authority G.S. 93-12(3); 93-12(5)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Temporary Amendment Eff. June 17, 1982 for a period of 120 days to expire on October 12, 1982
• Legislative Objection Lodged Eff. July 20, 1982
• Amended Eff. February 1, 2011; January 1, 2006; August 1, 1998; March 1, 1990; July 1, 1989; December 1, 1988; September 1, 1988
• Readopted Eff. February 1, 2016
• Amended Eff. April 1, 2024; September 1, 2023
• Readopted Eff. June 1, 2026.

21 NCAC 08F .0402 Experience Prior to Examination

History

• Status: repealed
• Authority G.S. 93-12(3); 93-12(5)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 1987; October 1, 1984; November 19, 1979; March 6, 1979
• Repealed Eff. May 1, 1989.

21 NCAC 08F .0403 Extension of Credit

History

• Status: repealed
• Authority G.S. 93-12(2); 93-12(3)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1982
• Repealed Eff. October 1, 1984.

21 NCAC 08F .0404 Transfer of Credit

History

• Status: repealed
• Authority G.S. 93-12(2); 93-12(3)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1982
• Repealed Eff. October 1, 1984.

21 NCAC 08F .0405 Internships for College Credit

History

• Status: repealed
• Authority G.S. 93-12
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. August 24, 1981.

21 NCAC 08F .0406 Equivalency Examinations

History

• Authority G.S. 93-12(5)
• Eff. June 16, 1980
• Amended Eff. September 1, 1983
• Transferred to 21 NCAC 8F .0304 Eff. October 1, 1984.

21 NCAC 08F .0407 Fee for Certificate Based Upon Transfer of Credit

History

• Status: repealed
• Authority G.S. 93-12.1; 93-12(5); 93-12(7)
• Eff. June 16, 1980
• Amended Eff. September 1, 1983
• Repealed Eff. October 1, 1984.

21 NCAC 08F .0408 Effect of New Requirements

History

• Status: repealed
• Authority G.S. 93-12.1; 93-12(5); 93-12(7)
• Eff. June 16, 1980
• Amended Eff. September 1, 1983
• Repealed Eff. October 1, 1984.

21 NCAC 08F .0409 Satisfaction of Experience Requirement by Teaching

(a) Teaching Experience. The requirement of "four years experience teaching accounting," G.S. 93-12(5), means teaching accounting full-time for four years.

(1) Full-time teaching as described by the rules of the educational institution where the applicant taught will be accepted by the Board to be full-time teaching. However, in no case will less than 12 semester hours, or the equivalent, be accepted by the Board as full-time teaching.

(2) If the applicant has not taught accounting full-time for four years, credit will be allowed by the Board for teaching accounting less than full-time on a pro rata basis based upon the number of semester hours required for full-time teaching at the educational institution where the applicant taught. However, in no case can an applicant receive credit for a full-time teaching year for teaching done in less than one academic year or more credit than one full-time teaching year for teaching done within one calendar year.

(3) Courses outside the field of accounting will not be counted toward full-time teaching. Such courses include, but are not limited to: business law, finance, computer applications, personnel management, economics and statistics.

(4) Of the four years of full-time teaching experience, teaching accounting principles (below intermediate accounting) cannot be counted toward the educational requirement for more than the equivalent of two full-time years. The remaining two full-time teaching years must be taught in at least two different areas of advanced accounting such as auditing, income tax, intermediate financial accounting or advanced managerial accounting, and the applicant must have taught at least nine semester hours, or the equivalent, in at least two of the different areas.

(b) Required Information. Applicants must submit with their application a letter from each institution where they taught, certified by the applicant's dean or department head at that institution. The letter must state:

(1) the number of credit hours which the applicant taught each year;

(2) the names and academic level of the courses taught; and

(3) the number of hours set by the rules of the institution as full-time teaching for each relevant year.

(c) Burden of Proof. An applicant having taught in an accredited institution other than a four-year accredited college or university has the burden of proving that the credits earned by students taking those courses which the applicant taught would transfer to a four-year accredited college or university.

History

• Authority G.S. 93-12(5)
• Eff. December 1, 1983
• Amended Eff. January 1, 2006; April 1, 1994; May 1, 1989; January 1, 1988; July 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08F .0410 Education Required of Candidates for Cpa Certification

(a) G.S. 93-12(5)a. sets forth the education required of candidates applying for CPA certification. The educational hours required include:

(1) a concentration in accounting, as defined by 21 NCAC 08A .0309; and

(2) 24 semester hours of coursework that includes one three-semester hour course from at least 8 of the following 10 fields of study:

(A) communications;

(B) computer technology;

(C) economics;

(D) ethics;

(E) finance;

(F) humanities or social science;

(G) international environment;

(H) law;

(I) management; or

(J) statistics.

(b) Anyone applying for CPA certification who holds a Master's or more advanced degree in accounting, tax law, economics, finance, business administration, or a law degree from an accredited college or university is in compliance with Subparagraph (a)(2) of this Rule.

History

• Authority G.S. 93-12(5)
• Eff. January 1, 2001
• Amended Eff. February 1, 2011; January 1, 2006
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

21 NCAC 08F .0411 Work Experience FORMs

(a) A CPA license applicant shall complete and submit work experience affidavits to the Board to document the work experience required of applicants applying for CPA certification.

(b) The work experience forms shall contain the following:

(1) The applicant's full name;

(2) The applicant's mailing address;

(3) Identification of the type of work experience obtained by the applicant in accordance with G.S. 93-12(5)c. A separate form must be completed for each different type of experience provided;

(4) Identification of the beginning and ending dates during which the work experience was obtained;

(5) A description of the job titles and/or classifications of work performed during the time period noted;

(6) A description of the job duties assigned to the applicant during the time period noted; and

(7) The affidavit of the supervising CPA affirming the work experience being reported by the applicant. The affidavit should include the following information from the supervising CPA:

(A) Signature, printed name, title, telephone number, and the CPAs certificate number and date of certificate issuance;

(B) Company where the work experience was obtained, mailing address, and email address;

(C) Date that the affidavit was signed;

(D) Identification as to whether the CPA certificate was issued by North Carolina or from another jurisdiction and the current status of the CPA certificate;

(E) Whether the CPA certificate(s) of the CPA supervisor(s) has ever been revoked or suspended and if so, documentation that states the dates, periods, and reasons for the revocation(s) or suspension(s); and

(F) If the employment of the CPA supervisor has changed since the work experience was earned, the CPA supervisor should provide current address, email address, and daytime telephone number.

(c) If the work experience is obtained through part-time work, the applicant must complete a supplemental form that documents the hours worked, by week, in meeting the work experience requirement. Part-time hours are measured as per Rule .0401(b)(3) of this Section.

(d) If the work experience is obtained through self-employment, the applicant must complete a supplemental form that affirms work performed for clients during the same period needed for certification. The affidavit should include the following information:

(1) The applicant's full name;

(2) The beginning and end dates of accounting service provided to the client;

(3) Identification of the types of services provided by the applicant to the client;

(4) Signature, date, printed name, address, company name, telephone number, fax number, and email address of the client for whom the accounting services were performed;

(5) The affidavit must be notarized for authentication; and

(6) Affidavits must be completed for a minimum of five different individuals of companies to affirm that the applicant has performed accounting work on full-time basis for the entire reported period. In addition, the applicant must submit supporting documentation to support the self-employment experience. Examples include state or local privilege licenses and/or copies of Schedule C pages of the applicant's tax returns.

(e) If the work experience is obtained through teaching, the applicant must complete a supplemental form that affirms the qualifying teaching experience. The teaching experience affirmation shall contain the following:

(1) The applicant's full name;

(2) The beginning and end dates during which the applicant was teaching at the educational institution;

(3) Information as to whether the institution is on a quarter or semester hour system and the minimum amount of time necessary to be categorized as full-time teaching;

(4) A listing by quarter/semester/year of the course that was taught by the applicant and the number of hours related to the course taught;

(5) The printed name, signature, date, and name of the educational institution for the person affirming the teaching experience; and

(6) The seal for the educational institution.

History

• Authority G.S. 93-12(5)c.
• Eff. June 1, 2026.

21 NCAC 08F .0501 Residency

History

• Status: repealed
• Authority G.S. 93-12(5); 93-12(6); 93-12(7a); 93-10
• Eff. December 1, 1982
• Amended Eff. May 1, 1989; December 1, 1984
• Repealed Eff. April 1, 1994.

21 NCAC 08F .0502 Application for Cpa Certificate

(a) A person applying for a certificate of qualification shall file with the Board an application and an experience affidavit on forms provided by the Board and supporting documentation to determine that the applicant has met the statutory and rule requirements. CPA certificate applications and fee information are on the Board's website as set forth in 21 NCAC 08A .0102 or may be requested from the Board.

(b) The application for a CPA certificate shall include three certificates of good moral character on forms as identified per Rule .0505 of this Section and provided by the Board which shall be completed by CPAs. The certificate of good moral character will require CPAs to describe their familiarity with the applicant and to state whether they believe the applicant will conscientiously observe the professional responsibilities of a CPA. They will also disclose whether they are aware of any events that need to be disclosed pursuit to Paragraph (c) of this Rule. The Board shall conduct a background check of the applicant including a check of criminal records.

(c) An applicant shall include as part of any application for a CPA certificate a statement of explanation and a certified copy of final disposition if the applicant has been arrested, charged, convicted or found guilty of, received a prayer for judgment continued, or pleaded nolo contendere to any criminal offense. An applicant shall not be required to disclose any arrest, charge, or conviction that has been expunged by the court.

(d) If an applicant has been denied any license by any state or federal agency, the applicant shall also include as part of the application for the CPA certificate a statement explaining such denial. An applicant shall include a statement of explanation and a certified copy of applicable license records if the applicant has been registered with or licensed by a state or federal agency and has been disciplined by that agency.

(e) No application for a certificate shall be considered while the applicant is serving a sentence for any criminal offense. Serving a sentence includes incarceration, probation (supervised or unsupervised), parole, or conditionally suspended sentence, any of which are imposed as a result of having been convicted or having pled to a criminal charge.

History

• Authority G.S. 93-2; 93-12(3); 93-12(5)
• Eff. December 1, 1982
• Amended Eff. January 1, 2014; March 1, 1990; May 1, 1989; October 1, 1984
• Readopted Eff. February 1, 2016
• Amended Eff. February 1, 2018
• Readopted Eff. June 1, 2026.

21 NCAC 08F .0503 Application Fee

History

• Status: repealed
• Authority G.S. 93-12(5); 93-12(7a)
• Eff. December 1, 1982
• Repealed Eff. October 1, 1984.

21 NCAC 08F .0504 Candidates' Accountancy Law Course Requirement

Within one year prior to applying for certification, all candidates for original or reciprocal certification must complete an 400-minute course on the North Carolina Accountancy Statutes and Rules, including the Rules of Professional Ethics and Conduct contained therein.

History

• Authority G.S. 93-12(8a)
• Eff. October 1, 1987
• Amended Eff. April 1, 2003; April 1, 1999; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08F .0505 Moral Character FORM

(a) A CPA license applicant shall complete and submit three certificates of moral character completed by CPAs.

(b) The moral character form shall contain the following:

(1) The applicant's full name and mailing address;

(2) Identification as to whether the application type is for an original CPA certificate applicant, a reinstatement of a CPA certificate, or a reissuance of a CPA certificate;

(3) Identification of the number of years and months that the signing CPA has known the applicant;

(4) A description in detail of the opportunities that the signing CPA has had to evaluate the applicant's moral character;

(5) Affirmation that the applicant is of good moral character within the expectations of the professional responsibilities of a CPA;

(6) Affirmation, to the best of the signing CPA's knowledge, that the applicant has not been convicted of, found guilty of, received a prayer for judgment continued, or pleaded nolo contendere to any office, excluding non-criminal traffic infractions. If so, a statement providing additional information is required that provides the jurisdiction, charge, and disposition of each conviction; and

(7) An affirmation from the signing CPA that includes:

(A) Signature, printed name, and title of the signing CPA;

(B) The employer of the signing CPA, mailing address, daytime phone number, and email address;

(C) Date that the affidavit was signed; and

(D) Identification of the signing CPA's certificate number and the issuing jurisdiction.

History

• Authority G.S. 93-2
• Eff. June 1, 2026.

Subchapter G

21 NCAC 08G .0101 Compliance with Board Rules of Professional Ethics/Conduct

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. September 1, 1992; October 1, 1992; May 1, 1989; July 1, 1987
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0102 Discreditable Conduct

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. September 1, 1992; October 1, 1992; May 1, 1989; July 1, 1987
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0103 Discipline by Federal and State Agencies or Boards

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. September 1, 1992; October 1, 1992; May 1, 1989; July 1, 1987
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0104 Ineligibility Due to Violation of Accountancy Act

History

• Status: repealed
• Authority G.S. 93-8; 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 1983
• Repealed Eff. October 1, 1984.

21 NCAC 08G .0105 Public Practice of Accountancy in Corporate Form

History

• Status: repealed
• Authority G.S. 93-8; 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 1983
• Repealed Eff. October 1, 1984.

21 NCAC 08G .0106 Violation of Tax Laws

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; September 1, 1988; April 1, 1987; October 1, 1984
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0107 Independence

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; September 1, 1988; April 1, 1987; October 1, 1984
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0108 Integrity and Objectivity

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; September 1, 1988; April 1, 1987; October 1, 1984
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0109 Competence

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; September 1, 1988; April 1, 1987; October 1, 1984
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0110 Ineligibility Due to Violation of Accountancy Act

History

• Status: repealed
• Authority G.S. 93-12(5),(9)
• Eff. June 1, 1985
• Amended Eff. June 1, 1988
• Repealed Eff. May 1, 1989.

21 NCAC 08G .0111 Public Practice of Accountancy in Corporate Form

History

• Status: repealed
• Authority G.S. 93-8; 93-12(9)
• Eff. June 1, 1985
• Repealed Eff. March 1, 1987.

21 NCAC 08G .0112 Disciplinary Actions for Violations

History

• Status: repealed
• Authority G. S. 55B-12; 93-12(9)
• Eff. September 1, 1986
• Amended Eff. March 1, 1990; May 1, 1989; July 1, 1987
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0113 Reporting Convictions, Judgments and Disciplinary Actions

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(9)
• Eff. October 1, 1987
• Amended Eff. May 1, 1989; February 1, 1988
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0114 Cooperation with Board Inquiry

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(9)
• Eff. May 1, 1989
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0201 Auditing Standards

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(8c); 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. September 1, 1993; April 1, 1991; May 1, 1989; June 1, 1988
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0202 Accounting Principles

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(8c); 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. September 1, 1993; April 1, 1991; May 1, 1989; June 1, 1988
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0203 Forecasts

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(8c); 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. September 1, 1993; April 1, 1991; May 1, 1989; June 1, 1988
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0204 Confidential Client Information

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(8c); 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. September 1, 1993; April 1, 1991; May 1, 1989; June 1, 1988
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0205 Contingent Fees

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(8c); 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. September 1, 1993; April 1, 1991; May 1, 1989; June 1, 1988
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0206 Encroachment

History

• Status: repealed
• Authority G.S. 93-8; 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. November 6, 1979.

21 NCAC 08G .0207 Offers of Employment

History

• Status: repealed
• Authority G.S. 93-8; 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. August 7, 1978.

21 NCAC 08G .0208 Accounting and Review Services Standards

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(9)
• Eff. January 1, 1983
• Amended Eff. May 1, 1989; June 1, 1988; July 1, 1987; August 1, 1986
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0209 Management Advisory Services Standards

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(9)
• Eff. January 1, 1983
• Amended Eff. May 1, 1989; June 1, 1988; July 1, 1987; August 1, 1986
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0210 Responsibilities in Tax Practice

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(9)
• Eff. January 1, 1983
• Amended Eff. May 1, 1989; June 1, 1988; July 1, 1987; August 1, 1986
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0211 Governmental Accounting Standards

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(9)
• Eff. August 1, 1986
• Amended Eff. May 1, 1989; June 1, 1988; July 1, 1987
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0212 Attestation Standards

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(9)
• Eff. February 1, 1987
• Amended Eff. May 1, 1989; June 1, 1988
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0213 Retention of Client Records

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(9)
• Eff. May 1, 1989
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0301 Advertising or Other Forms of Solicitation

History

• Status: repealed
• Authority G.S. 55B-5; 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. March 1, 1992; October 1, 1991; April 1, 1991; May 1, 1989
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0302 Commissions

History

• Status: repealed
• Authority G.S. 55B-5; 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. March 1, 1992; October 1, 1991; April 1, 1991; May 1, 1989
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0303 Incompatible Occupations

History

• Status: repealed
• Authority G.S. 55B-5; 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. March 1, 1992; October 1, 1991; April 1, 1991; May 1, 1989
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0304 Qualification of Partners

History

• Status: repealed
• Authority G.S. 55B-5; 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. March 1, 1992; October 1, 1991; April 1, 1991; May 1, 1989
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0305 Name or Style of a Practice

History

• Status: repealed
• Authority G.S. 55B-5; 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. March 1, 1992; October 1, 1991; April 1, 1991; May 1, 1989
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0306 Firm Name or Style of a Practice

History

• Status: repealed
• Authority G.S. 55B-5; 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. March 1, 1992; October 1, 1991; April 1, 1991; May 1, 1989
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0307 Complaints

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984; April 1, 1982; June 16, 1980
• Repealed Eff. March 1, 1987.

21 NCAC 08G .0310 Practice Through a Non-Complying Firm Prohibited

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(8c); 93-12(9)
• Eff. April 1, 1991
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0311 Falsification in Connection with Quality Review Programs

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(8c); 93-12(9)
• Eff. April 1, 1991
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0312 Quality Review Standards

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(8c); 93-12(9)
• Eff. April 1, 1991
• Repealed Eff. April 1, 1994.

21 NCAC 08G .0313 Firm Name

History

• Status: expired
• Filed as a Temporary Adoption Eff. September 25, 1991 For a Period of 180 Days to Expire
• on March 22, 1992
• Statutory Authority G.S. 55B-5; 93-12(9)
• Temporary Adoption Expired Eff. March 22, 1992.

21 NCAC 08G .0401 Cpe Requirements for Cpas

(a) In order for a CPA to receive credit for CPE activities:

(1) the CPA shall attend or complete the activity and receive a certificate of completion as set forth in the Standards for CPE Program Sponsors in the NASBA/AICPA Statement on Standards for Continuing Professional Education (CPE) Programs, including subsequent amendments and editions, that are hereby incorporated by reference. Copies of the Standards for CPE Program Sponsors can be found at no cost on the NASBA website at www.nasbaregistry.org/the-standards;

(2) the activity shall meet the requirements set out in Rule .0404 of this Section; and

(3) the activity shall increase the professional competency of the CPA.

(b) An activity that increases the professional competency of a CPA shall be an activity in an area of the profession in which the CPA practices or is planning to practice, or in the area of professional ethics.

(c) Because of differences in the education and experience of CPAs, an activity may contribute to the professional competence of one CPA but not another. Each CPA shall therefore exercise judgment in selecting activities for which CPE credit is claimed and choose only those that contribute to that CPA's professional competence. Courses that cover substantially the same content, learning objectives, and materials as a course the CPA has already completed and received credit for within the certification cycle, regardless of the format or provider, are considered duplicate courses and do not qualify for additional CPE credit.

(d) Active CPAs shall complete 2,000 CPE minutes computed in accordance with Rule .0409 of this Section by December 31 of each year, except as follows:

(1) CPAs having certificate applications approved by the Board in April to June shall complete 1,500 CPE minutes during the same calendar year;

(2) CPAs having certificate applications approved by the Board in July to September shall complete 1,000 CPE minutes during the same calendar year; or

(3) CPAs having certificate applications approved by the Board in October to December shall complete 500 CPE minutes during the same calendar year; and

Any CPE minutes completed during the calendar year in which the certificate application is approved may be used for that year's requirement even if the minutes were completed before the certificate was granted.

(e) A CPA shall complete a minimum of 50 CPE minutes annually in activities on regulatory or behavioral professional ethics and conduct. Ethics CPE shall be offered by a CPE sponsor registered with NASBA pursuant to Rule .0403(c) of this Section.

(f) There shall be no CPE requirements for inactive or CPA-retired CPAs.

(g) When a CPA has completed more than the required number of minutes of CPE in any one calendar year, up to 1,000 minutes shall be carried forward and treated as minutes earned in the following year. Ethics CPE minutes may not be included in any carry forward minutes to meet the requirement of Paragraph (e) of this Rule. A CPA shall not claim CPE credit for activities taken in any year prior to the year of certification.

(h) Any CPE minutes used to satisfy the requirements for change of status as set forth in 21 NCAC 08J .0105, for reissuance as set forth in 21 NCAC 08J .0106, or for application for a new certificate as set forth in Rule 08I .0104 of this Chapter may be used to satisfy the annual CPE requirement set forth in Paragraph (d) of this Rule.

(i) It shall be the CPA's responsibility to maintain records substantiating the CPE credits claimed for the current year and for each of the four calendar years prior to the current year.

(j) A non-resident licensee may satisfy the annual CPE requirements in the jurisdiction where the CPA is licensed and currently works or resides. If there is no annual CPE requirement in the jurisdiction where the CPA is licensed and currently works or resides, the CPA shall comply with Paragraph (d) of this Rule. A non-resident licensee whose office is in North Carolina shall comply with Paragraph (e) of this Rule. All other non-resident licensees may satisfy Paragraph (e) of this Rule by completing the ethics requirements in the jurisdiction in which the non-resident licensee is licensed as a CPA and works or resides. If there is no ethics CPE requirement in the jurisdiction where the non-resident licensee is licensed and currently works or resides, the non-resident licensee shall comply with Paragraph (e) of this Rule.

History

• Authority G.S. 93-12(3); 93-12(8b)
• Eff. May 1, 1981
• Amended Eff. January 1, 2014; January 1, 2007; January 1, 2004; August 1, 1995; April 1, 1994; May 1, 1989; September 1, 1988
• Readopted Eff. February 1, 2016
• Amended Eff. January 1, 2020
• Readopted Eff. June, 1, 2026.

21 NCAC 08G .0402 Definitions

History

• Status: repealed
• Authority G.S. 93-12(8b)
• Eff. May 1, 1981
• Amended Eff. January 1, 1989; October 1, 1984
• Repealed Eff. May 1, 1989.

21 NCAC 08G .0403 Qualification of Cpe Sponsors

(a) The Board shall not register CPE activities, sponsors, or providers of CPE activities.

(b) CPE providers not listed on the NASBA National Registry of CPE Sponsors shall comply with the Standards for CPE Program Sponsors in the NASBA/AICPA Statement on Standards for Continuing Professional Education (CPE) Programs found on the NASBA website at www.nasbaregistry.org.

(c) Sponsors of continuing education activities that are listed on the NASBA National Registry of CPE Sponsors shall be considered by the Board as compliant with the Standards for CPE Program Sponsors in the NASBA/AICPA Statement on Standards for Continuing Profession Education (CPE) Programs found on the NASBA website at www.nasbaregistry.org.

(d) If a sponsor listed on the National Registry of CPE Sponsor fails to comply with Paragraph (c) of this Rule, it shall be grounds for the Board to disqualify the sponsor as a CPE sponsor with this Board and to notify NASBA and the public of this action.

History

• Authority G.S. 93-12(3); 93-12(8b)
• Eff. May 1, 1981
• Amended Eff. January 1, 2014; January 1, 2007; January 1, 2004; March 1, 1990; May 1, 1989; August 1, 1988; February 1, 1983
• Readopted Eff. February 1, 2016
• Amended Eff. January 1, 2020
• Readopted Eff. June 1, 2026.

21 NCAC 08G .0404 Requirements for Cpe Credit

(a) A CPA shall not be granted CPE credit for an activity unless the activity is in one of the fields of study listed in the NASBA Fields of Study, including subsequent amendments and editions, which are hereby incorporated by reference. Copies of the NASBA Fields of Study can be found at no cost on the NASBA website at www.nasbaregistry.org/the-standards.

(b) The following shall qualify as acceptable types of CPE activities, provided the activities comply with the requirements set forth in Rule .0403(b) or (c) of this Section:

(1) professional development activities of national and state accounting organizations;

(2) technical sessions at meetings of national and state accounting organizations and their chapters;

(3) courses taken at regionally accredited colleges and universities;

(4) educational activities that are designed and intended for continuing professional education activity conducted within a business, accounting firm, or an association of accounting firms; or

(5) correspondence activities that are designed and intended for continuing professional education.

(c) CPE credit shall be granted for instructing or authoring a CPE activity as long as the CPA's professional competency was increased and was in one of the fields of study recognized by the Board, as set forth in Paragraph (a) of this Rule.

(d) CPE credit shall not be granted for a self-study activity if the material that the CPA must study to take the examination is not designed for CPE purposes. This includes periodicals, guides, magazines, subscription services, books, reference manuals, and supplements that contain an examination to test the comprehension of the material read.

(e) A CPA may claim credit for an activity offered by a provider if the activity meets the requirements of this Rule and Rule .0409 of this Section. The CPA shall maintain documentation proving the activity met these standards.

History

• Authority G.S. 93-12(8b)
• Eff. May 1, 1981
• Amended Eff. January 1, 2007; January 1, 2004; August 1, 1998; February 1, 1996; March 1, 1990; May 1, 1989; August 1, 1988; February 1, 1983
• Readopted Eff. February 1, 2016
• Amended Eff. January 1, 2020
• Readopted Eff. June 1, 2026.

21 NCAC 08G .0405 Administration of Requirement

History

• Status: repealed
• Authority G.S. 93-12(8b)
• Eff. May 1, 1981
• Amended Eff. October 1, 1984; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Repealed Eff. January 1, 2020.

21 NCAC 08G .0406 Compliance with Cpe Requirements

(a) All active CPAs shall file a reporting of CPE minutes by the July 1 renewal date of each year. The Board may verify the information submitted by licensees who apply for a renewal license.

(b) If a CPA fails to complete the CPE requirements prior to the end of the previous calendar year but the CPA has completed them by June 30, the Board may:

(1) issue a letter of warning for the first such failure within a five-calendar year period; and

(2) deny the renewal of the CPA's certificate for a period of not less than 30 days and until the CPA meets the reissuance requirements set forth in 21 NCAC 08J .0106 for the second such failure within a five-calendar year period.

History

• Authority G.S. 93-12(8b); 93-12(9)(e)
• Eff. May 1, 1981
• Amended Eff. January 1, 2007; January 1, 2004; April 1, 1994; March 1, 1990; May 1, 1989; October 1, 1988
• Readopted Eff. February 1, 2016
• Amended Eff. January 1, 2020
• Readopted Eff. June 1, 2026.

21 NCAC 08G .0407 Exemption and Subsequent Reinstatement

History

• Status: repealed
• Authority G.S. 93-12(8b)
• Eff. May 1, 1981
• Amended Eff. September 1, 1988; April 1, 1987; October 1, 1984; August 1, 1984
• Repealed Eff. May 1, 1989.

21 NCAC 08G .0408 Required Courses on Accountancy Laws and Rules

History

• Status: repealed
• Authority G.S. 93-12(8b)
• Eff. April 1, 1987
• Repealed Eff. April 1, 1988.

21 NCAC 08G .0409 Computation of Cpe Credits

(a) Group Activity. CPE credit for a group activity shall be given based on contact minutes.

(b) Completing a College Course. CPE credit for completing a college course in the college curriculum shall be granted based on converting the number of credit hours the college gives the CPA for completing the course into minutes. One semester hour of college credit shall be 750 CPE minutes. No CPE credit shall be given to a CPA who audits a college course. No more than 50 percent of the CPE credits required for a year shall be credits for completing a college course.

(c) Self Study Activity. CPE credit for a self-study activity shall be given based on the number of minutes needed to complete the activity as determined by the sponsor.

(d) Preparing or Presenting a CPE Activity. CPE credit for preparing or presenting a CPE activity for CPAs shall be given based on the number of minutes spent in preparing or presenting the activity. Preparing includes activities such as authoring or conducting a technical review. No more than 50 percent of the CPE credits required for a year shall be credits for preparing for or presenting CPE activities. CPE credit for preparing or presenting an activity shall be allowed only once a year for an activity prepared or presented more than once in the same year by the same CPA.

(e) Authoring a Publication. CPE credit for published articles and books shall be given based on the number of minutes the CPA spent writing the article or book. No more than 25 percent of a CPA's required CPE credits for a year shall be credits for published articles or books. An article written for a CPA's client or business newsletter shall not receive CPE credit.

(f) Instructing a College Course. CPE credit for instructing a college course above the level of accounting principles shall be given based on the number of credit hours the college gives a student for completing the course, using the calculation set forth in Paragraph (b) of this Rule. No more than 50 percent of the CPE credits required for a year shall be credits for instructing a college course.

(g) Nano Learning Activity. CPE credit for Nano Learning, a tutorial activity without interaction with a real-time instructor that is designed to permit a participant to learn a given subject through electronic media including technology applications/processes, computer-based or web-based technology, shall be based on the number of contact minutes. Nano Learning is not a group program. This CPE activity shall be offered by a CPE sponsor registered with NASBA pursuant to Rule .0403(c) of this Section.

(h) Blended Learning Activity. A Blended Learning program offers participants learning in multiple formats or delivery methods. Activities can include lectures, discussion, guided practice, games, case studies, and simulation. The varied delivery methods include Group Live, Group Internet Based, Self Study, or Nano Learning. The primary component of the program may be concurrent (a group program) or nonconcurrent, allowing the participant to control a portion of the time and place of the learning. CPE credit for Blended Learning shall be based on the number of contact minutes incorporated in all the learning formats in the Blended Learning activity. This CPE activity shall be offered by a CPE sponsor registered with NASBA pursuant to Rule .0403(c) of this Section.

(i) No more than 50 percent of the CPE credits required for a year in the aggregate shall be credits claimed under Paragraphs (b), (d), and (f) of this Rule.

History

• Authority G.S. 93-12(8b)
• Eff. May 1, 1989
• Amended Eff. July 1, 2015; January 1, 2014; February 1, 2012; January 1, 2007; January 1, 2004; February 1, 1996; April 1, 1994; March 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Amended Eff. January 1, 2020
• Readopted Eff. June 1, 2026.

21 NCAC 08G .0410 Professional Ethics and Conduct Cpe

History

• Status: repealed
• Authority G.S. 93-12(3); 93-12(8b); 93-12(9)
• Eff. January 1, 2005
• Amended Eff. January 1, 2014; February 1, 2012; January 1, 2007; January 1, 2006
• Readopted Eff. February 1, 2016
• Repealed Eff. January 1, 2020.

Subchapter H

21 NCAC 08H .0101 Reciprocal Certificates

(a) Unless utilizing a practice privilege per G.S. 93-10(a), a person having a CPA certificate from another jurisdiction who desires to utilize the CPA title in this State or offer or render professional services as a CPA to his or her employer or a client in this State shall obtain a reciprocal North Carolina CPA certificate.

(b) The fee for a reciprocal certificate shall be $100. The fee specified does not exceed the maximum amount as set forth in G.S. 93-12(7a).

(c) An applicant for a reciprocal certificate shall meet the following requirements:

(1) The applicant has the legal authority to use the CPA title and to practice public accountancy in a United States jurisdiction;

(2) The applicant has received a passing score on each section of the Uniform CPA Examination; and

(3) The applicant meets the minimum education requirements as defined by G.S. 93-12(5).

History

• Authority G.S. 93-12(6); 93-12(7a)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. February 1, 2011; January 1, 2006; April 1, 2003; April 1, 1999; August 1, 1998; September 1, 1992; March 1, 1990; May 1, 1989; June 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

21 NCAC 08H .0102 Temporary Permit

(a) The Board may grant temporary permits only to applicants for reciprocal certificates pending their qualification under 21 NCAC 08H .0101.

(b) Upon approval of a temporary permit, the Board will issue the applicant a statement confirming that the CPA is in good standing in the state issuing the CPA's certificate and is entitled temporarily to use the CPA title and engage in the public practice of accountancy in North Carolina for a stated period. The stated period shall expire 120 days after issue or upon issuance of the individual's reciprocal certificate, whichever comes first.

History

• Authority G.S. 93-12(6); 93-12(7a)
• Eff. February 1, 1976
• Readopted Eff. September 1, 1977
• Amended Eff. April 1, 1999; April 1, 1994; May 1, 1989; December 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08H .0103 Application for Temporary Permit

History

• Status: repealed
• Authority G.S. 93-10; 93-12(6); 93-12(7a); 93-12(8)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. March 1, 1990; May 1, 1989; July 1, 1987; December 1, 1982
• Repealed Eff. April 1, 1994.

21 NCAC 08H .0104 Notice to Board of Discipline

Any applicant for or holder of a temporary permit or reciprocal certificate issued by this Board shall also comply with the reporting requirements listed in 21 NCAC 08N .0208.

History

• Authority G.S. 93-12(3)
• Eff. December 1, 1987
• Amended Eff. April 1, 1994; March 1, 1990; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08H .0105 Use of Cpa Title

History

• Status: repealed
• Authority G.S. 93-1
• Eff. August 1, 1988
• Amended Eff. January 1, 2006; April 1, 1991; May 1, 1989
• Repealed Eff. July 1, 2010.

21 NCAC 08H .0106 Non-Resident Notification

History

• Status: repealed
• Authority G.S. 93-10
• Eff. April 1, 2003
• Repealed Eff. July 1, 2010.

Subchapter I

21 NCAC 08I .0101 Disciplinary Action

(a) Any person may file a complaint with the Board against a CPA, pursuant to G.S. 150B, Article 3A for disciplinary action against a CPA for violations of G.S. 93 and this Chapter.

(b) The complaint form, which can be found on the Board's website or may be requested from the Board, requires the complainant to set forth the facts upon which the complaint is based. The complainant shall confirm that he or she believes the facts stated in the complaint are true and that he or she is prepared to prove them at a hearing. The complaint form shall contain the following:

(1) The full name, mailing address, phone number, email address, and preferred method of contact for the complainant;

(2) If represented by attorney, the attorney's name, address, phone number, and email address;

(3) Identification as to whether there is a pending or completed lawsuit regarding the complaint;

(4) The name of the CPA respondent, CPA business name, mailing address, phone number, email address, and CPA certificate number, if known;

(5) A summary of the complaint;

(6) Evidence to support the complaint including copies of business documents such as engagement letters, tax returns, financial statements, and correspondence;

(7) A list of witnesses who can provide testimony to support the complaint, including their names, mailing addresses, phone numbers, and email addresses; and

(8) A verification by the complainant confirming the facts and supporting documents presented as part of the complaint are true to the best of their knowledge or belief.

(c) The complaint shall be filed in the office of the Board. The Board's professional standards staff shall open a case file, notify the complainant of receipt of the complaint, notify and provide a copy of the complaint to the respondent named in the complaint, and conduct an investigation of the allegations in the complaint. Based upon the investigation and the recommendation of the Professional Standards Committee of the Board appointed by the Board President, and with the approval of the Board, the professional standards staff may do any of the following:

(1) close the case without prejudice;

(2) close the case with prejudice:

(3) prepare a Consent Order;

(4) apply to the courts for injunctive relief; or

(5) prepare a proposed Hearing Notice.

The Professional Standards Committee shall determine whether the allegations in a case warrant applying to the courts for injunctive relief and whether the allegations in the proposed Hearing Notice, if proven, warrant a contested case proceeding pursuant to G.S. 150B-38 through G.S. 150B-42. A copy of any Hearing Notice filed and application for injunctive relief applied for shall be provided to the complainant in that matter.

(d) The Board shall notify the complainant and the respondent in any complaint filed with the Board of the disposition of the case and shall publish or announce the disciplinary action against a CPA.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 1994; May 1, 1989; June 1, 1985; October 1, 1984
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Amended Eff. May 1, 2017
• Readopted Eff. June 1, 2026.

21 NCAC 08I .0102 Procedure When Petition Against Board Member or Employee

If the person against whom a petition for disciplinary action is filed is a Board member or a Board employee, the Secretary-Treasurer or Executive Director shall immediately notify that person and every member of the Board of the petition. The person against whom the petition was filed shall not participate in considering or acting on the petition.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; June 1, 1985; October 1, 1984
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08I .0103 Publication of Findings

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1985
• Repealed Eff. May 1, 1989.

21 NCAC 08I .0104 Modification of Discipline

(a) A person whose certificate or CPA firm whose registration has been permanently revoked by the Board may apply to the Board for modification of the discipline at any time after five years from the date of the original discipline. If an application for modification of discipline is denied, the person or CPA firm may re-apply three years thereafter.

(b) The application for modification of discipline shall be in writing and show good cause for the relief sought. The application for a person shall be accompanied by three or more supporting recommendations, made under oath, from CPAs who have personal knowledge of the facts relating to the revocation and of the activities of the applicant since the discipline was imposed. The application for a CPA firm shall be accompanied by three or more supporting recommendations, made under oath, for each CPA partner, CPA member, or CPA shareholder from CPAs who have personal knowledge of the facts relating to the revocation and of the activities of the CPA partner, CPA member, or CPA shareholder since the discipline was imposed.

(c) "Good cause" as used in Paragraph (b) of this Rule means that the applicant is rehabilitated with respect to the conduct that was the basis of the discipline. Evidence demonstrating such rehabilitation shall include evidence that:

(1) the person has not engaged in any conduct during the discipline period that, if that person had been licensed or registered during such period, would have constituted the basis for discipline pursuant to G.S. 93-12(9);

(2) the person has completed the sentence imposed with respect to any criminal conviction that constituted any part of the previous discipline; and

(3) restitution has been made to any aggrieved party with respect to a court order, civil settlement, lien or other agreement.

(d) In determining good cause, the Board may consider all of the applicant's activities since the disciplinary penalty was imposed, the offense for which the applicant was disciplined, the applicant's activities during the time the applicant was in good standing with the Board, the applicant's rehabilitative efforts, restitution to damaged parties in the matter for which the penalty was imposed, and the applicant's general reputation for truth and professional probity. For the purpose of this Paragraph, "applicant" shall, in the case of a CPA firm, include CPA partners, CPA members, or CPA shareholders.

(e) Any person who applies for a modification of discipline and for a new certificate after revocation shall, in addition to the other requirements of this Section, comply with all qualifications and requirements for initial certification as identified by the Board that existed at the time of the original application.

(f) No application for a new certificate or for modification of discipline shall be considered while the applicant is serving a sentence for any criminal offense. Serving a sentence includes incarceration, probation (supervised or unsupervised), parole, or conditionally suspended sentence, any of which are imposed as a result of having been convicted or having pled to a criminal charge.

(g) An application shall be ruled upon by the Board on the basis of the recommendations and evidence submitted in support thereof. However, the Board may make additional inquiries of any person or persons, or request additional evidence it deems appropriate.

(h) As a condition for a new certificate or modification of discipline, the Board may impose terms and conditions it considers suitable to ensure the licensee's or CPA firm's future compliance with the statutory and rule requirements of the Board including the rules of Professional Ethics and Conduct as set forth in 21 NCAC 08N.

History

• Authority G.S. 55B-12; 57D-2-02; 93-2; 93-12(3); 93-12(7a); 93-12(7b); 93-12(9)
• Eff. September 1, 1982
• Temporary Amendment Eff. September 15, 1983, for a period of 108 days to expire January 1, 1984
• Amended Eff. January 1, 2014; April 1, 1999; August 1, 1998; February 1, 1996; April 1, 1994; March 1, 1990; May 1, 1989
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08I .0105 Revocation of Certificates

(a) When a certificate is revoked either for a specific period of time or permanently, the certificate holder shall return the certificate to the Board office within 15 days of receipt of notice of revocation.

(b) Pursuant to the provisions of 21 NCAC 08I .0104, the Board may issue a new certificate bearing the previously issued number to anyone whose certificate has been revoked.

History

• Authority G.S. 93-12(8); 93-12(9); 93-12(15)
• Eff. September 1, 1982
• Amended Eff. August 1, 1998; July 1, 1987; October 1, 1984
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08I .0106 Other Penalties

History

• Status: repealed
• Authority G.S. 55B-12; 93-12(7); 93-12(8); 93-12(9)
• Eff. September 1, 1982
• Repealed Eff. May 1, 1989.

Subchapter J

21 NCAC 08J .0101 Annual Renewal of Certificate, Forfeiture, and Reapplication

(a) All active CPAs shall renew their certificates annually by the first day of July.

(b) CPAs may renew their certificates online or by completing a certificate renewal application form as requested from the Board and described at Rule .0113 of this Section and paying the annual renewal fee of $60.

(c) Upon failure of a CPA to comply with any applicable part of Paragraph (b) of this Rule by July 1, the Board shall send notice of such failure in the form of a demand letter to the CPA at the most recent mailing address the Board has on file. Completed renewal application packages shall be postmarked with proper postage not later than 30 days after the mailing date of the demand letter, unless that date falls on a weekend, in which case the renewal package shall be postmarked or received in the Board office on the next business day. For renewal packages sent via the U.S. Postal Service, only a U.S. Postal Service cancellation shall be considered as the postmark. If the renewal package is sent to the Board office via a private delivery service, the date the package is received by the delivery service shall be considered as the postmark. Subsequent failure of the CPA to comply with any applicable part of Paragraph (b) of this Rule within 30 days after such notice is mailed by the Board automatically results in forfeiture of the CPA's certificate, as required by G.S. 93-12(15).

(d) Upon forfeiture of a certificate, the certificate holder is no longer a CPA and the Board shall send notice of such forfeiture to the certificate holder by certified mail to the most recent mailing address the Board has on file. The certificate holder shall return the certificate to the Board office within 15 days after receipt of notice of forfeiture or, if the certificate has been destroyed or lost, shall submit an affidavit, on a form supplied by the Board, within 15 days of receipt of such notice that the certificate has been destroyed or has been lost and shall be returned to the Board if found.

(e) A person who has forfeited a certificate pursuant to G.S. 93-12(15) for failure to renew his or her certificate may apply for reissuance under Rule .0106 of this Section.

(f) If a check or credit card authorization for the annual renewal fee fails to clear the bank, the annual renewal shall be deemed incomplete and returned.

(g) Any active CPA serving in the armed forces of the United States and to whom an extension of time to file a tax return is granted pursuant to G.S. 105-249.2, shall be granted the same extension of time to comply with the requirements of Paragraphs (a) and (b) of this Rule.

History

• Authority G.S. 93-12(7a); 93-12(8); 93-12(8b); 93-12(15); 93B-15
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Legislative Objection Lodged Eff. July 20, 1982
• Amended Eff. August 1, 1982
• Curative Amended Eff. August 1, 1982
• Temporary Amendment Eff. May 13, 1983 for a period of 111 days to expire on September 1, 1983
• Amended Eff. February 1, 2011; August 1, 1998; February 1, 1996; April 1, 1994; March 1, 1990; May 1, 1989
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08J .0102 Supervision of Cpa Offices

History

• Status: repealed
• Authority G.S. 93-12(8a)(5); 93-12(9)
• Eff. February 1, 1977
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 1994; May 1, 1989; August 1, 1988; June 16, 1980
• Repealed Eff. April 1, 1999.

21 NCAC 08J .0103 Reports/Annual Registration of Offices/Partnerships

History

• Status: repealed
• Authority G.S. 93-12(9)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; August 1, 1988
• Repealed Eff. April 1, 1991.

21 NCAC 08J .0104 Registration of Firms

History

• Status: repealed
• Authority G.S. 93-12(8a)
• Eff. June 16, 1980
• Repealed Eff. October 1, 1984.

21 NCAC 08J .0105 inactive status: change of status

(a) A CPA may apply to the Board for change of status to inactive status provided the CPA meets the description of inactive status as defined in 21 NCAC 08A .0301. Application for any status change shall be made on the form provided by the Board.

(b) A CPA who does not meet the definition of inactive may not remain on inactive status.

(c) A CPA on inactive status may change to active status by:

(1) paying the certificate fee amount of one hundred dollars ($100.00) for the license year in which the application for change of status is received;

(2) furnishing the Board with evidence of satisfactory completion of 2,000 minutes of CPE courses during the 12-month period immediately preceding the application for change of status. Four hundred of the required 2,000 minutes shall be credits derived from a course or examination in North Carolina accountancy statutes and rules (including the Code of Professional Ethics and Conduct as set forth in 21 NCAC 08N contained therein) as set forth in 21 NCAC 08F .0504; and

(3) submitting a reinstatement application in accordance with the requirements as set forth in 21 NCAC 08F .0502(b) through (e).

(d) The reclassification to inactive form shall contain the following:

(1) The licensee's full name and CPA certificate number;

(2) The licensee's mailing address, telephone number, and email address;

(3) Whether this is new contact information for the licensee;

(4) Whether the licensee wants to continue receiving the Board's communications by email;

(5) An affirmation that the licensee desires to be reclassified to inactive status and has read and understands that the licensee can no longer use the CPA title as an inactive CPA; and

(6) The licensee's signature to certify that he or she has prepared the application and has read the answers; that the information provided in the application is true; and that he or she has read the Board rules found in 21 NCAC 08A .0301(b)(20), 08A .0308, and 08J .0105.

History

• Authority G.S. 93-12(3); 93-12(7a)
• Eff. December 1, 1982
• Curative Adopted Eff. January 25, 1983
• Legislative Objection Lodged Eff. January 31, 1983
• Amended Eff. January 1, 2014; February 1, 2012; February 1, 2011; August 1, 1998; August 1, 1995; April 1, 1994; March 1, 1990; May 1, 1989
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08J .0106 Forfeiture of Certificate and Reissuance

(a) A person who has forfeited a certificate is no longer a CPA and thus is not subject to the renewal fee or CPE requirements contained in these Rules.

(b) A person who requests reissuance of a forfeited certificate shall make application and provide the following to the Board:

(1) payment of the certificate fee of one hundred dollars ($100.00);

(2) submitting a reissuance application in accordance with the requirements as set forth in 21 NCAC 08F .0502(b) through (e); and

(3) evidence of satisfactory completion of the CPE requirement described in Rule .0105(c)(2) of this Section.

(c) The certificate may be reissued if determined by the Board that the person meets the requirements as listed in Paragraph (b) of this Rule.

(d) The reissuance application form shall contain the following:

(1) The applicant's full name and CPA certificate number;

(2) The applicant's home address, telephone number, and email address;

(3) The applicant's business name, address, telephone number, email address, and job title;

(4) The applicant's occupation category, business concentration, and any membership associations;

(5) Three certificates of moral character as per 21 NCAC 08F .0505;

(6) Affirmation to the licensee's moral character as per 21 NCAC 08F .0505 and 21 NCAC 08N .0204 and, if applicable, a statement providing the relevant explanation and documents for any yes responses;

(7) Affirmation that the applicant has refrained from using the CPA title during the period of revocation or forfeiture;

(8) Whether the applicant classifies as active-duty military or a military veteran;

(9) Whether the applicant has completed the accountancy law course within the 12-month period prior to submission of the application;

(10) A report of the CPE credit minutes obtained by the applicant during the 12-month period prior to submission of the application identifying attending at least 2,000 continuing education minutes of courses in accordance with Section .0400 – CPE Requirements of these Rules;

(11) Whether the licensee has been subject to any investigation for employee misclassification since the previous renewal application was submitted;

(12) The licensee's signature to certify that he or she has prepared the application and has read the answers; that the information provided in the application is true; and that he or she has read the Board's applicable statutes and rules; and

(13) The application fee, as prescribed by G.S. 93-12(7a). If the application fee is dishonored by the licensee's drawee bank for any reason, the Board shall suspend the license until the renewal fees and non-sufficient fund charges are paid.

History

• Authority G.S. 93-12(3); 93-12(5); 93-12(7a); 93-12(8b)
• Eff. October 1, 1984
• Amended Eff. January 1, 2014; July 1, 2010; August 1, 1998; February 1, 1996; April 1, 1994; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08J .0107 Mailing Addresses of Certificate Holders and Cpa Firms

All certificate holders shall notify the Board electronically or in writing within 30 days of any change in home address, phone number, or email address. CPA firms shall notify the Board electronically or in writing within 30 days of any change in the CPA firm mailing address, business physical address, phone number, or contact email address.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(3); 93-12(7b)(5)
• Eff. October 1, 1984
• Amended Eff. January 1, 2014; April 1, 1999; April 1, 1991; August 1, 1986
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08J .0108 CPA FIRM REGISTRATION and ongoing requirements

(a) All CPA firms shall register with the Board within 30 days after opening a North Carolina office or beginning a new CPA firm unless they are a professional corporation, professional limited liability company, or registered limited liability partnership, in which case they shall register prior to formation pursuant to 21 NCAC 08K .0104 and .0301.

(b) In addition to the registration required by Paragraph (a) of this Rule, all CPA firms shall renew annually by January 31 with the Board upon forms provided by the Board.

(c) The information provided by the registration shall include:

(1) Either an application for exemption from peer review, a request to be deemed in compliance with peer review or registration for peer review, pursuant to 21 NCAC 08M .0105;

(2) For all CPA firms not exempt from the peer review program, with the registration immediately following its review, the information required by 21 NCAC 08M .0106(a);

(3) For all North Carolina offices, an office registration form indicating the name of the office supervisor, the location of the office and its telephone number;

(4) For all partnerships or registered limited liability partnerships, a list of all resident and nonresident partners of the partnership;

(5) For all professional limited liability companies, the information set forth in 21 NCAC 08K .0104(d);

(6) For all incorporated CPA firms, the information set forth in 21 NCAC 08K .0104(d);

(7) For all CPA firms, the appropriate registration fees as set forth in 21 NCAC 08J .0110; and

(8) For all new CPA firms, the percentage of ownership held by CPAs;

(d) All information provided for renewal with the Board shall pertain to events of and action taken since the CPA firm's last registration or renewal.

(e) With regard to Paragraph (c)(3) of this Rule, one representative of a CPA firm may file all documents with the Board on behalf of the CPA firm's offices in North Carolina. However, responsibility for compliance with this Rule remains with each office supervisor.

(f) With regard to Paragraph (c)(4) or (c)(5) of this Rule, one annual listing by a representative of the partnership, registered limited liability partnership, or professional limited liability company shall satisfy the requirement for all owners of the CPA firm. However, each owner remains responsible for compliance with this Rule. The absence of a filing under Paragraph (c)(4) or (c)(5) of this Rule shall be construed to mean that no partnership, registered limited liability partnership, or professional limited liability company exists.

(g) Notice that a CPA firm has dissolved or any change in the information required by Paragraph (c)(3) of this Rule shall be delivered to the Board's office within 30 days after the change or dissolution occurs. A professional corporation or professional limited liability company which is dissolving shall deliver the Articles of Dissolution to the Board's office within 30 days of filing with the Office of the Secretary of State.

(h) a complete renewal, as required by Paragraphs (b) and (c) of this Rule, if delivered on a paper form, shall be postmarked with proper postage and received in the Board office not later than the last day of January unless that date falls on a weekend or federal holiday, in which case that day shall be the next business day. Only a U.S. Postal Service cancellation is considered as the postmark. If a renewal is sent to the Board office via a private delivery service, the date the package is received by the delivery service is considered as the postmark. If the renewal is delivered by electronic means, it shall be sent not later than midnight on the last day of January unless that date falls on a weekend or federal holiday, in which case that day shall be the next business day.

History

• Authority G.S. 55B-6; 55B-10; 55B-12; 57D-1; 57D-2; 59-84.2; 93-12(8a); 93-12(8c)
• Eff. June 1, 1985
• Amended Eff. February 1, 2011; January 1, 2004; April 1, 1999; August 1, 1998; August 1, 1995; April 1, 1994; April 1, 1991; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08J .0109 CPA Firm Practice Privilege Notification

(a) Notice pursuant to G.S. 93-10(c)(3) shall be made on a form supplied by the Board. The form requires the out-of-state CPA firm to identify itself and to disclose which of the services listed in G.S. 93-10(c)(3) are being provided to North Carolina clients.

(b) The notification form shall contain the following:

(1) The CPA firm's full name;

(2) The CPA firm's mailing address, telephone number, and website address;

(3) The supervising CPA's name, and email address;

(4) The supervising CPA's certificate number and issuing jurisdiction;

(5) An alternate contact person's name and email address;

(6) The date of the last accepted peer review and the administering entity of that peer review;

(7) Identification of the services listed in G.S. 93-10(c)(3) that are being provided to North Carolina clients;

(8) The supervising CPA's signature to certify that he or she has prepared the application and has read the answers; that the information provided in the application is true; and that the CPA firm will comply with the Board's applicable statutes and rules; and

(9) The notification is provided to the Board without a fee.

History

• Authority G.S. 93-10
• Eff. February 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08J .0110 Registration Fees

The annual registration fees shall be as follows:

(1) For all professional corporations or professional limited liability companies, twenty-five dollars ($25.00); and

(2) For all non-incorporated CPA firms which have offices both within and outside the state of North Carolina, whether sole proprietorships, partnerships, or registered limited liability partnerships, an amount equal to two thousand five hundred dollars ($2,500) or the number of CPA members of the CPA firm multiplied by ten dollars ($10.00), whichever is less.

History

• Authority G.S. 55B-11; 55B-12; 57D-1; 57D-2; 59-84.2; 93-12(7b); 93-12(8a); 93-12(8c)
• Eff. April 1, 1991
• Amended Eff. January 1, 2004; April 1, 1999; August 1, 1998; April 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08J .0111 Compliance with Cpa Firm Registration

If a CPA firm fails to comply with any part of Rule .0108 or Rule .0110 of this Section, and continues to offer or render services, the Board may take disciplinary action against the CPA firm's members. The disciplinary action may include:

(1) one hundred dollars ($100.00) civil penalty for non-compliance of less than 60 days;

(2) two hundred dollars ($200.00) civil penalty for non-compliance in excess of 60 days but not more than 120 days; or

(3) five hundred dollars ($500.00) civil penalty for each member for non-compliance in excess of 120 days.

History

• Authority G.S. 55B-12; 57D-2-02; 59-84.2; 93-12(8c); 93-12(9)
• Eff. April 1, 1994
• Amended Eff. February 1, 2011; January 1, 2004; April 1, 1999
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08J .0112 Retired Status - Change of Status

(a) A CPA on active or inactive status may apply to the Board for a change to CPA-retired status if that CPA completes an application provided by the Board confirming the following:

(1) they will not perform any of the services listed in 21 NCAC 08A .0307(a)(2) except that:

(A) they may prepare tax returns for themselves and their immediate family members without compensation. Immediate family is defined as spouse, domestic partner, parent, child, sibling, stepparent, parent-in-law, stepchild, child-in-law, grandparent, grandchild, sibling-in-law, or legal dependent; and

(B) they may prepare tax returns through public service programs without compensation, such as the Volunteer Income Tax Assistance program.

(2) they will not hold themselves out to the public as a certified public accountant while they remain on CPA-retired status except that they may use the designation "CPA-retired".

(3) they consent to the continued regulatory authority of the Board.

(b) Individuals on CPA-retired status may receive compensation for any services that are not listed in 21 NCAC 08A .0307(a)(2).

(c) Individuals on CPA-retired status must renew their certificate annually as set forth in 21 NCAC 08J .0101. However, individuals on CPA-retired status are exempt from the Board's annual CPE requirements.

(d) Individuals on CPA-retired status may not have an ownership interest in a CPA firm.

(e) In addition to the requirements in Paragraph (a) of this Rule, the application to move from inactive status to CPA-retired status will also contain the requirements set forth in 21 NCAC 08F .0502. However, the application will not require an experience affidavit or three certificates of good moral character.

(f) An individual on CPA-retired status may change to active status by:

(1) furnishing the Board with evidence of satisfactory completion of 2,000 minutes of CPE courses during the 12-month period immediately preceding the application for change of status. Eight of the required hours shall be credits derived from a course or examination in North Carolina accountancy statutes and rules (including the Code of Professional Ethics and Conduct as set forth in 21 NCAC 08N contained therein) as set forth in 21 NCAC 08F .0504; and

(2) submitting a reinstatement application in accordance with the requirements as set forth in 21 NCAC 08F .0502(b) through (e).

History

• Authority G.S. 93-12(3); 93-12(8); 93-12(8b)
• Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

21 NCAC 08J .0113 License Renewal Form

(a) To renew a CPA certificate, the licensee annually shall complete and submit to the Board a renewal application. Failure to submit a completed renewal application by July 31 shall cause the licensee's license to be forfeited.

(b) The renewal form shall contain the following:

(1) The licensee's full name and license number;

(2) Whether the licensee is renewing an active or retired status pursuant per Rule .0112 of this Section;

(3) The licensee's job concentration area, occupation area, and job title;

(4) Whether the licensee has complied with the Board's continuing professional education rules;

(5) A report of the CPE credit minutes obtained by the licensee during the current reporting period identifying attending at least 2,000 continuing education minutes of courses in accordance with Section .0400 – CPE Requirements of these Rules since the previous renewal application was submitted;

(6) Affirmation to the licensee's good moral character as per 21 NCAC 08F .0505 and 21 NCAC 08N .0204 since the previous renewal application was submitted and, if so, a statement providing the relevant explanation and documents for any no responses;

(7) Whether the licensee has been subject to any investigation for employee misclassification since the previous renewal application was submitted;

(8) The licensee's signature to certify that he or she has prepared the application and has read the answers; that the information provided in the application is true; and that he or she has read the NC Industrial Commission Public Notice Statement; and

(9) The application fee, as prescribed by G.S. 93-12(8). If the application fee is dishonored by the licensee's drawee bank for any reason, the Board shall suspend the license until the renewal fees and non-sufficient fund charges are paid.

History

• Authority G.S. 93-12(8)
• Eff. June 1, 2026.

Subchapter K

21 NCAC 08K .0101 Formation and Registration

History

• Status: repealed
• Authority G.S. 55B-4; 55B-10; 93-8
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1985; October 1, 1984
• Repealed Eff. March 1, 1987.

21 NCAC 08K .0102 Registration

History

• Status: repealed
• Authority G.S. 93-8; 93-12(3)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. June 1, 1985.

21 NCAC 08K .0103 Suspension and Revocation

History

• Status: repealed
• Authority G.S. 55B-12; 93-8; 93-12(3)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. October 1, 1984
• Repealed Eff. March 1, 1987.

21 NCAC 08K .0104 Registration and Renewal

(a) Domestic CPA professional corporations or professional limited liability companies must be formed and all CPA professional corporations or professional limited liability companies must be operated in accordance with the requirements set out in G.S. 55B and 57D. Before any CPA professional corporation or professional limited liability company can offer to perform or perform any professional services in this state, it must register with the Board.

(b) Initial registration.

(1) Domestic CPA Corporation or Professional Limited Liability Company. In order to register initially with this Board, the incorporators of a domestic CPA corporation or professional limited liability company, prior to incorporation of the CPA firm, must:

(A) prepare and file with the Board the articles of incorporation along with any supporting documents and appropriate checks for fees payable to the Secretary of State;

(B) complete and file with the Board the application for professional corporation or professional limited liability company registration form along with any supporting documents; and

(C) pay to the Board an initial registration fee of fifty dollars ($50.00) as set forth in G.S. 93-12(7b).

(2) Foreign CPA Corporation or Foreign Limited Liability Company. To register initially with the Board, the officers of a foreign corporation or foreign limited liability company, prior to performing services or offering to perform services in North Carolina, must submit to the Board:

(A) on an application for registration form provided by the Board, a list of its present shareholders or members and the state or territory issuing the CPA certificate, or the equivalent, of each shareholder or member and the number of each certificate or equivalent;

(B) the documents required by G.S. 55-15-01(a) and 57D-7; and

(C) pay to the Board an initial registration fee of fifty dollars ($50.00) as set forth in G.S. 93-12(7b).

(c) In addition to its initial registration, every CPA corporation or professional limited liability company, whether domestic or foreign, must renew annually pursuant to 21 NCAC 08J .0108.

(d) The application for registration by a CPA corporation or professional limited liability company shall provide the following information:

(1) the name, address, phone number, and email address of the professional corporation or professional limited liability company;

(2) the address of each office operated or maintained by the corporation or professional limited liability company;

(3) the names and addresses of all the officers, directors, shareholders, or members; and

(4) the names and addresses of all the employees and managers of the corporation or professional limited liability company licensed by the Board under the provisions of G.S. 93.

History

• Authority G.S. 55B-11; 57D-1; 57D-2; 59-84.2; 93-8; 93-12(7b); 93-12(8c)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. July 1, 2010; April 1, 1999; April 1, 1994; April 1, 1991; May 1, 1989; August 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Amended Eff. March 1, 2020
• Readopted Eff. June 1, 2026.

21 NCAC 08K .0105 Supplemental Reports

Professional corporations or professional limited liability companies registered with the Board pursuant to G.S. 55B and 57D shall file a certified copy of all amendments to the articles of incorporation or articles of organization prior to the effective date of each amendment.

History

• Authority G.S. 55B-10; 57D-2-01; 93-8; 93-12(8a)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. February 1, 2011; April 1, 1999; April 1, 1994; April 1, 1991; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Amended Eff. March 1, 2020
• Readopted Eff. June 1, 2026.

21 NCAC 08K .0106 Fees

History

• Status: repealed
• Authority G.S. 55B-11; 55B-12; 93-12(3)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1984
• Repealed Eff. March 1, 1987.

21 NCAC 08K .0201 Corporate and Professional Limited Liability Company Names

(a) The corporate name of a professional corporation registered under these Rules shall contain the wording "corporation," "incorporated," "limited," "company," "professional corporation," or "professional association," or an abbreviation of one of the foregoing: "Corp.," "Inc.," "Ltd.," "Co.," "P.C.," or "P.A."

(b) The corporate name of a professional limited liability company registered under these Rules shall contain the wording "professional limited liability company," "professional ltd. liability co.," "professional limited liability co.," or "professional ltd. liability company," or an abbreviation of one of the foregoing: "P.L.L.C." or "PLLC."

(c) The use of "CPA" or "Certified Public Accountant(s)" in the corporate name is encouraged, but not required. Any name shall also meet the requirements in 21 NCAC 08N .0302 and .0307.

History

• Authority G.S. 55B-5; 55B-12; 57C-1; 57C-2
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 1994; May 1, 1989; December 1, 1988; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08K .0202 Licensing of Shareholders

History

• Status: repealed
• Authority G.S. 55B-6; 93-8; 93-12(2)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. March 1, 1987.

21 NCAC 08K .0203 Licensing of Directors

History

• Status: repealed
• Authority G.S. 93-8; 93-12(3)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. August 24, 1981.

21 NCAC 08K .0204 Licensing of Incorporators

History

• Status: repealed
• Authority G.S. 55B-4; 55B-6; 55B-7; 55B-8; 55B-14; 93-8; 93-12(2); 93-12(3)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. March 1, 1987.

21 NCAC 08K .0205 Termination of Interest in Corporation

History

• Status: repealed
• Authority G.S. 55B-4; 55B-6; 55B-7; 55B-8; 55B-14; 93-8; 93-12(2); 93-12(3)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. March 1, 1987.

21 NCAC 08K .0206 Deceased Shareholders' Interests

History

• Status: repealed
• Authority G.S. 55B-4; 55B-6; 55B-7; 55B-8; 55B-14; 93-8; 93-12(2); 93-12(3)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. March 1, 1987.

21 NCAC 08K .0207 Rendering of Corporate Services

History

• Status: repealed
• Authority G.S. 55B-4; 55B-6; 55B-7; 55B-8; 55B-14; 93-8; 93-12(2); 93-12(3)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. March 1, 1987.

21 NCAC 08K .0208 Prohibitions

History

• Status: repealed
• Authority G.S. 55B-4; 55B-6; 55B-7; 55B-8; 55B-14; 93-8; 93-12(2); 93-12(3)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. March 1, 1987.

21 NCAC 08K .0301 Registered Limited Liability Partnerships

(a) Any CPA registered limited liability partnership created pursuant to and in compliance with G.S. 59 shall also comply with all accountancy laws and rules pertaining to partnerships.

(b) Before any CPA registered limited liability partnership may perform or offer to perform any professional services in this state, it shall file with the Board the certificate of registration of the Secretary of State and appropriate fees payable to the Secretary of State.

History

• Authority G.S. 59-84.2; 59-84.3; 93-12
• Temporary Adoption Eff. October 1, 1993 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. April 1, 1994
• Amended Eff. August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

Subchapter L

21 NCAC 08L .0101 Designation of Forms and Location

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; October 1, 1984; December 1, 1982; June 1, 1982
• Repealed Eff. April 1, 1994.

21 NCAC 08L .0102 Form Cpa-1

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; October 1, 1984; December 1, 1982; June 1, 1982
• Repealed Eff. April 1, 1994.

21 NCAC 08L .0103 Form Cpa-2

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; October 1, 1984; December 1, 1982; June 1, 1982
• Repealed Eff. April 1, 1994.

21 NCAC 08L .0104 Form Cpa-3

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. October 1, 1984.

21 NCAC 08L .0105 Form Cpa-4

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; October 1, 1984; June 1, 1982
• Repealed Eff. April 1, 1994.

21 NCAC 08L .0106 Form Cpa-5

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; October 1, 1984; June 1, 1982
• Repealed Eff. April 1, 1994.

21 NCAC 08L .0107 Form Cpa-6

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. October 1, 1984.

21 NCAC 08L .0108 Form Cpa-7

History

• Status: repealed
• Authority G.S. 93-12(4); 150B-11
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; September 1, 1983
• Repealed Eff. April 1, 1994.

21 NCAC 08L .0109 Form Cpa-8

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. October 1, 1984.

21 NCAC 08L .0110 Form Cpa-9

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; April 1, 1987; October 1, 1984; June 1, 1982
• Repealed Eff. April 1, 1994.

21 NCAC 08L .0111 Form Cpa-10

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; April 1, 1987; October 1, 1984; June 1, 1982
• Repealed Eff. April 1, 1994.

21 NCAC 08L .0112 Form Cpa-11

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; April 1, 1987; October 1, 1984; June 1, 1982
• Repealed Eff. April 1, 1994.

21 NCAC 08L .0113 Form Cpa-12

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; April 1, 1987; October 1, 1984; June 1, 1982
• Repealed Eff. April 1, 1994.

21 NCAC 08L .0114 Form Cpa-13

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; April 1, 1987; October 1, 1984; June 1, 1982
• Repealed Eff. April 1, 1994.

21 NCAC 08L .0115 Form Cpa-14

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; April 1, 1987; October 1, 1984; June 1, 1982
• Repealed Eff. April 1, 1994.

21 NCAC 08L .0116 Form Cpa-15

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; April 1, 1987; October 1, 1984; June 1, 1982
• Repealed Eff. April 1, 1994.

21 NCAC 08L .0117 Form Cpa-16

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; April 1, 1987; October 1, 1984; June 1, 1982
• Repealed Eff. April 1, 1994.

21 NCAC 08L .0118 Form Cpa-17

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; April 1, 1987; October 1, 1984; June 1, 1982
• Repealed Eff. April 1, 1994.

21 NCAC 08L .0119 Form Cpa-18

History

• Status: repealed
• Authority G.S. 93-12(7); 150B-11
• Eff. December 1, 1982
• Amended Eff. May 1, 1989
• Repealed Eff. April 1, 1994.

21 NCAC 08L .0120 Form Cpe-1

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. October 1, 1984
• Amended Eff. May 1, 1989; April 1, 1987
• Repealed Eff. April 1, 1994.

21 NCAC 08L .0121 Form Cpe-2

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. October 1, 1984
• Amended Eff. May 1, 1989; April 1, 1987
• Repealed Eff. April 1, 1994.

21 NCAC 08L .0122 Form Cpe-3

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. October 1, 1984
• Amended Eff. May 1, 1989; April 1, 1987
• Repealed Eff. April 1, 1994.

21 NCAC 08L .0123 Form Cpe-4

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. October 1, 1984
• Amended Eff. May 1, 1989; April 1, 1987
• Repealed Eff. April 1, 1994.

21 NCAC 08L .0124 Form Cpe-5

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. October 1, 1984
• Amended Eff. May 1, 1989; April 1, 1987
• Repealed Eff. April 1, 1994.

21 NCAC 08L .0125 Form Cpe-11

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. October 1, 1984
• Amended Eff. May 1, 1989; April 1, 1987
• Repealed Eff. April 1, 1994.

Subchapter M

21 NCAC 08M .0101 Purpose

History

• Status: repealed
• Authority G.S. 93-12(7b); 93-12(8c)(e)
• Eff. April 1, 1991
• Amended Eff. April 1, 1999; August 1, 1998; February 1, 1996; August 1, 1995; April 1, 1994
• Repealed Eff. January 1, 2004.

21 NCAC 08M .0102 Registration Requirements

History

• Status: repealed
• Authority G.S. 93-12(7b); 93-12(8c)(e)
• Eff. April 1, 1991
• Amended Eff. April 1, 1999; August 1, 1998; February 1, 1996; August 1, 1995; April 1, 1994
• Repealed Eff. January 1, 2004.

21 NCAC 08M .0103 Prohibition of Abuse

History

• Status: repealed
• Authority G.S. 93-12(7b); 93-12(8c)(e)
• Eff. April 1, 1991
• Amended Eff. April 1, 1999; August 1, 1998; February 1, 1996; August 1, 1995; April 1, 1994
• Repealed Eff. January 1, 2004.

21 NCAC 08M .0104 Cpa Firms Deemed in Compliance

History

• Status: repealed
• Authority G.S. 93-12(7b); 93-12(8c)(e)
• Eff. April 1, 1991
• Amended Eff. April 1, 1999; August 1, 1998; February 1, 1996; August 1, 1995; April 1, 1994
• Repealed Eff. January 1, 2004.

21 NCAC 08M .0105 Peer Review Requirements

(a) A CPA or CPA firm providing any of the following services to the public shall participate in a peer review program:

(1) audits;

(2) reviews of financial statements;

(3) compilations of financial statements; or

(4) any engagement to be performed in accordance with the Statements on Standards for Attestation Engagements.

(b) A CPA or CPA firm not providing any of the services listed in Paragraph (a) of this Rule is exempt from peer review until the issuance of the first report provided to a client. A CPA or CPA firm shall register with the peer review program as listed in Paragraph (d) of this Rule within 30 days of the issuance of the first report provided to a client.

(c) A CPA, a new CPA firm, or a CPA firm exempt from peer review that starts providing any of the services in Paragraph (a) of this Rule shall furnish to the peer review program selected financial statements, corresponding work papers, and any additional information or documentation required for the peer review program within 18 months of the issuance of the first report provided to a client.

(d) Enrollment in and completion of the AICPA Peer Review Program, or a program that substantially complies with the AICPA Standards for Performing and Reporting on Peer Reviews, shall be required. The AICPA Standards for Performing and Reporting on Peer Reviews are incorporated by reference, including subsequent amendments and editions. This document may be accessed at https://us.aicpa.org/research/standards/peerreview at no cost.

(e) CPA firms shall not rearrange their structure or act in any manner with the intent to avoid enrollment in peer review.

(f) A CPA firm that does not have offices in North Carolina and that has provided any services as listed in G.S. 93-10(c)(3) to North Carolina clients shall enroll in a peer review program.

(g) Subsequent peer reviews of a CPA firm are due three years and six months from the year end of the 12-month period of the first peer review, unless granted an extension by the peer review program.

(h) All CPA firms enrolled in the AICPA Peer Review Program registered with this Board shall also participate in the AICPA Facilitated State Board Access process and shall not opt out of any part of the process.

(i) The firm shall allow the administrating entity to provide the Board access to the documents and peer review information via a secure website process such as the AICPA Facilitated State Board Access (FSBA).

History

• Authority G.S. 93-10(c); 93-12(8c)
• Eff. January 1, 2004
• Amended Eff. January 1, 2014; February 1, 2011; January 1, 2006
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

21 NCAC 08M .0106 Compliance

(a) A CPA firm registered for peer review shall provide to the Board the following:

(1) peer review due date;

(2) year end date;

(3) the acceptance letter from the administering entity from the peer review program within 60 days of the date of the letter; and

(4) for all failed and second passed with deficiencies reports, a package to include the following items issued by a peer review program within 60 days of the date of the completion letter:

(A) peer review report accepted by the administering entity;

(B) the firm's letter of response to the peer review report;

(C) the acceptance letter from the administering entity; and

(D) letter signed by the administering entity notifying the firm that the required actions have been appropriately completed, if applicable.

(b) A peer review shall not be complete until the completion letter is issued by the peer review program with the new due date.

(c) If a CPA firm fails to comply with Rule .0105(c), (d), or (g) of this Section, and continues to offer or render services, the Board may take disciplinary action against the CPA firm's members that may include a suspension of each members' CPA certificate for a period of not less than 30 days and a civil penalty up to one thousand dollars ($1,000) as set forth in G.S. 93-12(9).

History

• Authority G.S. 93-12(7b); 93-12(8c)
• Eff. January 1, 2004
• Amended Eff. February 1, 2011; January 1, 2006
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08M .0107 Ethical Duties of Reviewer

(a) A reviewer shall be independent with respect to the reviewed CPA firm and comply with the AICPA Standards for Performing and Reporting on Peer Reviews.

(b) Information concerning the participating CPA firm or its clients or personnel that is obtained as a consequence of the review is confidential and shall not be disclosed to anyone not involved in the peer review process.

History

• Authority G.S. 93-12(7b); 93-12(8c)
• Eff. January 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

21 NCAC 08M .0201 Selection of Engagements to Be Reviewed

History

• Status: repealed
• Authority G.S. 93-12(8c)
• Eff. April 1, 1991
• Amended Eff. April 1, 1999; August 1, 1998; April 1, 1994
• Repealed Eff. January 1, 2004.

21 NCAC 08M .0202 Notice to Clients

History

• Status: repealed
• Authority G.S. 93-12(8c)
• Eff. April 1, 1991
• Amended Eff. April 1, 1999; August 1, 1998; April 1, 1994
• Repealed Eff. January 1, 2004.

21 NCAC 08M .0204 Certain Offices Excused

History

• Status: repealed
• Authority G.S. 93-12(8c)
• Eff. April 1, 1991
• Amended Eff. April 1, 1999; August 1, 1998
• Repealed Eff. January 1, 2004.

21 NCAC 08M .0206 Selection of a Review Team

History

• Status: repealed
• Authority G.S. 93-12(8c)
• Eff. April 1, 1991
• Amended Eff. April 1, 1999; February 1, 1996
• Repealed Eff. January 1, 2004.

21 NCAC 08M .0207 Duty to Respond to Questions

History

• Status: repealed
• Authority G.S. 93-12(8c)
• Eff. April 1, 1991
• Amended Eff. April 1, 1999; February 1, 1996
• Repealed Eff. January 1, 2004.

21 NCAC 08M .0301 Qualifications of Reviewers and Team Captains

History

• Status: repealed
• Authority G.S. 93-12(8c)
• Eff. April 1, 1991
• Amended Eff. April 1, 1999; February 1, 1996; August 1, 1995; June 1, 1994; April 1, 1994
• Repealed Eff. January 1, 2004.

21 NCAC 08M .0302 Independence from a Reviewed Cpa Firm

History

• Status: repealed
• Authority G.S. 93-12(8c)
• Eff. April 1, 1991
• Amended Eff. April 1, 1999; February 1, 1996; August 1, 1995; June 1, 1994; April 1, 1994
• Repealed Eff. January 1, 2004.

21 NCAC 08M .0303 Conflict of Interest

History

• Status: repealed
• Authority G.S. 93-12(8c)
• Eff. April 1, 1991
• Amended Eff. April 1, 1999; February 1, 1996; August 1, 1995; June 1, 1994; April 1, 1994
• Repealed Eff. January 1, 2004.

21 NCAC 08M .0304 Performing the Review - Reviewer's Duties

History

• Status: repealed
• Authority G.S. 93-12(8c)
• Eff. April 1, 1991
• Amended Eff. April 1, 1999; February 1, 1996; August 1, 1995; June 1, 1994; April 1, 1994
• Repealed Eff. January 1, 2004.

21 NCAC 08M .0305 Confidentiality

History

• Status: repealed
• Authority G.S. 93-12(8c)
• Eff. April 1, 1991
• Amended Eff. April 1, 1999; February 1, 1996; August 1, 1995; June 1, 1994; April 1, 1994
• Repealed Eff. January 1, 2004.

21 NCAC 08M .0306 Reporting Requirements

History

• Status: repealed
• Authority G.S. 93-12(8c)
• Eff. April 1, 1991
• Amended Eff. April 1, 1999; February 1, 1996; August 1, 1995; June 1, 1994; April 1, 1994
• Repealed Eff. January 1, 2004.

21 NCAC 08M .0401 Sqr Advisory Committee - Members and Duties

History

• Status: repealed
• Authority G.S. 93-12(2); 93-12(8c)
• Eff. April 1, 1991
• Amended Eff. April 1, 1999; February 1, 1996; August 1, 1995
• Repealed Eff. January 1, 2004.

21 NCAC 08M .0402 Objections to Sqr Advisory Committee

History

• Status: repealed
• Authority G.S. 93-12(2); 93-12(8c)
• Eff. April 1, 1991
• Amended Eff. April 1, 1999; February 1, 1996; August 1, 1995
• Repealed Eff. January 1, 2004.

21 NCAC 08M .0403 Review of Protest

History

• Status: repealed
• Authority G.S. 93-12(2); 93-12(8c)
• Eff. April 1, 1991
• Amended Eff. April 1, 1999; February 1, 1996; August 1, 1995
• Repealed Eff. January 1, 2004.

Subchapter N

21 NCAC 08N .0101 Scope of These Rules

(a) The rules in this Subchapter are the Rules of Professional Ethics and Conduct that G.S. 93-12(9) authorizes the Board to adopt. As such, they complement the other statutory causes for discipline set out in G.S. 93-12 (9)(a) through (d) and other provisions of G.S. 93, 55B, 57D, and 59-84.2. These Rules cover a broad range of behavior and shall not enumerate every possible unethical act.

(b) In the interpretation and enforcement of these Rules, the Board will consider the following without dispositive weight: relevant interpretations, rulings and opinions issued by the boards of other jurisdictions and by appropriately authorized ethics committees of professional organizations.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Readopted Eff. May 1, 2026; February 1, 2016.

21 NCAC 08N .0102 Applicability and Organization of Rules

These Rules are applicable to all certificate holders. Rules in Section .0200 of this Subchapter relate to CPAs whether or not employed in the public practice of accountancy. Rules in Section .0300 of this Subchapter pertain to CPAs using the CPA title in connection with providing products or services to clients. Rules in Section .0400 of this Subchapter pertain to CPAs whenever engaged in attest services.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08N .0103 Responsibility for Compliance by Others

A CPA and CPA firm shall be responsible for assuring compliance with the rules in this Subchapter by anyone who is the CPA's partner, fellow shareholder, member, officer, director, licensed employee, unlicensed employee or agent or unlicensed principal, or by anyone whom the CPA supervises. A CPA or CPA firm shall not permit others (including affiliated entities) to carry out on the CPA's behalf, with or without compensation, acts that if carried out by the CPA would be a violation of these Rules.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. January 1, 2006
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08N .0201 Integrity

The reliance of the public and the business community on sound financial reporting and advice on business affairs imposes on the accounting profession an obligation to maintain high standards of technical competence, morality, and integrity. A CPA shall at all times maintain independence of thought and action, hold the affairs of clients in strict confidence, strive continuously to improve professional skills, observe generally accepted accounting principles and standards, promote sound and informative financial reporting, uphold the dignity and honor of the accounting profession, and maintain high standards of personal conduct.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08N .0202 Deceptive Conduct Prohibited

(a) A CPA shall not engage in deceptive conduct. "Deception" means any fraud, misrepresentations, representations, or omissions that a CPA either knew or should have known to have a capacity or tendency to be misleading. Deceptive conduct shall be prohibited whether or not anyone has actually been deceived.

(b) Prohibited conduct under this Section includes deception in:

(1) obtaining or maintaining employment;

(2) obtaining or keeping clients;

(3) obtaining or maintaining certification, inactive status, or exemption from peer review;

(4) reporting CPE credits;

(5) certifying the character or experience of exam or certificate applicants;

(6) implying abilities not supported by education, professional attainments, or licensing recognition;

(7) asserting that services or products sold in connection with use of the CPA title are of a particular quality or standard when they are not;

(8) creating false or unjustified expectations of favorable results;

(9) using or permitting another to use the CPA title in a form of business not permitted by the accountancy statutes or rules;

(10) permitting anyone not certified in this State (including one licensed in another jurisdiction) to unlawfully use the CPA title in this State or to unlawfully operate as a CPA firm in this State; or

(11) falsifying a review, report, or any required program or checklist of any peer review program.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(3); 93-12(9)
• Eff. April 1, 1994
• Amended Eff. January 1, 2014; January 1, 2004; April 1, 1999
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08N .0203 Discreditable Conduct Prohibited

(a) A CPA shall not engage in conduct discreditable to the accounting profession.

(b) Prohibited discreditable conduct includes:

(1) acts that reflect adversely on the CPA's honesty, integrity, trustworthiness, good moral character, or fitness as a CPA;

(2) stating or implying an ability to improperly influence a governmental agency or official;

(3) failing to comply with any order issued by the Board;

(4) failing to fulfill the terms of a peer review engagement contract;

(5) misrepresentation in reporting CPE credits;

(6) entering into any settlement or other resolution of a dispute that purports to keep its contents confidential from the Board;

(7) failing to participate in a peer review program pursuant to 21 NCAC 08M .0105; or

(8) failing to execute an experience affidavit as set forth in 21 NCAC 08F .0401(b)(4) following a determination by the Board that the license applicant meets the Board's criteria to execute that affidavit.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(3); 93-12(9)
• Eff. April 1, 1994
• Amended Eff. January 1, 2014; January 1, 2004; August 1, 1995
• Readopted Eff. February 1, 2016
• Amended Eff. May 1, 2017
• Readopted Eff. June 1, 2026.

21 NCAC 08N .0204 Discipline by Federal and State Authorities

(a) Violations of Other Authorities' Laws or Rules. A CPA shall not act in a way that would cause the CPA to be disciplined by federal or state agencies or boards for violations of laws or rules on ethics. CPAs who engage in activities regulated by other federal or state authorities (may include the following agencies: Internal Revenue Service, Department of Revenue, U.S. Securities and Exchange Commission, State Bar, North Carolina Secretary of State, Public Company Accounting Oversight Board, National Association of Securities Dealers, Department of Insurance, Government Accountability Office, U.S. Department of Housing and Urban Development, State Auditor, State Treasurer, or Local Government Commission) shall comply with all such authorities' ethics laws and rules.

(b) Prima Facie Evidence. A conviction or final finding of unethical conduct by a competent authority is prima facie evidence of a violation of this Rule.

(c) Notice to the Board Required. A CPA shall notify the Board in writing within 30 days of any conviction or finding against him or her of unlawful conduct by any federal or state court or regulatory authority.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. January 1, 2006
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08N .0205 Confidentiality

(a) Nondisclosure. A CPA shall not disclose any confidential information obtained in the course of employment or a professional engagement except with the consent of the employer or client.

(b) Exceptions. This Rule shall not be construed:

(1) to relieve a CPA of any reporting obligations pertaining to Section .0400 of this Subchapter;

(2) to affect in any way the CPA's compliance with an order of a court or a validly issued subpoena by this Board;

(3) to preclude the CPA from responding to any inquiry made by the AICPA Ethics Division or Trial Board, by a duly constituted investigative or disciplinary body of a state CPA society, or under state statutes;

(4) to preclude the disclosure of confidential client information necessary for the peer review process;

(5) to preclude the CPA from assisting the Board in enforcing the accountancy statutes and rules;

(6) to affect a CPA's disclosure of confidential information to state or federal authorities when the CPA concludes in good faith based upon professional judgment that a crime is being or is likely to be committed;

(7) to affect a CPA's disclosure of confidential information when such disclosure is required by state or federal laws or regulations; or

(8) to prohibit a CPA from revealing information:

(A) in order to establish a claim or defense on behalf of the CPA in a controversy between the CPA and a client;

(B) to establish a defense to a criminal charge or civil claim against the CPA based upon conduct in which the client was involved; or

(C) to respond to allegations in any proceeding concerning the CPA's professional services to the client.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. February 1, 2004; April 1, 2003
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

21 NCAC 08N .0206 Cooperation with Board Inquiry

A CPA shall provide full cooperation in connection with any inquiry made by the Board. Full cooperation includes responding within 21 days to all inquiries of the Board or representatives of the Board and claiming Board correspondence from the U.S. Postal Service, private delivery service, or personal delivery.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. February 1, 2011
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08N .0207 Violation of Tax Laws

A CPA shall not knowingly violate any state or federal tax laws or regulations in handling the CPA's personal business affairs, the business affairs of an employer or client, or the business affairs of any company owned by the CPA.

History

• Authority G.S. 93-12(9)
• Eff. April 1, 1994
• Amended Eff. February 1, 2011
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08N .0208 Reporting Convictions, Judgments, and Disciplinary Actions

(a) Criminal Actions. A CPA shall notify the Board within 30 days of any conviction or finding of guilt of, pleading of nolo contendere, or receiving a prayer for judgment continued to any criminal offense.

(b) Civil Actions. A CPA shall notify the Board within 30 days of any judgment or settlement in a civil suit, bankruptcy action, administrative proceeding, or binding arbitration that:

(1) is grounded upon an allegation of professional negligence, gross negligence, dishonesty, fraud, misrepresentation, incompetence, or violation of any federal or state tax law and

(2) was brought against either the CPA or a North Carolina office of a CPA firm of which the CPA was a managing owner.

(c) Settlements. A CPA shall notify the Board within 30 days of any written settlement in which a client or former client releases the CPA from liability that is grounded upon an allegation of professional negligence; gross negligence; dishonesty; fraud; misrepresentation; incompetence; or violation of any federal, state, or local law, regardless of whether the client or former client has filed a civil suit or criminal charge.

(d) Investigations. A CPA shall notify the Board within 30 days of any inquiry or investigation by the criminal investigation divisions of the Internal Revenue Service (IRS) or any state department of revenue pertaining to any personal or business tax matters.

(e) Liens. A CPA shall notify the Board within 30 days of the filing of any liens by the Internal Revenue Service (IRS) or any state department of revenue regarding the failure to pay or apparent failure to pay for any amounts due for any tax matters.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(3); 93-12(9)
• Eff. April 1, 1994
• Amended Eff. January 1, 2014; January 1, 2006; April 1, 2003; April 1, 1999
• Readopted Eff. February 1, 2016
• Amended Eff. May 1, 2017
• Readopted Eff. June 1, 2026.

21 NCAC 08N .0209 Accounting Principles

(a) Generally Accepted Accounting Principles. A CPA shall not express an opinion that financial statements are presented in conformity with generally accepted accounting principles if such statements contain any departure from an accounting principle that has a material effect on the statements taken as a whole, unless the CPA can demonstrate that due to unusual circumstances the financial statements would otherwise have been misleading. In such cases the CPA's report shall describe the departure, the approximate effects thereof, if practicable, and the reasons why compliance with the principle would result in a misleading statement.

(b) Financial Accounting Standards Board Accounting Standards Codification. The Financial Accounting Standards Board Accounting Standards Codification is incorporated by reference, including subsequent amendments and editions and shall be considered generally accepted accounting principles for the purposes of Paragraph (a) of this Rule. This document may be accessed at https://asc.fasb.org at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. July 1, 2010
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

21 NCAC 08N .0210 Forecasts

History

• Status: repealed
• Authority G.S. 55B-12; 57C-2-01; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. February 1, 2006
• Repealed Eff. July 1, 2010.

21 NCAC 08N .0211 Responsibilities in Tax Practice

(a) Standards for Tax Services. A CPA shall not render services in the area of taxation unless the CPA has complied with both the Statements on Standards for Tax Services and the Treasury Department Circular 230 as defined in this Section. In the event that there is a conflict between the Statements on Standards for Tax Services and Treasury Department Circular 230, the CPA shall comply with Treasury Department Circular 230.

(b) Statements on Standards for Tax Services. The Statements on Standards for Tax Services issued by the AICPA are incorporated by reference, including subsequent amendments and editions. This document may be accessed at https://www.aicpa.org/resources/toolkit/statements-on-standards-for-tax-services at no cost.

(c) Treasury Department Circular 230. The Treasury Department Circular 230 is incorporated by reference, including subsequent amendments and editions. This document may be accessed at https://www.irs.gov/pub/irs-pdf/pcir230.pdf at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. July 1, 2010; February 1, 2006; April 1, 2003
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

21 NCAC 08N .0212 Competence

A CPA shall perform professional services competently and shall:

(1) undertake only those engagements that the CPA or CPA's firm can expect to complete with professional competence;

(2) exercise due professional care in the performance of an engagement;

(3) adequately plan and supervise an engagement; and

(4) obtain sufficient relevant data to afford a reasonable basis for conclusions or recommendations in relation to an engagement.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Readopted Eff. June 1, 2026; February 1, 2016

21 NCAC 08N .0213 Other Rules

A CPA shall not willfully violate any other rule in this Chapter nor any other provision of the Accountancy Statutes, the Professional Corporation Act, the Partnership Act, or the North Carolina Limited Liability Company Act.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. January 1, 2006
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08N .0214 Outsourcing to Third-Party Providers

(a) A CPA shall provide a written disclosure in advance of the outsourcing to the client that he or she is using a third-party provider to assist the CPA in providing any professional services to the client.

(b) A CPA outsourcing professional services to a third-party provider shall be responsible for ensuring a third-party provider is in compliance with all rules of Professional of Conduct and Ethics in this Subchapter.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. January 1, 2006
• Amended Eff. July 1, 2010
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08N .0215 International Financial Accounting Standards

(a) International Financial Accounting Standards. A CPA shall not express an opinion that financial statements are presented in accordance with international financial accounting standards if such statements contain any departure from an accounting standard that has a material effect on the statements, taken as a whole, unless the CPA can demonstrate that due to unusual circumstances the financial statements would otherwise have been misleading. In such cases, the CPA's report shall describe the departure, the approximate effect thereof if practicable, and the reason why compliance with the standard would result in a misleading statement.

(b) International Financial Accounting Standards consist of the following:

(1) International Financial Reporting Standards (IFRS) issued after 2003;

(2) International Accounting Standards (IAS) issued before 2004;

(3) Interpretations originated from the International Financial Reporting Interpretations Committee (IFRIC) issued after 2003; and

(4) Standing Interpretations Committee (SIC) issued before 2003.

(c) Copies of Standards. Copies of International Financial Accounting Standards issued by IFRS are incorporated by reference, including subsequent amendments and editions. The documents may be accessed at https://www.ifrs.org/issued-standards/list-of-standards/ at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. February 1, 2011
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

21 NCAC 08N .0216 Professional Judgment

A CPA shall not subordinate the CPA's professional judgment to non-CPAs.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Readopted Eff. February 1, 2016
• Eff. June 1, 2026.

21 NCAC 08N .0301 Professional Judgment

History

• Status: repealed
• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Readopted Eff. February 1, 2016
• Repealed Eff. June 1, 2026.

21 NCAC 08N .0302 Forms of Practice

(a) Authorized Forms of Practice. A CPA who uses CPA in or with the name of the business or offers or renders audits, reviews, compilations, agreed-upon procedure or engagement services performed in accordance with the standards in 21 NCAC 08A .0301(b)(5) in the public practice of accountancy to clients shall do so only through a registered sole proprietorship, partnership, Professional Corporation, Professional Limited Liability Company, or Registered Limited Liability Partnership.

(b) Authorized Ownership. A CPA firm may have an ownership of up to 49 percent by non-CPAs. A CPA firm shall have ownership of at least 51 percent and be controlled in law and fact by holders of valid CPA certificates who have the unrestricted privilege to use the CPA title and to practice public accountancy in a jurisdiction and at least one of whom shall be licensed by this Board.

(c) CPA Firm Registration Required. A CPA shall not offer or render professional services through a CPA firm that is in violation of the registration requirements of 21 NCAC 08J .0108, 08J .0110, or 08M .0105.

(d) Supervision of CPA Firms. Every North Carolina office of a CPA firm registered in North Carolina shall be actively and locally supervised by a designated actively licensed North Carolina CPA whose primary responsibility and a corresponding amount of time shall be work performed in that office.

(e) CPA Firm Requirements for CPA Ownership. A CPA firm and its designated supervising CPA shall be accountable for the following in regard to a CPA owner:

(1) a CPA owner shall be a natural person or a general partnership or a limited liability partnership directly owned by natural persons;

(2) a CPA owner shall actively participate in the business of the CPA firm; and

(3) a CPA owner who, prior to January 1, 2006, is not actively participating in the CPA firm may continue as an owner until such time as his or her ownership is terminated.

(f) CPA Firm Requirements for Non-CPA Ownership. A CPA firm and its designated supervising CPA owner shall be accountable for the following in regard to a non-CPA owner:

(1) a non-CPA owner shall be a natural person or a general partnership or limited liability partnership directly owned by natural persons;

(2) a non-CPA owner shall actively participate in the business of the firm or an affiliated entity as his or her principal occupation;

(3) a non-CPA owner shall comply with all applicable accountancy statutes and the rules as set forth in G.S. 93 and all rules in this Chapter;

(4) a non-CPA owner shall be of good moral character and shall be dismissed and disqualified from ownership for any conduct that, if committed by a licensee, would result in a discipline pursuant to G.S. 93-12(9); and

(5) a non-CPA owner shall report his or her name, home address, phone number, social security number, and Federal Tax ID number (if any) on the CPA firm's registration.

(g) ESOP Ownership. Notwithstanding the restrictions set forth in Subparagraph (f) of this Rule, up to 49 percent of the ownership in a CPA firm may be held in an employee stock ownership plan ("ESOP") that meets the requirements of Section 409 of the Internal Revenue Code. All trustees of the ESOP must be licensed CPAs in a United States jurisdiction. Further, the beneficial ownership in an ESOP may not be held by persons who are not active participants in the CPA firm.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. February 1, 2011; January 1, 2006; April 1, 2003; April 1, 1999; August 1, 1995
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08N .0303 Objectivity and Conflicts of Interest

(a) Personal Financial Interest in Advice. When offering or rendering accounting or related financial, tax, or management advice, a CPA shall be objective and shall not place the CPA's own financial interests nor the financial interests of a third party ahead of the legitimate financial interests of the CPA's client or the public in any context in which a client or the public can reasonably expect objectivity from one using the CPA title.

(b) Expectation of Objectivity Presumed. If the CPA uses the CPA title in any way to obtain or maintain a client relationship, the Board shall presume the reasonable expectation of objectivity.

(c) Acceptance of a Commission or Referral Fee. A CPA shall not recommend or refer to a client any product or service for a commission; recommend or refer any product or service to be supplied by a client; or receive a commission, when the CPA also performs the following for the client:

(1) an audit or review of a financial statement;

(2) a compilation of a financial statement when the CPA expects, or reasonably might expect, that a third party will use the financial statement and the CPA's compilation report does not disclose a lack of independence; or

(3) an examination of prospective financial information.

This prohibition applies during the period in which the CPA is engaged to perform any of the services listed in Paragraph (c) of this Rule and the period covered by any historical financial statements involved in such listed services.

(d) Acceptance of a Contingent Fee.

(1) The offering or rendering of professional services for, or the receipt of, a contingent fee by a CPA shall not be prohibited except for engaging to render or rendering by a CPA:

(A) of professional services for any person for whom the CPA also performs attest services, during the period of the attest services engagement, and the period covered by any historical financial statements involved in such attest services; and

(B) for the preparation of original or amended tax returns or claims for tax refunds.

(2) Fees shall not be regarded as being contingent if fixed by courts or other public authorities or, in tax matters, if determined based on the results of judicial proceedings or the findings of governmental agencies.

(e) A CPA shall communicate in advance to a client the scope of services or products to be rendered or referred for which the CPA will receive a commission, referral, or contingent fee. A CPA shall provide disclosure in a written statement within ten business days of the service or product to be rendered or referred with the commission, referral, or contingent fee to be charged or received by the CPA.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. January 1, 2006; April 1, 1999
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08N .0304 Consulting Services Standards

(a) Standards for Consulting Services. A CPA shall not render consulting services unless the CPA has complied with the Statements on Standards for Consulting Services.

(b) Statements on Standards for Consulting Services. The Statements on Standards for Consulting Services including the definition of such services issued by the AICPA are incorporated by reference, including subsequent amendments and editions. This document may be accessed at https://www.aicpa.org/resources/download/statement-on-standards-for-consulting-services-no-1 at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. July 1, 2010; January 1, 2006
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

21 NCAC 08N .0305 Retention of Client Records

(a) A CPA shall return client-provided records in the CPA's custody or control to the client at the client's request. Client-provided records are accounting or other records, including hardcopy and electronic reproductions of such records, belonging to the client that were provided to the CPA by, or on behalf of, the client.

(b) Unless a CPA and the client have agreed to the contrary, when a client makes a request for CPA prepared records or a CPA's work products that are in the CPA's custody or control that have not previously been provided to the client, the CPA shall respond to the client's request as follows:

(1) The CPA shall provide CPA prepared records relating to a completed and issued work product to the client, except that such records may be withheld if fees are due to the CPA for that specific work product; and

(2) The CPA's work products shall be provided to the client, except that such work products may be withheld:

(A) if fees are due to the CPA for the specific work product;

(B) if the work product is incomplete;

(C) if for the purpose of complying with professional standards. For example, withholding an audit report due to outstanding audit issues; or

(D) if threatened or outstanding litigation exists concerning the engagement or CPA's work.

(c) CPA prepared records are accounting or other records that the CPA was not specifically engaged to prepare and that are not in the client's books and records or are otherwise not available to the client, thus rendering the client's financial information incomplete. Examples include adjusting, closing, combining, or consolidating journal entries including computations supporting such entries and supporting schedules and documents that the CPA proposed or prepared as part of an engagement, an audit being an example. CPA's work products are deliverables set forth in the terms of the engagement.

(d) Once a CPA has complied with the requirements described in Paragraphs (a) and (b) of this Rule, he or she shall not be under any further ethical obligation to:

(1) comply with any subsequent requests to again provide records or copies of records described in Paragraphs (a) and (b) of this Rule. If subsequent to complying with a request, a client experiences a loss of records due to a natural disaster, the CPA shall comply with an additional request to provide such records that are in possession of the CPA; and

(2) retain records for periods that exceed applicable professional standards, state and federal statutes and regulations, and contractual agreements relating to the service performed.

(e) A CPA who has provided records to an individual designated or held out as the client's representative, such as the general partner, or majority shareholder, shall not be obligated to provide such records to other individuals associated with the client. However, in the case of joint individual tax returns, each named taxpayer on that return shall be entitled to a copy of the tax returns and supporting schedules from the CPA.

(f) Work papers shall be the CPA's property, and the CPA is not required to provide such information to the client. However, state and federal statutes and regulations and contractual agreements may impose additional requirements on the CPA.

(g) In fulfilling a request for client provided records, CPA prepared records, or a CPA's work products, the CPA may:

(1) charge the client a fee for the time and expense incurred to retrieve and copy such records and require that the client pay the fee before the CPA provides the records to the client;

(2) provide the requested records in any format usable by the client. The CPA is not required to convert records that are not in electronic format to electronic format. If the client requests records in a specific format and the records are available in such format within the CPA's custody and control, the client's request shall be honored. In addition, the CPA is not required to provide the client with formulas, unless the formulas support the client's underlying accounting or other records or the CPA was engaged to provide such formulas as part of a completed work product. The CPA is not required to provide electronic data files to a client if they were created with tax preparation software owned or licensed by the CPA; and

(3) make and retain copies of any records that the CPA returned or provided to the client.

(h) A CPA who is required to return or provide records to the client shall comply with the client's request as soon as practicable, but no later than 45 days after the request is made.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. January 1, 2006; April 1, 2003
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023; May 1, 2017
• Readopted Eff. June 1, 2026.

21 NCAC 08N .0306 Advertising or Other Forms of Solicitation

(a) Deceptive Advertising. A CPA shall not seek to obtain clients by advertising or using other forms of solicitation in a manner that is deceptive.

(b) Specialty Designations. A CPA may advertise the nature of services provided to clients, but the CPA shall not advertise or indicate a specialty designation or other title unless the CPA has met the requirements of the granting organization for the separate title or specialty designation and the individual is currently on active status and in good standing with the granting organization for the separate title or specialty designation.

(c) The CPA firm shall offer to perform or perform professional services only in the exact name of the CPA firm as registered with the Board. The exact CPA firm name as registered with the Board shall be used on the following documents:

(1) contracts;

(2) engagement letters;

(3) tax returns; and

(4) all professional services reports.

(d) The CPA firm may advertise professional services using the exact name of the CPA firm, a portion of the CPA firm name, or initials or acronyms derived from the exact CPA firm name as registered with the Board.

(e) Any CPA or CPA firm offering to or performing professional services via the Internet shall include the following information on the Internet:

(1) CPA business or CPA firm name as registered with the Board;

(2) business phone number; and

(3) North Carolina certificate number and North Carolina as jurisdiction of certification.

(f) The use of the phrase "certified public accountant(s)" or "CPA(s)" in the name of any business entity on letterhead, professional services reports, business cards, brochures, building signage, office signs, telephone directories, contracts, engagement letters, tax returns, Internet directories, or any other advertisements or forms or solicitation shall be prohibited except for registered CPA firms.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. February 1, 2011; April 1, 1999; February 1, 1996
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08N .0307 Cpa Firm Names

(a) Registration of Firm Names. A business may not use a CPA firm name unless that name has been registered with the Board.

(b) Misleading Names Prohibited. A CPA firm shall not trade upon the CPA title through use of any name that is misleading. A misleading CPA firm name includes, but are not limited to, the following:

(1) Implies the existence of a partnership or registered limited liability partnership or a professional corporation or professional limited liability company if the firm is not, in fact, one of those entities;

(2) Includes the name of an individual who is not a CPA if the words "certified public accountants" or "CPAs" are included in the firm name;

(3) Includes information about or indicates an association with persons who are not current or former members of the firm, unless the name is that of a firm network;

(4) Includes the terms "& Company", "& Associates", or "Group", but the firm does not include, in addition to the named partner, shareholder, owner, or member, at least one other unnamed partner, shareholder, owner, member, or staff employee;

(5) Contains any representation that would be likely to cause a reasonable person to have a false or unjustified expectation of favorable results or capabilities, including names indicating qualitative superiority or pricing differences;

(6) Claims or implies the ability to influence a regulatory body or official; or

(7) Includes the name of an owner whose license has been revoked for disciplinary reasons by the Board, whereby the licensee has been prohibited from practicing public accountancy or prohibited from using the title CPA or holding themselves out as a Certified Public Accountant.

(c) Permissible Firm Names: The following is a non-exhaustive list of types of CPA firm names that are not in and of themselves misleading and are permissible so long as they do not violate other firm name provisions:

(1) A firm name that includes the names or initials of one or more former or current owners;

(2) A firm name that excludes the names of one or more former or current owners;

(3) A firm name that uses the "CPA" title as part of the firm name when all named individuals are owners of the firm who hold the CPA title or are former owners who held the CPA title at the time they ceased to be owners of the firm; or

(4) A firm name that includes the name of a non-CPA owner if the words "certified public accountant" or "CPA" title are not a part of the firm name.

(d) Any CPA firm registered in another jurisdiction that provides notification of intent to practice pursuant to G.S. 93-10(c)(3) may practice under the name as registered with that jurisdiction.

History

• Authority G.S. 55B-5; 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. February 1, 2011; January 1, 2006; April 1, 1999; August 1, 1995
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

21 NCAC 08N .0308 valuation services standards

(a) Standards for Valuation Services. A CPA shall not render valuation services of a business, a business ownership interest, security, or intangible asset unless the CPA has complied with the Statements on Standards for Valuation Services.

(b) Statements on Standards for Valuation Services. The Statements on Standards for Valuation Services, including the definition of such services, issued by the AICPA are incorporated by reference, including subsequent amendments and editions. This document may be accessed at https://www.aicpa.org/resources/download/statement-on-standards-for-valuation-services-vs-section-100 at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. January 1, 2006
• Amended Eff. July 1, 2010
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

21 NCAC 08N .0309 Personal Financial Planning Services

(a) Statement on Standards on Personal Financial Planning Services. A CPA shall not render personal financial planning services unless the CPA has complied with the Statement on Standards on Personal Financial Planning Services.

(b) Statement on Standards on Personal Financial Planning Services. The Statement on Standards on Personal Financial Planning Services, including the definition of such services, issued by the AICPA are incorporated by reference, including subsequent amendments and editions. This document may be accessed at https://aicpa.org/resources/download/statement-on-standards-in-personal-financial-planning-services at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

21 NCAC 08N .0310 forensic services

(a) Statement on Standards for Forensic Services. A CPA shall not render forensic services unless the CPA has complied with the Statement on Standards for Forensic Services.

(b) Statement on Standards for Forensic Services. The Statement for Forensic Services, including the definition of such services, issued by the AICPA are incorporated by reference, including subsequent amendments and editions. This document may be accessed at https://www.aicpa.org/resources/download/statement-on-standards-for-forensic-services at no cost.

History

• Authority G.S. 55B-12; 57-D-02); 93-12(9)
• Eff. September 1, 2023.
• Eff. June 1, 2026.

21 NCAC 08N .0401 Public Reliance

The rules in this Section apply to any CPA who engages in attest services as defined in 21 NCAC 08A .0301(b)(5).

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. January 1, 2006
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08N .0402 Independence

(a) A CPA, or the CPA's firm, who is performing an engagement in which the CPA, or the CPA's firm, will issue a report on financial statements of any client (other than a report in which lack of independence is disclosed) shall conform in fact and in appearance to the independence standards established by the AICPA and this Board, and, where applicable, the SEC, the U.S. GAO, the PCAOB and other national or international regulatory or professional standard setting bodies.

(b) The PCAOB independence rules are hereby incorporated by reference, including subsequent amendments and editions. They may be accessed at www.pcaobus.org/oversight/standards/ethics-independence-rules.

(c) The SEC independence rules are codified at 17 CFR 210.2-01 and are hereby incorporated by reference, including subsequent amendments and editions. They may be accessed at www.ecfr.gov/current/title-17/chapter-11 at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. February 1, 2011; April 1, 2003
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08N .0403 Auditing Standards

(a) Standards for Auditing Services. A CPA shall not render auditing services unless the CPA has complied with the applicable generally accepted auditing standards.

(b) Statements on Auditing Standards. The Statements on Auditing Standards issued by the AICPA are incorporated by reference, including subsequent amendments and editions, and shall be considered generally accepted auditing standards for the purposes of Paragraph (a) of this Rule. This document may be accessed at https://us.aicpa.org/research/standards/auditattest/clarifiedsas.html at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. July 1, 2010; February 1, 2006
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

21 NCAC 08N .0404 Accounting and Review Services Standards

(a) Standards for Accounting and Review Services. A CPA shall not render accounting and review services unless the CPA has complied with the standards for accounting and review services.

(b) Statements on Standards for Accounting and Review Services. The Statements on Standards for Accounting and Review Services issued by the AICPA are incorporated by reference, including subsequent amendments and editions, and shall be considered as the standards for accounting and review services for the purposes of Paragraph (a) of this Rule. This document may be accessed at https://us.aicpa.org/research/standards/compilationreview.html at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. July 1, 2010; February 1, 2006
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

21 NCAC 08N .0405 Governmental Accounting Standards

(a) Standards for Governmental Accounting. A CPA shall not permit the CPA's name to be associated with governmental financial statements for a client unless the CPA has complied with the standards for governmental accounting.

(b) Statements on Governmental Accounting and Financial Reporting Services. The Statements on Governmental Accounting and Financial Reporting Services issued by the GASB are incorporated by reference, including subsequent amendments and editions, and shall be considered as the standards for governmental accounting for the purposes of Paragraph (a) of this Rule. This document may be accessed at https://www.gasb.org/standards at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1999
• Amended Eff. July 1, 2010; February 1, 2006
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

21 NCAC 08N .0406 Attestation Standards

(a) Standards for Attestation Services. A CPA shall not render attestation services unless the CPA has complied with the applicable attestation standards.

(b) Statements on Standards for Attestation Engagements. The Statements on Standards for Attestation Engagements issued by the AICPA are incorporated by reference, including subsequent amendments and editions, and shall be considered attestation standards for the purposes of Paragraph (a) of this Rule. This document may be accessed at https://us.aicpa.org/research/standards/auditattest/ssae at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. July 1, 2010; February 1, 2006
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

21 NCAC 08N .0407 Competitive Bidding

History

• Status: expired
• Authority G.S. 55B-12; 57C-2-01; 93-12(9)
• Eff. April 1, 1994
• Pursuant to G.S. 150B-21.3A, rule expired on November 1, 2014.

21 NCAC 08N .0408 Peer Review Standards

A CPA who is engaged to perform a peer review shall not violate the rules or standards as set in 21 NCAC 08M of the peer review program under which the review is made or the engagement contract connected with that peer review.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. January 1, 2006
• Readopted Eff. June 1, 2026; February 1, 2016.

21 NCAC 08N .0409 Government Auditing Standards

(a) Standards for Government Audits. A CPA shall not render audit services to a government entity or entity that receives government awards and is required to receive an audit in accordance with Government Auditing Standards unless the CPA has complied with the applicable Generally Accepted Government Auditing Standards.

(b) Government Auditing Standards. The Government Auditing Standards issued by the United States Government Accountability Office are incorporated by reference, including subsequent amendments and editions, and shall be considered Generally Accepted Government Auditing Standards for the purpose of Paragraph (a) of this Rule. This document may be accessed at https://www.gao.gov/yellowbook at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. February 1, 2011
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

21 NCAC 08N .0410 International Standards on Auditing

(a) International Standards on Auditing. A CPA shall not render auditing services that report to comply with international standards unless the CPA has complied with the applicable international standards on auditing.

(b) Statement on International Standards on Auditing. The Statement on International Standards on Auditing issued by the International Auditing and Assurance Standards Board are incorporated by reference, including subsequent amendments and editions, and shall be considered International Standards on Auditing for the purpose of Paragraph (a) of this Rule. This document may be accessed at https://www.iaasb.org/standards-pronouncements at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

21 NCAC 08N .0411 Audits subject to the single audit act

A CPA rendering audit services to a state or local government entity, non-profit organization, or other entity that is subject to the Single Audit Act of 1984, P.L. 98-502, and the Single Audit Act Amendments of 1996, P.L. 104-156, must comply with the Single Audit Act amendments as implemented through Subpart F - Audit Requirements of Title 2 of C.F.R., Chapter II, Part 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (2 CFR part 200). 2 CFR part 200 is hereby incorporated by reference, including subsequent amendments and editions. This document may be accessed at www.ecfr.gov/current/title-2 at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

21 NCAC 08N .0412 forensic services

History

• Status: repealed
• Authority G.S. 55B-12; 57-D-02); 93-12(9)
• Eff. September 1, 2023
• Repealed Eff. June 1, 2026.

Chapter 10 Chiropractic Examiners

21 NCAC 10 .0101 Identification

History

• Status: repealed
• Authority G.S. 90-139 et seq.; 90-141 to 90-146; 90-142 et seq.; 90-148; 90-149
• 90-151; 90-153 to 90-157
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Repealed Eff. December 1, 1988.

21 NCAC 10 .0102 General Purpose of Board

History

• Status: repealed
• Authority G.S. 90-139 et seq.; 90-141 to 90-146; 90-142 et seq.; 90-148; 90-149
• 90-151; 90-153 to 90-157
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Repealed Eff. December 1, 1988.

21 NCAC 10 .0103 Structure of Board

(a) As necessary to meet the requirements of G.S. 90-140, the State Board of Chiropractic Examiners ("Board") shall hold an election for chiropractic candidates for appointment. Notice of the election shall be published on the Board's website at https://ncchiroboard.com at least 30 days in advance of the election.

(b) The election shall be administered by the Board of Chiropractic Examiners. Any member of the Board who is nominated to succeed himself or herself shall be disqualified from conducting the vote in which he or she is a nominee.

(c) Each candidate shall provide two letters of endorsement from chiropractors licensed by the Board. The letters shall be submitted to the Board no less than 21 days before the election.

(d) If less than three candidates are elected, the Board shall provide additional names at the direction of the President of the Board to the Governor, President Pro Tempore of the Senate, and Speaker of the House in order to comply with G.S. 90-140.

History

• Authority G.S. 90-139; 90-140; 90-142
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Amended Eff. January 1, 1983; May 8, 1979
• Legislative Objection Lodged Eff. January 31, 1983
• Curative Amended Eff. February 18, 1983
• Amended Eff. June 1, 1994; December 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2021; January 1, 2020
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0104 Seal of the Board of Chiropractic Examiners

(a) The official seal of the Board consists of two concentric circles, with the Seal of the State of North Carolina, as set forth in G.S. 147-26, comprising the inner circle surrounded by the phrase "North Carolina Board of Chiropractic Examiners, Organized May 5, 1917" in the area between the circles.

(b) The Seal of the State of North Carolina, as set forth in G.S. 147-26, without alteration, has also been adopted for use by the Board.

History

• Authority G.S. 90-142
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Amended Eff. December 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0105 Escrow Account

(a) The Board shall maintain an escrow account at a federally insured bank for the temporary deposit of any fees received by the Board during a period in which the Board's authority to expend funds is suspended by operation of law.

(b) At such time as the authority of the Board to expend funds is restored, the fees deposited in the escrow account shall be transferred to the Board's general account.

History

• Authority G.S. 90-142; 93B-2(d)
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0201 Requirements for Licensure

History

• Status: repealed
• Authority G.S. 90-142; 90-143; 90-143.1; 150B-9(d)
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Amended Eff. January 1, 1983
• Legislative Objection Lodged Eff. January 31, 1983
• Curative Amended Eff. February 28, 1983
• Amended Eff. April 1, 1989; July 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Repealed Eff. January 1, 2022.

21 NCAC 10 .0202 Application for Licensure

(a) General. Application for licensure to practice chiropractic pursuant to G.S. 90-143 shall be made in writing upon forms provide by the Board. Application forms and instructions may be found on the Board's website, www.ncchiroboard.com. Applications not completed within 12 months following submission to the Board shall be denied. Applications shall contain the following:

(1) the applicant's name, residential address, phone number, email address, and date of birth;

(2) the social security number of the applicant;

(3) the applicant's educational history and degree attainment;

(4) character reference statements on forms prescribed by the Board of three persons not related to the applicant, two of which must be submitted by Board-licensed chiropractic physicians in good standing with the Board;

(5) the applicant's employment history;

(6) whether the applicant now has or has ever had an addiction to, or dependency on, alcohol or other controlled substances and, if so, an explanation of the same;

(7) whether the applicant has ever been under clinical treatment for addiction to, or dependency on, alcohol or other controlled substances and, if so, an explanation of the same;

(8) whether the applicant has any physical, mental, or emotional infirmities that impair his or her ability to practice chiropractic safely and, if so, an explanation of the same;

(9) whether the applicant has ever been certified, licensed, or registered to practice chiropractic by the Board, by another occupational Board, or in another state or jurisdiction and, if so:

(A) whether the credential is in good standing;

(B) in what state or jurisdiction was the credential issued; and

(C) the issuance date and expiration date of the credential.

(10) whether the applicant has ever had a chiropractic credential denied, limited, reprimanded, suspended, or revoked and, if so, an explanation of the same;

(11) whether the applicant has ever been convicted of a felony or misdemeanor and, if so, the nature, date, and jurisdiction of the conviction;

(12) whether any criminal charges or criminal investigations, if known, are pending against the applicant and if so, the details of said charges or investigations;

(13) whether any court, board, agency, or professional organization regulating chiropractic has disciplined the applicant and, if so, an explanation of the same;

(14) whether any disciplinary charges are pending against the applicant before any court, board, agency, or professional organization regulating chiropractic and, if so, an explanation of the same;

(15) whether the applicant has ever voluntarily given up any licensure privileges in order to avoid disciplinary sanctions;

(16) whether the applicant has ever been sanctioned or suspended from participation in Medicare or Medicaid and, if so, an explanation of the same;

(17) whether the applicant has ever been denied membership in a professional association or, if admitted, ever been suspended or had membership not renewed due to a breach of ethics and, if so, an explanation of the same;

(18) whether the applicant has had a malpractice judgment entered against him or her and, if so, an explanation for the same;

(19) whether the applicant is certified by the Board or the National Board of Chiropractic Examiners to practice Acupuncture, as defined in Rule .0208 of this Section;

(20) A copy of the applicant's government-issued identification document, such as a driver's license or passport;

(21) A certified self-query response from the National Practitioner Data Bank ("NPDB") sent directly to the Board regarding the applicant's record with NPDB;

(22) the applicant's affirmation that:

(A) the applicant has read and will comply with Article 8 of Chapter 90 of the North Carolina General Statutes and the administrative rules promulgated by the Board;

(B) the information provided by the applicant in the application is true;

(C) the applicant consents to a criminal history record check as required by G.S. 90-143.3; and

(D) the applicant has read and understands the public notice statement on employee misclassification that is set forth in the application and has disclosed any investigations for employee misclassification, and its results, over the preceding 12-month period, as prescribed by G.S. 143-789; and

(23) the application fee, as prescribed in Paragraph (c) of this Rule.

(b) Deadlines for Filing Applications. Applications shall be received at the Board office no later than 15 days before the date on which the applicant wishes to sit for examination, as provided in Rule .0203(b) of this Section.

(c) Application Fee. A non-refundable application fee of three hundred dollars ($300.00) shall accompany each application. This fee shall be paid by credit card through the Board's website, www.ncchiroboard.com.

History

• Authority G.S. 90-142; 90-143; 90-143.1; 90-143.3; 90-145; 90-146; 90-149
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Amended Eff. October 17, 1980
• Legislative Objection Lodged Eff. December 17, 1982
• Curative Amendment Eff. December 30, 1982
• Amended Eff. January 1, 1983
• Legislative Objection Lodged Eff. January 31, 1983
• Curative Amendment Eff. February 28, 1983
• Amended Eff. January 1, 1989
• Temporary Amendment Eff. January 1, 2003
• Temporary Amendment Expired October 31, 2003
• Amended Eff. April 1, 2018; August 1, 2004; February 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0203 North Carolina Examination

(a) Eligibility. Only those applicants who meet the requirements of this Rule and G.S. 90-143 or, in the case of reciprocity applicants, G.S. 90-143.1, and who have submitted a written application and paid the non-refundable application fee pursuant to Rule 21 NCAC 10 .0202 shall be allowed to take the North Carolina examination set forth in G.S. 90-143(b).

(b) Reciprocity Applicants. Reciprocity applicants shall complete the following:

(1) submit the application set forth in 21 NCAC 10 .0202(a);

(2) pay the application fee set forth in 21 NCAC 10 .0202(c);

(3) pass the jurisprudence exam set forth in Paragraph (h) of this Rule;

(4) comply with the requirements of G.S. 90-143.1; and

(5) provide an attestation that the applicant meets the requirements of G.S. 90-143.1.

(c) Dates of Examination. The North Carolina jurisprudence examination shall be given at least four times during the calendar year. The Board shall announce an examination date not less than 30 days in advance and shall publish the date of upcoming examinations on the Board's website, www.ncchiroboard.com. The Board shall also individually notify each eligible applicant of the date of the next examination after the applicant's non-refundable application fee has been paid and the written application pursuant to Rule .0202 of this Section has been submitted to the Board.

(d) National Boards. Except as provided in Paragraph (f) of this Rule, in order to take the North Carolina examination, an applicant who has never been licensed in this State or who is not a reciprocity applicant shall first achieve a score of 375 or higher on Parts I-IV and the Physiotherapy examination given by the National Board of Chiropractic Examiners.

(e) Report of Scores. The applicant shall arrange for his or her test results from any National Board examination to be reported to the Board. The Board shall not issue a license to an applicant for whom the Board has not received official score reports from the examination testing provider showing passage of the examination set forth in Paragraph (d) of this Rule.

(f) Waiver of National Boards. Notwithstanding the requirements of Paragraph (d) of this Rule, an applicant who submits National Board examinations in conformity with the following schedule shall not be disqualified from licensure in North Carolina:

(1) An applicant who graduated from chiropractic college between July 1, 1966 and June 30, 1986 shall be required to submit scores of 375 or higher on National Board Part I, Part II, and the elective examination termed "Physiotherapy," but shall not be required to submit a score on Part III or Part IV.

(2) An applicant who graduated from chiropractic college between July 1, 1986 and June 30, 1997 shall be required to submit scores of 375 or higher on National Board Part I, Part II, the elective examination termed "Physiotherapy," and Part III, but shall not be required to submit a score on Part IV.

In order to receive a license, an applicant who qualifies for a waiver of any National Board score pursuant to this Paragraph shall take and pass the Special Purpose Examination for Chiropractic ("SPEC") and the North Carolina Examination. An applicant who qualifies for a waiver of any National Board score must submit an application to the Board pursuant to Rule .0202 of this Section.

(g) SPEC Examination. The SPEC is administered by the National Board of Chiropractic Examiners. The passing score shall be 375 or higher. In order to take the North Carolina examination, the following individuals must first take and pass the SPEC:

(1) a reciprocity applicant;

(2) a waiver applicant pursuant to Paragraph (f) of this Rule; and

(3) an applicant previously licensed in this State whose active license has been lapsed pursuant to G.S. 90-155 for more than 180 days, unless the applicant has been engaged in continuous licensed chiropractic practice in another state within the United States for the three years preceding the applicant's application to the Board and has not been subject to any disciplinary action impacting the applicant's ability to engage in chiropractic practice.

Reciprocity applicants and waiver applicants pursuant to Paragraph (f) of this Rule who have achieved a score of 375 or higher on Part IV of the National Board examination shall not be required to take and pass the SPEC prior to licensure. The term 'lapsed" in this Rule shall mean "inactive" as used in G.S. 90-155.

(h) Nature of Examination. The North Carolina jurisprudence examination shall be a test of an applicant's knowledge of North Carolina chiropractic law and regulations. The passing grade shall be 75 percent.

History

• Authority G.S. 90-142; 90-143; 90-143.1; 90-143.3; 90-144; 90-145; 90-146
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Amended Eff. January 1, 1983; October 17, 1980
• Legislative Objection Lodged Eff. January 31, 1983
• Curative Amendment Eff. February 18, 1983
• Temporary Amendment Eff. May 1, 1998
• Amended Eff. October 1, 2018; April 1, 2018; February 1, 2009; July 1, 2004; August 1, 2000; August 1, 1995; December 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. October 1, 2022; July 1, 2021
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0204 Licensure; Renewal of License

(a) Initial Licensure. The initial license awarded to an applicant who passed the examination shall be mailed to the address appearing on the application form.

(b) Change of Contact Information. The licentiate shall inform the Board of any change in his or her contact information. Updated contact information shall be forwarded to the Board office email at ncboce@ncchiroboard.com within 30 days after any such change.

(c) General. The renewal, inactivation, and restoration of a license are governed by G.S. 90-155 and this Rule. A current license that is not renewed shall be placed on inactive status on January 30th of the following year. A licentiate desiring license renewal shall submit to the Board, on or before the date of inactivation, a completed license renewal form accompanied by the renewal fee as provided in Paragraph (i) of this Rule. The renewal fee shall be paid through the Board's website, www.ncchiroboard.com.

(d) License Renewal Notification and Form. On or before December 1 of each year, the Board shall email to each licentiate, at the licentiate's current email address on file with the Board, license renewal instructions. The license renewal form with instructions shall also be available at the Board's website, www.ncchiroboard.com, or upon request at the Board's office. A licentiate desiring license renewal shall note on the form changes in name, address, specialty, employment circumstances, and criminal convictions since the last renewal form was submitted to the Board. The licentiate shall also note on the form any professional development continuing education for which the licentiate seeks credit pursuant to Rule .0210(d) of this Chapter. All renewal applications shall contain the following:

(1) the applicant's name, residential address, phone number, email address, and date of birth;

(2) the social security number of the applicant;

(3) whether the applicant now has or has ever had an addiction to, or dependency on, alcohol or other controlled substances and, if so, an explanation of the same;

(4) whether the applicant has ever been under clinical treatment for addiction to, or dependency on, alcohol or other controlled substances and, if so, an explanation of the same;

(5) whether the applicant has any physical, mental, or emotional infirmities that impair his or her ability to practice chiropractic safely and, if so, an explanation of the same;

(6) whether the applicant has ever been certified, licensed, or registered to practice chiropractic by the Board, by another occupational Board, or in another state or jurisdiction; and if so:

(A) whether the credential is in good standing;

(B) in what state or jurisdiction was the credential issued; and

(C) the issuance date and expiration date of the credential.

(7) whether the applicant has ever had a chiropractic credential denied, limited, reprimanded, suspended, or revoked and, if so, an explanation of the same;

(8) whether the applicant has ever been convicted of a felony or misdemeanor since the last renewal and, if so, the nature, date, and jurisdiction of the conviction;

(9) whether any criminal charges or criminal investigations, if known, are pending against the applicant and if so, the details of said charges or investigations;

(10) whether any court, board, agency, or professional organization regulating chiropractic has disciplined the applicant and, if so, an explanation of the same;

(11) whether any disciplinary charges are pending against the applicant before any court, board, agency, or professional organization regulating chiropractic and, if so, an explanation of the same;

(12) whether the applicant has ever voluntarily given up any licensure privileges in order to avoid disciplinary sanctions;

(13) whether the applicant has ever been sanctioned or suspended from participation in Medicare or Medicaid and, if so, an explanation of the same;

(14) whether the applicant has ever been denied membership in a professional association or, if admitted, ever been suspended or had membership not renewed due to a breach of ethics and, if so, an explanation of the same;

(15) whether the applicant has had a malpractice judgment entered against him or her since his or her last renewal and, if so, an explanation for the same;

(16) whether the applicant is certified by the Board or the National Board of Chiropractic Examiners to practice Acupuncture, as defined in Rule .0208 of this Section.

(17) the applicant's affirmation that:

(A) the applicant has read and will comply with Article 8 of Chapter 90 of the North Carolina General Statutes and the administrative rules promulgated by the Board;

(B) the information provided by the applicant in the application is true;

(C) the applicant consents to a criminal history record check as required by G.S. 90-143.3; and

(D) the applicant has read and understands the public notice statement on employee misclassification that is set forth in the application and has disclosed any investigations for employee misclassification, and its results, over the preceding 12-month period, as prescribed by G.S. 143-789; and

(18) the renewal fee, as prescribed in Paragraph (i) of this Rule.

(e) Continuing Education. As used in G.S. 90-155, one "day" of continuing education shall mean nine hours. Except as provided in Paragraphs (f), (g) and (h) of this Rule, a licentiate seeking license renewal shall obtain 18 hours (2 days) of Board-approved continuing education each calendar year. At least 10 hours shall be obtained by attending in-person or live online educational sessions. Live online hours include the opportunity to interact with the instructor in real-time. As many as eight hours may be obtained in the manner set forth in Rule .0210 of this Section. The Board shall not award credit for any continuing education hours until the sponsor or licentiate submits to the Board the sponsor's certificate of attendance or course completion.

(f) First-Year Continuing Education Exemptions. A licentiate who was enrolled in chiropractic college at any time during the year of initial licensure or a licentiate initially licensed after September 1st of the current year shall be permitted to renew his or her license for the ensuing year without obtaining continuing education but shall be required to submit a license renewal form and pay the renewal fee. In subsequent years, a licentiate shall not be permitted to renew his or her license until the continuing education requirements set forth in Paragraph (e) of this Rule are satisfied.

(g) Hardship Waivers. A licentiate seeking a hardship waiver of the continuing education requirement shall make written application to the Board no later than December 15th of the current year explaining the nature and circumstances of the hardship. Upon the applicant's showing that compliance with the continuing education requirement poses an undue hardship, the Board shall waive the requirement in whole or part or grant an extension of time within which to comply. "Undue hardship" shall include protracted medical illness, natural disaster, or extended absence from the United States.

(h) Military Hardship. A licentiate who is serving in the Armed Forces of the United States and to whom G.S. 93B-15(a) grants an extension of time to pay a renewal fee shall also be granted an identical extension of time to complete the continuing education required for license renewal.

(i) Renewal Fee. A renewal fee in the maximum amount allowed by G.S. 90-155 shall be paid by each licentiate applying for renewal.

(j) Restoration of Inactive License and Evidence of Proficiency. In order to provide evidence of proficiency, a former licentiate whose license has lapsed shall comply with Rule .0203(g) of this Section when seeking restoration of active licensure and shall pay the non-refundable application fee prescribed in Rule .0202(c) of this Section and shall demonstrate compliance with continuing education requirements. Payment of the application fee shall not constitute payment of the reinstatement fee of twenty-five dollars ($25.00) mandated by G.S. 90-155.

History

• Authority G.S. 90-142; 90-145; 90-148; 90-155; 93B-15
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Amended Eff. January 1, 1983
• Legislative Objection Lodged Eff. January 31, 1983
• Curative Amended Eff. February 28, 1983
• Amended Eff. July 1, 2014; December 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2025; January 1, 2024; January 1, 2022; January 1, 2020
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0205 Renewal of License

History

• Status: repealed
• Authority G.S. 90-142; 90-155; 93B-15
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Amended Eff. January 1, 1983; October 17, 1980
• Legislative Objection Lodged Eff. January 31, 1983
• Curative Amended Eff. February 18, 1983
• Amended Eff. April 1, 2018; June 1, 2015; July 1, 2011; January 4, 1993; December 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Repealed Eff. January 1, 2022.

21 NCAC 10 .0206 Certification of Radiologic Technologists

History

• Status: repealed
• Authority G.S. 90-143.2; 90-154.3
• Eff. February 1, 1993
• Temporary Amendment Eff. January 1, 2003
• Temporary Amendment Expired October 31, 2003
• Amended Eff. April 1, 2018; July 1, 2010; January 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. January 1, 2020
• Repealed Eff. January 1, 2022.

21 NCAC 10 .0207 Continuing Education Seminars

(a) Approval of Seminars. Only continuing education seminars approved by the Board shall count towards satisfying the requirements for license renewal. The sponsor and co-sponsors of any proposed seminar shall be responsible for submitting all the information outlined on the Board's Course Application ("Application") to enable the Board to evaluate the seminar in accordance with this Rule. The Application can be found on and must be submitted pursuant to instructions on the Board's website at https://ncchiroboard.com. All applications must reflect that the seminar for which approval is being sought has been previously approved no more than 12 months prior to the date of the seminar by one of the following organizations:

(1) Any chiropractic college recognized by the Council on Chiropractic Education (CCE);

(2) Federation of Chiropractic Licensing Boards, PACE program; or

(3) Any other chiropractic association that can demonstrate an active membership base of at least 200 members.

(b) Applications. In addition to the information set forth in Paragraph (a) of this Rule, all Applications must also contain the following information:

(1) Whether the course's target audience is doctors of chiropractic, certified chiropractic assistants, or x-ray technicians;

(2) The course title;

(3) The beginning and end dates on which the course will be offered;

(4) Whether the course will be offered online or in a physical location;

(5) If the course is offered in a physical location, the cities and states in which the course will be offered;

(6) The manner in which the sponsor or co-sponsor will verify the attendance of licentiates;

(7) The name and contact information of the sponsor and co-sponsor;

(8) The website at which information on the course offering will be available;

(9) The number of continuing education credits that the licentiates can obtain by attending the course; and

(10) Whether the course will provide doctors of chiropractic, certified chiropractic assistants, or x-ray technicians with continuing education credit toward eligibility for licensure renewal, certification, or recertification.

The Application shall be submitted at least 30 days prior to the date of the proposed seminar. Incomplete applications will not be processed.

(c) Duration of Approval. A seminar approval issued by the Board shall expire at the end of the calendar year for which approved. If the sponsor or co-sponsors of an approved seminar wish to repeat the seminar on a date beyond the approval period, a new application shall be submitted to the Board.

(d) Criteria for Approval. The Board's criteria for approving continuing education seminars is as follows:

(1) No practice-building or motivational seminars shall be approved;

(2) No seminar shall be approved that requires attendees, in order to be able to utilize the information presented at the seminar, to purchase equipment or clinical supplies available only through the seminar's instructors, sponsors, or co-sponsors;

(3) Each seminar subject shall pertain to chiropractic licensure in this State; and

(4) Each instructor shall submit a curriculum vitae or the equivalent demonstrating that he or she has an educational background in, or professional experience with, the subject or subjects he or she is scheduled to teach.

(e) Duties of Seminar Sponsor. Sponsors and co-sponsors of any approved continuing education seminar shall:

(1) Disclose on all brochures and advertising materials the name and address of each sponsor and co-sponsor and whether each sponsor and co-sponsor is a for-profit or not-for-profit entity;

(2) Be liable for all expenses incurred in holding the seminar;

(3) Give notice to the Board of any material changes in the seminar, including date, location, subject matter, or instructors; and

(4) Provide an agent at the seminar site who shall:

(A) Monitor and report the attendance of each person attending the seminar, in accordance with the method identified in the Course Application submitted for the course;

(B) Supervise the agenda and prohibit the presentation of any subject matter not approved by the Board; and

(C) Complete and submit to the Board a post-seminar review summarizing any problems experienced and any variance between the application for approval and the seminar as presented.

(f) Sanction for Non-Compliance. By applying for seminar approval, each sponsor and co-sponsor agrees to admit to the seminar at no charge a representative of the Board for the purpose of observing compliance with this Rule. If the Board determines that a sponsor or co-sponsor has falsified the application for approval, has failed to keep attendance, has allowed the seminar as presented to vary from the agenda as set forth in the application, or has failed to adhere to any other provision of this Rule, the Board shall refuse to approve future seminar applications from the offending sponsor or co-sponsor or from any principal who is a partner or shareholder in the offending sponsor or co-sponsor.

History

• Authority G.S. 90-142; 90-143.2; 90-143.4; 90-155
• Eff. January 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2021; January 1, . 2020
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0208 Acupuncture

(a) Acupuncture is defined as a form of health care developed from traditional and modern Chinese medical concepts that employ acupuncture diagnosis and treatment, and adjunctive therapies and diagnostic techniques, for the promotion, maintenance, and restoration of health and the prevention of disease. To perform acupuncture, a licentiate shall take the National Board of Chiropractic Examiners Acupuncture Examination, receive a passing score of 375 or greater, and certify to the Board that he or she has met the instruction prerequisites for the National Board of Chiropractic Examiners Acupuncture Examination, as set forth by the National Board of Chiropractic Examiners on its website at https://www.mynbce.org/acupuncture/.

(b) Prior to performing acupuncture, a licentiate or applicant for licensure must provide the Board with the following:

(1) An official transcript from an acupuncture program accredited by an accrediting body recognized by the U.S. Department of Education demonstrating eligibility to sit for the National Board of Chiropractic Examiners Acupuncture Examination; and

(2) Proof of successful completion of the acupuncture examination described in this Rule.

(c) Licentiates holding an active license as of December 31, 2022 and who have received prior approval from the Board to perform acupuncture are not required to meet the requirements of this Rule. However, if a licentiate grandfathered under this rule subsequently allows his or her license to lapse or if the license is subsequently subject to active suspension or placed in a status other than active, the licentiate shall be required to comply with this Rule before being permitted to perform acupuncture.

History

• Authority G.S. 90-142; 90-143; 90-151
• Eff. February 1, 2004
• Amended Eff. July 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2022
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0209 Nutritional Supplements

For the purpose of enforcing G.S. 90-151.1, the term " "nutritional supplements" includes vitamins, minerals, enzymes, dietary supplements, herbs, homeopathic and naturopathic preparations, glandular extracts, food concentrates, and other natural agents. The term " "nutritional supplements" does not include controlled substances as defined by G.S. 90-87(5).

History

• Authority G.S. 90-142; 90-151; 90-151.1; 90-154
• Eff. May 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0210 Individual-Study Continuing Education

(a) Hours permitted. A doctor of chiropractic may obtain as many as eight credit hours of continuing education each year by successfully completing one or more individual-study courses approved by the Board.

(b) Course approval. The criteria for Board approval of any individual-study course are as follows:

(1) no practice-building or motivational courses shall be approved;

(2) no course shall be approved that requires participants, in order to utilize the information presented, to purchase equipment or clinical supplies available only through the course's instructors, sponsors, or co-sponsors;

(3) each subject taught shall fall within the extent and limitation of chiropractic licensure in this State as provided in G.S. 90-151;

(4) the subject matter shall be presented in a manner comparable to instruction at chiropractic colleges accredited by the Council on Chiropractic Education;

(5) the sponsor shall have a method for recording and verifying a doctor's participation expressed in credit hours and fractions thereof, and the sponsor shall assume responsibility for submitting a certificate of participation to the Board within 60 days after a doctor completes the course; and

(6) the course shall include one or more examinations or other means of verifying that a participating doctor has mastered the material presented in the course.

(c) Sponsor's obligation. The sponsor shall provide the following information to the Board so that the Board can evaluate the course according to the criteria set forth in Paragraph (b) of this Rule:

(1) the course syllabus;

(2) a curriculum vitae for each instructor;

(3) the method for verifying attendance; and

(4) the length of the course.

Failure to provide information required by the Board shall be a basis for denying the course. The application process for obtaining course approval is set forth in Rule .0207 of this Section.

(d) Professional development continuing education. A doctor of chiropractic may obtain continuing education credit for undertaking the professional development activities described in this Paragraph. Credit shall be awarded based on the actual time spent and shall not exceed two hours annually for all activities combined. To apply for credit, the doctor shall report such activities on his or her annual license renewal form as provided in Rule .0204(d) of this Section. Approved professional development activities shall include:

(1) reading scientific, peer-reviewed professional journals; or

(2) visiting vendor displays at professional association conventions to become familiar with trends in treatment technologies and new products.

(e) Attendance at interstate regulatory meetings. A doctor of chiropractic may obtain as many as 12 hours of continuing education credit annually by attending a national meeting of the Federation of Chiropractic Licensing Boards or a meeting of the National Board of Chiropractic Examiners.

History

• Authority G.S. 90-142; 90-151; 90-155
• Eff. July 1, 2004
• Amended Eff. June 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0211 Agreements to Provide Finance or Management Services

History

• Status: repealed
• Authority G.S. 90-142; 90-147; 90-157.3
• Eff. September 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Repealed Eff. April 1, 2026.

21 NCAC 10 .0212 Medical College Transfer Credits

(a) Declaration of Equivalency. The Board deems a medical college approved by the Liaison Commission on Medical Education or the Committee for the Accreditation of Canadian Medical Schools or an osteopathic college approved by the American Osteopathic Association to be the equivalent of a chiropractic college accredited by the Council on Chiropractic Education.

(b) Counting Transfer Credits. For purposes of North Carolina licensure, the Board shall count any and all hours earned by an applicant at a medical college as set forth in Paragraph (a) of this Rule that have been accepted as transfer credits by the applicant's chiropractic college.

History

• Authority G.S. 90-142; 90-143
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0213 Certified Chiropractic Assistants

(a) Designation. The Board shall classify Certified Chiropractic Assistants as follows:

(1) Level 1 – Clinical

(2) Level 2 – X-ray

For purposes of this Rule, a Certified Chiropractic Assistant – Level 1 is the same as a "chiropractic clinical assistant" as defined in G.S. 90-143.4(a). For purposes of this Rule, a Certified Chiropractic Assistant – Level 2 is the same as a "diagnostic imaging technician" as defined in G.S. 90-143.2 and may be referred to as a "radiologic technologist", "X-ray tech", and "X-ray technician."

(b) Application Procedure. Anyone seeking to be certified as a Chiropractic Assistant shall submit an application found on the Board's website at https://ncchiroboard.com. All applicants shall:

(1) Be at least 18 years of age;

(2) Demonstrate that he or she graduated from high school or the equivalent;

(3) Submit an application fee of thirty-five dollars ($35.00); and

(4) Submit an application containing the following information:

(A) the applicant's name, residential address, phone number, email address, and date of birth;

(B) the applicant's educational history and degree attainment;

(C) the applicant's employment history;

(D) whether the applicant now has or has ever had an addiction to, or dependency on, alcohol or other controlled substances;

(E) whether the applicant has ever been convicted of a felony;

(F) whether any criminal charges or criminal investigations, if known, are pending against the applicant;

(G) the email address of a person, known by but not related to the applicant, to complete character reference statements on forms prescribed by the Board; and

(H) a copy of the applicant's government-issued identification document, such as a driver's license or passport.

(c) New Applicants – Level 1.

(1) Education. In addition to the requirements set forth in Paragraph (b) of this Rule, new applicants shall submit evidence of completion of a clinical assistant education program at least 24 hours in length, of which at least 6 hours shall be in-person didactic training with an instructor or instructors who, based on education and experience, are competent to teach the portion of the curriculum they have been assigned. Credit for online coursework shall not exceed 18 hours, and all online coursework shall precede didactic training. The education program shall provide instruction in the five subjects set forth in G.S. 90-143.4(c) to enable its graduates to satisfy all applicable standards of care. To obtain approval of an education program, the program sponsor shall submit to the Board, at least 60 days prior to the proposed starting date, all instructional materials to be used in the program, including a syllabus of the didactic training, and a curriculum vitae for each instructor.

(2) Examination. The proficiency examination for new applicants shall assess both academic knowledge and practical skills acquired through education programs and shall be administered at least four times per year on dates and at locations to be announced by the Board at least 30 days in advance and published on the Board's website at https://ncchiroboard.com. The minimum passing score on the examination is 75 percent.

(d) New Applicants – Level 2.

(1) Education. In addition to the requirements set forth in Paragraphs (b) and (c) of this Rule, new applicants shall complete a radiological technologist education program at least 50 hours in length, of which at least 6 hours shall be in-person didactic training with an instructor or instructors who, based on education and experience, are competent to teach the portion of the curriculum they have been assigned, and completion of the practical requirement as set forth in Subparagraph (d)(2) of this Rule. The education program shall provide instruction in the five subjects set forth in G.S. 90-143.2 to enable its graduates to satisfy all applicable standards of care governing the production of X-rays. To obtain approval of an education program, the program sponsor shall submit to the Board, at least 60 days prior to the proposed starting date, all instructional materials to be used in the program, including a syllabus of the didactic training and a curriculum vitae for each instructor. Any person registered as "active" with the American Chiropractic Registry of Radiologic Technologists shall be deemed to have satisfied the educational requirements of this Paragraph.

(2) Practical Requirement. Upon completion of the training set forth in Subparagraph (d)(1) of this Rule, a person desiring certification as a Certified Chiropractic Assistant – Level 2 shall undergo a Practical Examination within six months of completing the written examination required in Paragraph (c)(2) of this Rule, whereby the person is evaluated by his or her program sponsor on the following competencies while performing x-ray examinations under the in-person observation of a sponsor for four different patients:

(A) Image quality;

(B) Marking sides of the body;

(C) Technique input to controller;

(D) Tube/focal film distance;

(E) Bucky/tube alignment;

(F) Patient positioning;

(G) Gonad shielding;

(H) Ability to name additional views in the series;

(I) Collimation;

(J) Anatomy viewed; and

(K) Technique calculated for measurement of patient.

(3) The person must complete and score at least 64 total points on each of the Thoracic Spine, Lumbar Spine, and Cervical Spine Practical Examinations. The person shall submit written documentation of the Practical evaluation on a form prescribed by the Board that is available on the Board's website at https://ncchiroboard.com/certified-chiropractic-assistant-level-2-xray/. The person completing the Practical evaluation shall provide on the form the following information:

(A) The name and Certified Chiropractic Assistant number of the candidate;

(B) The date of the evaluation;

(C) The sponsoring doctor's name;

(D) The name and address of the sponsoring doctor's office;

(E) The signatures of the sponsoring doctor and the candidate; and

(F) Scoring of the candidate's competencies for the criteria set forth in Subparagraph (d)(2)(A) through (K) of this Rule.

(4) Examination. The competency examination shall be administered at least three times per year. The Board shall publish on its website, https://ncchiroboard.com, the date, time, and location of the examination at least 30 days in advance. The minimum passing score is 75 percent.

(e) Reciprocity Applicants. A "reciprocity applicant" means an applicant who is currently certified or registered as a clinical assistant or X-ray technician in another state whose requirements for certification or registration are substantially similar to or more stringent than the requirements for certification in North Carolina. A reciprocity applicant shall submit a copy of the applicant's current certification or registration as a clinical assistant in a state with which North Carolina reciprocates and shall also submit written confirmation from the state's certifying authority or registrar that the applicant is in good standing in that state. Applicants for reciprocity shall pay the application fee set forth in Rule .0803(a)(1) of this Chapter.

(f) Certification Expiration and Renewal. Starting with certifications issued or renewed on or after July 1, 2022, a certificate of competency shall expire on June 30th of the second year following the year in which it was issued unless otherwise renewed. A Level 1 certificate holder seeking to renew shall submit evidence that the applicant has completed six hours of Board-approved continuing education. A Level 2 certificate holder shall complete six hours of education applicable to a Level 1 renewal plus six hours in radiologic technology. A certificate of attendance or completion issued by the course sponsor and filed with the Board shall constitute prima facie evidence that the applicant has completed the number of hours recited in the certificate. The applicant shall pay to the Board a renewal fee in the amount of fifty dollars ($50.00).

(g) Lapsed Certificates. If a certificate of competency has lapsed due to non-renewal and the lapse does not exceed 60 days, the certificate holder may obtain reinstatement by making up the accrued deficiency in continuing education. If the lapse is greater than 60 days, no make-up continuing education shall be required, but the certificate holder shall re-take and pass the proficiency examination for new applicants. Regardless of the length of lapse, a certificate holder seeking reinstatement shall pay the renewal fee set forth in Paragraph (f) of this Rule.

(h) Exemptions. Graduates of accredited chiropractic colleges and students enrolled in accredited chiropractic colleges who are serving college-sponsored preceptorships in North Carolina are deemed by the Board to have satisfied all requirements imposed by this Rule and shall be deemed competent to perform the duties of a clinical assistant. Any person who qualifies for exemption and who works as a clinical assistant in this state for more than 180 days shall submit the application pursuant to this Rule and note the claim of exempt status. Exempt persons shall not be required to pay a certification fee. For the purposes of this Rule, "accredited" shall mean colleges accredited by the Council on Chiropractic Education.

(i) Displaying Certificate. The holder of a Level 1 certificate issued pursuant to this Rule shall display the certificate in the chiropractic clinic in which the holder is employed in a location where the certificate may be viewed by patients. The holder of a Level 2 certificate issued pursuant to this Rule shall display the certificate in the x-ray room of the chiropractic clinic in which the holder is employed in a location where the certificate may be viewed by patients.

History

• Authority G.S. 90-142; 90-143.2; 90-143.4; 90-154.3
• Eff. July 1, 2014
• Amended Eff. April 1, 2018
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. January 1, 2022; January 1, 2020
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0214 Random Office Inspections

History

• Status: expired
• Authority G.S. 90-142; 90-154; 90-154.2; 90-154.3
• Eff. March 1, 2016
• Expired Eff. May 1, 2019 pursuant to G.S. 150B-21.3A.

21 NCAC 10 .0215 Petition for Predetermination

(a) General. Pursuant to G.S. 93B-8.1(b6), any person with a criminal history may petition the Board at any time for a predetermination of whether the individual's criminal history will likely disqualify the individual from obtaining a license, in accordance with this Rule. The Petition form may be found on the Board's website at https://ncchiroboard.com.

(b) Petition Procedure. To petition the Board under this Rule, a person must submit to the Board's office a petition for predetermination that contains all of the following information:

(1) The person's name;

(2) The last four digits of the person's social security number;

(3) The person's current residential address;

(4) The person's current mailing address;

(5) A nationwide criminal history record report from the criminal records reporting service currently under contract with the Board;

(6) For each crime identified in the criminal history record report, the following information:

(A) Whether the crime was a felony or misdemeanor;

(B) The date that the crime occurred;

(C) The date the person was convicted of, or plead guilty or nolo contendere to, the crime;

(D) The age of the person at the time of the crime;

(E) The circumstances surrounding the commission of the crime;

(F) The sentence imposed for the crime;

(G) The period of time during which the person was incarcerated for the crime;

(H) The period of time during which the person was on probation or parole for the crime;

(I) Any documentation related to the person's rehabilitation or employment since the date of the crime;

(J) Whether the person has undergone any rehabilitative drug or alcohol treatment since the date of the crime;

(K) Whether a Certificate of Relief has been granted regarding the crime, pursuant to G.S. 15A 173.2; and

(L) Any affidavits or other written documents, including character references, for the person.

(7) An affirmation under oath that the person has read the Instructions for Submitting a Petition for Predetermination and the statutes and rules governing the practice of chiropractic and that the information contained in the petition is true and accurate.

Incomplete petitions shall not be considered by the Board. If incomplete petitions received by the Board are not made complete within 30 days of receipt, the incomplete petitions will be returned to the person from whom the request was made.

(c) Petition Fee. A non-refundable petition fee of forty-five dollars ($45.00) shall accompany each petition. This fee shall be paid by credit card through the Board's website at https://ncchiroboard.com. Cash shall not be accepted.

(d) Delegation of Authority for Predetermination. The Board delegates authority for rendering predeterminations under this Rule to the Disciplinary Review Committee, as set forth in Rule .0503 of this Chapter.

History

• Authority G.S. 90-142; 90-143.3; 90-154; 93B-8.1
• Eff. January 1, 2020
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0216 Waiver

The Board may waive any rule in this Chapter that is not statutorily required if a licensee, or applicant for license or certification, submits a written request. Factors the Board shall use in determining whether to grant the waiver are:

(1) degree of disruption to the Board;

(2) cost to the Board;

(3) degree of benefit to the public;

(4) whether the requesting party had control over the circumstances that required the requested waiver;

(5) notice to and opposition by the public;

(6) need for the waiver; and

(7) previous requests for waivers submitted from the requesting party.

History

• Authority G.S. 90-142; 150B-19(6)
• Emergency Adoption Eff. April 28, 2020
• Temporary Adoption Eff. July 24, 2020
• Eff. July 1, 2021
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0217 Professional Entities

(a) A chiropractor who seeks to deliver chiropractic services through a professional corporation or professional limited liability company shall first obtain Board approval. Prior to approval, the entity shall submit its Articles of Incorporation or Articles of Organization to the Board for the purpose of verifying the legal name of the entity.

(b) No proper names of persons other than licensees may be included in the name and all professional entities must include the word "Chiropractor," "Chiropractic," or the name of a licensed chiropractor who is an owner of the professional entity. The name of a professional entity shall not be false or misleading. For the purposes of this rule, "misleading" is defined as possessing the capacity or tendency to create a mistaken understanding or impression including a name that implies services beyond the scope of practice set forth in Art. 8, Chapter 90 of the NC General Statutes, or a name that is identical or similar in name to an existing registered business entity.

(c) Business entities organized for the purpose of providing professional chiropractic services shall not contain the name of an individual unless:

(1) The named individual is licensed under this statute; or

(2) The named individual is either a deceased or retired owner of the business, provided that the professional entity has permission to use the name of the deceased or retired owner. Permission shall be obtained from any person or legal entity who has authority to act on behalf of the deceased or retired owner.

(d) The professional entity shall specify its business structure in all printed material and social media by use of the designation "P.C.," "P.A.," or "P.L.L.C."

(e) If a living owner of a professional entity whose surname appears in the entity name becomes a "disqualified person" as defined in G.S. 55B-2, the name of the professional entity shall be changed to comply with G.S. 55B.

(f) A professional entity shall not change its name or operate under an assumed name without first applying to the Board for a determination that the proposed name meets the requirements of this Rule. Requests for name changes and requests to operate under an assumed name shall be submitted in writing to the Board. Requests shall contain the following:

(1) Name, email address, and phone number of the requesting person;

(2) Name, email address, and phone number of the incorporating licensee;

(3) Requested name of the professional corporation; and

(4) Mailing address of the professional corporation.

Use of an assumed name that has not been registered pursuant to Art. 14A of G.S. 66 shall be prima facie evidence of using a misleading name.

History

• Authority G.S. 55B-5; 55B-12; 90-142(2); 90-154(b)(9); 90-154.2; 90-157.3
• Eff. July 1, 2022
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0218 Preceptors

(a) Chiropractic physicians who supervise students pursuant to G.S. 90-142.1 ("preceptors") shall provide the Board with the following information prior to commencing student supervision on a form available on the Board's website:

(1) Full name and license number of the preceptor;

(2) Full name of student;

(3) Chiropractic college in which student is enrolled;

(4) Expected date of graduation;

(5) Contact phone number and email for student;

(6) Start and end dates of preceptorship;

(7) Address where preceptorship will take place; and

(8) Acknowledgement by the preceptor that he or she has read the statutes, rules, and guidelines regarding the preceptor role.

(b) The requirements for a preceptor are as follows:

(1) Active license issued by the Board;

(2) Licensure by the Board for at least five years prior to submission of request to serve as a preceptor;

(3) No prior suspension of the preceptor's license, active or stayed; and

(4) No prior Board discipline of any kind within 10 years of commencing the preceptor-student relationship.

(c) Preceptors shall supervise only one student at a time. Preceptors shall obtain verbal consent from every patient who is treated by the student prior to the student commencing treatment. Preceptors shall document consent in the patient's record.

History

• Authority G.S. 90-142(2); 90-142.1
• Eff. April 1, 2024
• Amended Eff. April 1, 2026.

21 NCAC 10 .0301 Rules of Unethical Conduct

History

• Status: repealed
• Legislative Objection Lodged Eff. January 31, 1983
• Statutory Authority G.S. 90-142; 90-154
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Amended Eff. January 1, 1983
• Curative Amended Eff. February 18, 1983
• Repealed Eff. June 1, 1988.

21 NCAC 10 .0302 Ethics of Advertising and Publicity

Prohibited Advertising. The following shall constitute false or misleading advertising, which constitutes unethical conduct pursuant to G.S. 90-154.2:

(1) Advertising that purports to guarantee a beneficial result from chiropractic treatment.

(2) Advertising that promotes a treatment, therapy, or service that constitutes unethical conduct as defined by G.S. 90-154.2 or any rule promulgated by the Board pursuant to G.S. 90-154.3(b).

(3) Advertising in which the licentiate is identified as a specialist, unless the licentiate has complied with the requirements of 21 NCAC 10 .0304 and any reference to the specialty is immediately preceded by the term "chiropractic." Illustrations are as follows:

(a) "Pediatrics" standing alone is deemed false or misleading; "chiropractic pediatrics" conforms to this Rule; and

(b) "Neurologist" standing alone is deemed false or misleading; "chiropractic neurologist" conforms to this Rule.

(4) Advertising which would lead a reasonable person to believe the licensee holds any other licenses authorized under Chapter 90 of the North Carolina General Statutes when the licensee does not hold such license, including but not limited to a medical physician, physical therapist, massage therapist, or acupuncturist.

History

• Authority G.S. 90-142; 90-154.2
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Amended Eff. January 1, 1983; May 8, 1979
• Legislative Objection Lodged Eff. January 31, 1983
• Curative Amended Eff. February 28, 1983
• Curative Amended Eff. March 2, 1983
• Amended Eff. November 1, 2007; December 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. April 1, 2025; January 1, 2020
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0303 Solicitation of Auto Accident Victims

(a) In-Person and Telephone Solicitation of Auto Accident Victims. In order to protect the public from misrepresentation, coercion, or undue influence, it shall be unlawful for a doctor of chiropractic, or the doctor's employee, to initiate direct personal contact or telephone contact with any person who has been injured in a motor vehicle collision, or with any person residing in the injured person's household, for a period of 90 days following the collision, if the purpose of initiating contact is, in whole or part, to solicit the injured person to become a patient of the doctor.

(b) Acceptance of Referrals From Runners. It shall be unlawful for a doctor of chiropractic to accept as a patient any person injured in an automobile accident who was referred by a runner. As used in this Rule, the term "runner" means any person, firm, or corporation that obtains the names of injured persons from motor vehicle accident reports or other public records and then contacts those persons to induce them to seek medical or chiropractic treatment or pursue legal claims.

(c) Solicitation of Auto Accident Victims by Mail. A doctor of chiropractic may solicit persons injured in motor vehicle collisions at any time through the use of posted communications such as letters, brochures, information packages, and sound or video recordings. The words, "This is an advertisement for chiropractic services" must appear on the communication's envelope or mailing container in print large enough to be easily read.

(d) Nonconforming Solicitation Deemed Unethical Conduct. Any solicitation of automobile accident victims which does not conform to the requirements of this Rule shall be considered a violation of the Rules of Ethics of Advertising and Publicity pursuant to G.S. 90-154.2(5).

History

• Authority G.S. 90-142, 90-154, 90-154.2
• Eff. September 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0304 Designation of Specialties

(a) Definitions. For purposes of this Rule, the following definitions shall apply:

(1) Claim of Specialization: any use of the designations listed in this Rule or any representation stating or implying that, by virtue of additional training, a licentiate possesses greater expertise in any aspect of health care than is possessed by chiropractic physicians who have not had additional training. The recitation of academic degrees awarded to a licentiate does not constitute a claim of specialization.

(2) Publication: representations regarding any claim of specialization made by a licentiate which may include representations made in advertising, whether printed or broadcast; written representations appearing on professional stationery, business cards, curriculum vitae, or office signage.

(b) Recognized Specialties. The Board of Examiners recognizes the specialties in the following fields of practice:

(1) Chiropractic Orthopedics;

(2) Chiropractic Radiology;

(3) Chiropractic Neurology;

(4) Chiropractic Internal Disorders;

(5) Chiropractic Pediatrics;

(6) Chiropractic Sports Injuries;

(7) Chiropractic Nutrition;

(8) Chiropractic Rehabilitation; and

(9) Chiropractic Acupuncture.

(c) Any licentiate wishing to request a specialty designation not listed in Paragraph (b) of this Rule shall first submit a written request to the Board and provide evidence that the designation meets the criteria set forth in Paragraph (d) of this Rule. A licentiate shall not publish the specialty designation until the Board has approved, in writing, the specialty designation requested.

(d) Criteria for approval. In order to publish a claim of specialization as set forth in Paragraph (b) of this Rule or upon request of a specialty pursuant to Paragraph (c) of this Rule, a licentiate shall demonstrate the following:

(1) Evidence of completion of a post-graduate course of study in the specialty requested at least 300 hours in length and offered by a college approved by the Council on Chiropractic Education, provided that the specialty of chiropractic acupuncture only shall require evidence of successful passage of the National Board of Chiropractic Examiners Acupuncture Examination; and

(2) Evidence that the licentiate has passed an examination offered by a 501(c)(3) organization whose testing for specialization is recognized by the House of Delegates of the American Chiropractic Association or an exam deemed by the Board to be an equivalent.

(e) Claim of Specialty. Any published claim of specialization outside the recognized specialties or any published claim of specialization made by or at the behest of a licentiate who has not satisfied all applicable provisions of this Rule constitutes false or misleading advertising.

History

• Authority G.S. 90-142; 90-154; 90-154.2(5)
• Eff. November 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. January 1, 2022
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0305 Prepaid Treatment Plans

(a) Prepaid Treatment Plan Defined. A "prepaid treatment plan" is a contract between a patient and a physician under which the patient, instead of paying for services as they are delivered, agrees in advance to pay a pre-determined total amount to the physician for a series of specified treatments and services to be performed by the physician or the physician's staff in the future and that are not covered by insurance. The patient's financial obligation may be payable in a lump sum or in periodic installments.

(b) Non-Conforming Plans Unlawful. A physician who offers to a patient a prepaid treatment plan that does not conform to this Rule shall be subject to disciplinary action pursuant to G.S. 90-154(b)(9), committing or attempting to commit fraud, deception, or misrepresentation.

(c) Required Contractual Provisions. A prepaid treatment plan shall be in writing and signed by the patient. The physician shall provide an accurate and complete copy of the plan document to the patient. In addition to any permissive provisions not in conflict with this Rule, the plan document shall contain the following mandatory provisions:

(1) The duration of the plan, measured either by number of office visits or calendar days;

(2) The therapeutic objectives of the plan, based on a physical examination and assessment of the patient performed by the physician prior to the plan's start date;

(3) The patient's cost to purchase the plan;

(4) A description of the services and products that are included within the plan and for which there will be no additional charges;

(5) A disclaimer, in bold-faced type, that the patient could incur additional charges if services and products not included within the plan are delivered to the patient during the course of treatment;

(6) A description of the physician's office policy regarding charges for cancelled office visits and office visits not kept; and

(7) A declaration of the patient's right to terminate the plan early and receive a refund in conformity with Paragraphs (d) and (e) of this Rule.

(d) Refund Calculation. The patient shall have the right to terminate a prepaid treatment plan at any point prior to the stated expiration without incurring any financial penalty. The physician may charge the patient the full amount for dispensed products that cannot be re-stocked, including opened nutritional supplements and used cervical pillows, orthotic and neurological appliances, and similar durable medical equipment. In all other respects, the amount of the refund payable to the patient shall be calculated strictly pro-rata, based on the measure of duration recited in the plan document (office visits or calendar days). No other method of refund calculation shall be permitted, and any provision in the plan that specifies another method of calculation shall be void.

(e) Notice of Plan Termination; Prompt Refund. The physician may require that a patient give notice of plan termination by delivery of a paper writing dated and signed by the patient or a person authorized to sign on the patient's behalf. The physician shall not impose any other procedural impediments to obtaining a refund. The physician shall issue the appropriate pro-rata refund within ten business days after receiving notice of plan termination.

(f) Administrative Fees. The physician shall not collect from a patient any fees for administering a plan other than pass-through fees for which the physician is liable, such as credit card processing fees.

History

• Authority G.S. 90-142; 90-154
• Eff. April 1, 2017
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0306 Publication of Non-Diplomate Credentials

(a) Scope of Rule. Any credential awarded to a licensee of the Board upon completion of a healthcare-related educational program shall be subject to this Rule except a credential recognized pursuant to Rule .0304 of this Section.

(b) Publication of Unrecognized Credentials Unlawful. It shall constitute a violation of the Rules of Ethics of Advertising and Publicity pursuant to G.S. 90-154.2(5) for a licensee to publish a credential that is not recognized by the Board. For purposes of this Rule, "publication" includes representations made in a licensee's print, broadcast or online advertisement, professional stationery, business cards, and office signage.

(c) Criteria for Recognition. The criteria for recognition by the Board of a credential subject to this Rule shall be as follows:

(1) the educational program leading to the awarding of the credential is offered at the post-doctor of chiropractic level;

(2) for a chiropractic discipline, the educational program is offered or sponsored by a chiropractic college accredited by the Council on Chiropractic Education;

(3) for a discipline not unique to chiropractic, the educational program is offered or sponsored by a professional school or college accredited by an agency that is the equivalent of the Council on Chiropractic Education; and

(4) the educational program culminates in a final examination that the candidate must pass to earn the credential.

(d) Recognized Credentials. The following credentials are recognized by the Board and may be published upon the credentialed licensee's compliance with Paragraph (e) of this Rule.

(1) Certified Chiropractic Extremity Practitioner (CCEP);

(2) Certified Chiropractic Rehabilitation Doctor (CCRD);

(3) Certified Chiropractic Sports Physician (CCSP);

(4) Chiropractic Certification in Spinal Trauma (CCST);

(5) International Chiropractic Sports Physician (ICSP);

(6) Certificate in Acupuncture-Meridian Therapy; and

(7) Certification by the Academy Council of Chiropractic Pediatrics (CACCP).

Any licensee wishing to publish a credential not listed in this Paragraph shall first make written application to the Board and provide evidence that the credential meets the criteria set forth in Paragraph (c) of this Rule. The licensee shall not publish the credential until receipt of Board recognition.

(e) Filing Certificates. A licensee shall not publish any recognized credential until he or she files with the Board a copy of the dated certificate or similar document signifying that the licensee successfully completed all program requirements and that the credential was awarded.

History

• Authority G.S. 90-142; 90-154
• Eff. October 1, 2017
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0401 Petitions for Adoption of Rules

Submission. Rule-making petitions shall be sent to the president of the Board and shall state the petitioner's name and address, and shall contain the information required in G.S. 150B-20(a). The petitioner also may submit the following additional information:

(1) the reason for its proposal;

(2) data supporting the proposed rule;

(3) practices likely to be affected by the proposed rule;

(4) persons likely to be affected by the proposed rule.

History

• Authority G.S. 90-142; 150B-20
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Amended Eff. December 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. January 1, 2020
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0402 Disposition of Petitions

History

• Status: repealed
• Authority G.S. 90-142; 150A-16
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Repealed Eff. December 1, 1988.

21 NCAC 10 .0403 Oral Presentations at Public Rule-Making Hearings

Oral Presentations at Public Hearing. Any public rule-making hearing required by Article 2A of Chapter 150 of the North Carolina General Statutes shall be conducted by the President of the Board or by any person he or she may delegate. Oral presentations shall not exceed 15 minutes.

History

• Authority G.S. 90-142; 150B-21.1A; 150B-21.2
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Amended Eff. December 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. January 1, 2020
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0404 Hearing

History

• Status: repealed
• Authority G.S. 150A-12
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Repealed Eff. December 1, 1988.

21 NCAC 10 .0405 Temporary Rules

History

• Status: repealed
• Authority G.S. 150B-13
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Amended Eff. December 1, 1988
• Repealed Eff. July 1, 2012.

21 NCAC 10 .0406 Declaratory Rulings

(a) General. The Board shall respond to requests for declaratory rulings in accordance with G.S. 150B-4.

(b) Request for Declaratory Ruling: Contents. A request for a declaratory ruling shall be in writing and addressed to the president. The request shall contain the following information:

(1) The name and address of the person making the request;

(2) The statute or rule to which the request relates;

(3) A statement of the manner in which the person has been aggrieved by the statute or rule; and

(4) A statement as to whether a hearing is desired, and if desired, the reason therefor.

(c) Refusal to Issue Ruling. The Board shall refuse to issue a declaratory ruling under the following circumstances:

(1) When the Board has already made a controlling decision on similar facts in a contested case;

(2) When the facts underlying the request for a ruling were considered at the time of the adoption of the rule in question; or

(3) When the subject matter of the request is involved in pending litigation in North Carolina.

History

• Authority G.S. 150B-4
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Amended Eff. January 1, 1983
• Legislative Objection Lodged Eff. January 31, 1983
• Curative Amended Eff. February 28, 1983
• Amended Eff. December 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. January 1, 2020
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0501 Filing Complaints

Any person who has reason to believe that a Doctor of Chiropractic has violated the laws governing chiropractic may file a complaint with the Board. Anyone wishing to file a complaint shall file a form with the Board office that contains the following information:

(1) the complainant's name and contact information;

(2) the name and contact information of the person about which the complainant wishes to file the complaint;

(3) a narrative of the facts about which the complainant wishes to complain; and

(4) the complainant's signature and the date on which the complaint is made.

The complaint form can be found on the Board's website at https://ncchiroboard.com/complaint-filing-process.

History

• Authority G.S. 90-142; 90-154
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Amended Eff. December 1, 1988; January 1, 1983; December 20, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. January 1, 2020
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0502 Unlawful Practice

History

• Status: repealed
• Authority G.S. 90-147; 90-148
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Repealed Eff. December 1, 1988.

21 NCAC 10 .0503 Determination of Probable Cause

(a) General. Complaint allegations that, if taken as true, would be considered violations of the Board's Practice Act shall be referred to the Disciplinary Review Committee (DRC), along with any investigative report prepared by Board staff. The DRC shall conduct an informal conference with the licensee identified in the complaint in order to consider the possibility of resolving the complaint.

(b) Composition of the DRC. The DRC shall be composed of:

(1) The Board Secretary; and

(2) Either a former Board member or a licensee from among those who, at any election held pursuant to Rule .0103 of this Chapter, have been elected nominees for Board membership but not appointed to the Board. The Board Secretary shall select the second DRC member.

(c) The Board Secretary shall preside over the conference.

(d) Action by the DRC. The DRC shall dispose of each complaint charge as follows:

(1) Dismissal of the complaint with no action;

(2) Non-Disciplinary Letter of Caution;

(3) Resolution by settlement; or

(4) Scheduling for contested case hearing and whether the case shall be set before either the Board or an Administrative Law Judge in accordance with G.S. 150B-40(e).

History

• Authority G.S. 90-141; 90-142; 90-154
• Eff. December 1, 1988
• Amended Eff. October 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. October 1, 2022; January 1, 2020
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0504 Drug Testing

(a) Reasonable Suspicion. The Secretary of the Board may require a licentiate to submit to drug or blood alcohol testing if there is reasonable suspicion that the licentiate is consuming drugs or alcohol to such an extent or with such frequency as to impair the ability to treat patients. For purposes of this Rule, reasonable suspicion exists when:

(1) The licentiate is cited or arrested on drug-related criminal charges;

(2) The licentiate admits to the Board or to a judicial tribunal that the licentiate has abused alcohol or prescription drugs or consumed illicit drugs; or

(3) The Secretary receives the sworn affidavit of a credible witness stating that the witness personally observed the licentiate in the licentiate's chiropractic office during business hours and the licentiate's behavior was erratic, unprofessional, and apparently influenced by drug or alcohol consumption.

(b) Approved Laboratory. Any drug test required by the Secretary shall be conducted by an approved laboratory in accordance with the protocol set forth in Article 20, Chapter 95 of the General Statutes, Controlled Substance Examination Regulation.

(c) Reporting Results. The results of a licentiate's drug test shall be reported directly to the Secretary by the laboratory conducting the test and shall not be disclosed to any person other than the licentiate except for use as evidence in Board disciplinary actions or when disclosure is mandated by law.

(d) Right to Dispute Results. In any Board disciplinary proceeding in which a licentiate's drug test results are introduced into evidence, including a preliminary hearing before the Chiropractic Review Committee, the licentiate may dispute the accuracy of the test results.

(e) Effect of Refusal. A licentiate's refusal to submit to a drug test required by the Secretary pursuant to this Rule shall be considered the concealment of information about a matter affecting licensure, in violation of G.S. 90-154(b)(19).

History

• Authority G.S. 90-142; 90-154
• Eff. October 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0601 General

History

• Status: repealed
• Authority G.S. 150B-2; 90-154
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Repealed Eff. December 1, 1988.

21 NCAC 10 .0602 Right to Hearing

History

• Status: expired
• Legislative Objection Lodged Eff. January 31, 1983
• Curative Amended Eff. February 28, 1983
• Statutory Authority G.S. 150B-2; 150B-3
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Amended Eff. December 1, 1988; January 1, 1983
• Expired Eff. May 1, 2019 pursuant to G.S. 150B-21.3A.

21 NCAC 10 .0603 Notice of Hearing: Answer

History

• Status: repealed
• Authority G.S. 150B-38
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Legislative Objection Lodged Eff. January 31, 1983
• Curative Amended Eff. February 28, 1983
• Amended Eff. December 1, 1988; January 1, 1983
• Repealed Eff. July 1, 2012.

21 NCAC 10 .0604 Request for Hearing

History

• Status: repealed
• Authority G.S. 150A-11; 150A-23
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Repealed Eff. December 1, 1988.

21 NCAC 10 .0605 Granting Hearing Request

History

• Status: repealed
• Authority G.S. 150A-11; 150A-23
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Repealed Eff. December 1, 1988.

21 NCAC 10 .0606 Notice After Request for Hearing

History

• Status: repealed
• Authority G.S. 150A-11; 150A-23
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Repealed Eff. December 1, 1988.

21 NCAC 10 .0607 Location of Hearing

History

• Status: repealed
• Authority G.S. 90-142; 150B-38
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Amended Eff. January 1, 1989
• Repealed Eff. July 1, 2012.

21 NCAC 10 .0608 Intervention

History

• Status: repealed
• Authority G.S. 90-142; 150B-38
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Amended Eff. January 1, 1989
• Repealed Eff. July 1, 2012.

21 NCAC 10 .0609 Types of Intervention

History

• Status: repealed
• Authority G.S. 150A-23; 150A-32
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Repealed Eff. December 1, 1988.

21 NCAC 10 .0610 Disqualification of Hearing Officers

History

• Status: repealed
• Authority G.S. 150A-23; 150A-32
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Repealed Eff. December 1, 1988.

21 NCAC 10 .0611 Subpoenas

History

• Status: repealed
• Authority G.S. 90-142; 150B-39
• Eff. January 1, 1989
• Repealed Eff. July 1, 2012.

21 NCAC 10 .0701 Failure to Appear

History

• Status: repealed
• Authority G.S. 150A-25; 150A-33
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Repealed Eff. December 1, 1988.

21 NCAC 10 .0702 Written Answers to Notice

History

• Status: repealed
• Authority G.S. 150A-25; 150A-33
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Repealed Eff. December 1, 1988.

21 NCAC 10 .0703 Pre-Hearing Conference

History

• Status: repealed
• Authority G.S. 150A-25; 150A-33
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Repealed Eff. December 1, 1988.

21 NCAC 10 .0704 Simplification of Issues

History

• Status: repealed
• Authority G.S. 150A-25; 150A-33
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Repealed Eff. December 1, 1988.

21 NCAC 10 .0705 Subpoenas

History

• Status: repealed
• Authority G.S. 150A-27
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Repealed Eff. January 1, 1989.

21 NCAC 10 .0706 Conduct of Board Hearing

(a) General. Hearings in contested cases shall be conducted by a majority of the Board, unless a majority of the Board votes to designate an administrative law judge to preside at the hearing in the Office of Administrative Hearings. The president shall serve as presiding officer at Board Hearings unless he or she is absent or disqualified, in which case the vice-president shall preside. Board Hearings shall be conducted as prescribed by G.S. 150B-40.

(b) Disqualification. An affidavit seeking disqualification of any Board member, if filed in good faith and in a timely manner, shall be ruled on by the remaining members of the Board. An affidavit is considered timely if it is filed:

(1) Prior to the hearing; or

(2) As soon after the commencement of the hearing as the affiant becomes aware of facts that give rise to his or her belief that a Board member should be disqualified.

(c) Evidence. The admission of evidence in a Board Hearing on a contested case shall be as prescribed in G.S. 150B-41.

History

• Authority G.S. 150B-40; 150B-41
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Amended Eff. January 1, 1989
• Expired Eff. May 1, 2019 pursuant to G.S. 150B-21.3.A
• Readopted Eff. January 1, 2020
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0707 Decision of Board

History

• Status: repealed
• Authority G.S. 150B-42
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Amended Eff. December 1, 1988
• Repealed Eff. July 1, 2012.

21 NCAC 10 .0708 Continuances for Board Hearings

(a) Consistent with G.S. 150B-40, all motions for continuance shall be addressed to the secretary, or the designated presiding officer of the contested case hearing. All motions for continuance shall be in writing and received in the office of the Board no less than seven calendar days before the hearing date.

(b) Motions for a continuance of a hearing may be granted upon a showing of good cause. In determining whether good cause exists, the presiding officer shall consider the ability of the party requesting a continuance to proceed without a continuance.

(c) A motion for a continuance filed less than seven calendar days from the date of the hearing shall be denied if a continuance has been previously granted unless the reason for the motion could not have been ascertained earlier.

History

• Authority G.S. 150B-38(h)
• Eff. January 1, 2020
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0709 Subpoenas

(a) Requests for subpoenas for the attendance and testimony of witnesses or for the production of documents, either at a Board Hearing or for the purposes of discovery, shall:

(1) be made in writing to the Board;

(2) identify any document sought;

(3) include the full name and home or business address of all persons to be subpoenaed; and

(4) if known, include the date, time, and place for responding to the subpoena.

The Board shall issue the requested subpoenas within three days of receipt of the request.

(b) Subpoenas shall contain the following:

(1) the caption of the case;

(2) the name and address of the person subpoenaed;

(3) the date, hour, and location of the hearing in which the witness is commanded to appear;

(4) a particularized description of the books, papers, records, or objects the witness is directed to bring with him to the hearing, if any;

(5) the identity of the party on whose application the subpoena was issued;

(6) the date of issue;

(7) the signature of the presiding officer or his designee; and

(8) a "return of service." The "return of service" form as filled out, shall show:

(A) the name and capacity of the person serving the subpoena;

(B) the date on which the subpoena was delivered to the person directed to make service;

(C) the date on which service was made;

(D) the person on whom service was made;

(E) the manner in which service was made; and

(F) the signature of the person making service.

(c) Subpoenas shall be served in a manner set forth in Rule 45 of the N.C. Rules of Civil Procedure.

(d) Any person receiving a subpoena from the Board may object thereto by filing a written objection to the subpoena with the Board's office. Written objections shall comply with Rule 45 of the N.C. Rules of Civil Procedure.

(e) The party who requested the subpoena may file a written response to the objection. The written response shall be served by the requesting party on the objecting witness with the filing of the response with the Board.

(f) After receipt of the objection and response thereto, if any, the Board shall issue a notice of a Hearing on the motion to the party who requested the subpoena and the party challenging the subpoena to be scheduled as soon as practicable, at which time evidence and testimony may be presented, limited to the narrow questions raised by the objection and response.

(g) After the close of such Board Hearing, a majority of the Board members hearing the contested case shall rule on the challenge and issue a written decision. A copy of the decision will be issued to all parties and made a part of the record.

History

• Authority G.S. 150B-38; 150B-39; 150B-40
• Eff. January 1, 2020
• Readopted Eff. April 1, 2026.

21 NCAC 10 .0801 Instructional Programs

History

• Status: repealed
• Authority G.S. 90-143; 90-148; 90-155
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Repealed Eff. December 1, 1988.

21 NCAC 10 .0802 Records of Board

History

• Status: repealed
• Authority G.S. 90-143; 90-148; 90-155
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Repealed Eff. December 1, 1988.

21 NCAC 10 .0803 Fee Schedule

(a) The Board shall charge the following fees:

(1) License application: $300.00;

(2) License renewal: $300.00;

(3) Certification of Competence: $35.00;

(4) Renewal of Certification of Competence: $50.00;

(5) Corporate registration: $50.00;

(6) Corporate registration renewal: $25.00; and

(7) Predetermination request: $45.00.

(b) All fees charged by the Board are non-refundable.

History

• Authority G.S. 55B-10; 55B-11; 90-142; 90-143.2; 90-143.4; 90-149; 90-155; 93B-8.1
• Eff. October 1, 2022
• Readopted Eff. April 1, 2026.

Chapter 12 General Contractors

Subchapter A

21 NCAC 12A .0101 Identification

The State Licensing Board for General Contractors, hereinafter referred to as the "North Carolina Licensing Board for General Contractors" or "the Board," is located in Raleigh, North Carolina; its mailing address is 5400 Creedmoor Road, Raleigh, North Carolina 27612. The Board website is www.nclbgc.org.

History

• Authority G.S. 87-2
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Amended Eff. December 1, 1985; January 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0101 Eff. January 2, 2020.

21 NCAC 12A .0102 General Purpose of Board

(a) The purpose of the Board is to regulate persons who engage in activities which constitute the practice of general contracting as defined in G.S. 87-1 in order to safeguard the life, health and property of the people of North Carolina as well as promote the public welfare.

(b) The Board regulates the practice of general contracting by:

(1) determining the qualifications of persons seeking to enter the practice of general contracting and granting to those persons who have met the statutory requirements the privilege of entering the practice of general contracting;

(2) enforcing the provisions of the North Carolina General Statutes pertaining to general contractors; and

(3) enforcing the Board's Rules, which are designed to ensure a high degree of competence in the practice of general contracting.

History

• Authority G.S. 87-1; 87-2
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Recodified from 21 NCAC 12 .0102 Eff. January 2, 2020.

21 NCAC 12A .0103 Structure of Board

(a) Officers. Annually, during the April meeting, the Board shall elect from its members a Chairman and Vice-Chairman. The Chairman shall preside over all meetings of the Board and perform other duties as he or she may be directed to do by the Board. The Vice-Chairman shall function as Chairman if the Chairman is unavailable.

(b) Secretary-Treasurer. In addition to those duties and responsibilities required of him or her by G.S. 87-8, the Secretary-Treasurer, referred to as "Secretary-Treasurer" or "Executive Director," as the Board's Chief Administrative Officer, has the responsibility and power to:

(1) employ the clerical and legal services necessary to assist the Board in carrying out the requirements of the North Carolina General Statutes;

(2) purchase or rent whatever office equipment, stationery, or other miscellaneous articles as are necessary to keep the records of the Board;

(3) make expenditures from the funds of the Board by signing checks, or authorizing the designee of the Secretary-Treasurer to sign checks, for expenditures after the checks are signed by the Chairman or Vice-Chairman; and

(4) do such other acts as may be required of him or her by the Board.

(c) Official Meetings of the Board.

(1) Regular Meetings. Regular meetings shall be held during January, April, July and October of each year at the Board's office or at any other place so designated by the Board.

(2) Special Meetings. Special meetings shall be called and conducted in accordance with Article 33C of Chapter 143 of the North Carolina General Statutes.

(3) Notice of Meetings. Notice of all official meetings of the Board shall be given pursuant to Article 33C of Chapter 143 of the North Carolina General Statutes.

History

• Authority G.S. 87-2; 87-4; 87-6; 87-7
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 2014; August 1, 2002; January 1, 1992; May 1, 1989; January 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0103 Eff. January 2, 2020.

21 NCAC 12A .0201 Definitions

The following definitions shall apply to the Rules in this Chapter:

(1) Completion: As used in G.S. 87-1(b), "completion" occurs upon issuance of a certificate of occupancy by the permitting authority with jurisdiction over the project.

(2) Cost of the undertaking: As used in G.S. 87-1(a), "cost of the undertaking" means the final price of a project, excluding the cost of land, as evidenced by the contract and any subsequent amendments, or in the absence of a contract, permit records, invoices, and cancelled checks.

(3) Misconduct: As used in G.S. 87-11, "misconduct" includes allowing an unlicensed person or entity to use a license or examination credential on an undertaking where a license is required. Misconduct also includes allowing a licensed person or entity to use a license or examination credential on an undertaking for which the user does not hold proper classification or limitation. Misconduct also includes dishonest or fraudulent conduct by a qualifier related to the attendance of a continuing education class described in G.S. 87-10.2.

(4) Personally: As used in G.S. 87-14(a)(1), "personally" means the physical presence of the owner of the property and excludes the use of a power of attorney.

(5) Solely for occupancy: As used in G.S. 87-1(b), "solely for occupancy" is restricted to the family of a person, the officers and shareholders of a firm or corporation, and guests and social invitees where no consideration is received. For purposes of G.S. 87-1(b)(2), "family" is defined as a spouse or other family member living in the same household.

(6) Value: As used in G.S. 87-10(a1), "value" means the same as "cost of the undertaking."

History

• Authority G.S. G.S. 87-1, 87-10, 87-10.2, and 87-14
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. January 1, 1983
• Repealed Eff. May 1, 1989
• Codifier approved agency's waiver request to reuse rule number
• Eff. September 1, 2019
• Recodified from 21 NCAC 12 .0201 Eff. January 2, 2020
• Amended Eff. July 1, 2021.

21 NCAC 12A .0202 Classification

(a) A general contractor shall be certified in one of the following five classifications:

(1) Building Contractor. This classification covers all building construction and demolition activity including: commercial, industrial, institutional, and all residential building construction. It includes installation of solar panels; parking decks; all site work, grading and paving of parking lots, driveways, sidewalks, and gutters; storm drainage, retaining or screen walls, and hardware and accessory structures; and indoor and outdoor recreational facilities including natural and artificial surface athletic fields, running tracks, bleachers, and seating. It also covers work done under the specialty classifications of S(Concrete Construction), S(Insulation), S(Interior Construction), S(Marine and Freshwater Construction), S(Masonry Construction), S(Roofing), S(Metal Erection), S(Swimming Pools), S(Asbestos), S(Wind Turbine), and S(Sign/Billboard).

(A) For the purposes of providing disaster relief assistance pursuant to a declaration of a state of an emergency, this classification also includes construction of non-publicly maintained bridges for contractors holding an unlimited license, as defined in G.S. 87-10(a1), and has been pre-qualified by the North Carolina Public Safety, Emergency Management Division. The pre-qualification process can be found at: https://connect.ncdot.gov/business/Prequal/Pages/default.aspx.

(B) For the purposes of this Rule, a "declaration of a state of an emergency" shall be defined as in Chapter 166A, Article 1A, Part 4 of the N.C. General Statutes.

(C) For the purposes of this Rule, a "non-publicly maintained bridge" shall be defined as a bridge that is not maintained by the State, Federal government, a municipality, or a county.

(2) Residential Contractor. This classification covers all construction and demolition activity pertaining to the construction of residential units that are required to conform to the Residential Building Code adopted by the Building Code Council pursuant to G.S. 143-138; all site work, driveways, sidewalks, and water and wastewater systems ancillary to the aforementioned structures and improvements; and the work done as part of such residential units under the specialty classifications of S(Insulation), S(Interior Construction), S(Masonry Construction), S(Roofing), S(Swimming Pools), and S(Asbestos). This classification also covers the installation of solar panels on residential units that are required to conform to the residential building code.

(3) Highway Contractor. This classification covers all highway construction activity including: demolition, grading, paving of all types, installation of exterior artificial athletic surfaces, relocation of public and private utility lines ancillary to a principal project, bridge construction and repair, culvert construction and repair, parking decks, sidewalks, curbs, gutters and storm drainage. It also includes installation and erection of guard rails, fencing, signage, and ancillary highway hardware; covers paving and grading of airport and airfield runways, taxiways, and aprons, including the installation of fencing, signage, runway lighting and marking; and work done under the specialty classifications of S(Boring and Tunneling), S(Concrete Construction), S(Marine and Freshwater Construction), S(Railroad Construction), H(Grading and Excavating), S(Metal Erection), and S(Sign/Billboard).

(4) Public Utilities Contractor. This classification includes demolition and operations that are the performance of construction work on water and wastewater systems and on the subclassifications of facilities set forth in G.S. 87-10(b)(3). The Board shall issue a license to a public utilities contractor that is limited to any of the subclassifications set forth in G.S. 87-10(b)(3) for which the contractor qualifies. A public utilities contractor license covers work done under the specialty classifications of S(Boring and Tunneling), PU(Communications), PU(Fuel Distribution), PU(Electrical-Ahead of Point of Delivery), PU(Water Lines and Sewer Lines), PU(Water Purification and Sewage Disposal), and S(Swimming Pools).

(5) Specialty Contractor. This classification covers all construction operation and performance of contract work outlined as follows:

(A) H(Grading and Excavating). This classification covers the digging, moving, and placing of materials forming the surface of the earth, excluding air and water, in such a manner that the cut, fill, excavation, grade, trench, backfill, or any similar operation may be executed with the use of hand and power tools and machines used for these types of digging, moving, and material placing. It covers work on earthen dams and the use of explosives used in connection with all or any part of the activities described in this Subparagraph. It also includes clearing and grubbing, and erosion control activities.

(B) S(Boring and Tunneling). This classification covers the construction of underground or underwater passageways by digging or boring through and under the earth's surface, including the bracing and compacting of such passageways to make them safe for the purpose intended. It includes preparation of the ground surfaces at points of ingress and egress.

(C) PU (Communications). This classification covers the demolition and installation of the following:

(i) all types of pole lines, and aerial and underground distribution cable for telephone systems;

(ii) aerial and underground distribution cable for cable TV and master antenna TV systems capable of transmitting R.F. signals;

(iii) underground conduit and communication cable, including fiber optic cable; and

(iv) microwave systems and towers, including foundations and excavations where required, when the microwave systems are being used for the purpose of transmitting R.F. signals; and installation of PCS or cellular telephone towers and sites.

(D) S(Concrete Construction). This classification covers the construction, demolition, and installation of foundations, pre-cast silos, and other concrete tanks or receptacles, prestressed components, and gunite applications, but excludes bridges, streets, sidewalks, curbs, gutters, driveways, parking lots, and highways.

(E) PU(Electrical-Ahead of Point of Delivery). This classification covers the construction, installation, alteration, maintenance, or repair of an electrical wiring system, including sub-stations or components thereof, which is or is intended to be owned, operated, and maintained by an electric power supplier, such as a public or private utility, a utility cooperative, or any other properly franchised electric power supplier, for the purpose of furnishing electrical services to one or more customers. This classification includes the construction of solar arrays.

(F) PU(Fuel Distribution). This classification covers the construction, installation, alteration, maintenance, or repair of systems for distribution of petroleum fuels, petroleum distillates, natural gas, chemicals, and slurries through pipeline from one station to another. It includes all excavating, trenching, and backfilling in connection therewith. It covers the installation, replacement, and removal of above ground and below ground fuel storage tanks.

(G) PU(Water Lines and Sewer Lines). This classification covers demolition and construction work on water and sewer mains, water service lines, and house and building sewer lines, as defined in the North Carolina State Building Code, and covers water storage tanks, lift stations, pumping stations, and appurtenances to water storage tanks, lift stations, and pumping stations. It includes pavement patching, backfill, and erosion control as part of construction.

(H) PU(Water Purification and Sewage Disposal). This classification covers the demolition and performance of construction work on water and wastewater systems; water and wastewater treatment facilities; and all site work, grading, and paving of parking lots, driveways, sidewalks, curbs, and gutters that are ancillary to such construction of water and wastewater treatment facilities. It covers the work done under the specialty classifications of S(Concrete Construction), S(Insulation), S(Interior Construction), S(Masonry Construction), S(Roofing), and S(Metal Erection) as part of the work on water and wastewater treatment facilities.

(I) S(Insulation). This classification covers the installation, alteration, or repair of materials classified as insulating media used for the non-mechanical control of temperatures in the construction of residential and commercial buildings. It does not include the insulation of mechanical equipment, and lines and piping that are ancillary to the building.

(J) S(Interior Construction). This classification covers the installation and demolition of acoustical ceiling systems and panels, load bearing and non-load bearing partitions, lathing and plastering, flooring and finishing, interior recreational surfaces, window and door installation, and installation of fixtures, cabinets, and millwork. It includes the removal of asbestos and replacement with non-toxic substances.

(K) S(Marine and Freshwater Construction). This classification covers all marine and freshwater demolition and construction and repair activities and all types of marine and freshwater construction and demolition in deep-water installations and in harbors, inlets, sounds, bays, channels, canals, rivers, lakes, ponds, or any navigable waterway; it covers dredging, construction, and installation of pilings, piers, decks, slips, docks, and bulkheads. It does not include other structures that may be constructed on docks, slips, and piers.

(L) S(Masonry Construction). This classification covers the demolition and installation, with or without the use of mortar or adhesives, of the following:

(i) brick, concrete block, gypsum partition tile, pumice block, or other lightweight and facsimile units and products common to the masonry industry;

(ii) installation of fire clay products and refractory construction; and

(iii) installation of rough cut and dressed stone, marble panels and slate units, and installation of structural glazed tile or block, glass brick or block, and solar screen tile or block.

(M) S(Railroad Construction). This classification covers the demolition, building, construction, and repair of railroad lines including:

(i) the clearing and filling of rights-of-way;

(ii) shaping, compacting, setting, and stabilizing of road beds;

(iii) setting ties, tie plates, rails, rail connectors, frogs, switch plates, switches, signal markers, retaining walls, dikes, fences, and gates; and

(iv) construction and repair of tool sheds and platforms.

(N) S(Roofing). This classification covers the installation, demolition, and repair of roofs and decks on residential, commercial, industrial, and institutional structures requiring materials that form a water-tight and weather-resistant surface. The term "materials" for purposes of this Subparagraph includes cedar, cement, asbestos, clay tile and composition shingles, all types of metal coverings, wood shakes, single ply and built-up roofing, protective and reflective roof and deck coatings, sheet metal valleys, flashings, gravel stops, gutters and downspouts, and bituminous waterproofing, including torch down roof systems. Any insulation material installed as a component of a torch down roofing system shall be included as work covered under this classification.

(O) S(Metal Erection). This classification covers:

(i) the field fabrication, demolition, erection, repair, and alteration of architectural and structural shapes, plates, tubing, pipe and bars, not limited to steel or aluminum, that are or may be used as structural members for buildings, equipment, and structure; and

(ii) the layout, assembly and erection by welding, bolting, riveting, or fastening in any manner metal products as curtain walls, tanks of all types, hoppers, structural members for buildings, towers, stairs, conveyor frames, cranes and crane runways, canopies, carports, guard rails, signs, steel scaffolding as a permanent structure, rigging, flagpoles, fences, steel and aluminum siding, bleachers, fire escapes, and seating for stadiums, arenas, and auditoriums.

(P) S(Swimming Pools). This classification covers the construction, demolition, service, and repair of all swimming pools. It includes:

(i) excavation and grading;

(ii) construction of concrete, gunite, fiberglass, metal-walled with liner, steel-walled with liner, and plastic-type pools, pool decks, and walkways, and tiling and coping; and

(iii) installation of all equipment including pumps, filters, and chemical feeders. It does not include direct connections to a sanitary sewer system or to portable water lines, nor the grounding and bonding of any metal surfaces or the making of any electrical connections.

(Q) S(Asbestos). This classification covers renovation or demolition activities involving the repair, maintenance, removal, isolation, encapsulation, or enclosure of Regulated Asbestos Containing Materials (RACM) for any commercial, industrial, or institutional building, whether public or private. It also covers all types of residential building construction involving RACM during renovation or demolition activities. This specialty is required only when the cost of asbestos activities as described herein are equal to or exceed forty thousand dollars ($40,000).

(R) S(Wind Turbine). This classification covers the construction, demolition, installation, and repair of wind turbines, wind generators, and wind power units. It includes assembly of blades, generator, turbine structures, and towers. It also includes ancillary foundation work, field fabrication of metal equipment, and structural support components.

(S) S(Sign/Billboard). This classification covers the construction, renovation, installation, repair, erection, or demolition of any structural signs or billboards, as used in G.S. 136-128(3), that are permanently annexed to real property and as defined in Article 11 of Chapter 136 of the N.C. General Statutes.

(b) An applicant may be licensed in more than one classification of general contracting provided the applicant meets the qualifications for the classifications, which includes passing the examinations for the classification requested by the applicant. The license granted to an applicant who meets the qualifications for all of the classifications set forth in the rules of this Section shall be designated "unclassified."

History

• Authority G.S. 87-1; 87-4; 87-10
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1994; June 1, 1992; May 1, 1989; January 1, 1983
• Temporary Amendment Eff. February 18, 1997
• Amended Eff. April 1, 2014; June 1, 2011; September 1, 2009; April 1, 2004; April 1, 2003; August 1, 2002; April 1, 2001; August 1, 2000; August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. September 1, 2019; April 1, 2018
• Recodified from 21 NCAC 12 .0202 Eff. January 2, 2020
• Temporary Amendment Eff. December 2, 2025
• Amended Eff. April 1, 2026; September 1, 2025; December 1, 2023; January 1, 2023; January 1, 2022.

21 NCAC 12A .0203 Limitation of License

History

• Status: repealed
• Authority G.S. 87-1; 87-10
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. January 1, 1983
• Repealed Eff. May 1, 1989
• Recodified from 21 NCAC 12 .0203 Eff. January 2, 2020.

21 NCAC 12A .0204 License Limitations; Eligibility

(a) All licenses shall have an appropriate limitation as set forth in this Rule.

(b) Limited License. The applicant for a limited license shall:

(1) meet the requirements set out in G.S. 87-10 and Section .0400 of this Chapter;

(2) have current assets that exceed the total current liabilities by at least seventeen thousand dollars ($17,000) or have a total net worth of at least eighty thousand dollars ($80,000);

(3) pass the examination which shall contain subject matter related to the specific contracting classification chosen by the applicant with a score as set out in Rule .0404 of this Chapter; and

(4) if the applicant or any owner, principal, or qualifier is in bankruptcy or has been in bankruptcy within five years prior to the filing of the application, provide to the Board an agreed-upon procedures report on a form provided by the Board or an audited financial statement with a classified balance sheet as part of the application. This requirement shall not apply to shareholders of an applicant that is a publicly traded corporation.

(c) Intermediate License. The applicant for an intermediate license shall:

(1) meet the requirements set out in G.S. 87-10 and Section .0400 of this Chapter;

(2) have current assets that exceed the total current liabilities by at least seventy-five thousand dollars ($75,000), as reflected in an agreed-upon procedures report on a form provided by the Board or an audited financial statement prepared by a certified public accountant or an independent accountant who is engaged in the public practice of accountancy; and

(3) pass the examination which shall contain subject matter related to the specific contracting classification chosen by the applicant with a score as set out in Rule .0404 of this Chapter.

(d) Unlimited License. The applicant for an unlimited license shall:

(1) meet the requirements set out in G.S. 87-10 and Section .0400 of this Chapter;

(2) have current assets that exceed the total current liabilities by at least one hundred fifty thousand dollars ($150,000), as reflected in an agreed-upon procedures report on a form provided by the Board or an audited financial statement prepared by a certified public accountant or an independent accountant who is engaged in the public practice of accountancy;

(3) pass the examination which shall contain subject matter related to the specific contracting classification chosen by the applicant with a score as set out in Rule .0404 of this Chapter.

(e) Surety Bonds. In lieu of demonstrating the level of working capital as required in Subparagraphs (c)(2) and (d)(2) of this Rule or net worth under Subparagraph (b)(2) of this Rule, an applicant may obtain a surety bond from a surety authorized to transact surety business in North Carolina pursuant to G.S. 58 Articles 7, 16, 21, or 22. The surety shall maintain a rating from A.M. Best, or its successor rating organization, of either Superior (A++ or A+) or Excellent (A or A-). The bond shall be continuous in form and shall be maintained in effect for as long as the applicant maintains a license to practice general contracting in North Carolina or until the applicant demonstrates the required level of working capital as required by Subparagraphs (c)(2) and (d)(2) of this Rule. The applicant shall submit proof of a surety bond meeting the requirements of this Rule with the application form and subsequent annual license renewal forms. The applicant shall maintain the bond in the amount of one hundred seventy-five thousand dollars ($175,000) for a limited license, five hundred thousand dollars ($500,000) for an intermediate license, and one million dollars ($1,000,000) for an unlimited license. The bond shall list the State of North Carolina as obligee and be for the benefit of any person who is damaged by an act or omission of the applicant constituting breach of a construction contract, breach of a contract for the furnishing of labor, materials, or professional services to construction undertaken by the applicant, or by an unlawful act or omission of the applicant in the performance of a construction contract. The bond required by this Rule shall be in addition to and not in lieu of any other bond required of the applicant by law, regulation, or any party to a contract with the applicant. Should the surety cancel the bond, the surety and the applicant both shall notify the Board within 30 days in writing. If the applicant fails to provide written proof of financial responsibility in compliance with this Rule within 30 days of the bond's cancellation, then the applicant's license shall be suspended until written proof of compliance is provided.

(f) Financial statements, accounting, and reporting standards. Financial statements submitted by applicants to the Board shall be no older than twelve months from the date of submission. Financial statements shall conform to United States "generally accepted accounting principles" (GAAP). The Board may require non-GAAP financial statements from applicants wherein the only exception to GAAP is that such presentation is necessary to ascertain the working capital or net worth of the particular applicant. Examples of the circumstances when non-GAAP presentation may be necessary to ascertain the working capital or net worth of the applicant shall be when the only exception to GAAP is that assets and liabilities are classified as "current" and "noncurrent" on personal financial statements and when the only exception to GAAP is that the particular applicant is not combined with a related entity into one financial statement pursuant to AICPA Financial Interpretation 46R (ASC 810). The terminologies, working capital, balance sheet with current and fixed assets, current and long term liabilities, and any other accounting terminologies, used herein shall be construed in accordance with GAAP Standards as promulgated by the Financial Accounting Standards Board (FASB). The terminologies, audited financial statement, unqualified opinion, and any other auditing terminologies used herein shall be construed in accordance with those standards referred to as "generally accepted auditing standards" (GAAS) as promulgated by the American Institute of Certified Public Accountants (AICPA).

History

• Authority G.S. 87-1; 87-4; 87-10; 87-15.1
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. January 1, 1983
• ARRC Objection March 19, 1987
• Amended Eff. May 1, 1989; August 1, 1987
• Temporary Amendment Eff. June 28, 1989 for a Period of 155 Days to Expire on December 1, 1989
• Amended Eff. December 1, 1989
• Temporary Amendment Eff. May 31, 1996
• RRC Removed Objection Eff. October 17, 1996
• Amended Eff. August 1, 1998; April 1, 1997
• Temporary Amendment Eff. August 24, 1998
• Amended Eff. April 1, 2014; April 1, 2013; August 1, 2008; April 1, 2006; March 1, 2005; August 1, 2002; April 1, 2001; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. September 1, 2019; April 1, 2018
• Recodified from 21 NCAC 12 .0204 Eff. January 2, 2020.

21 NCAC 12A .0205 Qualifier

(a) The qualifier for the applicant shall be a responsible managing employee, officer, or member of the personnel of the applicant. A person may serve as a qualifier for no more than two licenses. A qualifier's examination credentials shall archive if the qualifier does not serve as a qualifier for an active licensee for a period of four consecutive years. Once a qualifier's examination credentials archive, he or she shall retake the examination and earn a passing grade in accordance with Rule .0404 of this Chapter to serve as a qualifier.

(b) Subject to the provisions of G.S. 150B and Section .0800 of these Rules, the Board may reject the application of an applicant seeking qualification by employment of a person who has already passed an examination if such person has previously served as qualifier for a licensee that has been disciplined by the Board.

(c) A licensee shall notify the Board in writing in the event a qualifier ceases to be connected with the licensee. The notice shall include the date on which the qualifier was last connected with the licensee and shall be submitted no later than 10 days after the date of separation. A qualifier shall also be required to notify the Board in writing in such circumstances. After such notice is filed with the Board in writing, or the Board determines that the qualifier is no longer connected with the licensee, and if there are no additional qualifiers for the licensee, the license shall be invalidated in accordance with G.S. 87-10.

(d) Persons associated with a firm or corporation may take the required examination on behalf of the firm or corporation as described in G.S. 87-10. A partner may take an examination on behalf of a partnership.

(e) "Responsible managing" as used in G.S. 87-10 means a person who is engaged in the work of the applicant a minimum of 20 hours per week or a majority of the hours operated by the applicant, whichever is less. If the person described herein is not an owner, officer, or partner of the applicant or licensee, the person must be a W-2 employee.

(f) "Members of the personnel" as used in G.S. 87-10 means a person who is a responsible managing employee of the applicant or licensee. A member of the personnel must be a W-2 employee and shall not be an independent contractor of the applicant or licensee.

(g) An applicant or licensee may have more than one qualifier. If one person associated with the applicant fails, and another passes, the license shall be granted to that applicant. A license shall be issued only in the classification held by a qualifier who has passed an examination in that classification.

History

• Authority G.S. 87-1; 87-4; 87-10; 87-11(a)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 2014; July 1, 2008; April 1, 2006; August 1, 2000; June 1, 1994; June 1, 1992; May 1, 1989; July 1, 1987
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. September 1, 2019; September 1, 2018; April 1, 2018
• Recodified from 21 NCAC 12 .0205 Eff. January 2, 2020.

21 NCAC 12A .0206 Joint Venture

History

• Status: repealed
• Authority G.S. 87-1; 87-10
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. May 1, 1989
• Recodified from 21 NCAC 12 .0206 Eff. January 2, 2020.

21 NCAC 12A .0207 Joint Venture

A joint venture may practice general contracting in North Carolina if every principal or member of the joint venture is licensed to practice general contracting in North Carolina with the appropriate classification and at least one principal has the appropriate limitation, or if the joint venture obtains a general contracting license in its own name in accordance with G.S. 87-10 and these Rules. If an LLC is a joint venturer, all members and managers of the LLC shall be licensed to practice general contracting in North Carolina with the appropriate classification and limitation.

History

• Authority G.S. 87-1; 87-10
• Eff. June 1, 1992
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0207 Eff. January 2, 2020.

21 NCAC 12A .0208 Construction Management

(a) The phrase "undertakes to superintend or manage" as used in G.S. 87-1 to describe a person, firm, or corporation deemed to be a general contractor means that the person, firm, or corporation shall be responsible for superintending or managing the construction of an entire project, and either contracts directly with subcontractors to perform the construction for the project or is compensated for superintending or managing the project based upon the cost of the project or the time taken to complete the project. The person, firm, or corporation shall hold a general contracting license in the classifications and limitation applicable to the construction of the project.

(b) The phrase "undertakes to superintend or manage" described in Paragraph (a) of this Rule shall not include the following:

(1) an architect or engineer licensed in North Carolina who is supervising the execution of design plans for the project owner and who does not contract directly with subcontractors to perform the construction for the project; or

(2) subject to the conditions stated within this Subparagraph and Paragraph (c), any person, firm, or corporation retained by an owner of real property as a consultant, agent, or advisor to perform development-related functions, including:

(A) assisting with site planning and design;

(B) formulating a development scheme;

(C) obtaining zoning and other entitlements;

(D) tenant selection and negotiation;

(E) interfacing and negotiating with the general contractor, engineer, architect, other construction and design professionals, and other development consultants with whom the land owner separately contracts, including, negotiating contracts on the owner's behalf, assisting with scheduling issues, ensuring that any disputes between such parties are resolved to the owner's satisfaction, and otherwise ensuring that such parties are proceeding in an efficient, coordinated manner to complete the project;

(F) providing cost estimates, bids, and budgeting;

(G) monitoring the progress of development activities performed by other parties;

(H) arranging and negotiating governmental incentives and entitlements; and

(I) selecting and sequencing sites for development.

(c) The exclusions set forth in Subparagraph (b)(2) shall not apply, however, unless the following conditions are satisfied:

(1) the owner has retained a licensed general contractor or licensed general contractors to construct the entire project or to directly superintend and manage all construction work in which the person, firm, or corporation has any involvement and that would otherwise require the use of a licensed general contractor; and

(2) the use of the person, firm, or corporation will not impair the general contractor's ability to communicate directly with the owner and to verify the owner's informed consent and ratification of the directions and decisions made by the person, firm, or corporation to the extent that such directions or decisions affect the construction activities otherwise requiring the use of a licensed general contractor. For the purposes of this Subparagraph, the general contractor shall be entitled to make a written demand for written verification from the owner of any directions given or decisions made by such a person, firm, or corporation on the owner's behalf. In that regard, if the general contractor delivers a written request directly to the owner asking that the owner confirm in writing that the owner desires that the general contractor perform consistent with a direction or decision made by such person, firm, or corporation:

(A) the general contractor shall not be obligated to follow such direction or decision in question until such time as the owner provides written verification of the direction or decision; and

(B) if the third party person, firm, or corporation whose direction or decision is being questioned by the general contractor attempts to itself provide the confirmation requested from the owner by the general contractor as provided above, such person, firm, or corporation shall be deemed to be "undertaking to superintend or manage" as described in Paragraph (a) of this Rule.

History

• Authority G.S. 87-1; 87-4
• Eff. May 1, 1995
• Amended Eff. June 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0208 Eff. January 2, 2020.

21 NCAC 12A .0209 Assumed Name Application

(a) Any application made pursuant to G.S. 87-10 shall be accompanied by a Certificate of Assumed Name filed in accordance with Chapter 66, Article 14A of the General Statutes. Applications submitted to the Board on behalf of corporations, limited liability companies, and partnerships shall be accompanied by a copy of any documents required to be filed with the North Carolina Secretary of State's office, such as Articles of Incorporation or Certificate of Authority.

(b) All licensees shall comply with the requirements of G.S. 66-71.4 and shall notify the Board within 30 days of any change in the name in which the licensee is conducting business in the State of North Carolina.

(c) No applicant or licensee shall use or adopt an assumed name used by any other licensee, or any name so similar to an assumed name used by another licensee that could confuse or mislead the public.

(d) No applicant or licensee that is a legal entity registered with the North Carolina Secretary of State shall use or adopt an assumed name of a separate legal entity registered with the North Carolina Secretary of State.

History

• Authority G.S. 66-71.4; 87-1; 87-4; 87-10
• Eff. August 1, 2000
• Amended Eff. April 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. September 1, 2018
• Recodified from 21 NCAC 12 .0209 Eff. January 2, 2020
• Amended Eff. March 1, 2022.

21 NCAC 12A .0210 Building Projects

If a building project is performed pursuant to G.S. 87-1.1, the total amount of work to be performed by all licensed general contractors shall not exceed 25% of the total bid price. A licensed general contractor shall hold the applicable classifications and limitation for the work undertaken by such licensed general contractor.

History

• Authority G.S. 87-1.1; 87-4
• Eff. April 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Recodified from 21 NCAC 12 .0210 Eff. January 2, 2020
• Amended Eff. March 1, 2022.

21 NCAC 12A .0211 Multiunit Buildings

(a) If a project consists of the construction or alteration of one or more buildings that fall under the requirements of the North Carolina Building Code, all structures and units on the same parcel of land shall be considered as a single project.

(b) If a project consists of the construction or alteration of one or more buildings that fall under the requirements of the North Carolina Residential Code, only structures and units on the same parcel of land shall be considered as one project.

(c) The North Carolina State Building Code standards are hereby incorporated by reference, including subsequent amendments and editions. The current Code may be found online at http://www.ncdoi.com/OSFM/Engineering_and_Codes/Default.aspx?field1=Codes_-_Current_and_Past&user=State_Building_Codes.

History

• Authority G.S. 87-1; 87-4; 87-10
• Eff. August 11, 2009
• Amended Eff. April 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0211 Eff. January 2, 2020.

21 NCAC 12A .0212 Permits and Inspections

(a) A licensee shall obtain all necessary building permits from the local Code Enforcement Agency before commencing any work for which a building permit is required. After obtaining the necessary building permits, a licensee shall obtain all required inspections and assure that all inspections required by codes adopted by the N.C. Building Code Council are passed by the local Code Enforcement Official or a designee. Absent a written acknowledgement by a local Code Enforcement Official, a licensee shall not be relieved of his, her, or its responsibility to complete all required inspections until a certificate of compliance or the equivalent is obtained from the local Code Enforcement Agency.

(b) A licensee shall not allow a building permit to be obtained or allow his, her, or its license number to appear on a building permit application unless:

(1) the licensee is the owner of the property; or

(2) the licensee has an agreement with the property owner or his or her designee to perform work described in the building permit.

(c) Failure to comply with this Rule shall constitute misconduct as described in G.S. 87-11.

History

• Authority G.S. 87-1; 87-11; 87-14; 160A-417; 160D-1110
• Eff. July 1, 2021.

21 NCAC 12A .0301 General

History

• Status: repealed
• Authority G.S. 87-1; 87-10
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Repealed Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0301 Eff. January 2, 2020.

21 NCAC 12A .0302 Request

History

• Status: repealed
• Authority G.S. 87-1; 87-10; 150B-19(5)
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 2006; December 1, 1995; June 1, 1992
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Repealed Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0302 Eff. January 2, 2020.

21 NCAC 12A .0303 Application for Licensure

(a) General. Applications for licensure shall contain the following:

(1) the Social Security Number of examinees and qualifiers and tax identification numbers for corporate applicants;

(2) the applicant's contact information;

(3) the name of business under which the licensee will be operating, if any;

(4) requested designation of license limitation and classifications;

(5) statements and supporting documentation about all crimes of which the applicant has been convicted;

(6) certified copies of court records reflecting information regarding all crimes of which the applicant and qualifiers have been convicted;

(7) statements and supporting documentation indicating whether the applicant or qualifiers has any disciplinary history with the Board or any other occupational licensing, registration, or certification agency;

(8) statements and supporting documentation establishing financial responsibility as required by G.S. 87-10(a) and Rule .0204 of this Subchapter;

(9) letters of reference as prescribed in Rule .0308 of this Subchapter; and

(10) the application fee as set forth in Rule .0304 of this Subchapter.

(b) Criminal Background Check. In addition to the requirements set forth above, all new applicants shall consent to criminal background checks to be performed by a third-party vendor identified by the Board. The cost of the background check shall be paid directly to the vendor. The qualifiers of all new applicants and any qualifier being added to an existing license shall submit to the background check. Additionally, the following individuals shall submit to the background check, based upon the entity or person applying for the license:

(1) Sole proprietor license: The sole proprietor;

(2) Corporation: The president;

(3) Limited liability company: All managers and members;

(4) Partnerships (including limited liability partnerships): All partners.

(c) Reciprocity. Applicants based on reciprocity shall submit with the application form a copy of the applicant's license in the other state, certified by the other state licensing board as being a copy of a valid license. Applicants shall have taken and passed the exam offered in the state from which they are seeking reciprocity, or an examination offered by the National Association of State Contractors Licensing Agencies (NASCLA). Applicants shall also be required to take and pass the Board's North Carolina law, rule, and building code examination prior to licensure.

History

• Authority G.S. 87-1; 87-4; 87-10
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. September 1, 2019; April 1, 2018
• Recodified from 21 NCAC 12 .0303 Eff. January 2, 2020
• Amended Eff. September 1, 2025; January 1, 2023; March 1, 2022.

21 NCAC 12A .0304 Fees

(a) The Board shall charge the following fees related to license applications:

(1) Application for limited license: $75.00;

(2) Application for intermediate license: $100.00;

(3) Application for unlimited license: $125.00;

(4) Application for increase in limitation: $100.00 for increase to intermediate license and $125.00 for increase to unlimited license; and

(5) Late renewal: $10.00 per month for every month or part after the first day of January.

(b) The Board shall charge the following fees related to continuing education:

(1) Course Sponsor:

(A) Initial review: $25.00 per credit hour requested; and

(B) Subsequent annual review: $10.00 per credit hour requested.

(2) Qualifier Completion: $4.00 per credit hour per qualifier who completes an approved continuing education course. This fee shall be paid by the course sponsor.

(c) All fees charged by the Board shall be non-refundable.

History

• Authority G.S. 87-1; 87-10; 87-10.2(i)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. January 1, 1983
• Repealed Eff. May 1, 1989
• Codifier approved agency's waiver request to reuse rule number
• Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0304 Eff. January 2, 2020
• Temporary Amendment Eff. January 7, 2020
• Amended Eff. September 1, 2020.

21 NCAC 12A .0305 Filing Address

History

• Status: repealed
• Authority G.S. 87-1; 87-10
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Repealed Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0305 Eff. January 2, 2020.

21 NCAC 12A .0306 Filing Deadline

History

• Status: repealed
• Authority G.S. 87-1; 87-10
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1994; June 1, 1992
• Repealed Eff. April 1, 2001
• Recodified from 21 NCAC 12 .0306 Eff. January 2, 2020.

21 NCAC 12A .0307 Notice of Approval

History

• Status: repealed
• Authority G.S. 87-1; 87-10
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Repealed Eff. August 1, 2000
• Recodified from 21 NCAC 12 .0307 Eff. January 2, 2020.

21 NCAC 12A .0308 Character References

History

• Status: repealed
• Authority G.S. 87-1; 87-10
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. September 1, 2019
• Recodified from 21 NCAC 12 .0308 Eff. January 2, 2020
• Amended Eff. December 1, 2023
• Repealed Eff. September 1, 2025.

21 NCAC 12A .0309 Licensure for Military-Trained Applicant; Licensure for Military Spouse

(a) Licensure for a military-trained applicant. Upon receipt of a request for licensure pursuant to G.S. 93B-15.1 from a military-trained applicant, the Board shall issue a license to the applicant who satisfies the following conditions:

(1) submission of a complete Application for License to Practice General Contracting;

(2) submission of a license fee in accordance with G.S. 87-10;

(3) providing documentation to satisfy conditions set out in G.S. 93B-15.1(a)(1) and (2); and

(4) providing documentation that the applicant has not committed any act in any jurisdiction that would constitute grounds for refusal, suspension, or revocation of a license in North Carolina at the time the act was committed.

(b) Licensure for a military spouse. Upon receipt of a request for licensure pursuant to G.S. 93B-15.1 from a military spouse, the Board shall issue a license to the applicant who satisfies the following conditions:

(1) submission of a complete Application for License to Practice General Contracting;

(2) submission of a license fee in accordance with G.S. 87-10;

(3) submission of written documentation demonstrating that the applicant is married to an active member of the U.S. military;

(4) providing documentation to satisfy conditions set out in G.S. 93B-15.1(b)(1) and (2);

(5) providing documentation that the applicant has not committed any act in any jurisdiction that would constitute grounds for refusal, suspension, or revocation of a license in North Carolina at the time the act was committed; and

(6) is in good standing and has not been disciplined by the agency that had jurisdiction to issue the license, certification, or permit.

History

• Authority G.S. 87-4; 93B-15.1
• Eff. April 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Recodified from 21 NCAC 12 .0309 Eff. January 2, 2020.

21 NCAC 12A .0401 General

History

• Status: repealed
• Authority G.S. 87-1; 87-10; 87-15.1
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. May 1, 1989
• Recodified from 21 NCAC 12 .0401 Eff. January 2, 2020.

21 NCAC 12A .0402 Subject Matter

(a) Examinations for licensure shall ascertain the following:

(1) The criteria set out in G.S. 87-10(b); and

(2) The qualifiers's knowledge of the practice of general contracting within the specific classification(s) he or she is seeking to be qualified as described in Rule .0202 of this Chapter.

(b) As a part of the Board's examination process, all applicants, including those seeking reciprocity from other jurisdictions, shall be tested on the Board's laws and rules.

History

• Authority G.S. 87-1; 87-10
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2000; June 1, 1994; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Repealed Eff. April 1, 2018
• Codifier approved agency's waiver request to reuse rule number
• Eff. September 1, 2019
• Recodified from 21 NCAC 12 .0402 Eff. January 2, 2020.

21 NCAC 12A .0403 Number of Examinations Taken

An applicant must take one different examination for each classification of general contracting for which the applicant seeks licensure.

History

• Authority G.S. 87-1; 87-10
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Recodified from 21 NCAC 12 .0403 Eff. January 2, 2020.

21 NCAC 12A .0404 Passing Grade

Persons taking the examination shall receive a score of at least 70 in order to pass the examination.

History

• Authority G.S. 87-1; 87-10
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. January 1, 1983
• Repealed Eff. May 1, 1989
• Codifier approved agency's waiver request to reuse rule number
• Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0404 Eff. January 2, 2020.

21 NCAC 12A .0405 Examination Schedule

Upon approval of the application by the Board, applicants will be notified as to the instructions for scheduling the required examination or examinations. Applicants may receive details from the examinations provider concerning the actual date, time and location to report for the examination or examinations requested.

History

• Authority G.S. 87-1; 87-10
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2000; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Recodified from 21 NCAC 12 .0405 Eff. January 2, 2020.

21 NCAC 12A .0406 Filing Deadline

History

• Status: repealed
• Authority G.S. 87-1; 87-10
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. January 1, 1983
• Repealed Eff. May 1, 1989
• Recodified from 21 NCAC 12 .0406 and .0407 Eff. January 2, 2020.

21 NCAC 12A .0407 Re-Examination

History

• Status: repealed
• Authority G.S. 87-1; 87-10
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. January 1, 1983
• Repealed Eff. May 1, 1989
• Recodified from 21 NCAC 12 .0406 and .0407 Eff. January 2, 2020.

21 NCAC 12A .0408 Person Taking Examination

History

• Status: repealed
• Authority G.S. 87-1; 87-10
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 2006; September 1, 1992; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Repealed Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0408 Eff. January 2, 2020.

21 NCAC 12A .0409 Review Workshop Charge

History

• Status: repealed
• Authority G.S. 87-10; 150B-19(5)d
• Eff. June 1, 1992
• Repealed Eff. April 1, 2004
• Recodified from 21 NCAC 12 .0409 Eff. January 2, 2020.

21 NCAC 12A .0410 Failing Examination

History

• Status: repealed
• Authority G.S. 87-10
• Eff. December 1, 1995
• Amended Eff. August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Repealed Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0410 Eff. January 2, 2020.

21 NCAC 12A .0501 License Granted

(a) License numbers shall be included on all contracts and bids.

(b) If a licensee files Articles of Dissolution or the N.C. Department of the Secretary of State withdraws the licensee's Certificate of Authority, the Board shall archive the license.

(c) A licensee shall notify the Board within 30 days of a change in ownership or a filing with the N.C. Department of the Secretary of State that amends or changes the corporate structure of the licensed entity.

History

• Authority G.S. 87-1; 87-10; 87-12
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. September 1, 2019; April 1, 2018
• Recodified from 21 NCAC 12 .0501 Eff. January 2, 2020
• Amended Eff. January 1, 2022.

21 NCAC 12A .0502 Temporary License

The Board shall issue a temporary license only as required by G.S. 93B-15.1.

History

• Authority G.S. 87-1; 87-10
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0502 Eff. January 2, 2020.

21 NCAC 12A .0503 Renewal of License

(a) Applications for renewal of license shall contain the following:

(1) the Social Security Number of the applicant and qualifier(s) and tax identification number for corporations, LLCs, or partnerships;

(2) the applicant's contact information;

(3) the name of business under which licensee will be operating, if any;

(4) information regarding any changes made in the status of the licensee's business, since the initial application or last renewal was submitted to the Board, whichever is later;

(5) confirmation of license limitation and classifications;

(6) information about all crimes of which the applicant has been convicted since the initial application or last renewal was submitted to the Board, whichever is later;

(7) documentation regarding all crimes referenced above;

(8) information indicating whether the applicant has any disciplinary history with any other occupational licensing, registration, or certification agency since the initial application or last renewal was submitted to the Board, whichever is later;

(9) an attestation that the applicant maintains continued financial responsibility pursuant to Rule .0204 of this Chapter;

(10) if applicable, proof that the surety bond is maintained in compliance with Rule .0204 of this Chapter;

(11) if necessary, proof of completion of continuing education requirements; and

(12) the application fee and any accrued late fees as set forth in Rule .0304 of this Chapter.

(b) A licensee shall submit an audited financial statement as evidence of continued financial responsibility in accordance with Rule .0204 of this Chapter if the Board finds that the licensee is insolvent, financially unstable, or unable to meet its financial responsibilities based upon the information provided in the renewal application.

(c) A licensee shall provide the Board with a copy of any bankruptcy petition filed by the licensee within 30 days of its filing. A licensee in bankruptcy shall provide to the Board an agreed-upon procedures report on a form provided by the Board or an audited financial statement with a classified balance sheet as part of any application for renewal.

(d) A corporate license shall not be renewed unless it is in good standing with the N.C. Department of the Secretary of State.

(e) Upon receipt of a written request by or on behalf of a licensee who is currently in good standing with the Board, is serving in the armed forces of the United States, and to whom G.S. 105-249.2 grants an extension of time to file a tax return, the Board shall grant that same extension of time for complying with renewal application deadlines, for paying renewal fees, and for meeting any other requirement or conditions related to the maintenance or renewal of the license issued by the Board. The applicant shall furnish to the Board a copy of the military orders or the extension approval by the Internal Revenue Service or by the North Carolina Department of Revenue.

(f) If a licensee's status is invalid for reasons other than those set forth in G.S. 87-10.2(h) and the licensee requests to renew his, her, or its license, the licensee must submit proof of completion of six elective hours of continuing education for each year not previously renewed and for the current license year and two mandatory hours for the current year.

History

• Authority G.S. 87-1; 87-4; 87-10; 87-10.2; 87-12; 87-13; 93B-15
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• ARRC Objection March 19, 1987
• Amended Eff. May 1, 1989; August 1, 1987
• Temporary Amendment Eff. June 28, 1989 for a period of 155 Days to Expire on December 1, 1989
• Amended Eff. December 1, 1989
• RRC Removed Objection of March 19, 1987 Eff. August 20, 1992 based on subsequent amendment
• Amended Eff. September 1, 1992
• Temporary Amendment Eff. May 31, 1996
• Amended Eff. April 1, 2014; June 1, 2011; June 1, 2003; April 1, 2003; August 1, 2002; April 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. September 1, 2019; April 1, 2018
• Recodified from 21 NCAC 12 .0503 Eff. January 2, 2020
• Temporary Amendment Eff. January 2, 2020
• Amended Eff. July 1, 2021; September 1, 2020.

21 NCAC 12A .0504 Increase in Limitation

(a) General. A person, firm, or corporation holding a valid license to engage in the practice of general contracting in North Carolina may apply for a different limitation by making application for such different limitation with the Board. The application shall contain the following:

(1) the Social Security Number of individual applicant, qualifier(s), and tax identification number for corporations, LLCs, or partnerships;

(2) the applicant's contact information;

(3) the exact name of the business as reflected on the previously issued license that is subject to the limitation increase application;

(4) information regarding any changes made in the status of the licensee's business since the initial application or last renewal was submitted to the Board, whichever is later;

(5) confirmation of license limitation and classifications;

(6) requested limitation;

(7) an audited financial statement prepared in accordance with Rule .0204 of this Chapter;

(8) if applicable, proof that the surety bond is maintained in compliance with Rule .0204 of this Chapter; and

(9) the application fee as set forth in Rule .0304 of this Chapter.

(b) Eligibility. An applicant shall be eligible for a new limitation if he or she possesses the qualifications necessary in accordance with Rule .0204 of this Chapter, except that he or she shall not be required to take a written exam.

History

• Authority G.S. 87-1; 87-4; 87-10
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; January 1, 1983
• Temporary Amendment Eff. June 28, 1989, for a period of 155 days to expire on December 1, 1989
• Amended Eff. August 1, 2000; December 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0504 Eff. January 2, 2020.

21 NCAC 12A .0505 Maintaining Current Address; Notification

(a) All licensees, applicants, and qualifiers shall notify the Board of any change in mailing address, phone number, or email address within 30 days from the date of the change. Notice shall be given in writing or through the Board's website portal for licensees.

(b) Notification from the Board shall be deemed received if mailed to the address provided by the licensee and shown in the records of the Board.

History

• Authority G.S. 87-8
• Eff. June 1, 1992
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0505 Eff. January 2, 2020.

21 NCAC 12A .0506 Charge for Status of Licensure

The Board shall charge persons requesting a verified copy of all or part of its roster of licensed contractors a fee to cover the cost of copying and mailing.

History

• Authority G.S. 87-8; 87-13; 150B-19(5)
• Eff. June 1, 1992
• Amended Eff. May 1, 2006; May 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0506 Eff. January 2, 2020.

21 NCAC 12A .0507 Fund Suspension

In the event the Board's authority to expend funds is suspended pursuant to G.S. 93B-2, the Board shall continue to issue and renew licenses and all fees tendered shall be placed in an escrow account maintained by the Board for this purpose. Once the Board's authority is restored, the funds shall be moved from the escrow account into the general operating account.

History

• Authority G.S. 87-4; 93B-2
• Eff. June 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Recodified from 21 NCAC 12 .0507 Eff. January 2, 2020.

21 NCAC 12A .0508 Reporting Criminal Convictions and Disciplinary Actions

(a) Any licensee who is convicted of any felony or misdemeanor, or who is disciplined by or enters into a conciliation agreement or consent order with any governmental agency in connection with any occupational license, shall file with the Board a Criminal Conviction Disciplinary Action Reporting Form of such conviction or action within 60 days of the final judgment, order, or disposition in the case. The Criminal Conviction Disciplinary Action Reporting Form is available on the Board's website at www.nclbgc.org or upon request to the Board. In the Form, the licensee shall set forth the following:

(1) full legal name of individual reporting the conviction or conciliation;

(2) physical and mailing address;

(3) license number;

(4) telephone number;

(5) email address;

(6) date of birth; and

(7) description of the criminal conviction and disciplinary action, including the jurisdiction and file number.

(b) For the purposes of reporting under this Rule, the individuals required to report the above-listed information are the same as those required to submit to a criminal background check and identified in Rule .0303 of this Subchapter.

History

• Authority G.S. 87-10
• Eff. March 1, 2022.

21 NCAC 12A .0601 Petitions

History

• Status: repealed
• Authority G.S. 150A-12; 150A-12(d); 150A-13; 150A-16; 150A-17
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Repealed Eff. January 1, 1983
• Recodified from 21 NCAC 12 .0601-.0605 Eff. January 2, 2020.

21 NCAC 12A .0602 Notice

History

• Status: repealed
• Authority G.S. 150A-12; 150A-12(d); 150A-13; 150A-16; 150A-17
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Repealed Eff. January 1, 1983
• Recodified from 21 NCAC 12 .0601-.0605 Eff. January 2, 2020.

21 NCAC 12A .0603 Hearings

History

• Status: repealed
• Authority G.S. 150A-12; 150A-12(d); 150A-13; 150A-16; 150A-17
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Repealed Eff. January 1, 1983
• Recodified from 21 NCAC 12 .0601-.0605 Eff. January 2, 2020.

21 NCAC 12A .0604 Emergency Rules

History

• Status: repealed
• Authority G.S. 150A-12; 150A-12(d); 150A-13; 150A-16; 150A-17
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Repealed Eff. January 1, 1983
• Recodified from 21 NCAC 12 .0601-.0605 Eff. January 2, 2020.

21 NCAC 12A .0605 Declaratory Rulings

History

• Status: repealed
• Authority G.S. 150A-12; 150A-12(d); 150A-13; 150A-16; 150A-17
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Repealed Eff. January 1, 1983
• Recodified from 21 NCAC 12 .0601-.0605 Eff. January 2, 2020.

21 NCAC 12A .0606 Rule-Making

History

• Status: repealed
• Authority G.S. 150A-11; 150A-14
• Eff. January 1, 1983
• Amended Eff. December 1, 1985
• Repealed Eff. September 1, 1988
• Recodified from 21 NCAC 12 .0606 Eff. January 2, 2020.

21 NCAC 12A .0607 Waiver

The Board may waive any rule in this Chapter that is not statutorily required if a licensee, qualifier, continuing education course provider, or continuing education course instructor submits a written request. Factors the Board shall use in determining whether to grant the waiver are:

(1) degree of disruption to the Board;

(2) cost to the Board;

(3) degree of benefit to the public;

(4) whether the requesting party had control over the circumstances that required the requested waiver;

(5) notice to and opposition by the public;

(6) need for the waiver; and

(7) previous requests for waivers submitted from the requesting party.

History

• Authority G.S. 87-10.2(j); 150B-19
• Emergency Adoption Eff. April 24, 2020
• Temporary Adoption Eff. July 24, 2020
• Eff. July 1, 2021.

21 NCAC 12A .0701 Improper Practice

(a) Complaint. Any person who believes that a licensed general contractor is in violation of the provisions of G.S. 87-11 may file a complaint with the Board against a licensee, qualifier, or both by setting forth in writing those charges and swearing to their authenticity. The complaint shall be submitted to the Board and include the complainant's contact information, project location, and name of the licensee, qualifier, or both.

(b) Preliminary or Threshold Determination:

(1) A complaint filed in accordance with G.S. 87-11(a1) shall be forwarded to a staff investigator for investigation. Within 30 days, the Board shall forward a written notice of the complaint to the licensee and qualifier(s) against whom the charge is made. The notice shall request a response from the licensee and qualifier(s). The Board shall send notice of the charge and of the alleged facts or alleged conduct through the Board's licensure portal and by email to the address of the licensee and qualifier(s).

(2) After the investigation is complete, the charge shall be referred to the review committee. The review committee shall consist of the following individuals:

(A) one member of the Board;

(B) the Secretary-Treasurer or his designee; and

(C) a staff person agreed upon by the individuals listed above.

(3) Based upon the complaint and investigation, the review committee shall recommend to the Board that:

(A) The charge be dismissed;

(B) When the charge is admitted as true by the licensee and qualifier(s), the Board accept the licensee's and qualifier(s') admission of guilt and order the licensee and qualifier(s) not to commit in the future the act or acts admitted by him to have been violated and not to violate any of the acts of misconduct specified in G.S. 87-11 at any time in the future; or

(C) The charge, whether admitted or denied, be presented to the full Board for a hearing and determination by the Board on the merits of the charge in accordance with the substantive and procedural requirements of the provisions of Section .0800 of this Chapter and the provisions of G.S. 87-11. Prior to the charge's being heard and determined by the Board, it may be resolved by consent order.

History

• Authority G.S. 87-4; 87-11; 150B-3; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 2014; June 1, 2011; April 1, 2006; April 1, 2003; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0701 Eff. January 2, 2020
• Amended Eff. September 1, 2025.

21 NCAC 12A .0702 Unlicensed Practice

(a) Complaint. Any person who believes that a person, firm, or corporation is in violation of the acts specified in G.S. 87-13 may file a complaint against that person, firm, or corporation. The complaint shall be filed with the Board and include the complainant's contact information, project location, and name of alleged violator.

(b) Preliminary or Threshold Determination:

(1) A complaint filed in accordance with G.S. 87-13 shall be forwarded to a staff investigator for investigation. Board staff shall investigate the charge to determine whether there is probable cause to believe that a party against whom a charge has been brought violated the provisions of G.S. 87-13.

(2) After the investigation is complete, the charge shall be referred to the review committee. The review committee shall consist of the following individuals:

(A) one member of the Board;

(B) the Secretary-Treasurer or his designee; and

(C) a staff person agreed upon by the individuals listed above.

(3) Based upon the complaint and investigation, if the review committee determines that probable cause exists that a person, firm, or corporation is practicing general contracting without a license, it shall recommend to the Board that injunctive relief be sought. If the Board concurs with the review committee's recommendation, the investigation shall be forwarded to Board counsel to seek injunctive relief. If the review committee does not believe that the person, firm, or corporation is practicing general contracting without a license, it shall recommend to the Board dismissal of the complaint. Once dismissed, the Board shall notify the complainant.

History

• Authority G.S. 87-1; 87-4; 87-13; 87-13.1
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 2014; June 1, 2011; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0702 Eff. January 2, 2020.

21 NCAC 12A .0703 Fee for Submittal of Bad Check

(a) The Board shall charge the maximum processing fee allowed by G.S. 25-3-506 if a check submitted to the Board is returned by a financial institution because of insufficient funds or because the drawer did not have an account at that bank.

(b) Until such time as the drawer of the bad check has paid the prescribed fee, the drawer shall not be eligible to take an examination, review an examination, obtain a license, or have the license renewed. For the purpose of this Rule, "prescribed fee" shall mean the sum of:

(1) the maximum processing fee allowed by G.S. 25-3-506;

(2) the renewal or application fee, whichever is applicable; and

(3) the late payment fee described in G.S. 87-10(e).

(c) Any license that has been issued or renewed based on a check which is returned to the Board shall be invalid until such time as the drawer has paid the prescribed fee. The invalidity of the license or renewal shall commence on the date of the issuance of the license or renewal.

(d) Payment of the prescribed fee to the Board shall be made in the form of a cashier's check, money order, credit card, or debit card.

(e) In the event the drawer of the bad check fails to pay the prescribed fee, during which time the license or renewal lapses for four years, the license shall not be renewed and the licensee for whom the check was to benefit shall fulfill all requirements of a new applicant set forth in G.S. 87-10 and Rules .0303 and .0503 of this Chapter.

History

• Authority G.S. 25-3-506; 87-4; 87-10
• Eff. January 1, 1983
• Amended Eff. April 1, 2014; April 1, 2003; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0703 Eff. January 2, 2020.

21 NCAC 12A .0801 General Rules

History

• Status: repealed
• Authority G.S. 1A-1; Rule 24; 1A-1; Rules 26 through 33; 87-10; 87-11; 87-15.1; 150A-3; 150A-23; 150A-23(a); 150A-24 through 150A-33; 150A-36; 150A-37
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Repealed Eff. January 1, 1983
• Recodified from 21 NCAC 12 .0801-.0815 Eff. January 2, 2020.

21 NCAC 12A .0802 Opportunity for Licensee or Applicant to Have Hearing

History

• Status: repealed
• Authority G.S. 1A-1; Rule 24; 1A-1; Rules 26 through 33; 87-10; 87-11; 87-15.1; 150A-3; 150A-23; 150A-23(a); 150A-24 through 150A-33; 150A-36; 150A-37
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Repealed Eff. January 1, 1983
• Recodified from 21 NCAC 12 .0801-.0815 Eff. January 2, 2020.

21 NCAC 12A .0803 Notice of Contemplated Board Action: Request for Hearing

History

• Status: repealed
• Authority G.S. 1A-1; Rule 24; 1A-1; Rules 26 through 33; 87-10; 87-11; 87-15.1; 150A-3; 150A-23; 150A-23(a); 150A-24 through 150A-33; 150A-36; 150A-37
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Repealed Eff. January 1, 1983
• Recodified from 21 NCAC 12 .0801-.0815 Eff. January 2, 2020.

21 NCAC 12A .0804 Request for Hearing

History

• Status: repealed
• Authority G.S. 1A-1; Rule 24; 1A-1; Rules 26 through 33; 87-10; 87-11; 87-15.1; 150A-3; 150A-23; 150A-23(a); 150A-24 through 150A-33; 150A-36; 150A-37
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Repealed Eff. January 1, 1983
• Recodified from 21 NCAC 12 .0801-.0815 Eff. January 2, 2020.

21 NCAC 12A .0805 Granting Hearing Request

History

• Status: repealed
• Authority G.S. 1A-1; Rule 24; 1A-1; Rules 26 through 33; 87-10; 87-11; 87-15.1; 150A-3; 150A-23; 150A-23(a); 150A-24 through 150A-33; 150A-36; 150A-37
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Repealed Eff. January 1, 1983
• Recodified from 21 NCAC 12 .0801-.0815 Eff. January 2, 2020.

21 NCAC 12A .0806 Notice of Hearing

History

• Status: repealed
• Authority G.S. 1A-1; Rule 24; 1A-1; Rules 26 through 33; 87-10; 87-11; 87-15.1; 150A-3; 150A-23; 150A-23(a); 150A-24 through 150A-33; 150A-36; 150A-37
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Repealed Eff. January 1, 1983
• Recodified from 21 NCAC 12 .0801-.0815 Eff. January 2, 2020.

21 NCAC 12A .0807 Who Shall Hear Contested Cases

History

• Status: repealed
• Authority G.S. 1A-1; Rule 24; 1A-1; Rules 26 through 33; 87-10; 87-11; 87-15.1; 150A-3; 150A-23; 150A-23(a); 150A-24 through 150A-33; 150A-36; 150A-37
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Repealed Eff. January 1, 1983
• Recodified from 21 NCAC 12 .0801-.0815 Eff. January 2, 2020.

21 NCAC 12A .0808 Place of Hearing

History

• Status: repealed
• Authority G.S. 1A-1; Rule 24; 1A-1; Rules 26 through 33; 87-10; 87-11; 87-15.1; 150A-3; 150A-23; 150A-23(a); 150A-24 through 150A-33; 150A-36; 150A-37
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Repealed Eff. January 1, 1983
• Recodified from 21 NCAC 12 .0801-.0815 Eff. January 2, 2020.

21 NCAC 12A .0809 Intervention

History

• Status: repealed
• Authority G.S. 1A-1; Rule 24; 1A-1; Rules 26 through 33; 87-10; 87-11; 87-15.1; 150A-3; 150A-23; 150A-23(a); 150A-24 through 150A-33; 150A-36; 150A-37
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Repealed Eff. January 1, 1983
• Recodified from 21 NCAC 12 .0801-.0815 Eff. January 2, 2020.

21 NCAC 12A .0810 Hearing Officers

History

• Status: repealed
• Authority G.S. 1A-1; Rule 24; 1A-1; Rules 26 through 33; 87-10; 87-11; 87-15.1; 150A-3; 150A-23; 150A-23(a); 150A-24 through 150A-33; 150A-36; 150A-37
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Repealed Eff. January 1, 1983
• Recodified from 21 NCAC 12 .0801-.0815 Eff. January 2, 2020.

21 NCAC 12A .0811 Conduct of Contested Case

History

• Status: repealed
• Authority G.S. 1A-1; Rule 24; 1A-1; Rules 26 through 33; 87-10; 87-11; 87-15.1; 150A-3; 150A-23; 150A-23(a); 150A-24 through 150A-33; 150A-36; 150A-37
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Repealed Eff. January 1, 1983
• Recodified from 21 NCAC 12 .0801-.0815 Eff. January 2, 2020.

21 NCAC 12A .0812 Discovery

History

• Status: repealed
• Authority G.S. 1A-1; Rule 24; 1A-1; Rules 26 through 33; 87-10; 87-11; 87-15.1; 150A-3; 150A-23; 150A-23(a); 150A-24 through 150A-33; 150A-36; 150A-37
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Repealed Eff. January 1, 1983
• Recodified from 21 NCAC 12 .0801-.0815 Eff. January 2, 2020.

21 NCAC 12A .0813 Depositions

History

• Status: repealed
• Authority G.S. 1A-1; Rule 24; 1A-1; Rules 26 through 33; 87-10; 87-11; 87-15.1; 150A-3; 150A-23; 150A-23(a); 150A-24 through 150A-33; 150A-36; 150A-37
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Repealed Eff. January 1, 1983
• Recodified from 21 NCAC 12 .0801-.0815 Eff. January 2, 2020.

21 NCAC 12A .0814 Conduct of Hearing

History

• Status: repealed
• Authority G.S. 1A-1; Rule 24; 1A-1; Rules 26 through 33; 87-10; 87-11; 87-15.1; 150A-3; 150A-23; 150A-23(a); 150A-24 through 150A-33; 150A-36; 150A-37
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Repealed Eff. January 1, 1983
• Recodified from 21 NCAC 12 .0801-.0815 Eff. January 2, 2020.

21 NCAC 12A .0815 Decision of Board

History

• Status: repealed
• Authority G.S. 1A-1; Rule 24; 1A-1; Rules 26 through 33; 87-10; 87-11; 87-15.1; 150A-3; 150A-23; 150A-23(a); 150A-24 through 150A-33; 150A-36; 150A-37
• Eff. February 1, 1976
• Amended Eff. June 23, 1977
• Readopted Eff. September 26, 1977
• Repealed Eff. January 1, 1983
• Recodified from 21 NCAC 12 .0801-.0815 Eff. January 2, 2020.

21 NCAC 12A .0816 Administrative Hearing

History

• Status: repealed
• Authority G.S. 150A-11; 150A-14
• Eff. January 1, 1983
• Amended Eff. December 1, 1985
• Repealed Eff. September 1, 1988
• Recodified from 21 NCAC 12 .0816 Eff. January 2, 2020.

21 NCAC 12A .0817 Right to Hearing

History

• Status: repealed
• Authority G.S. 87-11(b); 150B-11; 150B-38
• Eff. September 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Repealed Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0817 Eff. January 2, 2020.

21 NCAC 12A .0818 Request for Hearing

(a) A person aggrieved as defined by G.S. 150B-2 may submit a request for a hearing pursuant to G.S. 150B-38 before the Board in writing to the Board's office, with the request bearing the notation: REQUEST FOR ADMINISTRATIVE HEARING. The request shall contain the following information:

(1) name and address of the aggrieved person;

(2) a statement of the action taken by the Board that is challenged; and

(3) a statement of the way in which the aggrieved person has been aggrieved.

(b) Upon receipt of a request for a hearing, the Board shall acknowledge the request and schedule a hearing.

History

• Authority G.S. 87-4; 87-11; 150B-38
• Eff. September 1, 1988
• Amended Eff. June 1, 2011; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0818 Eff. January 2, 2020.

21 NCAC 12A .0819 Granting or Denying Hearing Request

(a) The Board shall decide whether to grant a request for a hearing.

(b) The denial of request for a hearing shall be issued immediately upon decision, and in no case later than 60 days after the submission of the request. Such denial shall contain a statement of the reasons leading the Board to deny the request.

(c) Approval of a request for a hearing shall be signified by the issuing of a notice as required by G.S. 150B-38(b).

History

• Authority G.S. 87-11(b); 150B-38
• Eff. September 1, 1988
• Amended Eff. July 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Recodified from 21 NCAC 12 .0819 Eff. January 2, 2020.

21 NCAC 12A .0820 Notice of Hearing

(a) The Board shall give the party or parties in a contested case a notice of hearing not less than 15 days before the hearing. Said notice shall comply with G.S. 150B-38(b).

(b) Based upon information received, if the Board determines that the public health, safety, or welfare requires emergency action, it may issue an order summarily suspending a license or exam credentials. Upon service of the order, the licensee or qualifier to whom the order is directed shall cease the practice of general contracting in North Carolina. The Board shall give notice of hearing pursuant to G.S. 150B-38 following service of the order. The suspension shall remain in effect pending issuance by the Board of a final agency decision pursuant to G.S. 150B-42.

History

• Authority G.S. 87-4; 87-11(b); 150B-3(c); 150B-38
• Eff. October 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0820 Eff. January 2, 2020.

21 NCAC 12A .0821 Who Shall Hear Contested Cases

All administrative hearings will be conducted by the Board, a panel consisting of a majority of the members of the Board, or an administrative law judge designated to hear the case pursuant to G.S. 150B-40(e).

History

• Authority G.S. 87-11(b); 150B-38; 150B-40
• Eff. October 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Recodified from 21 NCAC 12 .0821 Eff. January 2, 2020.

21 NCAC 12A .0822 Informal Procedures

The Board and the party or parties may agree in advance to simplify the hearing by: decreasing the number of issues to be contested at the hearing; accepting the validity of certain proposed evidence; accepting the findings in some other case with relevance to the case at hand; or agreeing to such other matters as may expedite the hearing.

History

• Authority G.S. 87-11(b); 150B-41
• Eff. October 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Recodified from 21 NCAC 12 .0822 Eff. January 2, 2020.

21 NCAC 12A .0823 Petition for Intervention

(a) A person desiring to intervene in a contested case must file a written petition with the Board's office. The request should bear the notation: PETITION TO INTERVENE IN THE CASE OF (Name of case).

(b) The petition must include the following information:

(1) The name and address of petitioner;

(2) The business or occupation of petitioner, where relevant;

(3) A full identification of the hearing in which petitioner is seeking to intervene;

(4) The statutory or non-statutory grounds for intervention;

(5) Any claim or defense in respect of which intervention is sought; and

(6) A summary of the arguments of evidence petitioner seeks to present.

(c) The person desiring to intervene shall serve copies of the petition on all parties to the case.

(d) If the Board determines to allow intervention, notice of that decision will be issued promptly to all parties, and to the petitioner. In cases of discretionary intervention, such notification will include a statement of any limitations of time, subject matter, evidence or whatever else is deemed necessary, which are imposed on the intervenor.

(e) If the Board's decision is to deny intervention, the petitioner will be notified promptly. Such notice will be in writing, identifying the reasons for the denial, and will be issued to the petitioner and all parties.

History

• Authority G.S. 87-11(b); 150B-38
• Eff. October 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Recodified from 21 NCAC 12 .0823 Eff. January 2, 2020.

21 NCAC 12A .0824 Types of Intervention

(a) Intervention of Right. A petition to intervene as of right, as provided in the North Carolina Rules of Civil Procedure, Rule 24, will be granted if the petitioner meets the criteria of that rule and the petition is timely.

(b) Permissive Intervention. A petition to intervene permissibly as provided in the North Carolina Rules of Civil Procedure, Rule 24, will be granted if the petitioner meets the criteria of that rule and the Board determines that:

(1) There is sufficient legal or factual similarity between the petitioner's claimed rights, privileges, or duties and those of the parties to the hearing; and

(2) Permitting intervention by the petitioner as a party would aid the purpose of the hearing.

(c) The Board may allow discretionary intervention, with whatever limits and restrictions are deemed appropriate.

History

• Authority G.S. 87-11(b); 150B-38
• Eff. September 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Recodified from 21 NCAC 12 .0824 Eff. January 2, 2020.

21 NCAC 12A .0825 Disqualification of Board Members

History

• Status: expired
• Authority G.S. 87-11(b); 150B-11; 150B-38; 150B-40
• Eff. October 1, 1988
• Expired Eff. August 1, 2016 pursuant to G.S. 150B-21.3A
• Recodified from 21 NCAC 12 .0825 Eff. January 2, 2020.

21 NCAC 12A .0826 Failure to Appear

Should a party fail to appear at a scheduled hearing, the Board may proceed with the hearing and make its decision in the absence of the party, provided that the party has been given notice in accordance with G.S. 150B-38 and unless otherwise directed by law. The Board may order a continuance in order to give the party another opportunity to appear as determined on a case by case basis and upon good cause shown.

History

• Authority G.S. 87-4; 87-11(b); 150B-38; 150B-40
• Eff. October 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0826 Eff. January 2, 2020.

21 NCAC 12A .0827 Subpoenas

(a) Requests for subpoenas for the attendance and testimony of witnesses or for the production of documents, either at a hearing or for the purposes of discovery, shall:

(1) be made in writing to the Board;

(2) identify any document sought;

(3) include the full name and home or business address of all persons to be subpoenaed; and

(4) if known, the date, time, and place for responding to the subpoena.

The Board shall issue the requested subpoenas within three days of receipt of the request.

(b) Subpoenas shall contain the following:

(1) the caption of the case;

(2) the name and address of the person subpoenaed;

(3) the date, hour, and location of the hearing in which the witness is commanded to appear;

(4) a particularized description of the books, papers, records, or objects the witness is directed to bring with him to the hearing, if any;

(5) the identity of the party on whose application the subpoena was issued;

(6) the date of issue;

(7) the signature of the presiding officer or his designee; and

(8) a "return of service." The "return of service" form as filled out, shall show:

(A) the name and capacity of the person serving the subpoena;

(B) the date on which the subpoena was delivered to the person directed to make service;

(C) the date on which service was made;

(D) the person on whom service was made;

(E) the manner in which service was made; and

(F) the signature of the person making service.

(c) Subpoenas shall be served in a manner set forth in Rule 45 of the N.C. Rules of Civil Procedure.

(d) Any person receiving a subpoena from the Board may object thereto by filing a written objection to the subpoena with the Board's office. Written objections shall comply with Rule 45 of the N.C. Rules of Civil Procedure.

(e) The party who requested the subpoena may file a written response to the objection. The written response shall be served by the requesting party on the objecting witness with filing the response with the Board.

(f) After receipt of the objection and response thereto, if any, the Board shall issue a notice to the party who requested the subpoena and the party challenging the subpoena to be scheduled as soon as practicable, at which time evidence and testimony may be presented, limited to the narrow questions raised by the objection and response.

(g) Promptly after the close of such hearing, a majority of the Board members with voting authority will rule on the challenge and issue a written decision. A copy of the decision will be issued to all parties and made a part of the record.

History

• Authority G.S. 87-11(b); 150B-38; 150B-39; 150B-40
• Eff. October 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0827 Eff. January 2, 2020.

21 NCAC 12A .0828 Witnesses

Any party may be a witness and may present witnesses on the party's behalf at the hearing. All oral testimony at the hearing shall be under oath or affirmation and shall be recorded. At the request of a party or upon the Board's own motion, the presiding officer may exclude witnesses from the hearing room to preserve the integrity of the testimony presented at the hearing. At the request of a party, witness, or the Board, a witness shall appear by videoconference, via live face-to-face video. Requests to appear by videoconference are to be directed to the Board or the Board's attorney not less than two business days prior to the date of the hearing.

History

• Authority G.S. 87-11(b); 150B-38; 150B-40
• Eff. September 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Recodified from 21 NCAC 12 .0828 Eff. January 2, 2020
• Amended Eff. December 1, 2023.

21 NCAC 12A .0829 Final Decision

In all cases heard by the Board, the Board shall issue a final written decision within 60 days following the close of the hearing. This decision will be the prerequisite "final agency decision" for the right to judicial review.

History

• Authority G.S. 87-4; 87-11(b); 150B-38; 150B-42
• Eff. September 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0829 Eff. January 2, 2020.

21 NCAC 12A .0830 Proposals for Decisions

(a) If an administrative law judge hears a contested case pursuant to G.S. 150B-40(e), a party may file written exception and alternative finding of facts and conclusions of law to the "proposal for decision" issued by the administrative law judge. The written exceptions and alternative findings of facts and conclusions of law shall be received by the Board within 10 days after the party has received the "proposal for decision" as drafted by the administrative law judge.

(b) Any exceptions shall be written and refer specifically to pages of the record or otherwise identify the occurrence to which exception is taken. The exceptions must be filed with the Board within ten days of the receipt of the proposal for decision. The written exceptions shall bear the notation: EXCEPTIONS TO THE PROCEEDINGS IN THE CASE OF (Name of case).

(c) Pursuant to G.S. 150B-40(e), any party may present oral argument to the Board upon request. The request must be included with the written exceptions.

(d) Upon receipt of request for further oral argument, Board staff shall issue notice to all parties designating time and place for such oral argument.

(e) The Board's final decision shall be a part of the record, a copy shall be given to all parties, and shall be the "final agency decision" for the right to judicial review. The final written decision shall be issued by the Board within 60 days from the date oral arguments were presented to the Board. If there are no oral arguments presented, the final written decision shall be issued within 60 days of the date on which the Board rendered its decision.

History

• Authority G.S. 87-4; 87-11(b); 150B-38; 150B-40
• Eff. September 1, 1988
• Amended Eff. July 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0830 Eff. January 2, 2020.

21 NCAC 12A .0901 Definitions

The following definitions apply to the Board's administration of the Homeowners Recovery Fund established pursuant to Article 1A, Chapter 87 of the General Statutes:

(1) "Constructing or altering" means contracting for the construction or alteration of a single-family residential dwelling unit.

(2) "Dishonest conduct" means conduct described in G.S. 87-15.5(3).

(3) "Incompetent conduct" means conduct which demonstrates a lack of ability or fitness to discharge a duty associated with undertaking to construct or alter a single-family residential dwelling or the supervision of such construction or alteration.

(4) "Owner or former owner" means a person who contracted with a general contractor for the construction or purchase of a single-family residential dwelling unit. "Owner or former owner" does not include a person who is a spouse, child, parent, grandparent, sibling, partner, associate, officer, or employee of a general contractor whose conduct caused a reimbursable loss. In addition, the term does not include general contractors or any financial or lending institution, or any owner or former owner of a single-family residential dwelling unit that has been the subject of an award from the Homeowners Recovery Fund resulting from the same dishonest or incompetent conduct. "Owner or former owner" does not include the owner or former owner of real property who purchased, owned, constructed, altered, or contracted for construction or alteration of a single-family residential dwelling unit without intending to occupy the single-family residential dwelling unit as a residence.

(5) "Substantial completion" means that degree of completion of a project, improvement or specified area or portion thereof whereupon the owner can use the same for its intended use.

(6) "Separately owned residence" means a building whose construction is governed by the residential building code adopted by the Building Code Council pursuant to G.S. 143-138.

History

• Authority G.S. 87-4; 87-15.6
• Eff. January 4, 1993
• Amended Eff. April 1, 2014; July 1, 2008; April 1, 2007; April 1, 2001; August 1, 2000; August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Recodified from 21 NCAC 12 .0901 Eff. January 2, 2020.

21 NCAC 12A .0902 Management of Fund

(a) The Secretary-Treasurer, as the Board's Chief Administrative Officer, shall:

(1) Establish a special account of the Board for those monies collected pursuant to G.S. 87-15.6(b);

(2) Make expenditures from the fund as authorized by G.S. 87-15.7(b) by signing checks for expenditures after the checks are signed by the Chairman.

(b) Until such time as the fund initially reaches two hundred fifty thousand dollars ($250,000.00), or at any time thereafter that the fund has insufficient assets in excess of two hundred fifty thousand dollars ($250,000.00) to pay outstanding claims, the Secretary-Treasurer shall not disburse any payments to an applicant for recovery. Any applicant who is awarded payment from the fund, however, shall hold a vested right for payment once the fund reaches a sufficient level. Authorized payments which cannot be made due to lack of funds will be paid as funds become available, beginning with those payments which have been unsatisfied for the longest period of time.

(c) Monies forwarded to the Board pursuant to G.S. 87-15.6(b) for deposit into the fund shall be accompanied by a verified statement signed by the city or county inspector on a form provided by the Board. The form shall require information concerning the number of permits issued by the reporting inspections department from which the recovery fund fee was collected and the total dollar amount due to the fund for that particular quarter.

History

• Authority G.S. 87-15.6; 87-15.7; 87-15.8
• Eff. January 4, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Recodified from 21 NCAC 12 .0902 Eff. January 2, 2020.

21 NCAC 12A .0903 Application for Payment

(a) Homeowners meeting the requirements of G.S. 87-15.8 who wish to file for reimbursement from the Homeowners Recovery Fund shall provide the following information on an application prescribed by the Board:

(1) the applicant's name and address,

(2) the amount of the claim,

(3) a description of the acts of the general contractor which constitute the grounds for the claim, and

(4) a statement that the applicant has exhausted all civil remedies or the general contractor has filed for bankruptcy.

Requests for the application form shall be directed to the Board at the address shown in Rule .0101 of this Chapter.

(b) If the applicant has exhausted all civil remedies pursuant to G.S. 87-15.8(3)(a), the application shall include certified copies of the complaint, judgment, and return of execution marked as "unsatisfied."

(c) If the applicant is claiming against a general contractor that was a corporation dissolved no later than one year after the date of discovery by the applicant of the facts constituting the dishonest or incompetent conduct, then the applicant shall include certified copies of documents evidencing the dissolution.

(d) If the applicant has been precluded from filing suit, obtaining a judgment, or otherwise proceeding due to the bankruptcy of the general contractor, then the applicant shall submit a certified copy of the bankruptcy petition, any proof of claim, and documents from the bankruptcy court or trustee certifying that the applicant has not and will not receive any payment from the bankruptcy proceeding.

(e) If the applicant is claiming against the estate of a deceased general contractor, then the applicant shall submit a statement from the administrator of the estate certifying that the applicant has not and will not receive any payment from the estate.

(f) If the applicant includes copies of a judgment and return of execution marked as unsatisfied, the applicant must demonstrate that the writ of execution was filed in the following counties:

(1) where the project at issue was located;

(2) where the contractor's last known principal place of business was located; and

(3) if the contractor was a licensee of the Board, the county in which the last address provided to the Board was located.

History

• Authority G.S. 87-15.6; 87-15.7; 87-15.8
• Eff. January 4, 1993
• Amended Eff. March 1, 2005; August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. September 1, 2019
• Recodified from 21 NCAC 12 .0903 Eff. January 2, 2020.

21 NCAC 12A .0904 Filing Deadline and Service

(a) Applicants seeking recovery from the fund shall be forever barred unless application is made within one year after termination of all proceedings, including appeals, in connection with an unsatisfied judgment obtained against a general contractor. Claims based upon the bankruptcy, death, or dissolution of the general contractor shall be forever barred unless application is made within three years from the date of discovery by the applicant of the facts constituting the dishonest or incompetent conduct or within six years of substantial completion of the construction or alteration of the residence in question, whichever comes first.

(b) Applications shall be filed at the address shown in Rule .0101 of this Chapter. The Board shall serve a copy of the application upon the general contractor who allegedly caused the loss. Service shall be accomplished by certified mail, return receipt requested, or other methods authorized by G.S. 150B-38(c).

History

• Authority G.S. 87-15.6; 87-15.7; 87-15.8
• Eff. January 4, 1993
• Amended Eff. April 1, 2007; August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Recodified from 21 NCAC 12 .0904 Eff. January 2, 2020.

21 NCAC 12A .0905 Multiple Claims

(a) Any time the Board has notice of more than one application or potential claim for payment from the fund arising out of the conduct of a single general contractor, the Board may, in its discretion, direct that all applications filed before a date determined by the Board, be consolidated for hearing.

(b) When consolidation is appropriate, the Board shall issue to the general contractor, the applicants and potential claimants, an Order of Consolidation setting forth the deadline for filing all applications to be consolidated. On or before the deadline, the Board may, in its discretion, either extend the deadline or issue to the general contractor and all applicants notice of the time, date and place set for a hearing on the consolidated applications.

(c) Claims for which the Board has received no notice or for which no application has been filed prior to the deadline set forth in the Order of Consolidation shall not be considered by the Board until after the completion of all proceedings relating to the consolidated applications and payment thereon.

History

• Authority G.S. 87-15.6; 87-15.7
• Eff. January 4, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Recodified from 21 NCAC 12 .0905 Eff. January 2, 2020.

21 NCAC 12A .0906 Processing of Claim Application

(a) Staff shall refer a filed application for a claim to the Recovery Fund Review Committee. The Recovery Fund Review Committee is a committee made up of the following individuals:

(1) one member of the Board;

(2) the legal counsel of the Board; and

(3) the Secretary-Treasurer.

(b) Within 30 days after service of a copy of the application upon the general contractor, the general contractor may file a response to the application setting forth answers and defenses. Responses shall be filed with the Board and copies shall be served on the applicant.

(c) The Committee shall dismiss a claim if an applicant fails to respond to an inquiry from the Committee or its representative within six months of receipt of the inquiry.

(d) After all preliminary evidence has been received, the Committee shall make a recommendation regarding the disposition of the application. From the evidence, it shall recommend to the Board that:

(1) the application be dismissed as meritless; or

(2) the application and charges contained therein be presented to the Board for a hearing and determination by the Board on the merits of the application.

(e) The Committee shall give notice of the recommendation to the applicant and the general contractor within 10 days of the Committee's decision. The Committee is not required to notify the parties of the reasons for its recommendation. The decision of the Board is final.

History

• Authority G.S. 87-4; 87-15.6; 87-15.7; 87-15.8
• Eff. January 4, 1993
• Amended Eff. April 1, 2014; April 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Recodified from 21 NCAC 12 .0906 Eff. January 2, 2020.

21 NCAC 12A .0907 Homeowners Recovery Fund Hearing

(a) If it is determined by the Recovery Fund Review Committee that the Board should conduct a hearing on an application, the Board shall give the applicant and general contractor notice of hearing not less than 15 days before the hearing. Notice of hearing to the general contractor shall be sufficient if mailed to the last known address of the general contractor at least 15 days prior to the date of the hearing. This notice shall contain the following information:

(1) The name, position, address and telephone number of a person at the offices of the Board to contact for further information or discussion;

(2) The date, time, and place for a pre-hearing conference, if any; and

(3) Any other information being relevant to informing the parties as to the procedure of the hearing.

(b) All homeowners recovery fund hearings shall be conducted by the Board or a panel consisting of a majority of the members of the Board.

(c) The provisions of 21 NCAC 12 .0825 governing disqualification of Board members shall also govern hearings conducted pursuant to this Section.

(d) Should a party fail to appear at a hearing, the Board may proceed with the hearing and make its decision in the absence of the party, provided that the party has given proper notice.

(e) Any party may be a witness and may present witnesses on the party=s behalf at the hearing. The Board staff may also present evidence and participate at the hearing. All oral testimony at the hearing shall be under oath or affirmation. At the request of a party, the presiding officer may exclude witnesses from the hearing room so that they cannot hear the testimony of other witnesses.

(f) At the hearing, the applicant shall be required to show:

(1) He has suffered a reimbursable loss as defined in G.S. 87-15.5(6) and Rule .0901(c) of this Chapter in the construction or alteration of a single-family dwelling unit owned or previously owned by that person, provided, that if there have been findings entered in a contested civil action relevant to the issue of whether the applicant has suffered a reimbursable loss, then such findings shall be presumed as established for purposes of this Section subject to rebuttal by the general contractor;

(2) He did not, directly or indirectly, obtain the building permit in his own name or did use a general contractor;

(3) He has made application within one year after the termination of all judicial proceedings, including appeals, in connection with the unsatisfied judgment or within the period prescribed in Rule .0904(a) of this Chapter for claims based upon the automatic stay provisions of Section 362 of the U.S. Bankruptcy Code;

(4) He has diligently pursued his remedies against the general contractor and on any applicable bond, surety agreement or insurance contract, and attempted execution on the judgments against all judgment debtors without success.

(g) The general contractor shall be permitted to participate in the hearing as a party and shall have recourse to all appropriate means of defense, including the examination of witnesses.

History

• Authority G.S. 87-15.5; 87-15.6; 87-15.7; 87-15.8
• Eff. January 4, 1993
• Amended Eff. August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Recodified from 21 NCAC 12 .0907 Eff. January 2, 2020.

21 NCAC 12A .0908 Order Directing Payment from Fund

After any hearing, the Board may find that an applicant should be paid from the fund and the Board may enter an Order requiring payment from the fund in whatever sum the Board deems appropriate in accordance with the limitations contained in Rule .0910 of this Chapter. All payments are a matter of privilege and not of right.

History

• Authority G.S. 87-15.5; 87-15.6; 87-15.7; 87-15.8
• Eff. January 4, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Recodified from 21 NCAC 12 .0908 Eff. January 2, 2020.

21 NCAC 12A .0909 Settlement of Claims

The claim or claims forming the basis of an application for recovery from the fund may be compromised and settled by the applicant and the general contractor after the filing of the application. The parties shall notify the Board immediately of any such settlement. Payment of the claim, in whole or in part, by the general contractor as part of a settlement will result in the claim no longer being a "reimbursable loss" as defined by G.S. 87-15.5(6)(b), and the claim will be dismissed by the Board.

History

• Authority G.S. 87-15.6; 87-15.7; 87-15.8
• Eff. January 4, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Recodified from 21 NCAC 12 .0909 Eff. January 2, 2020.

21 NCAC 12A .0910 Limitations; Pro Rata Distribution

(a) Payments from the fund for an approved application shall not exceed an amount equal to 10 percent of the total amount in the fund at the time the application is approved by the Board. All applications considered by the Board at the same meeting shall be subject to the same limitation.

(b) Consequential damages, multiple or punitive damages, civil or criminal penalties or fines, incidental damages, special damages, interest, and court costs shall not constitute monetary losses.

History

• Authority G.S. 87-15.6; 87-15.7; 87-15.8
• Eff. March 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Recodified from 21 NCAC 12 .0910 Eff. January 2, 2020.

21 NCAC 12A .0911 Subrogation of Rights

When the Board has paid from the fund any sum to the applicant, the Board shall be subrogated to the rights of the applicant and the applicant shall assign to the Board all of his rights, title, and interest in the claim to the extent of the amount paid from the fund.

History

• Authority G.S. 87-15.6; 87-15.7; 87-15.9
• Eff. January 4, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Recodified from 21 NCAC 12 .0911 Eff. January 2, 2020.

21 NCAC 12A .0912 Actions Against General Contractor

Nothing contained in these Rules shall prohibit or limit the authority of the Board to take disciplinary action against its licensees or to seek injunctive relief against those persons who have engaged in the unauthorized practice of general contracting. Stipulations made between the general contractor and the applicant as part of settlement or compromise of any claim shall not be binding on the Board in any disciplinary proceeding or action for injunction.

History

• Authority G.S. 87-11; 87-13; 87-13.1; 87-15.6
• Eff. January 4, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Recodified from 21 NCAC 12 .0912 Eff. January 2, 2020.

Subchapter B

21 NCAC 12B .0101 General

(a) To ensure continuing efforts on the part of licensed general contractors to remain current with new developments in all aspects of general contracting and to encourage better business practices and safety in the profession, continuing education is required as a condition of license renewal. If required pursuant to G.S. 87-10.2(a), a licensee shall submit, as a part of his or her renewal application, evidence that he or she has met the Board's continuing education requirements as set forth in this Section. Except as provided in Rule .0104 of this Subchapter, renewal applications that do not contain this information shall be deemed incomplete.

(b) This Subchapter shall apply to all aspects of continuing education as set forth in G.S. 87-10.2.

(c) For the purposes of this Subchapter, the terms "sponsor" and "provider" shall be synonymous.

History

• Authority G.S. 87-10.2
• Temporary Adoption Eff. January 2, 2020
• Eff. September 1, 2020.

21 NCAC 12B .0102 Continuing Education Credit

(a) Beginning with renewals filed for the 2021 license year, a licensee shall designate at least one qualifier who shall complete eight continuing education (CE) hours during the year preceding renewal.

(b) For the purposes of this Subchapter, "elective courses" are defined as courses relating to the subject matter of general contracting as described in G.S. 87-1 and 87-10 that address general business practices, including business planning, contracts, liability exposure, human resources, basic accounting, financial statements, and safety.

(c) One credit hour is equal to 50 minutes of instructional time.

History

• Authority G.S. 87-1; 87-10; 87-10.2
• Temporary Adoption Eff. January 2, 2020
• Eff. September 1, 2020.

21 NCAC 12B .0103 Continuing Education Records; Audit

(a) A licensee shall maintain records of a qualifier's attendance at continuing education programs for which CE credit has been approved for four years following the processing date of the renewal application to which the CE credits were applied.

(b) Compliance with annual CE requirements shall be determined through a random audit process conducted by the Board. Licensees selected for auditing shall provide the Board with the following documentation of the CE activities claimed for the renewal period:

(1) attendance verification records; and

(2) information regarding course content, instructors, and sponsoring organization.

(c) Licensees selected for audit shall submit all requested information to the Board within 21 calendar days after the date the licensee was notified by the Board of the audit.

(d) Failure to maintain compliance with the Board's continuing education requirements shall result in the licensee's status being changed to invalid except as set forth in G.S. 87-10.2(h).

History

• Authority G.S. 87-10.2(h)
• Temporary Adoption Eff. January 2, 2020
• Eff. September 1, 2020.

21 NCAC 12B .0104 Extension of Time

(a) The Board shall grant a licensee an extension of time to complete CE requirements during a period of service in the Armed Forces of the United States upon submission of the following to the Board:

(1) written request for an extension; and

(2) documentation that the licensee or his or her qualifier is serving in the Armed Forces of the United States and is eligible for an extension of time to file a tax return pursuant to G.S. 105-249.2.

(b) The Board shall grant a licensee an extension of time to obtain CE requirements if he or she or his or her qualifier has a disability or illness that prevents him or her from complying with CE requirements. In order to receive the waiver, a licensee shall provide the Board with the following:

(1) written request for waiver; and

(2) documentation that describes the disability or illness and explains how the disability or illness prevents the licensee's qualifier from complying with the Board's CE requirements. Documentation includes a letter from a licensed physician, nurse practitioner (NP), or physician assistant (PA).

(c) Where on a case-by-case basis the Board determines that due to an undue hardship (such as natural disaster or illness of family member) the licensee could not reasonably be expected to comply with the Board's CE requirements, the licensee shall be granted an extension of time in which to obtain the required CE credits. To be considered for an extension of time, a licensee shall submit the following:

(1) written request for extension; and

(2) documentation that supports the reason for the extension.

(d) The Board shall grant a waiver of CE requirements upon submission of documentation that a licensee or his or her qualifier is in active duty while serving in the Armed Forces and is or has been deployed for at least eight months during the twelve-month period during which CE credits were required.

(e) An extension granted under Paragraphs (b) or (c) of this Rule shall not exceed one year. Prior to the expiration of the one year extension of time, a licensee may request an additional extension in accordance with this Rule. Except as set out in Paragraph (a) of this Rule, the Board shall grant no more than two consecutive extensions.

History

• Authority G.S. 87-10.2(j); 93B-15; 105-249.2
• Temporary Adoption Eff. January 2, 2020
• Eff. September 1, 2020.

21 NCAC 12B .0105 Inactive Status

(a) Requests for inactive status as described in G.S. 87-10.2(h) shall be in writing and shall contain the following:

(1) license name and number issued by the Board;

(2) name(s) of qualifier(s);

(3) if required, proof of active license status with the Board; and

(4) certification that the individual submitting the request is authorized by the licensee to do so.

(b) If a licensee on inactive status fails to renew his or her license as of January 1 of the following year, the license shall become invalid in accordance with Article 1, Chapter 87 and the rules set forth in 21 NCAC 12A.

(c) A licensee on inactive status who wishes to return to active status shall submit a written request to the Board that contains the following information:

(1) license name and number issued by the Board;

(2) name(s) of qualifier(s) and the classifications in which they qualify;

(3) application renewal fee and, if applicable, late fees as set out in G.S. 87-10(e) and in 21 NCAC 12A .0304; and

(4) proof of completion of continuing education requirements as set forth in G.S. 87-10.2(h).

History

• Authority G.S. 87-1; 87-10; 87-10.2(h)
• Temporary Adoption Eff. January 2, 2020
• Eff. September 1, 2020.

21 NCAC 12B .0201 Application for Initial Approval of Continuing Education Provider

(a) Only continuing education providers approved by the Board shall be eligible to offer continuing education courses. If a third party advertises or hosts an approved course, all materials advertising the course shall include the approved provider's name.

(b) Prospective providers of all courses shall obtain written approval from the Board to conduct courses prior to conducting courses and prior to advertising or otherwise representing that a course is or may be approved for general contractor continuing education credit in North Carolina. No retroactive approval to conduct continuing education courses will be granted.

(c) Any entity seeking initial approval to be a continuing education provider shall apply using a form available on the Board's website that requires the applicant to set forth:

(1) the legal name of applicant and any assumed business name;

(2) the applicant's mailing address, telephone number, and email address;

(3) the SOS ID number issued by the NC Secretary of State, if applicable;

(4) the legal names of the provider's owners, members, managers or partners;

(5) the name of a continuing education coordinator who shall serve as the contact person for the provider; and

(6) the signature of the applicant or its legal designee.

(d) The name of any course provider shall not be identical or similar so as to cause confusion to the name of any other approved continuing education course provider.

(e) Continuing education providers shall notify the Board in writing within 10 days of any change in business name, ownership interest, continuing education coordinator, address, business telephone number, or email address.

History

• Authority G.S. 87-10.2
• Temporary Adoption Eff. January 2, 2020
• Eff. September 1, 2020
• Amended Eff. January 1, 2023.

21 NCAC 12B .0202 Expiration and Renewal of Provider Approval

(a) All Board approvals issued to providers shall expire annually on December 1 following issuance of approval.

(b) A provider shall submit an application for renewal of its approval within 45 days immediately preceding expiration of approval on a form available on the Board's website. The provider renewal application form shall include:

(1) the provider's name;

(2) the provider ID number issued by the Board;

(3) the name of the provider's designated continuing education coordinator;

(4) the provider's mailing address, telephone number, and web address, if applicable;

(5) any change in the provider's business entity; and

(6) the signature of the provider or its legal designee.

(c) If a provider's approval has expired, the provider shall submit an application as a new applicant.

History

• Authority G.S. 87-10.2
• Temporary Adoption Eff. January 2, 2020
• Eff. September 1, 2020.

21 NCAC 12B .0203 Denial or Withdrawal of Provider Approval

(a) The Board may deny or withdraw approval of any continuing education provider upon finding that the provider or the continuing education coordinator in the employ of the provider:

(1) made any false statements or presented any false, incomplete, or incorrect information in connection with an application for course or provider approval or renewal;

(2) made any false statements in course advertisement or promotional materials;

(3) provided false, incomplete, or incorrect information in connection with any reports the continuing education provider is required to submit to the Board;

(4) delivered CE course content that infringed upon copyright or any intellectual property right of another;

(5) provided the Board a check or credit card for required fees that was not honored by a financial institution or bank or returned for insufficient funds;

(6) collected money from licensees and qualifiers for a continuing education course but refused or failed to provide the promised instruction;

(7) intentionally provided false, incomplete, or misleading information relating to general contractors licensing, education matters, or the qualifier's education requirements or license status;

(8) failed to submit the CE Roster Reports as required by Rule .0206 of this Subchapter;

(9) failed to submit the per student fee as required by 21 NCAC 12A .0304; or

(10) failed to comply with any other provision of this Chapter.

(b) A licensed general contractor and its qualifier(s) shall be subject to discipline pursuant to G.S. 87-11 if the licensee or its qualifier(s) engages in dishonest, fraudulent, or improper conduct in connection with the operations of a continuing education course provider if that licensee or qualifier(s):

(1) has an ownership interest in the course provider;

(2) is the designated continuing education coordinator for the course provider; or

(3) is an instructor for the course provider.

(c) When ownership of an approved continuing education provider is transferred to a separate legal entity, the provider's approval is not transferable and shall terminate on the effective date of the transfer. All courses shall be completed by the effective date of the transfer. The transferring owner shall report course completion(s) to the Board. The new entity shall obtain an original continuing education provider approval as required by Rule .0202 of this Subchapter prior to advertising courses, registering students, accepting tuition, conducting courses, or otherwise engaging in any provider operations.

History

• Authority G.S. 87-10.2(b) and (c)
• Temporary Adoption Eff. January 2, 2020
• Eff. September 1, 2020
• Amended Eff. January 1, 2022.

21 NCAC 12B .0204 Attendance; Roster Reports and Certificates

(a) Qualifiers shall provide proof of identity upon arrival at a class session.

(b) At the conclusion of any continuing education course, the provider shall submit to the Board a CE Roster Report verifying each qualifier's completion of the course. The CE Roster Report shall be submitted to the Board and shall contain the following:

(1) provider's name;

(2) provider's ID number assigned by the Board;

(3) course instructor's name and ID number;

(4) course's name and ID number;

(5) course completion date;

(6) name and qualifier ID number of each student who completed the course; and

(7) name, qualifier ID number, and reason given for each student who requested but was denied credit by the provider.

(c) Providers shall submit the CE Roster Report electronically to the Board within seven calendar days following the end of any course, but in no case later than December 7.

(d) Providers shall submit the per student fee required by 21 NCAC 12A .0304 with the CE Roster Report.

(e) Providers shall provide a course completion certificate to each student who completes an approved continuing education course. Providers shall provide a printed or electronic certificate to a student within 10 days following the course, but in no case later than December 7, for any course completed prior to that date.

(f) A student shall not be issued a completion certificate and shall not be reported to the Board as having completed a course unless the student satisfies the attendance requirements set forth in this Subchapter.

History

• Authority G.S. 87-10.2(d) and (e)
• Temporary Adoption Eff. January 2, 2020
• Eff. September 1, 2020
• Amended Eff. July 1, 2021.

21 NCAC 12B .0205 Course Scheduling

Continuing education providers shall not offer, conduct, or allow a student to complete any continuing education course between December 1 and December 31, inclusive.

History

• Authority G.S. 87-10.2(b)
• Temporary Adoption Eff. January 2, 2020
• Eff. September 1, 2020.

21 NCAC 12B .0206 Records and Board Review

(a) All providers shall retain on file for four years records of student registration and attendance for each session of an approved continuing education course that is conducted and shall make such records available to the Board upon request during an investigation.

(b) Providers shall admit any Board authorized representative to monitor any continuing education class without prior notice. Such representatives shall not be required to register or pay any fee and shall not be reported as having completed the course.

History

• Authority G.S. 87-10.2(b)
• Temporary Adoption Eff. January 2, 2020
• Eff. September 1, 2020.

21 NCAC 12B .0301 Course Requirements

(a) All continuing education courses shall:

(1) cover subject matter related to the practice of general contracting and offer knowledge or skills that will enable general contractors to better serve consumers and the public interest;

(2) offer two or four continuing education credit hours;

(3) include materials for students that provide the information to be presented in the course; and

(4) be taught only by an instructor who possesses education or experience in a field related to the course.

(b) Mandatory courses shall cover subject matter as established by the Board, including statutes and rules applicable to general contracting, changes to the N.C. Building Codes, case studies of Board investigations, and relevant court decisions.

(c) Providers shall submit all elective courses to the Board for approval pursuant to Rule .0302 of this Subchapter.

(d) Elective courses shall be related to the practice of general contracting as set forth in Article 1 of Chapter 87 in the North Carolina General Statutes. Instructional time and materials shall be utilized for instructional purposes only.

(e) All elective courses shall include the following disclaimer within the first three pages or slides of the course materials: THE NORTH CAROLINA LICENSING BOARD FOR GENERAL CONTRACTORS HAS APPROVED THIS COURSE ONLY AS TO ITS RELEVANCE TO THE PRACTICE OF GENERAL CONTRACTING IN NORTH CAROLINA. THE COURSE PROVIDER AND INSTRUCTOR ARE RESPONSIBLE FOR THE ACCURACY OF THE CONTENT AND COMPLIANCE WITH ALL STATE AND FEDERAL LAWS DURING THE ADMINISTRATION OF THE COURSE.

(f) Providers shall obtain approval from the Board before making any changes in the content of a prior approved elective course. Requests for approval of changes shall be made in writing.

History

• Authority G.S 87-10.2(b)
• Temporary Adoption Eff. January 2, 2020
• Eff. September 1, 2020
• Amended Eff. July 1, 2021.

21 NCAC 12B .0302 Approval and Renewal of Elective Course

(a) Prior to obtaining the Board's written approval of a continuing education elective course, providers shall not offer, advertise, or otherwise represent that any continuing education elective course is, or may be, approved for continuing education credit in North Carolina.

(b) A provider seeking initial approval of a proposed elective course shall complete an application on a form available on the Board's website that requires the applicant to set forth the following:

(1) title of the proposed elective course;

(2) provider's legal name, address, and telephone number;

(3) continuing education coordinator's name;

(4) provider's ID number, if previously approved;

(5) credit hours awarded for completing the course;

(6) subject matter of the course as evidenced by course outlines, PowerPoint slides, videos, or other similar materials;

(7) identity of the course content owner;

(8) written permission of the course content owner, if other than the applicant;

(9) certification that the course content does not infringe upon any copyright or any intellectual property right of another;

(10) identity of prospective instructors; and

(11) signature of the provider or its legal designee.

(c) The application for initial approval shall be accompanied by a copy of the elective course guide, which shall include course objectives, learning objectives for each topic, a timed outline, instructional methods and aids to be employed, and all materials that will be provided to students.

(d) A provider seeking approval to offer an already approved elective course shall complete an application on a form available on the Board's website that requires the applicant to submit the following:

(1) title of the elective course;

(2) applicant's legal name, address, and telephone number;

(3) applicant's continuing education coordinator's name;

(4) applicant's continuing education provider code, if previously approved;

(5) identity of the course content owner;

(6) written permission of the course content owner, if other than the applicant;

(7) certification that the course content does not infringe upon any copyright or any intellectual property right of another;

(8) identity of prospective instructors;

(9) signature of the provider or its legal designee; and

(10) certification that there have been no changes to the course materials since the course was last approved.

(e) If the course will be taught by any method other than live, in-person, in-class instruction, the provider shall, if requested, make the presentation available and accessible to the Board at no cost to the Board during the Board's operating hours. In case of an internet-based course, the Board shall be provided access to the course at a date and time set by the Board and shall not be charged any fee for such access.

(f) All applications for approval and renewal of elective courses shall be accompanied by fees as required by 21 NCAC 12A .0304.

(g) Board approval of all continuing education elective courses shall expire on December 1 of each year.

(h) In order to obtain approval for an expired continuing education elective, a course provider shall submit an application for initial approval.

(i) Courses offered prior to Board approval shall not be eligible for continuing education credit.

History

• Authority G.S. 87-10.2(b)
• Temporary Adoption Eff. January 2, 2020
• Eff. September 1, 2020
• Amended Eff. January 1, 2022.

21 NCAC 12B .0303 Mandatory Course

(a) The Board shall annually develop a Mandatory course as described in G.S. 87-10.2(b) and shall provide instructional materials for use by providers.

(b) Only approved continuing education providers shall offer the Mandatory course to students. Only approved instructors pursuant to Rule .0401 of this Subchapter shall instruct the Mandatory course.

(c) Providers shall obtain written approval from the Board prior to offering, advertising, or otherwise representing that any Mandatory course is being offered for continuing education credit in North Carolina.

(d) A provider seeking approval to offer the Mandatory course shall submit an application form available on the Board's website that shall require the following:

(1) provider's legal name, address, telephone number, and website;

(2) continuing education coordinator's name;

(3) if applicable, provider's ID number assigned by the Board;

(4) if applicable, name and instructor ID number of prospective instructors; and

(5) signature of the applicant or its legal designee.

(e) A provider may obtain approval from the Board to offer the Mandatory course by requesting it on the application or renewal of the provider's approval.

(f) All supplemental materials distributed to Mandatory course attendees shall be developed solely by the Board or its designee. Such materials shall be distributed to each student taking the Mandatory course.

(g) Board approval to offer Mandatory courses shall expire annually on November 30 following issuance of approval. Providers shall apply for renewal of approval to offer Mandatory courses along with the renewal of provider approval required in Rule .0202 of this Subchapter.

(h) Course providers and instructors shall not deviate from or alter the Mandatory Course materials developed by the Board. A violation of this Paragraph shall be grounds for withdrawal of Board approval or denial of a future application pursuant to 21 NCAC 12B .0203 and .0403.

History

• Authority G.S. 87-10.2(c)
• Temporary Adoption Eff. January 2, 2020
• Eff. September 1, 2020.

21 NCAC 12B .0401 Application and Criteria for Initial Instructor Approval

(a) A provider seeking initial instructor approval shall submit an application on a form available on the Board's website that requires the instructor applicant to indicate the course(s) for which he or she is seeking approval and set forth the instructor applicant's:

(1) legal name, address, email address, and telephone number;

(2) general contractor's license number, qualifier ID number, and instructor ID number, if any, assigned by the Board;

(3) education background, including specific general contracting education;

(4) experience in the general contracting industry;

(5) professional licenses or certifications held by the prospective instructor;

(6) teaching experience, if any; and

(7) signature of the prospective instructor.

(b) Prior to teaching the Mandatory course, an instructor shall attend the Board's Mandatory Instructor Seminar for the designated license year.

(c) Approved instructors who are also qualifiers shall receive one hour of CE credit for each one hour of class instruction. Approved instructors shall only receive instruction credit once per course. Course providers shall be responsible for payment of all CE fees for instructors seeking CE credit.

History

• Authority G.S. 87-10.2(b) and (d)
• Temporary Adoption Eff. January 2, 2020
• Eff. September 1, 2020
• Amended Eff. January 1, 2022.

21 NCAC 12B .0402 Renewal and Expiration of Instructor Approval

(a) Board approval of instructors shall expire annually on December 1 following issuance of Board approval.

(b) A provider offering courses shall file an application for a previously approved instructor renewal no less than 30 days immediately preceding expiration of approval. The instructor renewal application shall include the instructor's:

(1) legal name, address, email address, and telephone number;

(2) general contractor's license number and qualifier ID number, if applicable, and instructor ID number assigned by the Board;

(3) course name(s) and course number(s) for which the provider is seeking approval as an instructor; and

(4) signature.

(c) In order to reinstate an instructor approval that has been expired for less than one year, the former instructor shall meet the requirements set forth in Paragraph (b) of this Rule.

(d) If an instructor approval has been expired for more than one year, the provider shall file an application for initial instructor approval pursuant to Rule .0401 of this Subchapter.

History

• Authority G.S. 87-10.2(d)
• Temporary Adoption Eff. January 2, 2020
• Eff. September 1, 2020
• Amended Eff. September 1, 2025.

21 NCAC 12B .0403 Denial or Withdrawal of Instructor Approval

The Board may deny or withdraw approval of any instructor applicant or approved instructor upon finding that the instructor or instructor applicant:

(1) has failed to meet the criteria for approval described in Rule .0401 of this Subchapter or the criteria for renewal of approval described in Rule .0402 of this Subchapter at the time of application or at any time during an approval period;

(2) made any false statements or presented any false, incomplete, or incorrect information in connection with an application for approval or renewal of approval or any report that is required to be submitted in accordance with this Subchapter;

(3) has failed to submit to the Board any report, course examination, or video recording required by this Subchapter;

(4) has failed to demonstrate the ability to teach any elective or Mandatory course in a manner consistent with the course materials;

(5) engaged in any other improper, fraudulent, or dishonest conduct as determined by the Board; or

(6) failed to comply with any other provisions of this Chapter.

History

• Authority G.S. 87-10.2(d)
• Temporary Adoption Eff. January 2, 2020
• Eff. September 1, 2020.

Chapter 14 Cosmetic Art Examiners

Subchapter A

21 NCAC 14A .0101 Definitions

In addition to the definitions set forth in G.S. 88B-2, the following definitions apply in this Chapter:

(1) "Beauty Establishment" refers to both cosmetic art schools and cosmetic art shops.

(2) "Clean" is the removal of visible and surface debris, then washing with soap and water, using a detergent or chemical cleaner that prepares non-porous items for disinfection and reduces the number and slows the growth of pathogens on both porous and non-porous surfaces.

(3) "Cosmetology School" is any cosmetic art school that teaches cosmetic art as defined by G.S. 88B-2(5), but is not solely a manicurist or an esthetics school.

(4) "Cosmetology Student" is a student in any cosmetic art school whose study is the full curriculum.

(5) "Esthetician School" is any cosmetic art school that teaches only the cosmetic art of skin care.

(6) "Esthetician Student" is a student in any cosmetic art school whose study is limited to the esthetician curriculum set forth in 21 NCAC 14T .0604.

(7) "Licensing cycle" shall be as follows:

(a) for cosmetologists, the licensing cycle is a three-year period beginning on the first day of October and ending the first day of October of the third year in the period and continuing thereafter in three year intervals;

(b) for estheticians, natural hair care specialists and manicurists, the licensing cycle is one year in length beginning on the first day of October and ending on the next first day of October;

(c) for teachers, the licensing cycle is a two-year period beginning on the first day of October of an even-numbered year and ending on the next first day of October of the next even-numbered year.

(8) "Manicurist School" is a cosmetic art school that teaches only the cosmetic art of manicuring.

(9) "Manicurist Student" is a student in any cosmetic art school whose study is limited to the manicurist curriculum set forth in 21 NCAC 14T .0605.

(10) "Natural hair care school" is a cosmetic art school that teaches only the cosmetic art of natural hair care.

(11) "Natural hair care student" is a student in any cosmetic art school whose study is limited to the natural hair care curriculum set forth in 21 NCAC 14T .0606.

(12) "Porous" is a material that has minute spaces or holes through which liquid or air may pass such as paper, foam, and wood. Porous may also be called permeable, penetrable, or cellular.

History

• Authority G.S. 88B-2; 88B-4
• Eff. February 1, 1976
• Amended Eff. June 1, 1993; October 1, 1991; May 1, 1991; January 1, 1989
• Temporary Amendment Eff. January 1, 1999
• Amended Eff. October 1, 2012; July 1, 2010; December 1, 2008; May 1, 2005; December 1, 2004; May 1, 2004; February 1, 2004; April 1, 2001; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023; March 1, 2022; September 1, 2018; March 1, 2018
• Readopted Eff. April 1, 2026.

21 NCAC 14A .0102 Physical Address

History

• Status: repealed
• Authority G.S. 88-23; 150B-11(1)
• Eff. February 1, 1976
• Amended Eff. April 1, 1988
• Repealed Eff. January 1, 1989.

21 NCAC 14A .0103 Office Hours

History

• Status: repealed
• Authority G.S. 88B-4
• Eff. February 1, 1976
• Amended Eff. August 1, 2000; January 1, 1989
• Repealed Eff. July 1, 2010.

21 NCAC 14A .0104 Address

(a) The address for the Board is 121 Edinburgh South Drive, Suite 209, Cary, NC 27511.

(b) The Board website shall be located at www.nccosmeticarts.com.

History

• Authority G.S. 88B-6
• Eff. February 1, 1976
• Amended Eff. January 1, 2015; August 1, 1998; December 6, 1991; January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. September 1, 2021
• Readopted Eff. April 1, 2026.

21 NCAC 14A .0105 Purpose and Responsibility

History

• Status: repealed
• Authority G.S. 88B-2; 88B-13; 88B-20; 88B-21
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Temporary Amendment Eff. January 1, 1999
• Repealed Eff. August 1, 2000.

21 NCAC 14A .0201 Powers of the Board

History

• Status: repealed
• Authority G.S. 88-13; 88-14; 88-23; 93B-5
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14A .0202 Inspections

History

• Status: repealed
• Authority G.S. 88-13; 88-14; 88-23; 93B-5
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14A .0203 Composition

History

• Status: repealed
• Authority G.S. 88-13; 88-14; 88-23; 93B-5
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14A .0204 Terms of Office

History

• Status: repealed
• Authority G.S. 88-13; 88-14; 88-23; 93B-5
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14A .0205 Executive Secretary

History

• Status: repealed
• Authority G.S. 88-13; 88-14; 88-23; 93B-5
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14A .0206 Compensation

History

• Status: repealed
• Authority G.S. 88-13; 88-14; 88-23; 93B-5
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14A .0207 Qualifications

History

• Status: repealed
• Authority G.S. 88-13; 88-14; 88-23; 93B-5
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14A .0301 Definitions

History

• Status: repealed
• Authority G.S. 88; 88-2; 88-3; 88-4; 88-5
• 88-6; 88-7; 88-8; 88-9
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14A .0302 Cosmetic Art

History

• Status: repealed
• Authority G.S. 88; 88-2; 88-3; 88-4; 88-5
• 88-6; 88-7; 88-8; 88-9
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14A .0303 Cosmetologist

History

• Status: repealed
• Authority G.S. 88; 88-2; 88-3; 88-4; 88-5
• 88-6; 88-7; 88-8; 88-9
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14A .0304 Establishments

History

• Status: repealed
• Authority G.S. 88; 88-2; 88-3; 88-4; 88-5
• 88-6; 88-7; 88-8; 88-9
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14A .0305 Manager

History

• Status: repealed
• Authority G.S. 88; 88-2; 88-3; 88-4; 88-5
• 88-6; 88-7; 88-8; 88-9
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14A .0306 Operator

History

• Status: repealed
• Authority G.S. 88; 88-2; 88-3; 88-4; 88-5
• 88-6; 88-7; 88-8; 88-9
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14A .0307 Itinerant Cosmetologist

History

• Status: repealed
• Authority G.S. 88; 88-2; 88-3; 88-4; 88-5
• 88-6; 88-7; 88-8; 88-9
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14A .0308 Manicurist

History

• Status: repealed
• Authority G.S. 88; 88-2; 88-3; 88-4; 88-5
• 88-6; 88-7; 88-8; 88-9
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14A .0309 Apprentice

History

• Status: repealed
• Authority G.S. 88; 88-2; 88-3; 88-4; 88-5
• 88-6; 88-7; 88-8; 88-9
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14A .0401 License waiver for armed forces

(a) Licensees in good standing and serving in the Armed Forces of the United States, or the spouse of an individual in good standing and serving in the Armed Forces of the United States, are allowed an extension on the license renewal payment and required continuing education hours as permitted G.S. 93B-15.

(b) Individuals holding current and valid licensure as determined by G.S. 93B-15.1 may apply for licensure with the Board by providing a copy of the current and valid license along with a the license application, fees, and documentation of military experience or training.

History

• Authority G.S. 93B-15; 93B-15.1
• Eff. June 1, 2010
• Amended Eff. August 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14A .0402 Duplicate Licenses

(a) A licensee may request a duplicate license by submitting a written application and a duplicate license fee to the Board.

(b) All overpayments will be returned to the submitting applicant or licensee.

History

• Authority G.S. 88B-20
• Eff. October 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14A .0403 Additional Salon Chairs

Salon owners may request an additional salon booth licensure by submitting written application including name, license number, and additional booth fees to the Board.

History

• Authority G.S. 88B-14; 88B-20
• Eff. October 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14A .0404 Fees

(a) Fees and civil penalties paid by personal checks that are returned for any reason shall be treated in the same manner as though no fee had been tendered and the bank's returned check fee, not to exceed thirty-five dollars ($35.00), shall be assessed to the account holder. All subsequent payments must be submitted via credit card, money order, or certified check.

(b) All moneys tendered in payment of fees shall be in the exact amount required for said fees. No part of a fee submitted to the Board per G.S. 88B-20 shall be refundable.

(c) Licenses, certifications, duplicates, inactivations, or reactivations shall not be processed until all fees and assessed civil penalties are paid in full.

History

• Authority G.S. 25-3-506; 88B-4; 88B-20
• Eff. September 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. September 1, 2021
• Readopted Eff. April 1, 2026.

Subchapter B

21 NCAC 14B .0101 Petitions

Any person wishing to submit a petition requesting the adoption of a rule by the Board shall address a petition to the chairman of the Board at the Board's address listed in 21 NCAC 14A .0104.

History

• Authority G.S. 88B-4; 150B-20
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14B .0102 Contents of Petitions

The petition shall contain the following information:

(1) a draft of the proposed rule or amendment,

(2) a summary of the contents of the proposed rule or amendment,

(3) reason for the proposal,

(4) effect of the new rule or amendment on existing rules,

(5) data supporting the rule proposal,

(6) effect of the proposed rule or amendment on existing practices in the area involved, including cost factors, and

(7) name and address of each petitioner.

History

• Authority G.S. 88B-4; 150B-20
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April, 1, 2026.

21 NCAC 14B .0103 Amendment or Repeal

History

• Status: repealed
• Authority G.S. 150B-16
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14B .0104 Contents of Petitions

History

• Status: repealed
• Authority G.S. 150B-16
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14B .0105 Granting or Denying Petitions

The Board shall determine, based on a study of the facts stated in the petition, whether the public interest will be better served by granting or denying the petition. The Board shall consider the contents of the submitted petitions plus any additional information deemed relevant.

History

• Authority G.S. 88B-4; 150B-20
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14B .0106 Recommendation

History

• Status: repealed
• Authority G.S. 88-23; 150B-16
• Eff. February 1, 1976
• Repealed Eff. August 1, 1988.

21 NCAC 14B .0107 Final Decision

Within 30 days of submission of the petition or at its next regularly scheduled meeting, whichever is later, the Board will render a final decision. If the decision is to deny the petition, the chairman of the Board will notify the petitioner in writing stating the reasons therefore. If the decision is to grant the petition, the Board will initiate a rule-making proceeding.

History

• Authority G.S. 88B-4; 150B-20
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readoption Eff. April 1, 2026.

21 NCAC 14B .0201 Notice to Public

Upon a determination to hold rule-making proceedings, either in response to a petition or otherwise, the Board will give 30 days notice of rule-making intent by publication in the North Carolina Register.

History

• Authority G.S. 88B-4; 150B-21.2
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14B .0202 Mailing List

History

• Status: repealed
• Authority G.S. 88-23; 150B-11(1); 150B-16; 150B-23
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14B .0203 Public Notice

History

• Status: repealed
• Authority G.S. 88-23; 150B-11(1); 150B-16; 150B-23
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14B .0204 Information Requests

History

• Status: repealed
• Authority G.S. 88-23; 150B-11(1); 150B-16; 150B-23
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14B .0301 Location of Hearings

History

• Status: repealed
• Authority G.S. 88-23; 150B-23
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14B .0302 Procedure for Making Oral Presentation at Hearing

(a) A person desiring to make an oral presentation on a proposed rule or amendment to a rule at a rule-making hearing shall submit a request to make a presentation with the chairman of the Board, at the Board's address, at least 15 days before the hearing. The presiding officer at the hearing may, however, waive or excuse a person's failure to give this notice for good cause.

(b) A request to make an oral presentation shall contain a brief summary of the subject on which the individual desires to speak and an estimation of the length of time needed. An oral presentation shall not exceed five minutes unless the presiding officer, either before or at the hearing, grants an extension of time for good cause.

(c) A person who makes an oral presentation at a rule-making hearing may submit a written copy of the presentation to the Board either before or at the hearing.

History

• Authority G.S. 88B-4; 150B-21.2
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readoption Eff. April 1, 2026.

21 NCAC 14B .0303 Request for Oral Presentations

History

• Status: repealed
• Authority G.S. 150B-11(1); 150B-23
• Eff. February 1, 1976
• Amended Eff. April 1, 1988
• Repealed Eff. January 1, 1989.

21 NCAC 14B .0304 Acknowledgement of a Request to Make an Oral Presentation

Upon receipt of a request to make an oral presentation at a rule-making hearing, the chairman of the Board shall acknowledge receipt of the request and inform the person requesting time for an oral presentation of any limitations deemed necessary to conduct a full and effective public hearing on the proposed rule or amendment.

History

• Authority G.S. 88B-4; 150B-21.2
• Eff. February 1, 1976
• Amended Eff. January 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readoption Eff. April 1, 2026.

21 NCAC 14B .0305 Written Statement

(a) Any person may file a written statement containing data, comments, or arguments in support of or in opposition to a proposed rule or rule change. Such statements may be filed before, during, or up to five days after the hearing by delivering the statement by mail or in person to the chairman of the Board, at the Board's mailing address.

(b) An extension of time for filing written statements may be granted either in the notice of the particular rule-making hearing or by the presiding officer of the hearing.

(c) All such submitted statements shall clearly state the rule or proposed rule to which the comments are addressed.

History

• Authority G.S. 88B-4; 150B-21.2
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14B .0306 Acknowledgement

Acknowledgement of all written comments received by the Board will be issued by the Chairman of the Board during the Board's meeting in which the rule is reviewed prior to voting for submission to RRC.

History

• Authority G.S. 88B-4; 150B-21.2
• Eff. February 1, 1976
• Amended Eff. April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14B .0307 Control of Hearings

(a) The purpose of this Rule is to provide uniform procedures for the conduct of public comment hearings.

(b) The presiding officer at the hearings shall have control of the proceedings including the following:

(1) extension of any time requirements;

(2) recognition of speakers;

(3) time allotment for presentations; and

(4) direction of the flow of discussion and the management of the hearing.

(c) The presiding officer shall ensure that each person participating in the hearing is given an opportunity to present views, data, and comments.

(d) Public comment hearings shall be open to the public, and members of the public shall be entitled to testify, subject to the provisions of this Rule.

(e) Public comment hearings shall be open to print and electronic media, by the Board, or the person designated by the Board to preside over the hearing, when such pooling are necessary due to room occupancy restrictions to allow the hearing to go forward subject to the following limitations:

(1) Pooling of the number of media representatives when their number and equipment, together with the number of members of the public present, exceeds the capacity of the hearing room;

(2) Limitation on the placement of cameras to specific locations within the hearing room; or

(3) Prohibition of interviews conducted within the hearing room during the hearing.

(f) Public comment hearings shall be presided over by the Board or an individual knowledgeable in the subject area of the proposed rules who has been designated by the chairman to preside over the hearing.

(g) The person presiding over the hearing shall:

(1) Call the hearing to order;

(2) Identify the proposed rules which are the subject matter of the hearing, and provide copies of them upon request;

(3) Cause a recording of the hearing to be made;

(4) Establish speaker time limits;

(5) Recognize those who wish to be heard;

(6) If necessary, refuse to recognize people for speaking, or revoke recognition of speakers;

(7) If necessary, limit the activity of the media;

(8) If necessary, continue or move the hearing; and

(9) Adjourn or continue the hearing.

(h) The hearing shall be continued when:

(1) The weather is so inclement that the chairman or the individual designated by the chairman to preside over the hearing is unable to do so;

(2) The chairman or the individual designated by the chairman to preside over the hearing is ill or unavoidably absent; or

(3) Continuing the hearing will facilitate greater participation by the public.

(i) The hearing may be moved to another location when the original location is not able to accommodate the number of people who wish to attend the hearing.

(j) The hearing shall be continued past the scheduled time or to another date when:

(1) The time available is not sufficient to give each person who wishes to speak a reasonable opportunity to do so; or

(2) The capacity of the room in which the hearing is to be held does not accommodate the number of people who wish to attend the hearing and it is not possible to move the hearing to another location.

(k) People who wish to speak about the rules which are the subject matter of the hearing shall be asked to write on the speaker's list their full names and if they represent other persons, the identity of the persons represented.

(l) People who wish to speak shall be asked to provide the information called for by Paragraph (k) of this Rule no later than before the last speaker on the list has finished speaking.

(m) People whose names appear on the speaker's list shall be afforded an opportunity to speak at the hearing within the limits on public participation.

(n) Written comments must be submitted by the deadline listed in the rule making notice.

(o) The person presiding over the hearing shall:

(1) Refuse to recognize for speaking or revoke the recognition of any person who:

(A) Speaks or acts in an abusive or disruptive manner; or

(B) Refuses to keep comments relevant to the proposed rules which are the subject matter of the hearing;

(2) Limit the duration of the hearing and limit the amount of time each speaker may speak to a time which allocates approximately equal speaking time to each person shown on the speaker's list as wishing to speak; and

(3) Limit presentations on behalf of the same organization or entity to no more than three, provided that all those representing such organization or entity may enter their names and addresses into the record as supporting the position of the organization or entity.

History

• Authority G.S. 88B-4
• Eff. February 1, 1976
• Amended Eff. April 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14B .0308 Request for Statement on Adopted Rule

Any person or agency desiring a concise statement of the principal reasons for and against the adoption of a rule by the Board and the factors that led to sustaining or overruling the considerations urged for or against its adoption may submit a request in writing to the chairman of the Board at the Board's address. Such requests may be submitted either prior to the rule-making hearing or within 30 days thereafter.

History

• Authority G.S. 88B-4; 150B-21.2
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14B .0309 Records

(a) A record of all rule-making proceedings will be maintained as long as the rule is in effect and for five years thereafter. This record will contain the following:

(1) the original petition, if any;

(2) the notice of text;

(3) all written memoranda and information submitted by the rule-making coordinator;

(4) a record or summary of oral presentations, if any; and

(5) any statement of reasons for and against adoption of a rule issued by the Board.

(b) The record will be maintained in paper or an electronic file at the Board's address.

History

• Authority G.S. 88B-4; 150B-21.2(i)
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14B .0401 Power to Issue

History

• Status: repealed
• Authority G.S. 88-23; 150B-13
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14B .0402 Length of Effectiveness

History

• Status: repealed
• Authority G.S. 88-23; 150B-13
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14B .0501 Request for Declaratory Ruling

Any person affected by a statute administered or rule promulgated by the Board may request a declaratory ruling as to how the statute or rule applies to a given factual situation or whether a particular Board rule is valid. All requests for declaratory rulings must be in writing and mailed to the chairman of the Board at the Board's address.

History

• Authority G.S. 150B-4
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14B .0502 Contents of Request

All requests for a declaratory ruling shall include the following information:

(1) name and address of petitioner;

(2) statute or rule to which the petition relates;

(3) concise statement of the manner in which the petitioner is aggrieved, or thinks that he or she is aggrieved by the rule or statute, and its application to him or her; and

(4) statement of whether an oral hearing is being requested and, if so, the reasons therefore.

History

• Authority G.S. 150B-4
• Eff. February 1, 1976
• Amended Eff. January 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14B .0503 Refusal to Issue Declaratory Ruling

Whenever the Board believes, for just cause as listed in 21 NCAC 14B .0506, that the issuance of a declaratory ruling is inappropriate, it may refuse to do so. When just cause is deemed to exist, the Board will notify the petitioner of its decision in writing stating the reasons for the denial of a declaratory ruling.

History

• Authority G.S. 150B-4
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14B .0504 Issuance of Declaratory Ruling

History

• Status: repealed
• Authority G.S. 150B-17
• Eff. February 1, 1976
• Repealed Eff. August 1, 2014.

21 NCAC 14B .0505 Procedure

A declaratory ruling procedure shall consist of written statements and oral hearings.

History

• Authority G.S. 150B-4
• Eff. February 1, 1976
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14B .0506 Circumstances

The Board may refuse to issue a declaratory ruling on the validity of a rule for just cause for any of the following reasons:

(1) The Board has already made a declaratory ruling on substantially similar facts in a contested case; or

(2) The facts underlying the request for a ruling were specifically considered at the time of the adoption of the rule in question; or

(3) The subject matter of the request is involved in pending litigation in North Carolina.

History

• Authority G.S. 150B-4
• Eff. February 1, 1976
• Amended Eff. January 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14B .0507 Circumstances

History

• Status: repealed
• Authority G.S. 88-23; 150B-17
• Eff. February 1, 1976
• Repealed Eff. January 1, 1989.

21 NCAC 14B .0601 Copying Charges

The Board may charge a fee of fifteen dollars ($15.00) for providing copies of its rules, Chapter 88 of the North Carolina General Statutes, and other public documents in its possession.

History

• Authority G.S. 12-3.1; 150B-19(5)
• Eff. February 1, 1976
• Amended Eff. January 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14B .0602 Amount

History

• Status: repealed
• Authority G.S. 88-23; 150B-11(1)
• Eff. February 1, 1976
• Repealed Eff. January 1, 1989.

21 NCAC 14B .0603 postage and handling

There will be a five dollar ($5.00) charge for postage and handling for all mailings.

History

• Authority G.S. 12-3.1; 88B-4; 150B-19(5)
• Eff. December 1, 1990
• Temporary Amendment Eff. December 1, 2001
• Amended Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14B .0604 Cosmetologist License Fee

History

• Status: expired
• Filed as a Temporary Adoption Eff. August 17, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Authority G.S. 88-21
• Temporary Adoption Expired.

21 NCAC 14B .0605 COSMETOLOGIST LICENSE FEE and staggered license renewal schedule

(a) All cosmetology licenses expiring on and after October 1, 2013 shall pay the renewal fee of thirty-nine dollars ($39.00) as required by G.S. 88B-20 and complete 24 hours of continuing education as required by G.S. 88B-21 to be eligible for license renewal.

(b) Upon renewal of a license expiring October 1, 2010, the Board shall issue a new license with staggered expiration dates. Licensees shall be divided into renewal groups by first digit of license number and shall pay prorated fees for renewal as follows:

| License Number (first digit in number) | Staggered Expiration Date | Fees/CE Hours Due | | --- | --- | --- | | 3, 4 or 5 | October 1, 2011 | $13/0 hours | | 6 or 7 | October 1, 2012 | $26/12 hours | | 0, 1, 2, 8 or 9 | October 1, 2013 | $39/24 hours |

History

• Authority G.S. 88B-20; 88B-21
• Eff. August 1, 1998
• Amended Eff. August 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14B .0607 Waivers

(a) Individuals who wish to request a waiver of a rule shall submit to the Board a written request which includes:

(1) The rule for which a waiver is requested;

(2) The reason for requesting the waiver along with supporting documents;

(3) Evidence of how the waiver will provide for the health and safety of the consumer or licensee; and

(4) The signature of applicant.

(b) The Board shall approve a waiver request only if:

(1) The administrative rule for which the waiver is being requested is not mandated by law; and

(2) The Board finds that approval of the requested waiver shall not jeopardize the health and safety of employees or the public.

History

• Authority G.S. 88B-4
• Eff. April 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14B .0608 Complaints

(a) The Board shall accept any complaint alleging violation of the Cosmetic Art Act or this Chapter for investigation and disciplinary action per G.S. 88B-24.

(b) The complaint shall be filed in writing with the Board. Complaints will be accepted through the Board's online complaint portal at www.nccosmeticarts.com. Upon receipt of a complaint, Board staff shall review the content for jurisdiction and when finding authority under G.S. 88B assign the complaint for investigation. Complaints received alleging violation outside the jurisdictional authority of the Board shall be forwarded to the appropriate agency and the complainant notified, if contact information is provided by the complainant.

(c) The Board shall notify the complainant and the respondent in any complaint filed with the Board of the disposition of the case.

History

• Authority G.S. 88B-4
• Eff. December 1, 2016
• Readopted Eff. April 1, 2026.

Subchapter C

21 NCAC 14C .0101 Administrative Hearings

Whenever the Board proposes to deny, revoke, or suspend a license, permit, certificate of registration, or letter of approval issued by it, or at any other time when it deems a hearing legally required, it shall give notice to the person affected of the Board's proposed action and the person's right to a hearing. The person may request a hearing by mailing or delivering to the Board a written request for a hearing. The Board will take the proposed action described in the notice unless it receives a request for a hearing prior to the date on which the Board proposes to act or the date specified in the notice. A request mailed to the Board is deemed timely if postmarked prior to the date on which the Board proposes to act or the date specified in the notice.

History

• Authority G.S. 150B-38(h); 150B-40
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14C .0102 Hearings

History

• Status: repealed
• Authority G.S. 88-23; 150B-23
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14C .0103 Presiding Officer

If no other presiding officer has been designated by the Board, or if the designated presiding officer is unavailable or disqualifies themselves, the chairman of the Board shall act as presiding officer for purposes of issuing subpoenas, ordering the production of records, responding to motions for continuances or extensions of time, controlling and ruling on issues surrounding discovery, and otherwise acting on matters arising in connection with a pending hearing and shall have all powers granted to the presiding officer under G.S. 150B-40.

History

• Authority G.S. 150B-38(h); 150B-40(b)
• Eff. April 1, 1988
• Amended Eff. January 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14C .0201 Request

When any person believes their rights, duties, or privileges have been affected by administrative action of the Board, they may request an administrative hearing.

History

• Authority G.S. 150B-22(b) 150B-38(h)
• Eff. February 1, 1976
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14C .0202 Prerequisites

History

• Status: repealed
• Authority G.S. 88B-4; 150B-38(h)
• Eff. February 1, 1976
• Amended Eff. August 1, 2000; July 1, 1993; August 1, 1988
• Repealed Eff. September 1, 2011.

21 NCAC 14C .0203 Written Request

Any person may file a written request for an administrative hearing with the chairman of the Board at its address.

History

• Authority G.S. 88B-4; 93B-1(2); 150B-38
• Eff. February 1, 1976
• Amended Eff. January 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14C .0204 Contents of Request

A written request for an administrative hearing shall contain the following information:

(1) name and address of petitioner,

(2) a concise statement of the Board action being challenged,

(3) a concise statement of the way in which the petitioner has been aggrieved, and

(4) a clear and specific demand for a hearing.

History

• Authority G.S. 88B-4; 150B-38
• Eff. February 1, 1976
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14C .0205 Acknowledgement

Requests for administrative hearings must be acknowledged in writing by the Board within 30 days and, if the person making the request is a person aggrieved, a hearing must be scheduled within a reasonable amount of time.

History

• Authority G.S. 88B-4; 150B-38
• Eff. February 1, 1976
• Amended Eff. January 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14C .0301 Granting a Hearing

History

• Status: repealed
• Authority G.S. 88-23; 150B-2; 150B-23
• Eff. February 1, 1976
• Repealed Eff. August 1, 1988.

21 NCAC 14C .0302 Criteria

History

• Status: repealed
• Authority G.S. 150B-11(1); 150B-23; 150B-38
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14C .0303 Issuance

History

• Status: repealed
• Authority G.S. 150B-11(1); 150B-23; 150B-38
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14C .0304 Approval of Request

History

• Status: repealed
• Authority G.S. 150B-11(1); 150B-23; 150B-38
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14C .0401 Failure to Notify

History

• Status: repealed
• Authority G.S. 88-23; 150B-11(1); 150B-25
• Eff. February 1, 1976
• Repealed Eff. January 1, 1989.

21 NCAC 14C .0402 Failure to Appear

History

• Status: repealed
• Authority G.S. 88-23; 150B-11(1); 150B-25
• Eff. February 1, 1976
• Repealed Eff. January 1, 1989.

21 NCAC 14C .0501 Reasonable Notice

History

• Status: repealed
• Authority G.S. 88-23; 150B-23
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14C .0502 Notice and Hearing

History

• Status: repealed
• Authority G.S. 88-23; 150B-23
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14C .0503 Additional Information on Notices of Hearings

In addition to the items specified in G.S. 150B-38(b) to be included in the notice, notices of administrative hearings shall include the following information:

(1) the name, position, address and phone number of a member, employee, or agent of the Board to contact for further information or discussion;

(2) the date and place for any prehearing conference;

(3) the right to file a written response to the allegations in the notice of hearing no later than ten days prior to the scheduled hearing date; and

(4) other information deemed relevant to informing the party or parties as to the procedure for the hearing.

History

• Authority G.S. 88B-4; 150B-38
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; September 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14C .0504 Written Answers to Notice

History

• Status: repealed
• Authority G.S. 88-23; 150B-25
• Eff. February 1, 1976
• Amended Eff. April 1, 1988
• Repealed Eff. January 1, 1989.

21 NCAC 14C .0601 Hearing Panel

Administrative hearings before the Board will be heard by a majority of the Board.

History

• Authority G.S. 150B-38; 150B-40
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14C .0602 Appointment

History

• Status: repealed
• Authority G.S. 88-23; 150B-32
• Eff. February 1, 1976
• Repealed Eff. January 1, 1989.

21 NCAC 14C .0701 Location

History

• Status: repealed
• Authority G.S. 88-23; 150B-24
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14C .0702 Alternative Locations

History

• Status: repealed
• Authority G.S. 88-23; 150B-24
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14C .0801 Intervention of Right

A motion to intervene of right as provided for in the G.S. 1A-1 Rule 24, shall be granted if timely and the petitioner meets the criteria of Rule 24. Moving to intervene any time prior to the designated hearing's termination must be considered timely unless a grant of the right to intervene would cause substantial prejudice to the rights of a party, substantial added expense, or compellingly serious inconvenience to the parties.

History

• Authority G.S. 150B-38(f)
• Eff. February 1, 1976
• Amended Eff. January 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14C .0802 Permissive Intervention

A motion to intervene permissively as provided for in G.S. 1A-1 Rule 24, shall be granted if the petitioner meets the criteria of Rule 24 and the Board determines that:

(1) There is sufficient legal or factual similarity between the petitioner's rights, privileges, or duties and those of the other parties to the hearing; and

(2) Permitting intervention by the petitioner as a party would aid the purposes of the hearing.

History

• Authority G.S. 150B-38(f)
• Eff. February 1, 1976
• Amended Eff. January 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14C .0803 Discretionary Intervention

Discretionary intervention shall be allowed by the Board upon a motion made before the termination of the hearing itself when the Board finds intervention would be helpful to a determination of the issues in the hearing.

History

• Authority G.S. 150B-38(f)
• Eff. February 1, 1976
• Amended Eff. January 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14C .0804 Intervention

Discretionary intervention will be allowed when:

(1) The information the petitioner desires to present is relevant and not repetitious or merely cumulative; and

(2) The petitioner would lend added facts to arguments of the parties.

History

• Authority G.S. 150B-38(f)
• Eff. February 1, 1976
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14C .0805 Written Motion

A person desiring to intervene in a contested case shall file a written motion with the chairman of the Board at the Board's address.

History

• Authority G.S. 150B-38(f)
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14C .0806 Petition for Intervention

History

• Status: repealed
• Authority G.S. 88-23; 150B-23
• Eff. February 1, 1976
• Repealed Eff. January 1, 1989.

21 NCAC 14C .0807 Allowance

If the Board decides to allow intervention, notification of that decision will be issued in writing within 30 days to all parties including the movant. In cases of discretionary intervention, such notification must include a statement of the limitations, if any, of time, subject matter, evidence, or any other matters deemed necessary by the Board which are imposed upon the intervenor.

History

• Authority G.S. 150B-38(f)
• Eff. February 1, 1976
• Amended Eff. January 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14C .0808 Denial

If the Board decides to deny intervention, the movant shall be notified in writing within 30 days. The notification must state the reasons for the decision and must be issued to the movant and to all parties.

History

• Authority G.S. 150B-38
• Eff. February 1, 1976
• Amended Eff. January 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14C .0901 Hearing Officer

History

• Status: repealed
• Authority G.S. 88-23; 150B-25; 150B-33
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14C .0902 Conduct

History

• Status: repealed
• Authority G.S. 88-23; 150B-25; 150B-33
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14C .0903 Bias of Board Member

If for any reason a board member determines that personal bias or other factors would keep that member from being able to hear a contested case and perform all duties concerning the hearing in an impartial manner, that member shall submit in writing to the Board his or her disqualifications and the reasons therefore.

History

• Authority G.S. 150B-38(h); 150B-40
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14C .0904 Bias Claimed by Party

If any party in a contested case believes that a board member is personally biased or otherwise unable to conduct the hearing and perform all duties in an impartial manner, the party may file with the Board a sworn notarized affidavit stating the reasons for such belief and all relevant facts.

History

• Authority G.S. 150B-38(h); 150B-40
• Eff. February 1, 1976
• Amended Eff. April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14C .0905 Affidavit

History

• Status: repealed
• Authority G.S. 88-23; 150B-25; 150B-33
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14C .0906 Filing Affidavit

An affidavit to disqualify a board member shall be considered timely if it was filed at least ten days prior to the scheduled hearing date. Any other affidavit may be found timely provided it is filed at the first opportunity after the party becomes aware of the facts which give rise to a reasonable belief that any board member may be disqualified.

History

• Authority G.S. 150B-38(h); 150B-40
• Eff. February 1, 1976
• Amended Eff. April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14C .0907 Disqualification

The remainder of the members of the Board shall decide whether to disqualify the board member being challenged by the following procedural rules:

(1) The board member whose disqualification is to be determined will not participate in the decision but may be called upon to furnish information to the remaining members of the Board conducting the hearing.

(2) The Board shall appoint a member of the Board, the executive director, or any other appropriate person to investigate the allegations of the affidavit, if necessary, and report his or her findings or recommendations.

(3) The Board shall decide by majority vote, or Board Chair in case of a tie vote, whether to disqualify the challenged individual on the basis of all relevant and appropriate information available to it.

History

• Authority G.S. 150B-38(h); 150B-40
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14C .0908 New Hearing

When a board member is disqualified after a hearing has begun, a new hearing shall be initiated upon request.

History

• Authority G.S. 150B-38(h); 150B-40
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14C .0909 Disqualification of Entire Board

History

• Status: repealed
• Authority G.S. 88-23; 150B-25; 150B-33; 150B-34
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14C .0910 Determination to Continue

History

• Status: repealed
• Authority G.S. 88-23; 150B-25; 150B-33; 150B-34
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14C .0911 Records

History

• Status: repealed
• Authority G.S. 88-23; 150B-25; 150B-33; 150B-34
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

Subchapter D

21 NCAC 14D .0101 Proceeding Without Party

Should a party who has been served with notice fail to appear at a scheduled hearing without having previously been granted a continuance, the Board may either proceed with the hearing in the party's absence, or continue the hearing.

History

• Authority G.S. 150B-38(c); 150B-38(h); 150B-40
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14D .0102 Alternatives of Hearing Officer

History

• Status: repealed
• Authority G.S. 88-23; 150B-25
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14D .0103 Continuances

A continuance shall be granted to all parties only upon showing of good cause. In determining whether to grant such motions, the Board shall consider the Guidelines for Resolving Scheduling Conflicts adopted by the State-Federal Judicial Council of North Carolina accessible at https://www.ca4.uscourts.gov/docs/pdfs/north-carolina-scheduling-conflict-guidelines.pdf?sfvrsn=d9bafe07_0. Motions for a continuance must be in writing and received in the office of the Board no less than 14 calendar days before the hearing date. A motion for a continuance filed less than 14 calendar days from the date of the hearing shall be denied unless the reason for the motion could not have been ascertained earlier. Motions for continuance shall be ruled on by the Board chair or designated presiding officer.

History

• Authority G.S. 150B-38(h); 150B-40
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14D .0104 Petition to Reopen

(a) If a hearing is conducted and a decision is reached in the absence of a party, the party may petition the Board to reopen the case. Petitions will not be granted except when the petitioners show that the reason for failure to appear was unavoidable and that fairness and justice require reopening the case.

(b) All petitions to reopen the case shall be in writing and addressed to the chairman of the Board at their address, and shall contain the following information:

(1) the name and address of the petitioner,

(2) a full identification of the hearing which the petitioner is seeking to reopen, and

(3) a detailed explanation of the reasons for the petitioner's desire to reopen the hearing.

History

• Authority G.S. 150B-38
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14D .0105 Criteria for Reopening a Case

The Board shall make a decision on whether to reopen the petitioner's case based upon the merits of the petition or other pertinent information in the Board's possession. In determining whether to grant such motions, the Board shall consider the Guidelines for Resolving Scheduling Conflicts adopted by the State-Federal Judicial Council of North Carolina accessible at https://www.ca4.uscourts.gov/docs/pdfs/north-carolina-scheduling-conflict-guidelines.pdf?sfvrsn=d9bafe07_0. Motions to reopen must be in writing and received in the office of the Board no less than 14 calendar days before the hearing date. A motion to reopen filed less than 14 calendar days from the date of the hearing shall be denied unless the reason for the motion could not have been ascertained earlier. Motions for continuance shall be ruled on by the Board chair or designated presiding officer. A copy of the decision will be sent to the petitioner and made a part of the permanent record of the contested case.

History

• Authority G.S. 150B-38
• Eff. February 1, 1976
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14D .0201 Discretion to Hold Conference

History

• Status: repealed
• Authority G.S. 88-23; 150B-11(1); 150B-23; 150B-31; 150B-33(5)
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14D .0202 Purposes

History

• Status: repealed
• Authority G.S. 88-23; 150B-11(1); 150B-23; 150B-31; 150B-33(5)
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14D .0203 Nature of Conference

History

• Status: repealed
• Authority G.S. 88-23; 150B-11(1); 150B-23; 150B-31; 150B-33(5)
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14D .0204 Notice of Pre-Hearing Conference

History

• Status: repealed
• Authority G.S. 88-23; 150B-11(1); 150B-23; 150B-31; 150B-33(5)
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14D .0205 Simplification of Issues

History

• Status: repealed
• Authority G.S. 88-23; 150B-11(1); 150B-23; 150B-31; 150B-33(5)
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14D .0301 Authority to Issue

History

• Status: repealed
• Authority G.S. 88-23; 150B-27
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14D .0302 Issuance

Subpoenas requiring the attendance of witnesses or to produce documents, evidence or things must be issued by the chairman of the Board or their agent within three business days of the receipt of a request from a party to a contested case.

History

• Authority G.S. 150B-38(h); 150B-39
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; August 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14D .0303 Service of Subpoenas

(a) Subpoenas shall be served in any manner provided by G.S.1A-1, Rule 45.

(b) Subpoenas shall be issued in duplicate with a "Return of Service" form attached to each copy. The person serving the subpoena shall fill out the "Return of Service" form for each copy and upon service return one copy of the subpoena with the attached "Return of Service" form completed to the Board.

History

• Authority G.S. 150B-27
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14D .0304 Unreasonable Subpoenas

History

• Status: repealed
• Authority G.S. 88-23; 150B-27
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14D .0305 Objections

Any person receiving a subpoena may object by filing a written objection with the Board.

History

• Authority G.S. 150B-38(h); 150B-39(c)
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14D .0306 Statement of Reasons

An objection to a subpoena shall include a complete statement of reasons why the subpoena should be quashed. These reasons may include lack of relevancy of the evidence requested, lack of particularity in the description of the evidence sought, or any other legal reason for declaring the subpoena invalid, such as that the evidence is privileged or that appearance or production would be so disruptive as to be unreasonable in light of the significance of the evidence sought or would produce some other undue hardship to the party.

History

• Authority G.S. 150B-38(h); 150B-39(c)
• Eff. February 1, 1976
• Amended Eff. January 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14D .0307 Service of Objections

Any objections to a subpoena filed with the Board shall be simultaneously served on the party requesting the subpoena.

History

• Authority G.S. 150B-38(h); 150B-39(c)
• Eff. February 1, 1976
• Amended Eff. January 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14D .0308 Responses to Objections

The party requesting the subpoena, within 10 days of service of the subpoena may file a written response to the objection. The response shall be served in like manner as the objection.

History

• Authority G.S. 150B-38(h); 150B-39(c)
• Eff. February 1, 1976
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14D .0309 Hearings on Subpoena Challenges

After receipt of the objection and a response thereto, if any, the hearing board panel or the presiding officer shall issue a notice of hearing to the party who requested the subpoena and the party challenging it, and may notify all other parties of a hearing before the Board to be scheduled within one year at which hearing evidence and testimony may be presented by all parties limited to the questions raised by the subpoena, the objection, and subsequent responses thereto.

History

• Authority G.S. 150B-25; 150B-39
• Eff. February 1, 1976
• Amended Eff. April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted April 1, 2026.

21 NCAC 14D .0310 Rulings

Within 30 days after the close of any hearing on an objection to a subpoena, the Board will issue a written decision. Based on the evidence presented and the record, the Board may revoke or modify the subpoena for good cause, based on such issues as oppressiveness, relevancy, and other appropriate factors, or may overrule the objection to the subpoena. A written copy of the decision will be served on the person objecting to the subpoena and all parties to the hearing.

History

• Authority G.S. 150B-38(h); 150B-39
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14D .0401 Discovery of Information

History

• Status: repealed
• Authority G.S. 88-23; 150B-28
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14D .0402 Failure to Submit to Discovery

History

• Status: repealed
• Authority G.S. 88-23; 150B-28
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14D .0501 Use of Depositions

History

• Status: repealed
• Authority G.S. 88-23; 150B-28
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14D .0502 Procedure for Taking a Deposition

History

• Status: repealed
• Authority G.S. 88-23; 150B-28
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14D .0503 Rulings on Depositions

History

• Status: repealed
• Authority G.S. 88-23; 150B-28
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

Subchapter E

21 NCAC 14E .0101 Hearing Officers

History

• Status: repealed
• Authority G.S. 88-23; 150B-34
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14E .0102 Proposal for Decision

History

• Status: repealed
• Authority G.S. 88-23; 150B-34
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14E .0103 Exceptions

History

• Status: repealed
• Authority G.S. 88-23; 150B-34
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14E .0201 Form

History

• Status: repealed
• Authority G.S. 88-23; 150B-23; 150B-25; 150B-37
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14E .0202 Records

History

• Status: repealed
• Authority G.S. 88-23; 150B-23; 150B-25; 150B-37
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14E .0203 Substantial Prejudice

History

• Status: repealed
• Authority G.S. 88-23; 150B-23; 150B-25; 150B-37
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14E .0204 Oral Arguments

History

• Status: repealed
• Authority G.S. 88-23; 150B-23; 150B-25; 150B-37
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14E .0205 Notice

History

• Status: repealed
• Authority G.S. 88-23; 150B-23; 150B-25; 150B-37
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

Subchapter F

21 NCAC 14F .0101 Application for Salon License

History

• Status: repealed
• Authority G.S. 88B-14
• Eff. February 1, 1976
• Amended Eff. August 1, 2000; April 1, 1988
• Repealed Eff. September 1, 2012.

21 NCAC 14F .0102 Operation of a Beauty Salon

History

• Status: repealed
• Authority G.S. 88-1; 88-23
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14F .0103 Reopening a Beauty Salon

History

• Status: repealed
• Authority G.S. 88-1; 88-23
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14F .0104 Separation of Beauty Salon

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(9)
• Eff. February 1, 1976
• Amended Eff. April 1, 2011; August 1, 2000; May 1, 1998; July 1, 1990; January 1, 1989; April 1, 1988
• Repealed Eff. September 1, 2012.

21 NCAC 14F .0105 Newly Established Residential Salons

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(9)
• Eff. February 1, 1976
• Amended Eff. April 1, 2011; August 1, 2000; May 1, 1998; July 1, 1990; January 1, 1989; April 1, 1988
• Repealed Eff. September 1, 2012.

21 NCAC 14F .0106 Walls and Doors

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14F .0107 Dimensions of Beauty Salon

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(9); 88B-14; 88B-21; 88-23
• Eff. February 1, 1976
• Amended Eff. July 1, 2010; November 1, 2005; April 1, 1995; October 1, 1991; January 1, 1989; April 1, 1988; May 1, 1988
• Repealed Eff. September 1, 2012.

21 NCAC 14F .0108 Inspection of Cosmetic Art Shops

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(9); 88B-14; 88B-21; 88-23
• Eff. February 1, 1976
• Amended Eff. July 1, 2010; November 1, 2005; April 1, 1995; October 1, 1991; January 1, 1989; April 1, 1988; May 1, 1988
• Repealed Eff. September 1, 2012.

21 NCAC 14F .0109 Signs

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(9); 88B-14; 88B-21; 88-23
• Eff. February 1, 1976
• Amended Eff. July 1, 2010; November 1, 2005; April 1, 1995; October 1, 1991; January 1, 1989; April 1, 1988; May 1, 1988
• Repealed Eff. September 1, 2012.

21 NCAC 14F .0110 Sanitary Rules

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. January 1, 1989
• Repealed Eff. September 1, 1991.

21 NCAC 14F .0111 Renewal of Salon Permit

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14F .0112 Postponement of Re-Inspection

History

• Status: repealed
• Authority G.S. 88B-23
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Repealed Eff. November 1, 2005.

21 NCAC 14F .0113 Failure to Permit Inspection

History

• Status: repealed
• Authority G.S. 88-23
• Eff. April 1, 1988
• Repealed Eff. September 1, 2012.

21 NCAC 14F .0114 Salon Renewal

History

• Status: repealed
• Authority G.S. 88-21(8),(9),(10); 88-25
• Eff. June 1, 1995
• Repealed Eff. December 1, 2008.

Subchapter G

21 NCAC 14G .0101 Requirements for Operating Cosmetic Art Schools

History

• Status: repealed
• Authority G.S. 88-23; 88-30
• Eff. February 1, 1976
• Amended Eff. April 1, 1991; January 1, 1989
• Repealed Eff. January 1, 2014.

21 NCAC 14G .0102 Forms

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. December 1, 2004; July 1, 1993; April 1, 1988
• Repealed Eff. December 1, 2008.

21 NCAC 14G .0103 Space Requirements

(a) The Cosmetic Art Board shall issue letters of approval only to cosmetic art schools that have at least 2,800 square feet of inside floor space for 20 stations or 4,200 square feet of inside floor space for 30 stations located within the same building. An additional 140 square feet of floor space is required for each station above 20 stations, up to and including a total of 30 stations. Thereafter, an additional 40 square feet is required for each station in excess of 30 stations. For purpose of this Rule, the day and night classes are counted as separate enrollments. A school may have a recitation room located in an adjacent building or another building within 500 feet of the main cosmetology building.

(b) Each cosmetic art school shall have no less than 20 hairdressing stations, arranged to accommodate not less than 20 students and arranged so that the course of study and training cosmetology, as prescribed in 21 NCAC 14J .0306, may be given. All stations shall be numbered numerically.

(c) Cosmetic art schools shall have a beginner department containing sufficient space to comfortably accommodate at least 10 students and having at least 40 inches between mannequins.

(d) The Board shall issue a letter of approval only to manicurist schools that have at least 1,000 square feet of inside floor space located within the same building.

(e) Manicurist schools with 1,000 square feet of inside floor space shall enroll no more than 20 students at one time, and for each student enrolled in addition to 20 students, 40 square feet of inside floor space shall be provided.

(f) Manicurist schools shall have 10 manicurist tables and chairs a minimum of two feet apart, side to side, arranged to comfortably accommodate ten students.

(g) The Board shall issue a letter of approval only to esthetician schools that have at least 1,500 square feet of inside floor space located within the same building.

(h) Esthetician schools with 1,500 square feet of inside floor space shall enroll no more than 20 students at one time, and for each student enrolled in addition to 20 students, 50 square feet of inside floor space shall be provided.

(i) The Board shall issue a letter of approval only to natural hair care schools that have at least 2000 square feet of inside floor space located within the same building.

(j) Natural hair care schools with 2000 square feet of inside floor space shall enroll no more than 20 students at one time, and for each student enrolled in addition to 20 students, 50 square feet of inside floor space shall be provided.

(k) Schools combining manicuring, esthetics and natural hair care training programs with 2000 feet of inside floor space shall enroll no more than a total of 20 students at one time and for each student enrolled in addition to 20 students, 50 square feet of inside floor space shall be provided. Equipment requirements for manicuring, esthetics and natural hair care schools shall be followed.

History

• Authority G.S. 88B-4
• Eff. February 1, 1976
• Amended Eff. April 1, 1995; January 1, 1992; May 1, 1991; January 1, 1989; May 1, 1998
• Temporary Amendment Eff. January 1, 1999
• Amended Eff. July 1, 2010; August 1, 2002; April 1, 2001; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14G .0104 Number of Students

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Repealed Eff. April 1, 1991.

21 NCAC 14G .0105 Additional Students

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Repealed Eff. April 1, 1988.

21 NCAC 14G .0106 Lighting and Ventilation

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. January 1, 1989
• Repealed Eff. April 1, 1991.

21 NCAC 14G .0107 Equipment and Teachers

History

• Status: repealed
• Authority G.S. 88-23; 88-30; 88B-4; 88B-4(a)(9); 88B-11; 88B-16; 88B-22
• Eff. February 1, 1976
• Amended Eff. April 1, 2011; July 1, 2010; December 1, 2008; November 1, 2005; August 1, 2004; April 1, 1999; August 1, 1998; May 1, 1991; April 1, 1991; January 1, 1989; May 1, 1988; April 1, 1988
• Repealed Eff. January 1, 2014.

21 NCAC 14G .0108 Visitation

History

• Status: repealed
• Authority G.S. 88-23; 88-30; 88B-4; 88B-4(a)(9); 88B-11; 88B-16; 88B-22
• Eff. February 1, 1976
• Amended Eff. April 1, 2011; July 1, 2010; December 1, 2008; November 1, 2005; August 1, 2004; April 1, 1999; August 1, 1998; May 1, 1991; April 1, 1991; January 1, 1989; May 1, 1988; April 1, 1988
• Repealed Eff. January 1, 2014.

21 NCAC 14G .0109 Student Credit

History

• Status: repealed
• Authority G.S. 88-23; 88-30; 88B-4; 88B-4(a)(9); 88B-11; 88B-16; 88B-22
• Eff. February 1, 1976
• Amended Eff. April 1, 2011; July 1, 2010; December 1, 2008; November 1, 2005; August 1, 2004; April 1, 1999; August 1, 1998; May 1, 1991; April 1, 1991; January 1, 1989; May 1, 1988; April 1, 1988
• Repealed Eff. January 1, 2014.

21 NCAC 14G .0110 Transferability of Letters of Approval

History

• Status: repealed
• Authority G.S. 88-23; 88-30; 88B-4; 88B-4(a)(9); 88B-11; 88B-16; 88B-22
• Eff. February 1, 1976
• Amended Eff. April 1, 2011; July 1, 2010; December 1, 2008; November 1, 2005; August 1, 2004; April 1, 1999; August 1, 1998; May 1, 1991; April 1, 1991; January 1, 1989; May 1, 1988; April 1, 1988
• Repealed Eff. January 1, 2014.

21 NCAC 14G .0111 Change of Location: Ownership or Management

History

• Status: repealed
• Authority G.S. 88-23; 88-30; 88B-4; 88B-4(a)(9); 88B-11; 88B-16; 88B-22
• Eff. February 1, 1976
• Amended Eff. April 1, 2011; July 1, 2010; December 1, 2008; November 1, 2005; August 1, 2004; April 1, 1999; August 1, 1998; May 1, 1991; April 1, 1991; January 1, 1989; May 1, 1988; April 1, 1988
• Repealed Eff. January 1, 2014.

21 NCAC 14G .0112 Condition of Equipment

History

• Status: repealed
• Authority G.S. 88-23; 88-30; 88B-4; 88B-4(a)(9); 88B-11; 88B-16; 88B-22
• Eff. February 1, 1976
• Amended Eff. April 1, 2011; July 1, 2010; December 1, 2008; November 1, 2005; August 1, 2004; April 1, 1999; August 1, 1998; May 1, 1991; April 1, 1991; January 1, 1989; May 1, 1988; April 1, 1988
• Repealed Eff. January 1, 2014.

21 NCAC 14G .0113 Teacher/Student Ratio

History

• Status: repealed
• Authority G.S. 88-23; 88-30; 88B-4; 88B-4(a)(9); 88B-11; 88B-16; 88B-22
• Eff. February 1, 1976
• Amended Eff. April 1, 2011; July 1, 2010; December 1, 2008; November 1, 2005; August 1, 2004; April 1, 1999; August 1, 1998; May 1, 1991; April 1, 1991; January 1, 1989; May 1, 1988; April 1, 1988
• Repealed Eff. January 1, 2014.

21 NCAC 14G .0114 School Affiliation with Cosmetic Art Shops and Other Business

History

• Status: repealed
• Authority G.S. 88-23; 88-30; 88B-4(7a)(9)
• Eff. February 1, 1976
• Amended Eff. April 1, 2011; April 1, 1991; January 1, 1989; May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Repealed Eff. March 1, 2022.

21 NCAC 14G .0115 Failure to Comply with Rules

History

• Status: repealed
• Authority G.S. 88-23; 88-30; 88B-4(7a)(9)
• Eff. February 1, 1976
• Amended Eff. April 1, 2011; April 1, 1991; January 1, 1989; May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Repealed Eff. March 1, 2022.

21 NCAC 14G .0116 Re-Evaluation of Schools

The Board reserves the authority to re-evaluate any cosmetic art school to determine compliance with the provisions of G.S. 88B and Board rules at any time.

History

• Authority G.S. 88B-4; 88B-23; 88B-30
• Eff. April 1, 1988
• Amended Eff. April 1, 1991; January 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14G .0117 Changes in Teaching Staff

History

• Status: repealed
• Authority G.S. 88-23
• Eff. January 1, 1989
• Amended Eff. September 1, 1991
• Repealed Eff. January 1, 2014.

21 NCAC 14G .0118 School Curriculum Approval

History

• Status: repealed
• Authority G.S. 88B-4; 88B-16
• Eff. April 1, 2011
• Repealed Eff. January 1, 2014.

Subchapter H

21 NCAC 14H .0101 Copy of Rules to Cosmetology Students

History

• Authority G.S. 88-23; 88-30
• Eff. February 1, 1976
• Amended Eff. April 1, 1991; January 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• RRC objection September 19, 2019 and rule returned to the agency on October 17, 2019.

21 NCAC 14H .0102 Copy of Rules to Beauty Establishments

History

• Authority G.S. 88-23; 88-30
• Eff. February 1, 1976
• Amended Eff. April 1, 1991; January 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• RRC objection September 19, 2019 and rule returned to the agency on October 17, 2019.

21 NCAC 14H .0103 Failure to Adhere to Rules

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Repealed Eff. January 1, 1989.

21 NCAC 14H .0104 Building

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Repealed Eff. January 1, 1989.

21 NCAC 14H .0105 Sanitary Ratings and Posting of Ratings

History

• Status: repealed
• Authority G.S. 88B-4; 88B-23; 88B-24
• Eff. February 1, 1976
• Amended Eff. January 1, 2011; June 1, 2009; June 1, 2007; August 1, 1998; June 1, 1994; April 1, 1991; January 1, 1989
• Repealed Eff. September 1, 2012.

21 NCAC 14H .0106 Residential Beauty Shops

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Repealed Eff. January 1, 1989.

21 NCAC 14H .0107 Water Supply

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(9); 88B-14; 88-23
• Eff. February 1, 1976
• Amended Eff. August 1, 1998; June 1, 1994; April 1, 1991; January 1, 1989; April 1, 1988
• Temporary Amendment Eff. January 20, 1999
• Amended Eff. April 1, 2011; January 1, 2011; July 1, 2010; December 1, 2008; January 1, 2008; October 1, 2006; February 1, 2006 November 1, 2005; December 1, 2004; September 1, 2004; February 1, 2004; August 1, 2000
• Repealed Eff. September 1, 2012.

21 NCAC 14H .0108 Floor Coverings

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(9); 88B-14; 88-23
• Eff. February 1, 1976
• Amended Eff. August 1, 1998; June 1, 1994; April 1, 1991; January 1, 1989; April 1, 1988
• Temporary Amendment Eff. January 20, 1999
• Amended Eff. April 1, 2011; January 1, 2011; July 1, 2010; December 1, 2008; January 1, 2008; October 1, 2006; February 1, 2006 November 1, 2005; December 1, 2004; September 1, 2004; February 1, 2004; August 1, 2000
• Repealed Eff. September 1, 2012.

21 NCAC 14H .0109 Ventilation and Light

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(9); 88B-14; 88-23
• Eff. February 1, 1976
• Amended Eff. August 1, 1998; June 1, 1994; April 1, 1991; January 1, 1989; April 1, 1988
• Temporary Amendment Eff. January 20, 1999
• Amended Eff. April 1, 2011; January 1, 2011; July 1, 2010; December 1, 2008; January 1, 2008; October 1, 2006; February 1, 2006 November 1, 2005; December 1, 2004; September 1, 2004; February 1, 2004; August 1, 2000
• Repealed Eff. September 1, 2012.

21 NCAC 14H .0110 Bathroom Facilities

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(9); 88B-14; 88-23
• Eff. February 1, 1976
• Amended Eff. August 1, 1998; June 1, 1994; April 1, 1991; January 1, 1989; April 1, 1988
• Temporary Amendment Eff. January 20, 1999
• Amended Eff. April 1, 2011; January 1, 2011; July 1, 2010; December 1, 2008; January 1, 2008; October 1, 2006; February 1, 2006 November 1, 2005; December 1, 2004; September 1, 2004; February 1, 2004; August 1, 2000
• Repealed Eff. September 1, 2012.

21 NCAC 14H .0111 Cleanliness of Operators

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(9); 88B-14; 88-23
• Eff. February 1, 1976
• Amended Eff. August 1, 1998; June 1, 1994; April 1, 1991; January 1, 1989; April 1, 1988
• Temporary Amendment Eff. January 20, 1999
• Amended Eff. April 1, 2011; January 1, 2011; July 1, 2010; December 1, 2008; January 1, 2008; October 1, 2006; February 1, 2006 November 1, 2005; December 1, 2004; September 1, 2004; February 1, 2004; August 1, 2000
• Repealed Eff. September 1, 2012.

21 NCAC 14H .0112 Cleanliness of Clinic Area

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(9); 88B-14; 88-23
• Eff. February 1, 1976
• Amended Eff. August 1, 1998; June 1, 1994; April 1, 1991; January 1, 1989; April 1, 1988
• Temporary Amendment Eff. January 20, 1999
• Amended Eff. April 1, 2011; January 1, 2011; July 1, 2010; December 1, 2008; January 1, 2008; October 1, 2006; February 1, 2006 November 1, 2005; December 1, 2004; September 1, 2004; February 1, 2004; August 1, 2000
• Repealed Eff. September 1, 2012.

21 NCAC 14H .0113 Cleanliness of Scissors: Shears: Razors and Other Equipment

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(9); 88B-14; 88-23
• Eff. February 1, 1976
• Amended Eff. August 1, 1998; June 1, 1994; April 1, 1991; January 1, 1989; April 1, 1988
• Temporary Amendment Eff. January 20, 1999
• Amended Eff. April 1, 2011; January 1, 2011; July 1, 2010; December 1, 2008; January 1, 2008; October 1, 2006; February 1, 2006 November 1, 2005; December 1, 2004; September 1, 2004; February 1, 2004; August 1, 2000
• Repealed Eff. September 1, 2012.

21 NCAC 14H .0114 Care of Creams: Lotions: and Cosmetics

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(9); 88B-14; 88-23
• Eff. February 1, 1976
• Amended Eff. August 1, 1998; June 1, 1994; April 1, 1991; January 1, 1989; April 1, 1988
• Temporary Amendment Eff. January 20, 1999
• Amended Eff. April 1, 2011; January 1, 2011; July 1, 2010; December 1, 2008; January 1, 2008; October 1, 2006; February 1, 2006 November 1, 2005; December 1, 2004; September 1, 2004; February 1, 2004; August 1, 2000
• Repealed Eff. September 1, 2012.

21 NCAC 14H .0115 First Aid

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(9); 88B-14; 88-23
• Eff. February 1, 1976
• Amended Eff. August 1, 1998; June 1, 1994; April 1, 1991; January 1, 1989; April 1, 1988
• Temporary Amendment Eff. January 20, 1999
• Amended Eff. April 1, 2011; January 1, 2011; July 1, 2010; December 1, 2008; January 1, 2008; October 1, 2006; February 1, 2006 November 1, 2005; December 1, 2004; September 1, 2004; February 1, 2004; August 1, 2000
• Repealed Eff. September 1, 2012.

21 NCAC 14H .0116 Health of Operators

History

• Status: repealed
• Authority G.S. 88-23; 88-26(3)
• Eff. February 1, 1976
• Amended Eff. January 1, 1989
• Repealed Eff. December 1, 2008.

21 NCAC 14H .0117 Animals

History

• Status: repealed
• Authority G.S. 88B-2; 88B-4; 88B-14; 88B-17; 88B-23
• Eff. February 1, 1976
• Amended Eff. August 1, 1998; June 1, 1994; April 1, 1991; January 1, 1989
• Temporary Amendment Eff. January 20, 1999
• Amended Eff. Amended Eff. July 1, 2010; December 1, 2008; August 1, 2000
• Repealed Eff. September 1, 2012.

21 NCAC 14H .0118 Systems of Grading Beauty Establishments

History

• Status: repealed
• Authority G.S. 88B-2; 88B-4; 88B-14; 88B-17; 88B-23
• Eff. February 1, 1976
• Amended Eff. August 1, 1998; June 1, 1994; April 1, 1991; January 1, 1989
• Temporary Amendment Eff. January 20, 1999
• Amended Eff. Amended Eff. July 1, 2010; December 1, 2008; August 1, 2000
• Repealed Eff. September 1, 2012.

21 NCAC 14H .0119 Notice to Board

History

• Status: repealed
• Authority G.S. 88-23; 88-29
• Eff. March 1, 1993
• Amended Eff. March 1, 1994
• Repealed Eff. August 1, 1998.

21 NCAC 14H .0120 whirlpool, FOOTSPA and facial steamer SANITATION

History

• Status: repealed
• Authority G.S. 88B-4; 88B-14
• Eff. February 1, 2004
• Amended Eff. January 1, 2011; December 1, 2008; May 1, 2007; October 1, 2006; November 1, 2005
• Repealed Eff. September 1, 2012.

21 NCAC 14H .0121 Prohibited Practices

History

• Status: repealed
• Authority G.S. 88B-2; 88B-4
• Eff. April 1, 2004
• Amended Eff. January 1, 2011; January 1, 2008; May 1, 2007; December 1, 2004
• Repealed Eff. September 1, 2012.

21 NCAC 14H .0201 Application for Shop License

(a) Rules in this Subchapter apply to all cosmetic art shops making initial application to operate a cosmetic art shop.

(b) Shops licensed prior to March 1, 2012 are not required to comply with Rules .0202, .0203(c), .0204 and .0301 of this Subchapter.

(c) Shops licensed prior to March 1, 2012 shall comply with Rules .0201, .0203(a)-(b), .0302-.0304 and Sections .0400 and .0500 of this Subchapter.

(d) Shops licensed prior to March 1, 2012 that make any structural changes that change the physical layout or square footage shall comply with all rules in this Subchapter notwithstanding Paragraph (b) of this Rule.

(e) Persons desiring to open a cosmetic art shop, to change ownership of a cosmetic art shop, relocate or reopen a shop shall make application to the North Carolina State Board of Cosmetic Art Examiner on the Board's application form.

History

• Authority G.S. 88B-2; 88B-4; 88B-14; 88B-22
• Eff. April 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023
• Readopted Eff. April 1, 2026.

21 NCAC 14H .0203 Newly Established Shops

(a) All cosmetic art shops shall be separate and apart from any building or room used for any other business or purpose, separated by a solid wall of at least seven feet in height and shall have a separate outside entrance.

(b) A newly established cosmetic art shop, shall be separate and apart from any building or room used for living, dining or sleeping and shall be separate and apart from any other room used for any other purpose by a solid wall of ceiling height, making separate and apart rooms used for a cosmetic art shop. All entrances to the cosmetic art shop shall be through solid, full length doors installed in solid walls of ceiling height.

(c) A residential cosmetic art shop shall furnish bathroom facilities separate and apart from the residence.

(d) An entrance to a cosmetic art shop from a passageway, walkway, or mall area used only for access to the shop, or to the shop and other businesses, may be open.

History

• Authority G.S. 88B-2; 88B-4; 88B-14
• Eff. April 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023
• Readopted Eff. April 1, 2026.

21 NCAC 14H .0204 Dimensions within Cosmetic Art Shops

Within the clinic area each shop shall maintain no less than the following working distances:

(1) 48 inches of space from the center to the center of each styling chair, esthetics table or manicuring table;

(2) 24 inches from the center of the chair forward;

(3) 48 inches from the backrest behind the chair to any other styling chair, esthetics table or manicuring table; and

(4) at least 30 inches of space from the back of each styling chair, esthetics table or manicuring table to the wall of the shop.

History

• Authority G.S. 88B-2; 88B-4; 88B-14
• Eff. April 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14H .0301 Water

Cosmetic art shops shall have a sink with hot and cold running water in the shop, separate from restrooms.

History

• Authority G.S. 88B-2; 88B-4; 88B-14
• Eff. April 1, 2012
• Amended Eff. June 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. September 1, 2018; March 1, 2018
• Readopted Eff. April 1, 2026.

21 NCAC 14H .0302 Ventilation and Light

(a) Ventilation shall be provided at all times in the clinic areas when patrons are serviced in all cosmetic art shops and there shall be a continuous exchange of air.

(b) Light shall be provided in the service area of a cosmetic art shop.

(c) All cosmetic art shops shall adhere to any federal, State and local government regulation or ordinance regarding fire safety codes, plumbing and electrical work.

History

• Authority G.S. 88B-2; 88B-4; 88B-14
• Eff. April 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. October 1, 2019; March 1, 2018
• Readopted Eff. April 1, 2026.

21 NCAC 14H .0303 Bathroom Facilities

(a) Toilet and hand washing facilities consisting of at least one toilet and one hand washing sink with running water, liquid soap and individual clean towels or hand air dryer shall be accessible to each cosmetic art shop.

(b) Shops with an initial licensure date prior to March 1, 2012, are not required to comply with Paragraph (a) of this Rule.

History

• Authority G.S. 88B-2; 88B-4; 88B-14
• Eff. April 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. September 1, 2018; March 1, 2018
• Readopted Eff. April 1, 2026.

21 NCAC 14H .0304 Equipment

Cosmetic art shops shall maintain equipment and supplies to safely perform any cosmetic art service offered in the shop. Safely is the safe and effective completion of the systematic steps for a cosmetic art service following infection control regulations, manufacturer's instructions, and equipment handling.

History

• Authority G.S. 88B-2; 88B-4; 88B-14
• Eff. April 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14H .0401 Licensees and Students

(a) For purposes of this Section, sanitation, as described in G.S. 88B, is defined as "infection control."

(b) Notwithstanding Rule .0201 in this Subchapter, this Rule applies to licensees and students in practice in cosmetic art schools and shops.

(c) Each licensee and student shall wash his or her hands with soap and water immediately after using the restroom. Each licensee and student shall wash his or her hands with soap and water or use of a 62 percent to 70 percent alcohol-based hand sanitizer immediately before and after serving each client and at any point that the student or licensees hands become contaminated.

(d) Each licensee and student shall wear clean garments and shoes while serving patrons.

(e) Licensees or students shall not use or possess in a cosmetic art school or shop any of the following:

(1) Methyl Methacrylate Liquid Monomer, a.k.a. MMA;

(2) razor-type callus shavers, hollow needles, or blades;

(3) carbolic acid (phenol) over two percent strength;

(4) animals including insects, fish, amphibians, reptiles, birds, or non-human mammals to perform any service; or

(5) a variable speed electrical nail file unless it has been designed for use on a natural nail.

(f) A licensee or student shall not:

(1) use any product, implement, or piece of equipment in any manner other than the product's, implement's, or equipment's intended use as described or detailed by the manufacturer;

(2) treat any medical condition unless referred by a physician;

(3) provide any service unless it falls within the license definition listed in G.S. 88B-2 and unless trained prior to performing the service;

(4) perform services on a client if the licensee has reason to believe the client has any of the following:

(A) fungus, lice, or nits;

(B) an inflamed, infected, broken, raised, or swollen skin or nail tissue in the area to be worked on; or

(C) an open wound or sore in the area to be worked on;

(5) alter or duplicate a license issued by the Board;

(6) advertise or solicit clients in any form of communication in a manner that is false or misleading. A violation of this prohibition is considered practicing or attempting to practice by fraudulent misrepresentation is set forth in 21 NCAC 14P .0108;

(7) cut or remove growths of skin including freckles, moles, warts, skin tags, corns, and calluses;

(8) use any product or device that will penetrate the dermis;

(9) make any statement to a member of the public, either verbally or in writing, stating or implying any action is required or forbidden by Board rules when such action is not required or forbidden by Board rules. A violation of this prohibition is considered practicing or attempting to practice by fraudulent misrepresentation is set forth in 21 NCAC 14P .0108;

(10) Make any statement to a member of the public either verbally or in writing, stating or implying the licensee or student has completed training, licensure, or certification that the licensee/student does not hold or has not completed or not recognized by the Board or NC General Statutes. A violation of this prohibition is considered practicing or attempting to practice by fraudulent misrepresentation as set forth in 21 NCAC 14P .0108;

(11) use or possess any product banned by the FDA. A list of banned products is available at www.fda.gov; or

(12) use or possess any machine for a cosmetic art service that is not classified by the FDA. Machines that do not require classification by the FDA are exempt from this regulation.

(g) In using a disinfectant, the user shall wear any personal protective equipment, such as gloves, recommended by the manufacturer in the Safety Data Sheet.

(h) Licensees may only perform services specifically designated within their licensure field as defined by G.S. 88B-2.

History

• Authority G.S. 88B-2; 88B-4; 88B-14; 88B-24
• Eff. April 1, 2012
• Amended Eff. August 1, 2014; March 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023; September 1, 2020; October 1, 2019; March 1, 2019; March 1, 2018
• Readopted Eff. April 1, 2026.

21 NCAC 14H .0402 Cosmetic Art Shops and Schools

(a) A cosmetic art school or shop shall be kept clean.

(b) Waste material shall be kept in receptacles with a disposable liner. The area surrounding the waste receptacles shall be maintained in a sanitary manner.

(c) All doors and windows shall be kept clean.

(d) Furniture, equipment, floors, walls, ceilings, and fixtures must be clean and in good repair.

(e) Work surfaces used for resting dirty implements during service performances must be disinfected, before and after each service or be protected by a discardable or disinfectable barrier. Any barrier used for this purpose must be discarded, disinfected or laundered before and after each service.

(f) Animals or birds shall not be in a cosmetic art shop or school. Fish in an enclosure and animals trained for the purpose of accompanying disabled persons are exempt from the prohibition in this Paragraph.

(g) Cosmetic art shops and schools shall display the name of the shop or school and the suite number at the entrance by a sign or lettering.

(h) The owner of a cosmetic art shop or school shall not post any sign that states or implies that some action is required or forbidden by Board rules when such action is not required or forbidden by Board rules. A violation of this prohibition is considered practicing or attempting to practice by fraudulent misrepresentation.

History

• Authority G.S. 88B-2; 88B-4; 88B-14; 88B-24
• Eff. April 1, 2012
• Amended Eff. March 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023
• Readopted Eff. April 1, 2026.

21 NCAC 14H .0403 Disinfection Procedures

(a) Disinfectant, as applicable in this Subchapter, is defined as a disinfectant that is EPA registered as effective against:

(1) bacteria including Staphylococcus aureus, MRSA, and pseudomonas aeruginosa;

(2) viruses including HIV, Hepatitis B and C;

(3) fungi including Trichophyton mentagrophytes; and

(4) human Coronavirus or SARS-CoV-2.

(b) Infection Control rules that apply to towels and cloths are as follows:

(1) clean protective capes, drapes, linens, and towels shall be used for each patron;

(2) after a protective cape has been in contact with a patron's neck it shall be placed in a clean, closed container until laundered with soap and hot water and dried in a heated dryer. Capes that cannot be laundered and dried in a heater dryer may be disinfected in accordance with the manufacturer directions; and

(3) after a drape, linen, or towel has been in contact with a patron's skin it shall be placed in a clean, container until laundered with soap and hot water and dried in a heated dryer.

(c) Any paper or nonwoven protective drape or covering shall be discarded after one use.

(d) There shall be a supply of clean protective drapes, linens, and towels at all times. Wet towels used in services shall be prepared fresh each day. Unused, prepared wet towels shall be laundered daily.

(e) Clean drapes, capes, linens, towels and all other supplies shall be stored in a clean area.

(f) Bathroom facilities shall be kept clean.

(g) All implements shall be cleaned and disinfected after each use in the following manner:

(1) They shall be washed with warm water and a cleaning solution and scrubbed to remove debris and dried.

(2) They shall be disinfected with disinfectant that is mixed and used according to the manufacturer's directions and manufacturer's contact time. They shall be rinsed with hot tap water and dried with a clean towel before their next use. They shall be stored in a clean, closed cabinet or container until they are needed.

(3) If the implement is shears, a razor, or not immersible, it shall be cleaned by wiping it with a clean cloth moistened or sprayed with a disinfectant used in accordance with the manufacturer's directions.

(h) All disinfected non-electrical implements shall be stored in a clean, closed cabinet or clean, closed container.

(i) All disinfected electrical implements shall be stored in a clean area separate from other clean implements.

(j) Disposable and porous implements and supplies shall be discarded after use or upon completion of the service.

(k) Product that comes into contact with the patron shall be discarded upon completion of the service.

(l) Containers with open faces may be covered or closed with plastic wrapping. Disinfected implements shall not be stored with any implement or item that has not been disinfected. Implements that have not been disinfected shall be stored in a container and labeled as soiled.

(m) Lancets, disposable razors, and other sharp objects shall be disposed in puncture-resistant containers.

(n) All creams, lotions, wax, cosmetics, and other products dispensed to come in contact with patron's skin shall be kept in clean, closed containers and shall conform in all respects to the requirements of the Federal Food, Drug, and Cosmetic Act as set forth in 21 U.S.C. 9 accessible at https://uscode.house.gov/view.xhtml?path=/prelim@title21/chapter9/subchapter6&edition=prelim. Any product apportioned for use and removed from original containers shall be distributed in a sanitary manner that prevents contamination of product or container. Any product dispensed in portions into another container shall be dispensed into a clean container and applied to patrons by means of a disinfected or disposable implement or other clean methods. Any product dispensed in portions not dispensed into another container shall be used immediately and applied to patrons by means of a disinfected or disposable implement or other clean methods. No product dispensed in portions may be returned to the original container.

(o) As used in this Rule, "whirlpool" or "footspa" means any basin using circulating water.

(p) After use by each patron each whirlpool or footspa shall be cleaned and disinfected as follows:

(1) all water shall be drained and all debris removed from the basin;

(2) the basin shall be disinfected by filling the basin with water and circulating a surfactant or enzymatic soap with a disinfectant used according to manufacturer's instructions through the unit for 10 minutes;

(3) the basin shall be drained and rinsed with clean water; and

(4) the basin shall be wiped dry with a clean towel.

(q) At the end of the day each whirlpool or footspa shall be cleaned and disinfected as follows:

(1) the screen shall be removed and all debris trapped behind the screen removed;

(2) the screen and the inlet must be washed with surfactant, enzymatic soap, or detergent and rinsed with clean water;

(3) before replacing the screen it shall be totally immersed in disinfectant in accordance to the manufacturer's instructions;

(4) the inlet and area behind the screen shall be cleaned with a brush and surfactant soap and water to remove all visible debris and residue; and

(5) the spa system shall be flushed with low sudsing surfactant, enzymatic soap, and warm water for at least 10 minutes and then rinsed and drained.

(r) A record shall be made of the date and time of each cleaning and disinfecting as required by this Rule including the date, time, reason, and name of the staff member who performed the cleaning. This record shall be made for each whirlpool or footspa and shall be kept and made available for at least 90 days upon request by either a patron or inspector.

(s) The water in a vaporizer machine shall be emptied daily and the unit disinfected daily after emptying.

(t) The area where services are performed that come in contact with the patron's skin including treatment chairs, treatment tables, and beds shall be disinfected between patrons.

(u) A manufacturers label for all products, cleaners, and disinfectant concentrate shall be available at all times. If a concentrate bottle is emptied, it shall remain available until a new bottle is available.

(v) When mixed disinfectant concentrate is placed in a secondary container such as a spray bottle, tub, or jar, that container shall be labeled to indicate what chemical is in the container. SDS sheets shall be available for all disinfectants in use at all times.

(w) Disinfectants shall be stored and disposed of in accordance with all local, State, and federal requirements.

(x) The cabinet and supplies of a towel warmer machine shall be emptied daily and the unit dried daily after emptying.

History

• Authority G.S. 88B-2; 88B-4; 88B-14
• Eff. April 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023; September 1, 2021; September 1, 2020; October 1, 2019; March 1, 2018
• Readopted April 1, 2026.

21 NCAC 14H .0404 First Aid

(a) Each cosmetic art shop and school shall have individually packaged antibiotic ointment, gloves or finger guards, sterile adhesive bandages, and other necessary supplies available to provide first aid.

(b) If the skin of the licensee or student is punctured, the licensee or student shall upon knowledge of the injury do the following in this order:

(1) wash and dry the punctured area with soap and running water and a disposable towel;

(2) if the cut is still bleeding apply pressure over the wound with a disposable towel;

(3) remove materials from first aid kit;

(4) apply antibiotic ointment or a sterile adhesive bandage;

(5) disinfect any implement or work area exposed to blood per Rule .0403 in this Section;

(6) dispose of all contaminated supplies in the trash;

(7) wash hands with soap and running water; and

(8) if the injured area is on the hands, fingers, or thumb apply disposable, protective glove(s) or a finger guard.

(c) If the skin of the patron is punctured, the licensee or student shall upon knowledge of the injury do the following in this order:

(1) wash and dry hands with soap and running water and a disposable towel and remove materials from first aid kit;

(2) make first aid supplies available to the patron or assist the patron with:

(A) cleansing injured area with soap and water; and

(B) applying antibiotic ointment or a sterile adhesive bandage;

(3) disinfect any implement or work area exposed to blood per Rule .0403 in this Section;

(4) dispose of all contaminated supplies in the trash;

(5) wash hands with soap and running water; and

(6) put on disposable, protective gloves.

History

• Authority G.S. 88B-2; 88B-4; 88B-14
• Eff. April 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. September 1, 2020; March 1, 2018; January 1, 2016
• Readopted Eff. April 1, 2026.

21 NCAC 14H .0501 Inspection of Cosmetic Art Shops

(a) A newly established cosmetic art shop, or a shop which has changed ownership must file an application for licensure with the Board prior to opening. A newly established cosmetic art shop, a shop which has changed ownership or a shop which has been operating without a license shall be inspected before a license will be issued. A new shop license application shall include the following:

(1) Shop name;

(2) Owner name and social security number or tax id number;

(3) Shop location and mailing addresses;

(4) Number of booths;

(5) Date of opening or ownership change;

(6) Shop phone number and email address; and

(7) Work days and hours.

(b) Each cosmetic art shop must pass inspection by an agent of the Board pursuant to this Subchapter. Inspections shall be conducted annually and may be conducted without notice.

(c) Mobile cosmetic art shops and schools are prohibited.

History

• Authority G.S. 88B-2; 88B-4; 88B-14; 88B-27
• Eff. April 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023
• Readopted Eff. April 1, 2026.

21 NCAC 14H .0502 Failure to Permit Inspection

A salon shall allow an inspector access to inspect a salon after the inspector makes an appointment. If a salon fails to meet this requirement twice, the Board may initiate proceedings to revoke or suspend the salon license or may refuse to renew the shop license.

History

• Authority G.S. 88B-2; 88B-4; 88B-14; 88B-27
• Eff. April 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14H .0503 Sanitary Ratings and Posting of Ratings

(a) The sanitary rating of a beauty establishment shall be based on a system of grading outlined in this Subchapter. The Board's agent or inspector shall rate all beauty establishments based on the following grading scale:

(1) all establishments receiving a rating of at least 90 percent or more shall be awarded a grade A;

(2) all establishments receiving a rating of at least 80 percent, and less than 90 percent, shall be awarded grade B;

(3) all establishments receiving a rating of at least 70 percent and less than 80 percent shall be awarded grade C; and

(4) any cosmetic art shop or school with a sanitation grade of below 70 percent shall be awarded a failed inspection notice.

(b) Every beauty establishment shall be inspected and graded by the Board's agent or inspector and given a sanitary rating. A cosmetic art school shall be graded no less than three times a year, and a cosmetic art shop shall be graded once a year.

(c) The sanitary rating or failed inspection notice given to a beauty establishment by the Board's agent or inspector shall be posted by the owner in plain sight near the front entryway at all times.

(d) All new establishments shall be graded by the Board's agent or inspector and receive a rating of at least 90 percent before a license will be issued.

(e) The operation of a cosmetic art shop or school which fails to receive a sanitary rating of at least 70 percent (grade C) shall be sufficient cause for revoking or suspending the license.

(f) A re-inspection by the Board's agent or inspector for the purpose of raising the sanitary rating of a beauty establishment shall not be given within 30 days of the last inspection unless the rating at the last inspection was less than 80 percent.

(g) All cosmetic art shops and schools with a failed inspection report shall be sufficient cause for the immediate suspension of licensure. All cosmetic art shops and schools with a failed inspection report shall close until the Board's agent or inspector has reinspected and the sanitation conditions have improved to be awarded a passing grade.

(h) A copy of the itemized and graded inspection report shall be provided to the operator at the time of the inspection.

History

• Authority G.S. 88B-2; 88B-4; 88B-14; 88B-26; 88B-27
• Eff. April 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023
• Readopted Eff. April 1, 2026.

21 NCAC 14H .0504 Systems of Grading Beauty Establishments

The system of grading the sanitary rating of cosmetic art schools and shops based on the rules set out in this Subchapter shall be as follows, setting out areas to be inspected and considered, and the maximum points given for compliance:

| Sanitation | Point Value | | --- | --- | | Each licensee and student shall wash his or her hands with soap and water or hand sanitizer with the active ingredient of 70 percent alcohol or higher before and after serving each client. | 2 | | Each licensee and student shall wear clean garments and shoes while serving patrons. | 2 | | The cosmetic art facility shall be kept clean. | 3 | | Waste material shall be kept in receptacles with a disposable liner. | 4 | | All doors and windows shall be kept clean. | 2 | | Furniture, equipment, floors, walls, ceilings and fixtures shall be clean and in good repair. | 3 | | Clean protective capes, drapes, linens, and towels shall be used for each patron. | 3 | | After a cape, drape, linen, or towel has been in contact with a patron's skin, it shall be placed in a clean container until laundered with soap and hot water and dried in a heated dryer. | 5 | | Any paper or nonwoven protective drape or covering shall be discarded after one use. | 2 | | There shall be a supply of clean protective drapes, linens and towels at all times. | 2 | | Clean drapes, capes, linens, and towels shall be stored in a clean area. | 5 | | Bathroom facilities shall be kept clean. | 3 | | All implements shall be washed with warm water and a cleaning solution and scrubbed to remove debris and dried. | 2 | | All implements shall be disinfected per Rule .0403 of this Subchapter. | 10 | | All disinfected electrical implements shall be stored in a clean area. | 2 | | Disposable and porous implements and supplies shall be discarded after use or upon completion of the service. | 10 | | Any product that comes into contact with the patron shall be discarded upon completion of the service. | 3 | | Disinfected implements shall be kept in a clean closed cabinet or clean closed container and shall not be stored with any implement or item that has not been disinfected. | 10 | | Lancets, disposable razors, and other sharp objects shall be disposed in puncture-resistant containers. | 1 | | The presence of animals or birds shall be prohibited as set forth in Rule .0402 of this Subchapter. Fish in an enclosure and animals trained for the purpose of accompanying disabled persons are exempt. | 1 | | All creams, lotions, wax, cosmetics, and other products dispensed to come in contact with patron's skin shall be kept in clean, closed containers and dispensed with a clean implement. No product dispensed in portions shall be returned to the container. | 10 | | After each patron's use each whirlpool or footspa shall be cleaned and disinfected. | 10 | | The water in a vaporizer machine shall be emptied daily and the unit disinfected daily. | 2 | | The area where services are performed that come in contact with the patron's skin including chairs, tables, and beds shall be disinfected between patrons. | 3 |

History

• Authority G.S. 88B-2; 88B-4; 88B-14; 88B-23; 88B-26
• Eff. April 1, 2012
• Amended Eff. August 1, 2014
• Readopted Eff. January 1, 2016
• Amended Eff. April 1, 2023; September 1, 2018
• Readopted Eff. April 1, 2026.

21 NCAC 14H .0505 Rule Compliance and Enforcement Measures

History

• Status: repealed
• Authority G.S. 88B-2; 88B-4; 88B-14; 88B-23; 88B-24; 88B-26; 88B-27; 88B-29
• Eff. April 1, 2012
• Amended Eff. August 1, 2014
• Readopted Eff. January 1, 2016
• Amended Eff. March 1, 2019; March 1, 2018
• Repealed Eff. April 1, 2023.

Subchapter I

21 NCAC 14I .0101 Permanent Files

History

• Status: repealed
• Authority G.S. 88-23; 88B-4; 88B-4(7a); 88B-7; 88B-8; 88B-9; 88B-10; 88B-10.1; 88B-16
• Eff. February 1, 1976
• August 1, 1998; April 1, 1995; December 1, 1993; May 1, 1991; April 1, 1991; January 1, 1991; January 1, 1989; April 1, 1988
• Temporary Amendment Eff. January 1, 1999
• Amended Eff. April 1, 1999
• Temporary Amendment Eff. February 10, 2000
• Amended Eff. April 1, 2011; July 1, 2010; December 1, 2008; July 1, 2006; December 1, 2004; February 1, 2004; April 1, 2001; August 1, 2000
• Repealed Eff. January 1, 2014.

21 NCAC 14I .0102 Daily Record

History

• Status: repealed
• Authority G.S. 88-23; 88B-4; 88B-4(7a); 88B-7; 88B-8; 88B-9; 88B-10; 88B-10.1; 88B-16
• Eff. February 1, 1976
• August 1, 1998; April 1, 1995; December 1, 1993; May 1, 1991; April 1, 1991; January 1, 1991; January 1, 1989; April 1, 1988
• Temporary Amendment Eff. January 1, 1999
• Amended Eff. April 1, 1999
• Temporary Amendment Eff. February 10, 2000
• Amended Eff. April 1, 2011; July 1, 2010; December 1, 2008; July 1, 2006; December 1, 2004; February 1, 2004; April 1, 2001; August 1, 2000
• Repealed Eff. January 1, 2014.

21 NCAC 14I .0103 Inspection Reports and Reports of Students Hours

History

• Status: repealed
• Authority G.S. 88-23; 88B-4; 88B-4(7a); 88B-7; 88B-8; 88B-9; 88B-10; 88B-10.1; 88B-16
• Eff. February 1, 1976
• August 1, 1998; April 1, 1995; December 1, 1993; May 1, 1991; April 1, 1991; January 1, 1991; January 1, 1989; April 1, 1988
• Temporary Amendment Eff. January 1, 1999
• Amended Eff. April 1, 1999
• Temporary Amendment Eff. February 10, 2000
• Amended Eff. April 1, 2011; July 1, 2010; December 1, 2008; July 1, 2006; December 1, 2004; February 1, 2004; April 1, 2001; August 1, 2000
• Repealed Eff. January 1, 2014.

21 NCAC 14I .0104 Withdrawals

History

• Status: repealed
• Authority G.S. 88-23; 88B-4; 88B-4(7a); 88B-7; 88B-8; 88B-9; 88B-10; 88B-10.1; 88B-16
• Eff. February 1, 1976
• August 1, 1998; April 1, 1995; December 1, 1993; May 1, 1991; April 1, 1991; January 1, 1991; January 1, 1989; April 1, 1988
• Temporary Amendment Eff. January 1, 1999
• Amended Eff. April 1, 1999
• Temporary Amendment Eff. February 10, 2000
• Amended Eff. April 1, 2011; July 1, 2010; December 1, 2008; July 1, 2006; December 1, 2004; February 1, 2004; April 1, 2001; August 1, 2000
• Repealed Eff. January 1, 2014.

21 NCAC 14I .0105 Transfer of credit

History

• Status: repealed
• Authority G.S. 88-23; 88B-4; 88B-4(7a); 88B-7; 88B-8; 88B-9; 88B-10; 88B-10.1; 88B-16
• Eff. February 1, 1976
• August 1, 1998; April 1, 1995; December 1, 1993; May 1, 1991; April 1, 1991; January 1, 1991; January 1, 1989; April 1, 1988
• Temporary Amendment Eff. January 1, 1999
• Amended Eff. April 1, 1999
• Temporary Amendment Eff. February 10, 2000
• Amended Eff. April 1, 2011; July 1, 2010; December 1, 2008; July 1, 2006; December 1, 2004; February 1, 2004; April 1, 2001; August 1, 2000
• Repealed Eff. January 1, 2014.

21 NCAC 14I .0106 Student Daily Records

History

• Status: repealed
• Authority G.S. 88-23; 88B-4; 88B-4(7a); 88B-7; 88B-8; 88B-9; 88B-10; 88B-10.1; 88B-16
• Eff. February 1, 1976
• August 1, 1998; April 1, 1995; December 1, 1993; May 1, 1991; April 1, 1991; January 1, 1991; January 1, 1989; April 1, 1988
• Temporary Amendment Eff. January 1, 1999
• Amended Eff. April 1, 1999
• Temporary Amendment Eff. February 10, 2000
• Amended Eff. April 1, 2011; July 1, 2010; December 1, 2008; July 1, 2006; December 1, 2004; February 1, 2004; April 1, 2001; August 1, 2000
• Repealed Eff. January 1, 2014.

21 NCAC 14I .0107 Report of Enrollment

History

• Status: repealed
• Authority G.S. 88-23; 88B-4; 88B-4(7a); 88B-7; 88B-8; 88B-9; 88B-10; 88B-10.1; 88B-16
• Eff. February 1, 1976
• August 1, 1998; April 1, 1995; December 1, 1993; May 1, 1991; April 1, 1991; January 1, 1991; January 1, 1989; April 1, 1988
• Temporary Amendment Eff. January 1, 1999
• Amended Eff. April 1, 1999
• Temporary Amendment Eff. February 10, 2000
• Amended Eff. April 1, 2011; July 1, 2010; December 1, 2008; July 1, 2006; December 1, 2004; February 1, 2004; April 1, 2001; August 1, 2000
• Repealed Eff. January 1, 2014.

21 NCAC 14I .0108 seal

History

• Status: repealed
• Authority G.S. 88-23; 88B-4; 88B-4(7a); 88B-7; 88B-8; 88B-9; 88B-10; 88B-10.1; 88B-16
• Eff. February 1, 1976
• August 1, 1998; April 1, 1995; December 1, 1993; May 1, 1991; April 1, 1991; January 1, 1991; January 1, 1989; April 1, 1988
• Temporary Amendment Eff. January 1, 1999
• Amended Eff. April 1, 1999
• Temporary Amendment Eff. February 10, 2000
• Amended Eff. April 1, 2011; July 1, 2010; December 1, 2008; July 1, 2006; December 1, 2004; February 1, 2004; April 1, 2001; August 1, 2000
• Repealed Eff. January 1, 2014.

21 NCAC 14I .0109 Summary of Cosmetic Art Education

History

• Status: repealed
• Authority G.S. 88-23; 88B-4; 88B-4(7a); 88B-7; 88B-8; 88B-9; 88B-10; 88B-10.1; 88B-16
• Eff. February 1, 1976
• August 1, 1998; April 1, 1995; December 1, 1993; May 1, 1991; April 1, 1991; January 1, 1991; January 1, 1989; April 1, 1988
• Temporary Amendment Eff. January 1, 1999
• Amended Eff. April 1, 1999
• Temporary Amendment Eff. February 10, 2000
• Amended Eff. April 1, 2011; July 1, 2010; December 1, 2008; July 1, 2006; December 1, 2004; February 1, 2004; April 1, 2001; August 1, 2000
• Repealed Eff. January 1, 2014.

21 NCAC 14I .0110 Uniform

History

• Status: repealed
• Authority G.S. 88B-4(a)(10)
• Eff. April 1, 2011
• Repealed Eff. January 1, 2014.

21 NCAC 14I .0201 Reception Area

History

• Status: repealed
• Authority G.S. 88-23; 88-30
• Eff. February 1, 1976
• Amended Eff. April 1, 1991; January 1, 1989
• Repealed Eff. January 1, 2014.

21 NCAC 14I .0202 Reception Area Sign

History

• Status: repealed
• Authority G.S. 88-23; 88-30
• Eff. February 1, 1976
• Amended Eff. April 1, 1991; January 1, 1989
• Repealed Eff. January 1, 2014.

21 NCAC 14I .0203 Bulletin Board

History

• Status: repealed
• Authority G.S. 88-23; 88-30
• Eff. February 1, 1976
• Amended Eff. April 1, 1991; January 1, 1989
• Repealed Eff. January 1, 2014.

21 NCAC 14I .0204 Sanitation Rules

History

• Status: repealed
• Authority G.S. 88-23; 88-30
• Eff. February 1, 1976
• Amended Eff. April 1, 1991; January 1, 1989
• Repealed Eff. January 1, 2014.

21 NCAC 14I .0205 Dressing Room

History

• Status: repealed
• Authority G.S. 88-23; 88-30
• Eff. February 1, 1976
• Amended Eff. April 1, 1991; January 1, 1989
• Repealed Eff. January 1, 2014.

21 NCAC 14I .0301 Recitation Room

History

• Status: repealed
• Authority G.S. 88-23; 88-30; 88B-4; 88B-16; 88B-23
• Eff. February 1, 1976
• Amended Eff. July 1, 2010; December 1, 2008; September 1, 1991; June 1, 1991; April 1, 1991; October 1, 1990; January 1, 1989; May 1, 1988
• Repealed Eff. January 1, 2014.

21 NCAC 14I .0302 Library

History

• Status: repealed
• Authority G.S. 88-23; 88-30; 88B-4; 88B-16; 88B-23
• Eff. February 1, 1976
• Amended Eff. July 1, 2010; December 1, 2008; September 1, 1991; June 1, 1991; April 1, 1991; October 1, 1990; January 1, 1989; May 1, 1988
• Repealed Eff. January 1, 2014.

21 NCAC 14I .0303 Classroom Bulletin Board

History

• Status: repealed
• Authority G.S. 88-23; 88-30; 88B-4; 88B-16; 88B-23
• Eff. February 1, 1976
• Amended Eff. July 1, 2010; December 1, 2008; September 1, 1991; June 1, 1991; April 1, 1991; October 1, 1990; January 1, 1989; May 1, 1988
• Repealed Eff. January 1, 2014.

21 NCAC 14I .0304 Classroom Work

History

• Status: repealed
• Authority G.S. 88-23; 88-30; 88B-4; 88B-16; 88B-23
• Eff. February 1, 1976
• Amended Eff. July 1, 2010; December 1, 2008; September 1, 1991; June 1, 1991; April 1, 1991; October 1, 1990; January 1, 1989; May 1, 1988
• Repealed Eff. January 1, 2014.

21 NCAC 14I .0401 Application/Licensure/Individuals Who Have Been Convicted of Felony

(a) Any applicant convicted of a felony or charged with a felony that is still pending may apply for Board licensure approval. All documentation submitted shall have no effect on an individual's ability to attend a cosmetic art school, take an examination administered by the Board, or apply for a license.

(b) The applicant shall supply the following:

(1) a statement of facts of the crime, accompanied by a certified copy of the indictment (or, in the absence of an indictment, a copy of the "information" that initiated the formal judicial process), the judgment and any commitment order for each felony for which there has been a conviction;

(2) at least three letters attesting to the applicant's character from individuals unrelated by blood or marriage;

(3) a summary of the applicant's personal history since conviction including, if applicable, date of release, parole or probation status, employment, and military service; and

(4) any other information that in the opinion of the applicant would be useful or pertinent to the consideration by the Board of the applicant's request for licensure.

History

• Authority G.S. 88B-4; 88B-24(1)
• Eff. June 1, 1995
• Amended Eff. August 1, 2014; September 1, 2010; December 1, 2008; April 1, 2001; August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. March 1, 2018
• Readopted Eff. April 1, 2026.

21 NCAC 14I .0402 Requests for Preapplication Review of Felony Convictions

History

• Status: repealed
• Authority G.S. 88-23; 88-26(1)
• Eff. June 1, 1995
• Repealed December 1, 2008.

Subchapter J

21 NCAC 14J .0101 Department System

History

• Status: repealed
• Authority G.S. 88-23; 88-26(1); 88B-4
• Eff. February 1, 1976
• Amended Eff. August 1, 1998; January 1, 1989; April 1, 1988
• Temporary Amendment Eff. January 1, 1999
• Amended Eff. December 1, 2004; August 1, 2000
• Repealed Eff. January 1, 2014.

21 NCAC 14J .0102 Uniform

History

• Status: repealed
• Authority G.S. 88-23; 88-26(1); 88B-4
• Eff. February 1, 1976
• Amended Eff. August 1, 1998; January 1, 1989; April 1, 1988
• Temporary Amendment Eff. January 1, 1999
• Amended Eff. December 1, 2004; August 1, 2000
• Repealed Eff. January 1, 2014.

21 NCAC 14J .0103 Time Requirements According to Hours

History

• Status: repealed
• Authority G.S. 88-23; 88-26(1); 88B-4
• Eff. February 1, 1976
• Amended Eff. August 1, 1998; January 1, 1989; April 1, 1988
• Temporary Amendment Eff. January 1, 1999
• Amended Eff. December 1, 2004; August 1, 2000
• Repealed Eff. January 1, 2014.

21 NCAC 14J .0104 Scientific Study

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Repealed Eff. August 1, 1998.

21 NCAC 14J .0105 Mannequin Practice

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Repealed Eff. August 1, 1998.

21 NCAC 14J .0106 Equipment for beginner department

History

• Status: repealed
• Authority G.S. 88B-4
• Eff. February 1, 1976
• Amended Eff. June 1, 2010; May 1, 2007; January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Repealed Eff March 1, 2022.

21 NCAC 14J .0107 Approved Field Trips

History

• Status: repealed
• Authority G.S. 88B-4
• Eff. October 1, 1990
• Amended Eff. April 1, 2001
• Repealed Eff. January 1, 2014.

21 NCAC 14J .0201 Eligibility for Advanced Department

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. July 1, 2010; August 1, 1998; January 1, 1989
• Repealed Eff. January 1, 2014.

21 NCAC 14J .0202 Practical Work for Advanced Students

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. July 1, 2010; August 1, 1998; January 1, 1989
• Repealed Eff. January 1, 2014.

21 NCAC 14J .0203 Storing and Labeling of Cosmetics

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. July 1, 2010; August 1, 1998; January 1, 1989
• Repealed Eff. January 1, 2014.

21 NCAC 14J .0204 Course Work Requirement

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. April 1, 1995; January 1, 1989; April 1, 1988
• Repealed Eff. August 1, 1998.

21 NCAC 14J .0205 Live Model Performance Requirements

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. April 1, 1995; January 1, 1989; April 1, 1988
• Repealed Eff. August 1, 1998.

21 NCAC 14J .0206 equipment in advanced department

History

• Status: repealed
• Authority G.S. 88B-4
• Eff. February 1, 1976
• Amended Eff. June 1, 2010; May 1, 2007; April 1, 2004; August 1, 1998; October 1, 1990; January 1, 1989; April 1, 1988
• Repealed Eff. January 1, 2014.

21 NCAC 14J .0207 Live Model/Mannequin performance requirements

History

• Status: repealed
• Authority G.S. 88B-4
• Eff. August 1, 1998
• Amended Eff. April 1, 2011; June 1, 2010; July 1, 2009; November 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Repealed Eff. March 1, 2022.

21 NCAC 14J .0208 Internships

History

• Status: repealed
• Authority G.S. 88B-4
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Amended Eff. July 1, 2010; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Repealed Eff. March 1, 2022.

21 NCAC 14J .0301 Practical Demonstrations and Recitations

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Repealed Eff. January 1, 1989.

21 NCAC 14J .0302 Equipment

History

• Status: repealed
• Authority G.S. 88B-4; 88B-14
• Eff. February 1, 1976
• Amended Eff. December 1, 2008; May 1, 2007; January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Repealed Eff. March 1, 2022.

21 NCAC 14J .0303 Students' Personal Supplies

History

• Status: repealed
• Authority G.S. 88B-4; 88B-14
• Eff. February 1, 1976
• Amended Eff. December 1, 2008; May 1, 2007; January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Repealed Eff. March 1, 2022.

21 NCAC 14J .0304 Condition of Equipment

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. April 1, 1988
• Repealed Eff. January 1, 1989.

21 NCAC 14J .0305 Teaching Program

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. April 1, 1988
• Repealed Eff. January 1, 1989.

21 NCAC 14J .0306 Course Work Requirements for Beginners and Advanced

History

• Status: repealed
• Authority G.S. 88-23
• Eff. August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Repealed Eff. March 1, 2022.

21 NCAC 14J .0307 Tests

History

• Status: repealed
• Authority G.S. 88-23
• Eff. August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Repealed Eff. March 1, 2022.

21 NCAC 14J .0401 Curriculum Required

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Repealed Eff. August 1, 1998.

21 NCAC 14J .0402 Practical Aspects of Study

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Repealed Eff. August 1, 1998.

21 NCAC 14J .0403 Relative Subjects

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Repealed Eff. August 1, 1998.

21 NCAC 14J .0404 Tests

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Repealed Eff. August 1, 1998.

21 NCAC 14J .0501 APPROVAL OF CREDIT FOR COSMETOLOGY INSTRUCTION/ANOTHER STATE is repealed as published in 36:09 NCR 653:

History

• Status: repealed
• Authority G.S. 88B-16:
• Eff. March 2, 1992
• Amended Eff. April 1, 2011; May 1, 2004; August 1, 2000; August 1, 1998; June 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Repealed Eff. March 1, 2022.

21 NCAC 14J .0502 Approval of Credit for Cosmetology Instruction/Another Country

History

• Authority G.S. 88-10; 88-12; 88-13; 145-12
• Eff. March 2, 1992
• Amended Eff. January 1, 1996
• RRC Objection May 18, 2006 and rule returned to agency on November 16, 2006.

Subchapter K

21 NCAC 14K .0101 Uniforms

History

• Status: repealed
• Authority G.S. 88B-4; 88-8; 88B-10; 88B-14; 88B-16; 88-23; 88B-23
• Eff. February 1, 1976
• Amended Eff. August 1, 1998; April 1, 1991; December 1, 1990; January 1, 1989; April 1, 1988; Temporary Amendment Eff. January 1, 1999
• Amended Eff. December 1, 2008; December 1, 2004; April 1, 2001; August 1, 2000
• Repealed Eff. January 1, 2014.

21 NCAC 14K .0102 Course of Study

History

• Status: repealed
• Authority G.S. 88B-4; 88-8; 88B-10; 88B-14; 88B-16; 88-23; 88B-23
• Eff. February 1, 1976
• Amended Eff. August 1, 1998; April 1, 1991; December 1, 1990; January 1, 1989; April 1, 1988; Temporary Amendment Eff. January 1, 1999
• Amended Eff. December 1, 2008; December 1, 2004; April 1, 2001; August 1, 2000
• Repealed Eff. January 1, 2014.

21 NCAC 14K .0103 Equipment and Instruments

History

• Status: repealed
• Authority G.S. 88B-4; 88-8; 88B-10; 88B-14; 88B-16; 88-23; 88B-23
• Eff. February 1, 1976
• Amended Eff. August 1, 1998; April 1, 1991; December 1, 1990; January 1, 1989; April 1, 1988; Temporary Amendment Eff. January 1, 1999
• Amended Eff. December 1, 2008; December 1, 2004; April 1, 2001; August 1, 2000
• Repealed Eff. January 1, 2014.

21 NCAC 14K .0104 Services Performed

History

• Status: repealed
• Authority G.S. 88B-4; 88-8; 88B-10; 88B-14; 88B-16; 88-23; 88B-23
• Eff. February 1, 1976
• Amended Eff. August 1, 1998; April 1, 1991; December 1, 1990; January 1, 1989; April 1, 1988; Temporary Amendment Eff. January 1, 1999
• Amended Eff. December 1, 2008; December 1, 2004; April 1, 2001; August 1, 2000
• Repealed Eff. January 1, 2014.

21 NCAC 14K .0105 Identification Pins

History

• Status: repealed
• Authority G.S. 88B-4; 88-8; 88B-10; 88B-14; 88B-16; 88-23; 88B-23
• Eff. February 1, 1976
• Amended Eff. August 1, 1998; April 1, 1991; December 1, 1990; January 1, 1989; April 1, 1988; Temporary Amendment Eff. January 1, 1999
• Amended Eff. December 1, 2008; December 1, 2004; April 1, 2001; August 1, 2000
• Repealed Eff. January 1, 2014.

21 NCAC 14K .0106 Hours of Course Work Required for Manicurist Only

History

• Status: repealed
• Authority 88B-4; 88B-10,
• Eff. February 1, 1976
• Amended Eff. January 1, 1989
• Repealed Eff. August 1, 2002.

21 NCAC 14K .0107 Live Model Performances

History

• Status: repealed
• Authority G.S. 88B-4; 88B-10
• Eff. July 1, 1990
• Amended Eff. April 1, 1991; December 1, 1990
• Temporary Amendment Eff. January 1, 1999
• Amended Eff. July 1, 2010; December 1, 2008; April 1, 2001; August 1, 2000
• Repealed Eff. August 1, 2014

Subchapter L

21 NCAC 14L .0101 Qualifications - Cosmetologist Teachers

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. August 1, 1998; May 1, 1991, August 1, 1989; May 1, 1988
• Repealed Eff. August 1, 2000.

21 NCAC 14L .0102 Teacher Training Curriculum

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. August 1, 1989
• Repealed Eff. April 1, 1991.

21 NCAC 14L .0103 Substitutes

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. April 1, 1988
• Repealed Eff. November 1, 1989.

21 NCAC 14L .0104 Changes in Teaching Staff

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. April 1, 1988
• Repealed Eff. November 1, 1989.

21 NCAC 14L .0105 Qualifications - Manicurist Teachers

History

• Status: repealed
• Authority G.S. 88B-4; 88B-11
• Eff. April 1, 1991
• Amended Eff. August 3, 1992; March 2, 1992; April 1, 1988
• Temporary Amendment Eff. January 1, 1999
• Amended Eff. April 1, 1999
• Repealed Eff. August 1, 2000.

21 NCAC 14L .0106 Application to Take Examination

History

• Status: repealed
• Authority G.S. 88B-7; 88B-8; 88B-9; 88B-10; 88B-16; 88B-18
• Eff. April 1, 1991
• Amended Eff. December 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Repealed Eff. March 1, 2022.

21 NCAC 14L .0107 Passing Score Re-Examination

History

• Status: repealed
• Authority G.S. 88-23
• Eff. April 1, 1991
• Repealed Eff. June 1, 1992.

21 NCAC 14L .0108 Teacher Trainee Notebook

History

• Status: repealed
• Authority G.S. 88-23
• Eff. April 1, 1991
• Repealed Eff. August 1, 1998.

21 NCAC 14L .0109 Qualifications - Esthetician Teachers

History

• Status: expired
• Authority G.S. 88B-4; 88B-11
• Temporary Adoption Eff. January 1, 1999
• Temporary Adoption Expired October 12, 1999.

21 NCAC 14L .0201 Requirements

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Repealed Eff. November 1, 1989.

21 NCAC 14L .0202 Application to Be Cosmetology Teacher

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. August 1, 1989
• Repealed Eff. April 1, 1991.

21 NCAC 14L .0203 Failure to Submit Required Information

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Repealed Eff. August 1, 1989.

21 NCAC 14L .0204 Passing Score for Teacher's Exam and Retaking Failed Exam

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. August 1, 1989; April 1, 1988
• Repealed Eff. April 1, 1991.

21 NCAC 14L .0205 Division of Curriculum During Training

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. April 1, 1988
• Repealed Eff. November 1, 1989.

21 NCAC 14L .0206 Curriculum and Course Work

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. April 1, 1988
• Repealed Eff. November 1, 1989.

21 NCAC 14L .0207 Teacher Trainee Notebook

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Amended Eff. August 1, 1989
• Repealed Eff. April 1, 1991.

21 NCAC 14L .0208 Supervision of Cosmetic Art Teacher Trainee

History

• Status: repealed
• Authority G.S. 88-23; 88B-4; 88B-11
• Eff. February 1, 1976
• Amended Eff. July 1, 2010; December 1, 2008; December 1, 2004; April 1, 1999; June 1, 1991; April 1, 1991; August 1, 1989; April 1, 1989
• Repealed Eff. January 1, 2014.

21 NCAC 14L .0209 Time Requirements for Teacher Trainee Program

History

• Status: repealed
• Authority G.S. 88-23; 88B-4; 88B-11
• Eff. February 1, 1976
• Amended Eff. July 1, 2010; December 1, 2008; December 1, 2004; April 1, 1999; June 1, 1991; April 1, 1991; August 1, 1989; April 1, 1989
• Repealed Eff. January 1, 2014.

21 NCAC 14L .0210 Effect on Student-Teacher Ratio

History

• Status: repealed
• Authority G.S. 88-23; 88B-4; 88B-11
• Eff. February 1, 1976
• Amended Eff. July 1, 2010; December 1, 2008; December 1, 2004; April 1, 1999; June 1, 1991; April 1, 1991; August 1, 1989; April 1, 1989
• Repealed Eff. January 1, 2014.

21 NCAC 14L .0211 Work on Public Prohibited

History

• Status: repealed
• Authority G.S. 88-23; 88B-4; 88B-11
• Eff. February 1, 1976
• Amended Eff. July 1, 2010; December 1, 2008; December 1, 2004; April 1, 1999; June 1, 1991; April 1, 1991; August 1, 1989; April 1, 1989
• Repealed Eff. January 1, 2014.

21 NCAC 14L .0212 Credit

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Repealed Eff. August 1, 1989.

21 NCAC 14L .0213 Transfer

History

• Status: repealed
• Authority G.S. 88-23
• Eff. February 1, 1976
• Repealed Eff. November 1, 1989.

21 NCAC 14L .0214 Fee

History

• Status: repealed
• Authority G.S. 88B-4; 88B-20
• Eff. February 1, 1976
• Amended Eff. April 1, 1999; August 1, 1998; April 1, 1991; August 1, 1989; May 1, 1988
• Repealed Eff. December 1, 2008.

21 NCAC 14L .0215 Teacher's Manual and Supervision

History

• Status: repealed
• Authority G.S. 88-23; 88B-4; 88B-11
• Eff. April 1, 1991
• Amended Eff. March 2, 1992
• Temporary Amendment Eff. January 1, 1999
• Amended Eff. August 1, 2000
• Repealed Eff. January 1, 2014.

21 NCAC 14L .0216 Teacher Training Curriculum

History

• Status: repealed
• Authority G.S. 88-23; 88B-4; 88B-11
• Eff. April 1, 1991
• Amended Eff. March 2, 1992
• Temporary Amendment Eff. January 1, 1999
• Amended Eff. August 1, 2000
• Repealed Eff. January 1, 2014.

21 NCAC 14L .0301 Applicants Licensed as Teachers in Other States

History

• Status: repealed
• Authority G.S. 88-23
• Eff. January 1, 1993
• Repealed Eff. January 1, 1996.

21 NCAC 14L .0302 Requirements for Obtaining a Teacher's License in This Section

History

• Status: repealed
• Authority G.S. 88-23
• Eff. January 1, 1993
• Repealed Eff. January 1, 1996.

Subchapter M

21 NCAC 14M .0101 Designations

History

• Status: repealed
• Authority G.S. 88B-21; 88B-23
• Eff. February 1, 1976
• Amended Eff. July 1, 1993; April 1, 1990; April 1, 1989; May 1, 1988; April 1, 1988
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0102 Form Cos-1

History

• Status: repealed
• Authority G.S. 88B-21; 88B-23
• Eff. February 1, 1976
• Amended Eff. July 1, 1993; April 1, 1990; April 1, 1989; May 1, 1988; April 1, 1988
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0103 Form Cos-2

History

• Status: repealed
• Authority G.S. 88B-21; 88B-23
• Eff. February 1, 1976
• Amended Eff. July 1, 1993; April 1, 1990; April 1, 1989; May 1, 1988; April 1, 1988
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0104 Form Cos-3

History

• Status: repealed
• Authority G.S. 88B-21; 88B-23
• Eff. February 1, 1976
• Amended Eff. July 1, 1993; April 1, 1990; April 1, 1989; May 1, 1988; April 1, 1988
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0105 Form Cos-4

History

• Status: repealed
• Authority G.S. 88B-21; 88B-23
• Eff. February 1, 1976
• Amended Eff. July 1, 1993; April 1, 1990; April 1, 1989; May 1, 1988; April 1, 1988
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0106 Form Cos-5

History

• Status: repealed
• Authority G.S. 88B-21; 88B-23
• Eff. February 1, 1976
• Amended Eff. July 1, 1993; April 1, 1990; April 1, 1989; May 1, 1988; April 1, 1988
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0107 Form Cos-6

History

• Status: repealed
• Authority G.S. 88B-21; 88B-23
• Eff. February 1, 1976
• Amended Eff. July 1, 1993; April 1, 1990; April 1, 1989; May 1, 1988; April 1, 1988
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0108 Form Cos-7

History

• Status: repealed
• Authority G.S. 88B-21; 88B-23
• Eff. February 1, 1976
• Amended Eff. July 1, 1993; April 1, 1990; April 1, 1989; May 1, 1988; April 1, 1988
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0109 Form Cos-8

History

• Status: repealed
• Authority G.S. 88B-21; 88B-23
• Eff. February 1, 1976
• Amended Eff. July 1, 1993; April 1, 1990; April 1, 1989; May 1, 1988; April 1, 1988
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0110 Form Cos-9

History

• Status: repealed
• Authority G.S. 88B-21; 88B-23
• Eff. February 1, 1976
• Amended Eff. July 1, 1993; April 1, 1990; April 1, 1989; May 1, 1988; April 1, 1988
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0111 Form Cos-10

History

• Status: repealed
• Authority G.S. 88B-21; 88B-23
• Eff. February 1, 1976
• Amended Eff. July 1, 1993; April 1, 1990; April 1, 1989; May 1, 1988; April 1, 1988
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0112 Form Cos-11

History

• Status: repealed
• Authority G.S. 88B-21; 88B-23
• Eff. February 1, 1976
• Amended Eff. July 1, 1993; April 1, 1990; April 1, 1989; May 1, 1988; April 1, 1988
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0113 Form Cos-12

History

• Status: repealed
• Authority G.S. 88B-21; 88B-23
• Eff. February 1, 1976
• Amended Eff. July 1, 1993; April 1, 1990; April 1, 1989; May 1, 1988; April 1, 1988
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0114 Copies

History

• Status: repealed
• Authority G.S. 88B-21; 88B-23
• Eff. February 1, 1976
• Amended Eff. July 1, 1993; April 1, 1990; April 1, 1989; May 1, 1988; April 1, 1988
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0115 Access to Forms

History

• Status: repealed
• Authority G.S. 88B-21; 88B-23
• Eff. February 1, 1976
• Amended Eff. July 1, 1993; April 1, 1990; April 1, 1989; May 1, 1988; April 1, 1988
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0116 Form Cos-13

History

• Status: repealed
• Authority G.S. 88B-23
• Eff. April 1, 1988
• Amended Eff. April 1, 1989
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0117 Form Cos-14

History

• Status: repealed
• Authority G.S. 88B-23
• Eff. April 1, 1988
• Amended Eff. April 1, 1989
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0118 Form Cos-15

History

• Status: repealed
• Authority G.S. 88B-23
• Eff. February 1, 1990
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0119 Form Cos-16

History

• Status: repealed
• Authority G.S. 88B-23
• Eff. February 1, 1990
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0120 Form Cos-17

History

• Status: repealed
• Authority G.S. 88B-23
• Eff. February 1, 1990
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0121 Form Cos-18

History

• Status: repealed
• Authority G.S. 88B-23
• Eff. February 1, 1990
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0122 Form Cos-19

History

• Status: repealed
• Authority G.S. 88B-23
• Eff. February 1, 1990
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0123 Form Cos-20

History

• Status: repealed
• Authority G.S. 88B-23
• Eff. February 1, 1990
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0124 Form Cos-21

History

• Status: repealed
• Authority G.S. 88B-23
• Eff. February 1, 1990
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0125 Form Cos-22

History

• Status: repealed
• Authority G.S. 88B-23
• Eff. February 1, 1990
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0126 Form Cos-23

History

• Status: repealed
• Authority G.S. 88B-23
• Eff. February 1, 1990
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0127 Form Cos-24

History

• Status: repealed
• Authority G.S. 88B-23
• Eff. February 1, 1990
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0128 Form Cos-25

History

• Status: repealed
• Authority G.S. 88B-23
• Eff. February 1, 1990
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0129 Form Cos-26

History

• Status: repealed
• Authority G.S. 88B-23
• Eff. February 1, 1990
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0130 Form Cos-27

History

• Status: repealed
• Authority G.S. 88B-23
• Eff. February 1, 1990
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0131 Form Cos-28

History

• Status: repealed
• Authority G.S. 88B-23
• Eff. February 1, 1990
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0132 Form Cos-29

History

• Status: repealed
• Authority G.S. 88B-23
• Eff. February 1, 1990
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0133 Form Cos-30

History

• Status: repealed
• Authority G.S. 88B-23
• Eff. February 1, 1990
• Repealed Eff. January 1, 2006.

21 NCAC 14M .0134 Form Cos-31

History

• Status: repealed
• Authority G.S. 88B-23
• Eff. February 1, 1990
• Repealed Eff. January 1, 2006.

Subchapter N

21 NCAC 14N .0101 Time and Place of Examinations

History

• Status: repealed
• Authority G.S. 88B-7(1); 88B-8(1); 88B-18; 88B-20(a); 88-4
• Eff. June 1, 1992
• Amended Eff. August 1, 2000
• Repealed Eff. January 1, 2006.

21 NCAC 14N .0102 Initial Applications and Fees

Cosmetologist candidates having completed a minimum of 1000 hours in a cosmetology curriculum from an approved cosmetic art school are authorized to receive the written examination. All cosmetic art licensee candidates shall have successfully completed the appropriate cosmetic art curriculum in an approved cosmetic art school before receiving the practical examination.

History

• Authority G.S. 88B-4; 88B-7(1); 88B-8(1); 88B-18; 88B-20(a)
• Eff. June 1, 1992
• Amended Eff. December 1, 2008; May 1, 2007; December 1, 2005; August 1, 2000; August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14N .0103 General Examination Instructions

(a) Examinations conducted by the Board shall be administered by a testing agency contracted by the Board.

(b) Once a candidate has scheduled an examination the testing company shall provide:

(1) the date, time and place of examination;

(2) information on how to obtain a Candidate Information Bulletin (CIB). The CIB contains the admission requirements, exam requirements and supplies needed for the examination; and

(3) a name and telephone number for further assistance.

History

• Authority G.S. 88B-4; 88B-7; 88B-9; 88B-10; 88B-11; 88B-18
• Eff. June 1, 1992
• Temporary Amendment Eff. April 1, 1999; January 1, 1999
• Amended Eff. January 1, 2011; January 1, 2006; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14N .0104 Live Model Requirements

History

• Status: repealed
• Authority G.S. 88B-4; 88B-11; 88B-18
• Eff. June 1, 1992
• Amended Eff. August 1, 1998; June 1, 1993
• Temporary Amendment Eff. January 1, 1999
• Amended Eff. August 1, 2000
• Repealed Eff. January 1, 2006.

21 NCAC 14N .0105 Mannequin Requirements

History

• Status: repealed
• Authority G.S. 88B-4; 88B-11; 88B-18
• Eff. June 1, 1992
• Amended Eff. August 1, 1998; June 1, 1993
• Temporary Amendment Eff. January 1, 1999
• Amended Eff. August 1, 2000
• Repealed Eff. January 1, 2006.

21 NCAC 14N .0106 Use of an Interpreter

History

• Status: repealed
• Authority G.S. 88-10(2); 88-12(2); 88-16; 88-17; 88-21(a)(16); 88-23; 88-30(4)
• Eff. June 1, 1992
• Amended Eff. June 1, 1993
• Repealed Eff. January 1, 1996.

21 NCAC 14N .0107 Special Arrangements for Disabled

(a) If a candidate has a disability which will require special arrangements to take an examination, the candidate shall request such arrangements with his or her application for examination. The request for special arrangements shall be in writing and shall set out in sufficient detail what special arrangements are needed. The Board shall make reasonable accommodations for candidates requesting assistance under this Section, including any assistance required by applicable provisions of the Federal Americans with Disabilities Act.

(b) If reading assistance, or a reader is required, the application for special arrangements shall also be accompanied by a letter from the candidate's cosmetic art school which documents the assistance the candidate required during classes there. In addition, the candidate shall submit a letter from a professional qualified to diagnose and document the disability.

(c) The application, accompanied by a letter from a professional qualified to diagnose shall document the disability.

(d) The candidate shall provide any special equipment or readers. A reader shall be 18 years of age or older.

(e) A reader shall not be:

(1) currently or formerly licensed by this state or any state, nor have received or is currently receiving any training, in any branch of cosmetic art;

(2) a current or former owner or employee of any beauty establishment;

(3) simultaneously a model for any candidate taking the examination.

(f) The application for permission to use a reader shall be made on a form provided by the Board. The form shall include the applicant name, date of birth, and signature.

History

• Authority G.S. 88-10(2); 88-12(2); 88-16; 88-17; 88-21(a)(16); 88-23; 88-30(4)
• Eff. June 1, 1992
• Amended Eff. August 1, 1998; January 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14N .0108 Failure to appear for examination

History

• Status: repealed
• Authority G.S. 88B-4; 88B-10(2); 88B-12(2); 88B-16; 88B-17; 88B-18; 88B-20(a); 88B-21(a)(16); 88B-23; 88B-30(4)
• Eff. June 1, 1992
• Amended Eff. August 1, 2000; August 1, 1998; January 1, 1996
• Repealed Eff. January 1, 2006.

21 NCAC 14N .0109 Observation of examination by third parties

History

• Status: repealed
• Authority G.S. 88B-4; 88B-10(2); 88B-12(2); 88B-16; 88B-17; 88B-18; 88B-20(a); 88B-21(a)(16); 88B-23; 88B-30(4)
• Eff. June 1, 1992
• Amended Eff. August 1, 2000; August 1, 1998; January 1, 1996
• Repealed Eff. January 1, 2006.

21 NCAC 14N .0110 Passing Grades for Examination

Candidates shall make the following grades on both the practical and theory sections of the examination:

(1) For licensure as a cosmetologist, 75 percent;

(2) For licensure as an apprentice cosmetologist, 70 percent;

(3) for licensure as a cosmetology teacher, 85 percent;

(4) For licensure as a manicurist teacher, 85 percent;

(5) For licensure as a manicurist, 75 percent;

(6) For licensure as an esthetician, 75 percent;

(7) For licensure as an esthetician teacher, 85 percent; and

(8) For licensure as a natural hair care specialist, 75 percent.

History

• Authority G.S. 88B-4; 88B-7(2); 88B-8(2); 88B-9(2); 88B-10(2); 88B-10.1; 88B-11(b)(3); 88B-11(c)(3); 88B-11(d)(3)
• Eff. June 1, 1992
• Temporary Amendment Eff. January 1, 1999
• Amended Eff. July 1, 2010; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14N .0111 Notification of Examination Results

Any cosmetology student who completed a 1500-hour course and failed to make the required 75 percent on both parts of the cosmetology examination, but scored at least 70 percent on both parts, may send a written request for an apprentice cosmetologist license, along with the required fee, instead of taking the exam again. In this case, the candidate shall not be given credit toward apprentice time until the date the written request and appropriate fee are received in the office. Notice shall be sent, with the license, advising the applicant of the starting date of the apprenticeship.

History

• Authority G.S. 88B-10(2); 88B-12(2); 88B-16; 88B-17; 88B-21(a)(16); 88B-23; 88B-30(4)
• Eff. June 1, 1992
• Amended Eff. January 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14N .0112 Review of Examination

History

• Status: repealed
• Authority G.S. 88B-4; 88B-8(2); 88B-10(2); 88B-18; 93B-8
• Eff. June 1, 1992
• Amended Eff. August 1, 2000; January 1, 1996
• Repealed Eff. January 1, 2006.

21 NCAC 14N .0113 Re-Examination

History

• Status: repealed
• Authority G.S. 88B-4; 88B-18
• Eff. June 1, 1992
• Amended Eff. August 1, 1998; June 1, 1993
• Temporary Amendment Eff. January 1, 1999
• Amended Eff. June 1, 2011; July 1, 2010; May 1, 2007; January 1, 2006; February 1, 2004; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Repealed Eff. March 1, 2022.

21 NCAC 14N .0114 Failure to Comply with Chapter

History

• Status: repealed
• Authority G.S. 88B-10(2); 88B-12(a)(2); 88B-16; 88B-17; 88B-21(a)(16); 88B-23; 88B-30(4)
• Eff. June 1, 1992
• Amended Eff. December 1, 1993
• Repealed Eff. January 1, 2006.

21 NCAC 14N .0115 Full time and part time equivalency

This Rule applies to teacher candidates who have not completed a teacher training course but submit proof of practice in the cosmetic arts industry. Candidates shall be approved for cosmetology teacher exams upon providing a signed affidavit documenting a minimum of 10,400 hours in the cosmetic arts industry to be eligible for Board examination. Candidates shall be approved for manicurist upon providing a signed affidavit documenting a minimum of 4,160 hours in the cosmetic arts industry to be eligible for Board examination. Candidates shall be approved for esthetician teacher exams upon providing a signed affidavit documenting a minimum of 6,240 hours in the cosmetic art industry. Applicants shall not receive credit for more than 2,080 hours per year for full-time work or less than 1,040 per year for part-time work.

History

• Authority G.S. 88B-11
• Eff. June 1, 2007
• Amended Eff. July 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14N .0201 Examination - Theory Section

History

• Status: repealed
• Authority G.S. 88B-10(2); 88B-12; 88B-12(2); 88B-17
• Eff. June 1, 1992
• Amended Eff. June 1, 1994
• Repealed Eff. January 1, 2006.

21 NCAC 14N .0202 Examination – Practical Section

History

• Status: repealed
• Authority G.S. 88B-10(2); 88B-12; 88B-12(2); 88B-17
• Eff. June 1, 1992
• Amended Eff. June 1, 1994
• Repealed Eff. January 1, 2006.

21 NCAC 14N .0301 EXAMINATION - theory SECTION

History

• Status: repealed
• Authority G.S. 88B-12; 88B-17; 88B-30(4)
• Eff. June 1, 1992
• Amended Eff. June 1, 1994
• Repealed Eff. January 1, 2006.

21 NCAC 14N .0302 Examination - Practical Section

History

• Status: repealed
• Authority G.S. 88B-12; 88B-17; 88B-30(4)
• Eff. June 1, 1992
• Amended Eff. June 1, 1994
• Repealed Eff. January 1, 2006.

21 NCAC 14N .0401 Examination - Theory Section

History

• Status: repealed
• Authority G.S. 88B-12; 88B-17; 88B-21(a)(16); 88B-23
• Eff. June 1, 1992
• Amended Eff. June 1, 1994
• Repealed Eff. January 1, 2006.

21 NCAC 14N .0402 Examination - Practical Section

History

• Status: repealed
• Authority G.S. 88B-12; 88B-17; 88B-21(a)(16); 88B-23
• Eff. June 1, 1992
• Amended Eff. June 1, 1994
• Repealed Eff. January 1, 2006.

21 NCAC 14N .0501 Examination - Theory Section

History

• Status: repealed
• Authority G.S. 88B-12; 88B-17; 88B-21(a)(16); 88B-23
• Eff. June 1, 1992
• Amended Eff. June 1, 1994
• Repealed Eff. January 1, 2006.

21 NCAC 14N .0502 Examination - Practical Section

History

• Status: repealed
• Authority G.S. 88B-12; 88B-17; 88B-21(a)(16); 88B-23
• Eff. June 1, 1992
• Amended Eff. June 1, 1994
• Repealed Eff. January 1, 2006.

21 NCAC 14N .0601 Examination - Theory Section

History

• Status: repealed
• Authority G.S. 88B-4; 88B-18
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Repealed Eff. January 1, 2006.

21 NCAC 14N .0602 Examination - Practical Section

History

• Status: repealed
• Authority G.S. 88B-4; 88B-18
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Repealed Eff. January 1, 2006.

21 NCAC 14N .0701 Examination - Theory Section

History

• Status: repealed
• Authority G.S. 88B-4; 88B-11
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Repealed Eff. January 1, 2006.

21 NCAC 14N .0702 Examination - Practical Section

History

• Status: repealed
• Authority G.S. 88B-4; 88B-11
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Repealed Eff. January 1, 2006.

Subchapter O

21 NCAC 14O .0101 Uniforms

History

• Status: repealed
• Authority G.S. 88B-4; 88B-9; 88B-16
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Amended Eff. December 1, 2008; February 1, 2004
• Repealed Eff. January 1, 2014.

21 NCAC 14O .0102 Course of Study

History

• Status: repealed
• Authority G.S. 88B-4; 88B-9; 88B-16
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Amended Eff. December 1, 2008; February 1, 2004
• Repealed Eff. January 1, 2014.

21 NCAC 14O .0103 Equipment and Instruments

History

• Status: repealed
• Authority G.S. 88B-4; 88B-9; 88B-16
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Amended Eff. December 1, 2008; February 1, 2004
• Repealed Eff. January 1, 2014.

21 NCAC 14O .0104 Services Performed

History

• Status: repealed
• Authority G.S. 88B-4; 88B-9; 88B-16
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Amended Eff. December 1, 2008; February 1, 2004
• Repealed Eff. January 1, 2014.

21 NCAC 14O .0105 Identification Pins

History

• Status: repealed
• Authority G.S. 88B-4
• Temporary Adoption Eff. January 1, 1999
• Temporary Adoption Expired October 12, 1999
• Temporary Adoption Eff. February 10, 2000
• Eff. April 1, 2001
• Amended Eff. December 1, 2008
• Repealed Eff. January 1, 2014.

21 NCAC 14O .0106 Live Model Performances

History

• Status: repealed
• Authority G.S. 88B-4
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Repealed Eff. August 1, 2014.

21 NCAC 14O .0107 Sanitation

History

• Status: repealed
• Authority G.S. 88B-4
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Repealed Eff. December 1, 2008.

Subchapter P

21 NCAC 14P .0101 Schedule of Civil Penalties

The rules in this Subchapter establish the schedule of civil penalties required by G.S. 88B-29(c). The amounts stated are the presumptive amounts which may be modified in accordance with G.S. 88B-29(b). Those violations that are lst offense correctable are identified with the word "warning" appended to it. If the offense is not corrected within the 30 day time allotted, the presumptive civil penalty in parenthesis shall apply.

History

• Authority G.S. 88B-4; 88B-29
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14P .0102 Qualifications for Licensing Teachers

The presumptive civil penalty for submitting false or fraudulent documentation on the application for licensure as a teacher is:

(1) lst offense $1,000

(2) subsequent offense revocation of license and $1,000 penalty

History

• Authority G.S. 88B-4; 88B-24; 88B-29
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14P .0103 Temporary Employment Permit

History

• Status: repealed
• Authority G.S. 88B-24; 88B-12; 88B-29
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Repealed Eff. April 1, 2001.

21 NCAC 14P .0104 Licensing of Cosmetic Art Shops

(a) The presumptive civil penalty for operating a cosmetic art shop without first filing an application for a cosmetic art shop license:

(1) 1st offense $100.00

(2) 2nd offense $200.00

(3) 3rd offense $300.00

(b) The presumptive civil penalty for moving or changing location or ownership of an existing cosmetic art shop without first submitting the appropriate form and fee to the Board:

(1) 1st offense $100.00

(2) 2nd offense $200.00

(3) 3rd offense $300.00

History

• Authority G.S. 88B-4
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Amended Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14P .0105 Renewals; Expired Licenses; Licenses Required

(a) The presumptive civil penalty for operating a cosmetic art shop/school with an expired license or temporary permit is:

(1) 1st offense $100.00

(2) 2nd offense $250.00

(3) 3rd offense $500.00

(b) The presumptive civil penalty for practicing cosmetology, manicuring, esthetics, or natural hair care with an expired license is:

(1) 1st offense $ 50.00

(2) 2nd offense $100.00

(3) 3rd offense $250.00

(c) The presumptive civil penalty for allowing an apprentice or someone with a temporary permit to practice cosmetic art without direct supervision is:

(1) 1st offense $100.00

(2) 2nd offense $300.00

(3) 3rd offense $500.00

(d) The presumptive civil penalty for practicing in a cosmetic art shop with an apprentice license or a temporary permit without direct supervision is:

(1) 1st offense $100.00

(2) 2nd offense $300.00

(3) 3rd offense $500.00

(e) The presumptive civil penalty for teaching with an expired license is:

(1) 1st offense $100.00

(2) 2nd offense $250.00

(3) 3rd offense $500.00

(f) The presumptive civil penalty for allowing a North Carolina cosmetic art graduate without a temporary permit to practice cosmetic art without direct supervision is:

(1) 1st offense $100.00

(2) 2nd offense $300.00

(3) 3rd offense $500.00

(g) The presumptive civil penalty for practicing in a cosmetic art shop with as a North Carolina cosmetic art graduate without a temporary permit is:

(1) 1st offense $100.00

(2) 2nd offense $300.00

(3) 3rd offense $500.00

History

• Authority G.S. 88B-4; 88B-7; 88B-11; 88B-12; 88B-14; 88B-21; 88B-22; 88B- 23(a); 88B-24: 88B-29
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Amended Eff. September 1, 2011; December 1, 2008; September 1, 2006; February 1, 2004; August 1, 2002; April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023; December 1, 2016
• Readopted Eff. April 1, 2026.

21 NCAC 14P .0106 licenses required

(a) The presumptive civil penalty for practicing cosmetic art without a license is:

(1) 1st offense $200.00

(2) 2nd offense $250.00

(3) 3rd offense $500.00

(b) The presumptive civil penalty for performing services which the practitioner is not licensed to perform is:

(1) 1st offense $100.00

(2) 2nd offense $250.00

(3) 3rd offense $500.00

(c) The presumptive civil penalty for practicing cosmetic art teaching without a license is:

(1) 1st offense $250.00

(2) 2nd offense $350.00

(3) 3rd offense $500.00

(d) The presumptive civil penalty for allowing an individual to perform services which the practitioner is not licensed to perform is:

(1) 1st offense $100.00

(2) 2nd offense $250.00

(3) 3rd offense $500.00

History

• Authority G.S. 88B-4; 88B-29
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Amended Eff. April 1, 2011; July 1, 2010; December 1, 2008; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023
• Readopted Eff. April 1, 2026.

21 NCAC 14P .0107 Licenses to Be Posted

(a) The presumptive civil penalty for failure to display a current cosmetic art shop/school license is:

(1) 1st offense $50.00

(2) 2nd offense $100.00

(3) 3rd offense $200.00

(b) The presumptive civil penalty for failure to display a current individual license is:

(1) 1st offense $50.00

(2) 2nd offense $100.00

(3) 3rd offense $200.00

(c) The presumptive civil penalty for a school/shop for allowing practice or instruction of cosmetic art without displaying a current license is:

(1) 1st offense $50.00

(2) 2nd offense $100.00

(3) 3rd offense $200.00

(d) The presumptive civil penalty for displaying a copied license is:

(1) 1st offense $50.00

(2) 2nd offense $100.00

(3) 3rd offense $200.00

History

• Authority G.S. 88B-4; 88B-23; 88B-29
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Amended Eff. December 1, 2008; February 1, 2004; April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. December 1, 2016
• Readopted Eff. April 1, 2026.

21 NCAC 14P .0108 Revocation of Licenses and Other Disciplinary Measures

(a) The presumptive civil penalty for allowing unlicensed practitioners to practice in a licensed cosmetic art shop is:

(1) 1st offense $500.00 per unlicensed practitioner

(2) 2nd offense $750.00 per unlicensed practitioner

(3) 3rd offense $1000.00 per unlicensed practitioner

(b) The presumptive civil penalty for practicing cosmetology, natural hair care, manicuring or esthetics with a license issued to another person is:

(1) 1st offense $500.00

(2) 2nd offense $800.00

(3) 3rd offense $1,000.00

(c) The presumptive civil penalty for altering a license, permit or authorization issued by the Board is:

(1) 1st offense $500.00

(2) 2nd offense $800.00

(3) 3rd offense $1000.00

(d) The presumptive civil penalty for submitting false or fraudulent documents is:

(1) 1st offense $500.00

(2) 2nd offense $800.00

(3) 3rd offense $1,000.00

(e) The presumptive civil penalty for refusing to present photographic identification is:

(1) 1st offense $100.00

(2) 2nd offense $250.00

(3) 3rd offense $500.00

(f) The presumptive civil penalty for permitting an individual to practice cosmetic art with an expired license is:

(1) 1st offense $ 50.00

(2) 2nd offense $100.00

(3) 3rd offense $250.00

(g) The presumptive civil penalty for practicing or attempting to practice by fraudulent misrepresentation is:

(1) 1st offense $500.00

(2) 2nd offense $800.00

(3) 3rd offense $1000.00

(h) The presumptive civil penalty for the illegal use or possession of equipment in a cosmetic art shop or school is:

(1) 1st offense $300.00

(2) 2nd offense $500.00

(3) 3rd offense $1000.00

History

• Authority G.S. 88B-4; 88B-24; 88B-29
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Amended Eff. June 1, 2013; September 1, 2012; September 1, 2011; July 1, 2010; December 1, 2008; January 1, 2006; April 1, 2004; August 1, 2002; April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023
• Readopted Eff. April 1, 2026.

21 NCAC 14P .0109 Inspections

The presumptive civil penalty for refusal to permit or interference with an inspection:

(1) 1st offense $100.00

(2) 2nd offense $250.00

(3) 3rd offense $500.00

History

• Authority G.S. 88B-4; 88B-27; 88B-29
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14P .0110 Licensing of Beauty Salons

(a) The presumptive civil penalty for use of a cosmetic art shop as living, dining, or sleeping quarters is:

(1) 1st offense warning ($50.00)

(2) 2nd offense $100.00

(3) 3rd offense $200.00

(b) The presumptive civil penalty for failure to provide a separate entrance into the cosmetic art shop is:

(1) 1st offense warning ($100.00)

(2) 2nd offense $200.00

(3) 3rd offense $400.00

(c) The presumptive civil penalty for re-opening a cosmetic art shop which has been closed for more than 90 days without making application to the Board for a new license:

(1) 1st offense $100.00

(2) 2nd offense $200.00

(3) 3rd offense $300.00

History

• Authority G.S. 88B-4; 88B-14; 88B-29
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14P .0111 Establishment of Cosmetic Art Schools

(a) The presumptive civil penalty for failure to provide minimum floor space or equipment and supplies as required by Subchapter 14T is:

(1) 1st offense $200.00

(2) 2nd offense $350.00

(3) 3rd offense $500.00

(b) The presumptive civil penalty for failure to provide instruction at a ratio required in 21 NCAC 14T .0701 is:

(1) 1st offense warning ($100.00)

(2) 2nd offense $250.00

(3) 3rd offense $500.00

(c) The presumptive civil penalty for failure to report a change in the teaching staff as required in 21 NCAC 14T .0701 is:

(1) 1st offense warning ($50.00)

(2) 2nd offense $100.00

(3) 3rd offense $200.00

(d) The presumptive civil penalty for failure to submit an application for the approval of a school in the case of a change of location or ownership as required in in 21 NCAC 14T .0706 is:

(1) 1st offense $500.00

(2) 2nd offense $750.00

(3) 3rd offense $1000.00

History

• Authority G.S. 88B-4(2); 88B-16; 88B-29
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Amended Eff. September 1, 2012; July 1, 2010; February 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023; December 1, 2016
• Readopted Eff. April 1, 2026.

21 NCAC 14P .0112 Sanitary Ratings and Posting of Ratings - Applicable to Establishments with a Sanitation Grade of Less Than 80%

History

• Status: repealed
• Authority G.S. 88B-4; 88B-29
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Amended Eff. September 1, 2012; December 1, 2008; February 1, 2006
• Repealed Eff. January 1, 2014.

21 NCAC 14P .0113 Operations of Schools of Cosmetic Art

(a) The presumptive civil penalty for failure to record student's hours of daily attendance per 21 NCAC 14T .0502 is:

(1) 1st offense warning ($100.00)

(2) 2nd offense $200.00

(3) 3rd offense $300.00

(b) The presumptive civil penalty for failure to report withdrawal or graduation of a student per 21 NCAC 14T .0502 is:

(1) 1st offense warning ($50.00)

(2) 2nd offense $100.00

(3) 3rd offense $200.00

(c) The presumptive civil penalty for failure to submit student enrollments per 21 NCAC 14T .0502 is:

(1) 1st offense warning ($50.00)

(2) 2nd offense $100.00

(3) 3rd offense $200.00

(d) The presumptive civil penalty for failure to display a copy of the Infection Control rules is:

(1) 1st offense warning ($50.00)

(2) 2nd offense $100.00

(3) 3rd offense $200.00

(e) The presumptive civil penalty for failure to post consumer sign "Cosmetic Art School - Work Done Exclusively by Students" per 21 NCAC 14T .0201 is:

(1) 1st offense warning ($50.00)

(2) 2nd offense $100.00

(3) 3rd offense $200.00

(f) The presumptive civil penalty for allowing a cosmetic art shop to operate within a cosmetic art school per 21 NCAC 14T .0201 is:

(1) 1st offense $200.00

(2) 2nd offense $400.00

(3) 3rd offense $600.00

(g) The presumptive civil penalty for a cosmetic art school that is not separated from a cosmetic art shop or other business by a solid wall, floor to ceiling, with a separate entrance and a door that stays closed at all times per 21 NCAC 14T .0201 is:

(1) 1st offense $200.00

(2) 2nd offense $400.00

(3) 3rd offense $600.00

(h) The presumptive civil penalty for failure to have any student wear the required school uniform or identification per 21 NCAC 14T .0613 is:

(1) 1st offense warning ($50.00)

(2) 2nd offense $100.00

(3) 3rd offense $200.00

(i) The presumptive civil penalty for failure to renew or file school bond or bond alternative per G.S. 88B-17 is:

(1) 1st offense $200.00

(2) 2nd offense $400.00

(3) 3rd offense $600.00

(j) The presumptive civil penalty for failure to maintain the student permanent file with required documents per 21 NCAC 14T .0502 is:

(1) 1st offense warning ($50.00)

(2) 2nd offense $100.00

(3) 3rd offense $200.00

(k) The presumptive civil penalty for failure to maintain records of daily hours of attendance documents per 21 NCAC 14T .0502 is:

(1) 1st offense warning ($50.00)

(2) 2nd offense $100.00

(3) 3rd offense $200.00

(l) The presumptive civil penalty for failure to maintain records of performances documents per 21 NCAC 14T .0502 is:

(1) 1st offense warning ($50.00)

(2) 2nd offense $100.00

(3) 3rd offense $200.00

(m) The presumptive civil penalty for allowing an unlicensed individual to instruct cosmetic art per 21 NCAC 14T .0701 is:

(1) 1st offense $500.00

(2) 2nd offense $750.00

(3) 3rd offense $1000.00

(n) The presumptive civil penalty for failure to track and record the student progression in an online education course per 21 NCAC 14T .0502 is:

(1) 1st offense warning ($50.00)

(2) 2nd offense $100.00

(3) 3rd offense $200.00

(o) The presumptive civil penalty for allowing more than 50 percent for teachers and 30 percent of all other courses to be done through online education per 21 NCAC 14T .0502 is:

(1) 1st offense warning ($50.00)

(2) 2nd offense $100.00

(3) 3rd offense $200.00

(p) The presumptive civil penalty for failure to administer education as required in 21 NCAC 14T .0612(c) is:

(1) 1st offense warning ($50.00)

(2) 2nd offense $100.00

(3) 3rd offense $200.00

(q) The presumptive civil penalty altering the format, school name or school code on a Board form per 21 NCAC 14T .0502 is:

(1) 1st offense warning ($50.00)

(2) 2nd offense $100.00

(3) 3rd offense $200.00

History

• Authority G.S. 88B-4; 88B-16; 88B-17; 88B-29
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Amended Eff August 1, 2014; September 1, 2012; July 1, 2010; December 1, 2008; April 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023; October 1, 2019; December 1, 2016
• Readopted Eff. April 1, 2026.

21 NCAC 14P .0114 Cosmetology Curriculum

History

• Status: repealed
• Authority G.S. 88B-4; 88B-29
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Amended Eff. September 1, 2012; July 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13 2015
• Repealed Eff. December 1, 2016.

21 NCAC 14P .0115 Sanitary Ratings

The presumptive civil penalty for failure to display a current inspection grade card is:

(1) 1st offense $50.00

(2) 2nd offense $100.00

(3) 3rd offense $200.00

History

• Authority G.S. 88B-4; 88B-29
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Amended Eff. December 1, 2008; February 1, 2004; April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14P .0116 Civil Penalty Procedures

(a) Citations. The Board, through its duly authorized representatives, shall issue a citation with respect to any violation for which a civil penalty may be assessed. Each citation shall be in writing and shall describe the nature of the violation, including a reference to the specific provision alleged to have been violated. The civil penalty, if any, shall attach at the time the citation is written. The citation shall include an order to correct any condition or violation which lends itself to corrections, as determined by the Board.

(b) Correction of Violation. Any licensee who has been issued a warning citation shall present written proof satisfactory to the Board, or its executive director, that the violation has been corrected. This provision applies only to a licensee's first violation in any one year period for a violation with a first offense warning penalty. Proof of correction shall be presented to the Board, through its executive director, within 30 days of the date the warning citation was issued. The Board may extend for a reasonable period, the time within which to correct the warning citation in case of a death or hospitalization. Notices of correction filed after the prescribed date shall not be acceptable and the civil penalty shall be paid.

(c) Contested Case. Persons to whom a notice of violation or a citation is issued and a civil penalty assessed, may contest the civil penalty by filing written notice with the Board. The Board shall institute a contested case by sending a notice of hearing pursuant to G.S. 150B, Article 3A. The issuance of notice of hearing shall stay the civil penalty until the Board renders a final agency decision in the contested case.

(d) Final Agency Decision. The Board, after the hearing has been concluded, may affirm, reduce, or dismiss the charges filed in the notice of hearing or any penalties assessed. In no event shall the civil penalty be increased.

(e) Failure to File. If no written notice contesting the civil penalty is filed as set forth in Paragraph (c), the civil penalty becomes a final agency decision.

(f) Any offender who has not committed a previously cited offense for which a civil penalty has been assessed for a three year period after the last penalty payment is complete shall have his record of the specific offense cleared. The next subsequent violation shall be treated as a first offense.

History

• Authority G.S. 88B-4; 88B-29
• Temporary Adoption Eff. January 1, 1999
• Eff. August 1, 2000
• Amended Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023
• Readopted Eff. April 1, 2026.

21 NCAC 14P .0117 Rule Compliance and Enforcement Measures

(a) The use of or possession of the following products or equipment in a school or shop shall result in civil penalty in the amount of three hundred dollars ($300.00) per container of product or piece of equipment:

(1) Methyl Methacrylate Liquid Monomer a.k.a. MMA; or

(2) razor-type callus shavers, hollow needles or blades.

(b) The use of or possession of the following in a school or shop shall result in civil penalty in the amount of one hundred dollars ($100.00) per use or possession:

(1) animals including insects, fish, amphibians, reptiles, birds, or non-human mammals to perform any service; or

(2) variable speed electrical nail file unless it has been designed for use on the natural nail.

(c) The action of any student or licensee to violate the Board rules in the following manner shall result in civil penalty in the amount of one hundred dollars ($100.00) per instance of each action:

(1) use of any product, implement, or piece of equipment in any manner other than the product's, implement's, or equipment's intended use as described or detailed by the manufacturer;

(2) treatment of any medical condition unless referred by a physician;

(3) use of any product or device that will penetrate the dermis;

(4) provision of any service unless trained prior to performing the service;

(5) performance of services on a client if the licensee has reason to believe the client has any of the following:

(A) fungus, lice, or nits;

(B) inflamed infected, broken, raised, or swollen skin or nail tissue in the area to be worked on; or

(C) an open wound or sore in the area to be worked on;

(6) alteration of or duplication of a license issued by the Board;

(7) advertisement or solicitation of clients in any form of communication in a manner that is false or misleading; or

(8) cut growths of skin including skin tags, corns, and calluses.

(d) The failure to record the date and time of each cleaning and disinfecting of a footspa in a cosmetic art school or shop as required by this Subchapter including the date, time, reason, and name of the staff member who performed the cleaning or the failure to keep or make such record available for at least 90 days upon request by either a patron or inspector shall result in civil penalty in the amount of twenty-five dollars ($25.00) per footspa.

(e) The failure to clean and disinfect a footspa in a cosmetic art shop or school as required by this Subchapter shall result in civil penalty in the amount of one hundred dollars ($100.00) per footspa.

(f) The failure to maintain in a cosmetic art shop and school antiseptics, gloves or finger guards, and sterile bandages available to provide first aid shall result in civil penalty in the amount of twenty-five dollars ($25.00) per item.

(g) The failure to maintain in a cosmetic art shop or school a sink with hot and cold running water separate from restrooms shall result in civil penalty in the amount of one hundred dollars ($100.00).

(h) The failure to provide ventilation at all times in the areas where patrons are serviced in cosmetic art shops and schools shall result in civil penalty in the amount of twenty-five dollars ($25.00).

(i) The failure to maintain equipment and supplies necessary to perform any cosmetic art service offered in the shop or school shall result in civil penalty in the amount of one hundred dollars ($100.00).

(j) The failure to maintain a sanitation grade of 80 percent or higher shall result in a civil penalty in the amount of two hundred dollars ($200.00).

(k) Repeated violations of the rules in this Rule exceeding three written notifications of any one rule documented to any one individual, shop, or school shall result in a mandatory disciplinary hearing in accordance with 21 NCAC 14C.

History

• Authority G.S. 88B-2; 88B-4; 88B-14; 88B-23; 88B-24; 88B-26; 88B-27; 88B-29
• Eff. April 1, 2023
• Readopted Eff. April 1, 2026.

Subchapter Q

21 NCAC 14Q .0101 Teacher Continuing Education

History

• Status: repealed
• Authority G.S. 88B-4; 88B-21(e)
• Eff. August 1, 2002
• Repealed Eff. April 1, 2004.

21 NCAC 14Q .0102 Attendance Verification

History

• Status: repealed
• Authority G.S. 88B-4; 88B-21(e)
• Eff. August 1, 2002
• Repealed Eff. April 1, 2004.

21 NCAC 14Q .0103 Certificating Agent

History

• Status: repealed
• Authority G.S. 88B-4; 88B-21(e)
• Eff. August 1, 2002
• Repealed Eff. April 1, 2004.

21 NCAC 14Q .0104 Program Sites

History

• Status: repealed
• Authority G.S. 88B-4; 88B-21(e)
• Eff. August 1, 2002
• Repealed Eff. April 1, 2004.

21 NCAC 14Q .0105 General Program Format, Time Frame, Space

History

• Status: repealed
• Authority G.S. 88B-4; 88B-21(e)
• Eff. August 1, 2002
• Repealed Eff. April 1, 2004.

21 NCAC 14Q .0106 Instructors and Monitors of Continuing Education Programs

History

• Status: repealed
• Authority G.S. 88B-4; 88B-21(e)
• Eff. August 1, 2002
• Repealed Eff. April 1, 2004.

21 NCAC 14Q .0108 Proof of Attendance

History

• Status: repealed
• Authority 88B-4; 88B-21(e)
• Eff. August 1, 2002
• Repealed Eff. April 1, 2004.

21 NCAC 14Q .0109 Board to Observe Program

History

• Status: repealed
• Authority 88B-4; 88B-21(e)
• Eff. August 1, 2002
• Repealed Eff. April 1, 2004.

21 NCAC 14Q .0110 Violations

History

• Status: repealed
• Authority 88B-4; 88B-21(e)
• Eff. August 1, 2002
• Repealed Eff. April 1, 2004.

Subchapter R

21 NCAC 14R .0101 Continuing Education Requirements

History

• Status: repealed
• Authority G.S. 88B-4; 88B-21(e)
• Eff. May 1, 2004
• Amended Eff. February 1, 2011; January 1, 2011; July 1, 2010; December 1, 2008; May 1, 2007; January 1, 2006; December 1, 2004
• Repealed Eff. September 1, 2012.

21 NCAC 14R .0102 Application Criteria and Continuing Education Course Approval

History

• Status: repealed
• Authority G.S. 88B-4; 88B-21(e)
• Eff. May 1, 2004
• Amended Eff. February 1, 2011; January 1, 2011; July 1, 2010; December 1, 2008; May 1, 2007; January 1, 2006; December 1, 2004
• Repealed Eff. September 1, 2012.

21 NCAC 14R .0103 Criteria for Continuing Education Courses

History

• Status: repealed
• Authority G.S. 88B-4; 88B-21(e)
• Eff. May 1, 2004
• Amended Eff. February 1, 2011; January 1, 2011; July 1, 2010; December 1, 2008; May 1, 2007; January 1, 2006; December 1, 2004
• Repealed Eff. September 1, 2012.

21 NCAC 14R .0104 License Renewal Procedures

History

• Status: repealed
• Authority G.S. 88B-4; 88B-21(e)
• Eff. May 1, 2004
• Amended Eff. February 1, 2011; January 1, 2011; July 1, 2010; December 1, 2008; May 1, 2007; January 1, 2006; December 1, 2004
• Repealed Eff. September 1, 2012.

21 NCAC 14R .0105 Continuing Education

(a) This Rule pertains to all cosmetic art licensees. Each licensee wishing to maintain his or her license shall obtain continuing education during each licensing period. The licensee shall maintain records of attendance at a continuing education course including the following information:

(1) course title and description;

(2) date conducted;

(3) address of location where the course was conducted; and

(4) continuing education hours earned.

(b) At least one-half of the required continuing education hours for each licensee shall be in the cosmetic arts profession in which he or she is licensed.

(c) Each cosmetic art teacher shall ensure at least 50 percent of the subject matter in a course taken for the purpose of license renewal relates to teacher training techniques such as the the ability to communicate.

(d) Continuing education courses shall be approved by the Board providing the courses meet the requirements in Paragraphs (b) and (c) of this Rule.

(e) The Board or an agent of the Board may conduct audits of the licensee's continuing education at any time. Upon the Board's request, each licensee shall provide records to the Board to support the last affirmation of records of attendance at a continuing education course given pursuant to Paragraph (a) of this Rule. Records shall be maintained until the end of the next renewal cycle after the affirmation for audit purposes.

(f) Continuing education courses completed prior to an individual's being licensed by the Board shall not qualify for continuing education credit.

(g) Apprentices do not need to earn continuing education for license renewal.

(h) Licensees are exempt from the eight hours of continuing education requirement until the licensing period commencing after their initial licensure.

(i) After completion of the continuing education requirements for any licensing cycle, the licensee shall forward to the Board the following:

(1) the license renewal application including name, address, and license number;

(2) the license renewal fees per G.S. 88B-20 and 21 NCAC 14B .0603; and

(3) affirmation of the following pledge: "I hereby certify that I have obtained all continuing education hours required in accordance with the G.S. 88B-21 and Board rules. I am aware that 1) false or dishonest misleading information may be grounds for disciplinary action against my license; and further that 2) false statements are punishable by law."

(j) Failure to produce documents or file a response to a request for audit from the Board within 30 days of the request shall result in a civil penalty to the licensee in the amount of one hundred dollars ($100.00).

(k) The presentation of fraudulent continuing education documentation to the Board by a licensee shall result in a civil penalty of five hundred dollars ($500.00).

(l) Licensees in inactive status may reactivate licensure by taking no fewer than eight hours of continuing education per year of inactivity up to 24 total hours.

History

• Authority G.S. 88B-2; 88B-4; 88B-21; 88B-24; 88B-29
• Eff. April 1, 2012
• Amended Eff. August 1, 2014; March 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. October 1, 2019
• Readopted Eff. April 1,2026.

Subchapter S

21 NCAC 14S .0101 Uniform

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(7a); 88B-4(a)(9); 88B-4(a)(10); 88B-10.1; 88B-13; S.L. 2009-521
• Eff. July 1, 2010
• Amended Eff. April 1, 2011
• Repealed Eff. January 1, 2014.

21 NCAC 14S .0102 Time Requirements According to Hours

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(7a); 88B-4(a)(9); 88B-4(a)(10); 88B-10.1; 88B-13; S.L. 2009-521
• Eff. July 1, 2010
• Amended Eff. April 1, 2011
• Repealed Eff. January 1, 2014.

21 NCAC 14S .0103 Approved Field Trips

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(7a); 88B-4(a)(9); 88B-4(a)(10); 88B-10.1; 88B-13; S.L. 2009-521
• Eff. July 1, 2010
• Amended Eff. April 1, 2011
• Repealed Eff. January 1, 2014.

21 NCAC 14S .0104 Equipment for Beginner Department

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(7a); 88B-4(a)(9); 88B-4(a)(10); 88B-10.1; 88B-13; S.L. 2009-521
• Eff. July 1, 2010
• Amended Eff. April 1, 2011
• Repealed Eff. January 1, 2014.

21 NCAC 14S .0105 Storing and Labeling of Cosmetics

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(7a); 88B-4(a)(9); 88B-4(a)(10); 88B-10.1; 88B-13; S.L. 2009-521
• Eff. July 1, 2010
• Amended Eff. April 1, 2011
• Repealed Eff. January 1, 2014.

21 NCAC 14S .0106 Equipment

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(7a); 88B-4(a)(9); 88B-4(a)(10); 88B-10.1; 88B-13; S.L. 2009-521
• Eff. July 1, 2010
• Amended Eff. April 1, 2011
• Repealed Eff. January 1, 2014.

21 NCAC 14S .0107 Performances

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(7a); 88B-4(a)(9); 88B-4(a)(10); 88B-10.1; 88B-13; S.L. 2009-521
• Eff. July 1, 2010
• Amended Eff. April 1, 2011
• Repealed Eff. January 1, 2014.

21 NCAC 14S .0108 Students' Personal Supplies

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(7a); 88B-4(a)(9); 88B-4(a)(10); 88B-10.1; 88B-13; S.L. 2009-521
• Eff. July 1, 2010
• Amended Eff. April 1, 2011
• Repealed Eff. January 1, 2014.

21 NCAC 14S .0109 Tests

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(7a); 88B-4(a)(9); 88B-4(a)(10); 88B-10.1; 88B-13; S.L. 2009-521
• Eff. July 1, 2010
• Amended Eff. April 1, 2011
• Repealed Eff. January 1, 2014.

21 NCAC 14S .0110 APPROVAL OF CREDIT FOR Natural Hair Care INSTRUCTION/ANOTHER STATE

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(7a); 88B-4(a)(9); 88B-4(a)(10); 88B-10.1; 88B-13; S.L. 2009-521
• Eff. July 1, 2010
• Amended Eff. April 1, 2011
• Repealed Eff. January 1, 2014.

21 NCAC 14S .0111 Services Performed

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(7a); 88B-4(a)(9); 88B-4(a)(10); 88B-10.1; 88B-13; S.L. 2009-521
• Eff. July 1, 2010
• Amended Eff. April 1, 2011
• Repealed Eff. January 1, 2014.

21 NCAC 14S .0112 Licensing of Natural Hair Care Specialists

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(7a); 88B-4(a)(9); 88B-4(a)(10); 88B-10.1; 88B-13; S.L. 2009-521
• Eff. July 1, 2010
• Amended Eff. April 1, 2011
• Repealed Eff. January 1, 2014.

21 NCAC 14S .0112 Licensing of Natural Hair Care Specialists

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(7a); 88B-4(a)(9); 88B-4(a)(10); 88B-10.1; 88B-13; S.L. 2009-521
• Eff. July 1, 2010
• Amended Eff. April 1, 2011
• Repealed Eff. January 1, 2014.

Subchapter T

21 NCAC 14T .0101 Scope and Definitions

(a) These Rules apply to existing and new schools as follows:

(1) Rules in this Subchapter apply to all cosmetic art schools making initial application to operate a cosmetic art school after the effective date of these Rules.

(2) Schools with a letter of approval dated prior to the effective date of the rules in this Subchapter may choose to comply with Section .0100 and .0200, Rules .0302-.0305 of this Subchapter.

(3) Schools with a letter of approval dated prior to the effective date of the rules in this Subchapter shall comply with Rule .0301, Section .0400, Rules .0602-.0610, .0614, and .0615 of this Subchapter upon the enrollment of students after the effective date of these Rules.

(4) Schools with a letter of approval dated prior to the effective date of the rules in this Subchapter shall comply with Rules .0501, .0502, .0601, .0611-.0613, .0616, and .0901 upon the effective date of the rules in this Subchapter.

(b) The following definitions apply to this Subchapter:

(1) "Client consultation" is the review and discussion of client needs and preferences, assessment of client skin, hair, and nails, and assessment of product reactions.

(2) "Clinic" is the area for performance of all cosmetic art services. The clinic may also be used for practice.

(3) "Conceptual Education" consists of lectures, research, reading, online learning, videos, instructional clips, and other non-tactile forms of instruction.

(4) "Demonstration" is when a teacher shows the hands-on systematic completion of the steps for a safe and effective cosmetic art service.

(5) "Evaluation" is the assessment of a student's independent completion of a practice or performance evaluation plan by a teacher.

(6) "Evaluation plan" is a document that outlines the infection control, tool safety, draping, safe application, and steps for systematic completion of a cosmetic art service.

(7) "Guided practice" is when a teacher and student work together on systematic completion of the steps for a safe and effective cosmetic art service.

(8) "Guided theory" is when a teacher lectures, instructs, and coaches the factual basis for mechanical operations performed in cosmetic art services.

(9) "Hands-on Education" is the repeated physical completion of practice and performances, to provide students with the tactile interaction of different hair, skin, nail types and shapes for the purpose of providing experience to safe and effective cosmetic art services despite variable circumstances.

(10) "Independent Theory" is the student study of the factual basis for mechanical operations performed in cosmetic art services.

(11) "Online instruction" is off-site conceptual education.

(12) "Performance" is the hands-on execution of the systematic completion of the steps for a safe and effective cosmetic art service on a live individual by a student. Performance is monitored during the execution and checked by a teacher upon completion for the purpose of pointing out errors in order that the errors may be corrected.

(13) "Performance station" for each cosmetic art discipline consists of:

(A) cosmetology – hydraulic styling chair, mirror, and work space for supplies;

(B) manicuring – manicuring table, client chair, and student chair;

(C) esthetics – reclining facial treatment table with leg support and student stool, work space for supplies; and

(D) natural hair care - hydraulic styling chair, mirror, and work space for supplies.

(14) "Practice" is the independent hands-on execution of the systematic completion of the steps for a safe and effective cosmetic art service on a mannequin by a student. Practice is monitored during the execution and checked by a teacher upon completion for the purpose of pointing out errors in order that the errors may be corrected.

(15) "Practice station" is a minimum of 24 inches deep by 36 inches wide of workspace surface in an area with hot and cold running water.

(16) "Required Evaluations" are mannequin practice evaluations that shall be passed prior to student performances on a live individual. The list of required evaluations is specific to each discipline and established in rules 21 NCAC 14T .0602-.0606.

(17) "Safe and effective" is the completion of the systematic steps for a cosmetic art service following infection control regulations, manufacturer's instructions, and equipment handling.

(18) "Service" is the action of hands-on systematic steps for the safe and effective completion of a cosmetic art procedure that alters the hair, skin, or nails.

(19) "Theory" is the factual basis for mechanical operations performed in cosmetic art services.

(20) "Tool safety" is the factual basis for the safe handling and operation of any tool or device used in a cosmetic art service.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0102 New School Applications

(a) Persons desiring to operate a cosmetic art school in the state of North Carolina shall make application for licensure by submitting to the Board the Board's School Application. The Board's School Application shall include:

(1) School name;

(2) Cosmetic Art disciplines to be taught;

(3) Physical address and mailing address;

(4) Phone number;

(5) Email address;

(6) Ownership type;

(7) Reason for application;

(8) Owner name;

(9) School contact person with phone number and email address; and

(10) List of teachers with cosmetic art license number.

(b) School application forms shall be submitted along with supporting documents as follows:

(1) Proof of bond as required by G.S. 88B-17;

(2) Diagram with location of equipment placement and marking square footage of all areas including classrooms, dispensary, water supplies, stations, locker room or dressing room, office areas, reception areas, and restroom facilities;

(3) Course curriculum and required evaluation plans for each cosmetic art discipline and teacher trainee program to be taught in the school;

(4) Plans for record keeping for compliance with 21 NCAC 14T .0502;

(5) The qualifications for passing required evaluations and techniques for grading of performances;

(6) Handbook for students containing student policies on attendance, leave of absence policy, performance assignment, and a plan for instruction of students to achieve the required minimum hours, practice, and performances per 21 NCAC 14T .0602 through .0610 and any additional academic requirements established by the school;

(7) A raised seal identifying the school name and physical location to be used on all Board forms, reports, and other official papers;

(8) Documentation of local municipality fire, mechanical code, occupancy, electrical and plumbing approval;

(9) School operation schedule including days, hours, and observed holidays; and

(10) Signed statement that the school owner has read and understands the Board's rules in this Subchapter.

(c) The Board shall not approve an application for a license until all plans, furniture, supplies, and equipment as prescribed by the rules in this Subchapter have been installed and all fees have been paid to the Board.

(d) The Board shall issue a license to any cosmetic art school that meets the requirements of this Subchapter and G.S. 88-B as determined by inspection.

History

• Authority G.S. 88B-4; 88B-16; 88B-17;88B-20
• Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023; March 1, 2022; October 1, 2019; December 1, 2016
• Readopted April 1, 2026.

21 NCAC 14T .0201 All Cosmetic Art Schools

(a) Cosmetology schools shall have the following physical departments:

(1) Practice Department – a minimum of 200 square feet with practice stations to accommodate at least 10 students.

(2) Clinic Department – a minimum of 1200 square feet of clinic floor with performance stations for performance of all cosmetic art services. Within the clinic area each school shall have:

(A) 48 inches of space between the centers of each styling chair, esthetics table, or manicuring table;

(B) 24 inches from the center of the chair forward;

(C) 48 inches from the backrest behind the chair to any other styling chair, reclining or flat facial treatment table with leg support, or manicuring table; and

(D) at least 30 inches of space from the back of each styling chair, reclining or flat facial treatment table to the wall of the school.

(3) Dispensary – a room or area to organize and maintain supplies, equipment for disinfection of all implements, and a plumbed sink with hot and cold running water. All cosmetic art schools shall have the required equipment to carry out disinfection procedures per 21 NCAC 14H .0403 and .0404;

(4) Theory classroom – classroom with a minimum of 300 square feet including desks and chairs for each student.

(5) Office – administrative office with a locking door for the secure and locked facilitation of student records and files. This office shall be outfitted with a locking cabinet, electronic office equipment suitable for scanning, printing, and secure document storage, and a minimum of one desk and one chair;

(6) Reception area – a reception area for clients to wait prior to receiving services;

(7) Break room for student use;

(8) Restrooms for student, school personnel, and school customer use;

(9) Locker or room for students to secure and lock personal belongings throughout the day; and

(10) All stations as defined in Rule .0302 of this Subchapter shall be numbered numerically.

(b) Manicuring, esthetics, and natural hair care schools shall have the following physical departments:

(1) Clinic Department – the clinic floor with performance stations for performance of all cosmetic art services. Within the clinic area each school shall have:

(A) 48 inches of space between the centers of each styling chair, esthetics table, or manicuring table;

(B) 24 inches from the center of the chair forward;

(C) 48 inches from the backrest behind the chair to any other styling chair, reclining or flat facial treatment table with leg support, or manicuring table; and

(D) at least 30 inches of space from the back of each styling chair or reclining or flat facial treatment table with leg support to the wall of the school.

(2) Dispensary – a room or area to organize and maintain supplies, equipment for disinfection of all implements, and a plumbed sink with hot and cold running water. All cosmetic art schools shall have the required equipment to carry out disinfection procedures per 21 NCAC 14H .0403 and .0404;

(3) Theory/practice classroom – a room or area with equipment for theory training appropriate to both practical and theory learning including practice stations and chairs.

(4) Office – administrative office with a locking door for the secure and locked facilitation of student records and files. This office shall be outfitted with a locking cabinet, electronic office equipment suitable for scanning, printing, and secure document storage, and a minimum of one desk and one chair;

(5) Reception area – a reception area for clients to wait prior to receiving services;

(6) Break room for student use;

(7) Restrooms for student, school personnel, and school customer use;

(8) Locker or room for students to secure and lock personal belongings throughout the day; and

(9) All stations as defined in Rule .0304 of this Subchapter shall be numbered numerically.

(c) Each cosmetic art school shall display a sign in the reception area meeting the requirements of this Paragraph. The sign cannot be smaller than 12 inches by 18 inches, with lettering at least one and one half inches in size and shall read as follows: "Cosmetic Art School Work Done Exclusively by Students."

(d) Each of the required physical departments and equipment listed within this Rule shall be located within the same building with the exception of the theory classroom, which may be located in an adjacent building or another building within 500 feet of the main cosmetic art building, and a proctored examination center, which may be located on the school campus. Theory classrooms located in an adjacent building or another building within 500 feet of the main cosmetic art building shall not be used for student practice.

(e) All Cosmetic Art schools shall post hours of operation per cosmetic art discipline and submit this information to the Board. Any changes to the hours of operation shall be posted and submitted to the Board. A school shall be considered open by the Board when cosmetic art instruction, services, or performances are provided.

(f) Cosmetic art schools may not offer student hours, practice, or performances unless they are in compliance with Paragraph (a) or (b) of this Rule.

(g) All cosmetic art schools shall adhere to any federal, state, and local government regulation or ordinance regarding fire safety codes, mechanical codes, plumbing, and electrical work.

(h) All cosmetic art schools shall maintain a ventilation system with temperature control. During school operating hours the temperature shall be maintained between 60 and 85 degrees Fahrenheit.

(i) All equipment in cosmetic art schools shall be in working order; kept in repair; and installed in such a manner as to facilitate usage.

(j) All cosmetic art school buildings shall be maintained. Maintenance includes the safe and working condition of the physical building, furniture, equipment, and supplies.

(k) All cosmetic art schools shall maintain a bulletin board in sight of the clinic floor. The bulletin board shall be used to display at all times the Board rules in 21 NCAC 14H .0200, .0300, .0400, and .0500 and the sanitation grade card issued to the school.

(l) All cosmetic art schools shall post together the school letter of approval, the school license, and all cosmetic art licenses issued to the teachers on staff.

(m) Each room in a cosmetic art school shall be labeled according to its assigned purpose.

(n) If a school and shop are located in the same building, they shall be separated by a solid wall of at least seven feet in height; separate restrooms, separate entrances and visitor reception areas shall be maintained. If a school and another business are located in the same building, they shall be separated by a solid wall of at least seven feet in height; separate entrances and visitor reception areas shall be maintained. If the restroom is in a common area of the building a separate restroom need not be provided.

(o) All schools and shops shall have separate public information releases, advertisements, names, and advertising signs.

(p) A cosmetic art school shall maintain space and equipment appropriate to both practical and theory learning, including desks, chairs, and station requirements so that each student in attendance has a location within which to complete assigned tasks. Each station or desk space shall be designated for only one student at a time.

History

• Authority G.S. 88B-2; 88B-4; 88B-16; 88B-17
• Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023; March 1, 2022; September 1, 2021; October 1, 2019; January 1, 2016
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0202 Cosmetology Schools

History

• Status: repealed
• Authority G.S. 88B-2; 88B-4; 88B-16; 88B-17
• Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Repealed Eff. April 1, 2023.

21 NCAC 14T .0203 Esthetics Schools

History

• Status: repealed
• Authority G.S. 88B-2; 88B-4; 88B-16; 88B-17
• Eff. January 1, 2012
• Amended Eff. October 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015 (.0203,.0204)
• Readopted Eff. January 1, 2016 (.0205)
• Repealed Eff. December 1, 2016.

21 NCAC 14T .0204 Manicuring Schools

History

• Status: repealed
• Authority G.S. 88B-2; 88B-4; 88B-16; 88B-17
• Eff. January 1, 2012
• Amended Eff. October 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015 (.0203,.0204)
• Readopted Eff. January 1, 2016 (.0205)
• Repealed Eff. December 1, 2016.

21 NCAC 14T .0205 Natural Hair Care Schools

History

• Status: repealed
• Authority G.S. 88B-2; 88B-4; 88B-16; 88B-17
• Eff. January 1, 2012
• Amended Eff. October 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015 (.0203,.0204)
• Readopted Eff. January 1, 2016 (.0205)
• Repealed Eff. December 1, 2016.

21 NCAC 14T .0301 Equipment for All Cosmetic Art Schools

(a) All cosmetic art schools shall maintain for student use, in a dispensary, supplies for all cosmetic art services in the school. Simulated products may be used for demonstrations and practice. Simulated products may not be used for required evaluation plan assessments with the exception of sodium hydroxide relaxers.

(b) All cosmetic art schools shall maintain equipment for student use for all cosmetic art services offered and for all required evaluations in the school.

History

• Authority G.S. 88B-2; 88B-4; 88B-16; 88B-17
• Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023; March 1, 2022
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0302 Equipment for Cosmetology Schools

(a) The practice department in a cosmetology school shall be equipped with the following equipment:

(1) One shampoo bowl with hot and cold running water and chair;

(2) Visual aids for the purpose of demonstrating cosmetic art services; and

(3) One practice station to accommodate each student.

(b) The clinic department in a cosmetology school shall be equipped with the following for up to 40 students:

(1) 20 stations. Each station shall include one mirror, one electrical outlet, and one hydraulic chair;

(2) Four hooded floor type dryers and chairs;

(3) Four shampoo bowls with hot and cold running water and chairs.

(A) Each side approach shampoo bowl shall be at least 40 inches apart, center of bowl to center of bowl;

(B) Each free standing shampoo bowl shall be at least 31 inches apart, center of bowl to center of bowl;

(C) All other types of shampoo bowls shall be at least 31 inches apart, center of bowl to center of bowl;

(4) Two manicure tables and stools;

(5) One pedicure station that shall include a chair, a foot bath, and a stool;

(6) One reclining or flat facial treatment table with leg support and a stool; and

(7) One facial vaporizer.

(c) The clinic department in a cosmetology school shall be equipped with the following equipment if there are more than 40 enrolled students:

(1) One station for each additional two students;

(2) One shampoo bowl with hot and cold running water for each additional 20 students; and

(3) One reclining or flat facial treatment table with leg support or chair for each additional 60 students.

(d) Cosmetology schools that also offer the disciplines of esthetics and manicuring shall be equipped with one additional station (as defined in this Section per discipline) per two students and the equipment requirements specific to the discipline.

History

• Authority G.S. 88B-2; 88B-4; 88B-16; 88B-17
• Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023; January 1, 2016
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0303 Equipment for Esthetics schools

(a) The practice classroom in an esthetics school shall be equipped with one mannequin practice table or stand to accommodate each student in the practice classroom. If the practice classroom is separate from the clinic, in another room with a door, the practice classroom shall also have one hand washing sink with hot and cold running water, separate from restrooms.

(b) The clinic department in an esthetics school shall be equipped with the following for up to 20 students:

(1) Ten stations: a station shall include a reclining facial treatment table with leg support and one stool;

(2) a waste container at each station;

(3) One facial vaporizer;

(4) One galvanic current apparatus;

(5) One infra-red lamp;

(6) One woods lamp or skin scope;

(7) One magnifying lamp;

(8) One hard wax hair removal system;

(9) One soft wax system;

(10) One pore vacuum machine;

(11) Two of the required stations with electrical outlet;

(12) One exfoliation machine with brushes; and

(13) One plumbed hand washing sink with hot and cold running water, separate from restrooms.

(c) The clinic department in an esthetics school shall be equipped with the following if there are more than 20 enrolled students:

(1) One station for each additional two students: a station shall include one reclining facial treatment table with leg support and one stool; and

(2) A minimum of two plumbed hand washing sinks with hot and cold running water, separate from restrooms.

History

• Authority G.S. 88B-2; 88B-4; 88B-16; 88B-17
• Eff. January 1, 2012
• Amended Eff. October 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023; January 1, 2016
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0304 Equipment for Manicuring Schools

(a) The practice classroom in a manicuring school shall be equipped with one mannequin practice table or stand to accommodate each student enrolled in the practice classroom. If the practice classroom is separate from the clinic, in another room with a door, the practice classroom must also have one hand washing sink with hot and cold running water, separate from restrooms.

(b) The clinic department in a manicuring school shall be equipped with the following for up to 20 students:

(1) One plumbed hand washing sinks with hot and cold running water, separate from restrooms, located in or adjacent to the clinic area;

(2) Ten manicuring tables with two chairs per table;

(3) Ten pedicure chairs and basins;

(4) Two of the required stations with electrical outlet;

(5) A waste container at each station; and

(6) A covered container for soiled or disposable towels located in the clinic area.

(c) The clinic department in a manicuring school shall be equipped with the following if there are more than 20 enrolled students:

(1) One station for each additional two students, a station shall include one manicuring table and two chairs; and

(2) A minimum of two plumbed hand washing sinks with hot and cold running water, separate from restrooms.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• Amended Eff. October 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023; January 1, 2016
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0305 Equipment for Natural Hair Care Styling Schools

(a) The practice classroom in a natural hair care styling school shall be equipped with the following:

(1) Styling equipment for the purpose of natural hair care;

(2) Visual aids for the purpose of demonstrating natural hair care services;

(3) Practice stations to accommodate each student; and

(4) If the practice classroom is separate from the clinic, in another room with a door, the practice classroom must also have one hand washing sink with hot and cold running water, separate from restrooms.

(b) The clinic department in a natural hair care styling school shall be equipped with the following for up to 16 students:

(1) Two shampoo bowls and chairs as follows:

(A) each side approach shampoo bowl shall be 40 inches apart center of bowl to center of bowl; and

(B) each free standing shampoo bowl shall be 31 inches apart center of bowl to center of bowl;

(2) Eight stations. A station shall include one mirror and one hydraulic chair;

(3) One of the required stations with electrical outlet;

(4) One hooded floor type dryer; and

(5) Styling equipment for the purpose of natural hair care.

(c) The clinic department in a natural hair care styling school shall be equipped with an additional station for every two students if there are more than 16 enrolled students.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• Amended Eff. October 1, 2012
• Readopted Eff. January 1, 2016
• Amended Eff. April 1, 2023
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0401 Cosmetology and Apprentice Student Equipment

Each cosmetology and apprentice cosmetology student shall be supplied by the school with following equipment:

(1) 12 combs;

(2) two capes;

(3) six brushes;

(4) assorted clips;

(5) hard rubber or nonflammable comb for heat protection used in thermal styling;

(6) one electric marcel iron;

(7) one razor and one clipper;

(8) one thinning shears;

(9) one shaping shears;

(10) one mannequin with hair; and

(11) one blow dryer.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. September 1, 2020
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0402 Esthetics Student Equipment

Each esthetics school shall make available to students the use of the following items while the students are in class:

(1) Draping;

(2) Spatulas;

(3) Tweezers;

(4) Makeup supplies; and

(5) One mannequin with head, neck and shoulders.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. January 1, 2024
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0403 Manicuring Student Equipment

Each manicuring school shall provide each manicurist student with the following:

(1) A manicurist bowl;

(2) Nail brushes;

(3) A tray for manicuring supplies;

(4) One mannequin hand;

(5) A manicuring kit containing implements for manicuring and pedicuring; and

(6) Implements for artificial nails, nail wraps, and tipping.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0404 Natural Hair Care Styling Student Equipment

Each natural hair care school shall make available to students the use of the following items while the students are in class:

(1) Six combs;

(2) Six brushes;

(3) Ten clips;

(4) Mannequin with hair;

(5) One electric flat iron;

(6) One blowdryer;

(7) One hard rubber or nonflammable comb for heat protection used in thermal styling; and

(8) Two capes.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. January 1, 2024
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0501 Submission of Records

All cosmetic art schools shall submit to the Board the completed, original Board form as defined in Rule .0502(a), (t), and (v) of this Subchapter for each student including enrollment, transfer, withdrawal and graduation. Cosmetic art student forms shall be submitted to the Board within the required time frame established in the following table.

| 15 Days | 30 Days | | --- | --- | | Esthetics, Manicuring, Natural Hair Care and Teacher trainee enrollee and transfer forms | Cosmetology forms including: enrollments, withdrawals, transfers and graduations | | | Esthetics, Manicuring, Natural Hair care and Teacher trainee withdrawal and graduation forms |

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. December 1, 2023
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0502 Permanent Records, forms, and Documentation

(a) Cosmetic art schools shall maintain locked storage for the permanent files of all enrolled students and students who have withdrawn or graduated together in one room within the approved square footage of the cosmetic art school. Withdrawal and graduation forms reviewed by the Board or an agent of the Board may be removed and stored in accordance with Paragraph (i) of this Rule. The permanent file shall include a copy of:

(1) All Board Enrollment Forms including student name; date of birth; school code; course type; enrollment date; school owner name or on-site official and signature; and school seal, with student original signature;

(2) Documentation of student receipt of evaluation plans, school policies, school handbook, school and student contract; the Board rules as set forth in 21 NCAC 14H .0200, .0300, .0400, and .0500 and 21 NCAC 14I .0401, and 21 NCAC 14T .0612 and .0703;

(3) Social security card for any individual who has a social security number or tax ID card or Department of Homeland Security ID;

(4) Government issued photo ID and proof of date of birth;

(5) Documentation of field trip hours, grades for all required evaluation plans with date of completion and teacher signature;

(6) Documentation for any leave of absence over 30 days. Documentation shall include an anticipated return date and updated notes every 30 days if the return date exceeds the anticipated return date;

(7) Transfer of hours form documenting hours earned in other schools for hours accepted by current school;

(8) All Board Withdrawal Forms including student name and date of birth; school code; course type; enrollment date and last date of attendance; number of hours and minutes completed; and school owner name or on-site official and signature; and school seal;

(9) Internship Form; and

(10) Graduation Form.

(b) The school shall keep onsite, records for all enrolled students:

(1) daily attendance in school;

(2) daily online hours;

(3) daily field trip hours;

(4) weekly guided theory and demonstration;

(5) weekly subtotal of attendance in school;

(6) weekly subtotal of online hours;

(7) running grand total of all earned hours through the prior week; and

(8) performances.

(c) Upon withdrawal or graduation the daily records, weekly subtotals, and grand total shall be placed in the student's permanent file.

(d) When a student enrolled in a cosmetic art school withdraws from the school, the cosmetic art school shall report the withdrawal to the Board.

(e) If a student withdraws from a cosmetic art discipline within the first five days, the school need not submit the enrollment to the Board. The unsubmitted enrollment shall be maintained in the student file until reviewed by the Board or an agent of the Board after which, it may be removed.

(f) The graduation form documentation shall be signed by on site school staff or on-site school administrators and shall have the seal of the school affixed. The original graduation form documentation shall be prepared on the Board form and shall indicate that the applicable requirements of this Chapter have been met. The cosmetic art school shall submit the graduation form to the Board at the Board's address set forth in Rule 14A .0104 of this Subchapter or submit the graduation form via the Board's school documents portal at www.nccosmeticarts.com within 30 days of the student's graduation date.

(g) All forms submitted to the Board shall be sealed originals or a digital scan of sealed originals and a copy shall be maintained in the school permanent file storage. Except for student signatures, all forms submitted to the Board shall be completed by on-site school staff or on-site school administrators. Board forms shall be used for the sole purpose of documenting to the Board student records and shall not be used to notify students of enrollment, transfer of hours, withdrawal, or graduation.

(h) Changes or corrections made by the school to any Board form shall be submitted to the Board with supporting documentation.

(i) All cosmetic art schools shall maintain on file at the school an original daily record of enrolled students' hours and performances. This record shall be kept in a secured location under lock and key but made available for review by the Board or its agent at any time.

(j) All records kept by a cosmetic art school on a student who has withdrawn or graduated shall be kept in the school's locked files for future reference until the date the student is accepted for the Board examination or five years after the date the student first enrolled in the school, whichever occurs earlier. Forms reviewed by the Board or an agent of the Board may be removed from this room.

(k) The record of all hours and performance evaluation plans shall be documented in writing. Credit issued to students that cannot be verified shall be eliminated from the student record by an agent of the Board.

(l) Access to student records shall be limited to agents of the Board, teachers, and administrators of the school. Electronic versions of student records shall be kept secure and may only be accessed through school authorized equipment. Personal devices may not be used to access student records. Records shall not be altered offsite. Records that are altered shall be altered onsite and shall have documentation supporting the change attached. The format, school name, and school code on Board forms cannot be altered.

(m) All individuals in a cosmetic art school receiving cosmetic art education, earning hours, or performing or practicing cosmetic art services shall be enrolled in the school.

(n) Only teachers reported to the Board as employees of a cosmetic art school may grade evaluation plans. Only on-site teachers, on site school administrators, or on-site school staff shall record student hours, grade examinations, and determine completion and record credit.

(o) Minimum scores required for examinations and the successful completion of practice or performances as determined through the school's evaluation plan that is approved by the Board at the time of application shall be disclosed to students at the time of enrollment. Teachers shall use the evaluation plan approved by the Board to assess student competency. Passing grades and performances shall not be credited to students who fail to meet the requirements of the evaluation plan.

(p) The names of students with unsatisfied academic obligations shall not be submitted to the Board as graduates but may be submitted as withdrawn.

(q) Cosmetic art schools shall not prevent the graduation of students who have met the Board minimum requirements and passed all school academic requirements.

(r) Records of hours shall be rounded to no more than the nearest quarter hour. Cosmetic art schools shall not give or deduct hours or performances as rewards or penalties.

(s) An applicant shall receive credit for instruction taken in another state if the applicant's record is certified by the state agency or department that issues licenses to practice in the cosmetic arts. If this agency or department does not maintain any student records or if the state does not give license to practice in the cosmetic arts, then the records may be certified by any state department or state agency that does maintain such records and is willing to certify their accuracy. If no state department or board will certify the accuracy of the student's records, then the Board shall review the student's records for validity on a case-by-case basis using the documentation provided by the out-of-state school and submitted to the Board by the accepting North Carolina school.

(t) Hours transferred between open North Carolina schools shall be obtained by the submission of the Board transfer form mailed directly from the school in which the hours are earned with the school seal affixed, with grades for examinations and performances to the new school in which a student enrolls. Such original documentation shall be submitted to the Board with enrollment. Schools shall submit transfer forms for any student that requests a transfer and has no outstanding financial obligations. Transfer forms shall include the following:

(1) Student name and date of birth;

(2) School code;

(3) Course type and required evaluations;

(4) Enrollment date and last date of attendance;

(5) Number of hours and minutes completed;

(6) School owner name or on-site official and signature; and

(7) School seal.

(u) A student shall pass an entrance examination including required evaluations given by the school to which the student is transferring for the hours to be transferred from one cosmetic art school to another.

(v) Certification of completion of a curriculum established in 21 NCAC 14T .0602 through .0610 shall be required on the graduation form and application for the Board examination. Graduation forms shall include the following:

(1) Student name and date of birth;

(2) School code;

(3) Course type completed;

(4) Date of course completion;

(5) Number of hours and minutes completed;

(6) School owner or on-site official name and signature; and

(7) School seal.

(w) Internship forms shall include the following:

(1) Student name and date of birth;

(2) School code;

(3) Shop name and license number;

(4) Dates of internship;

(5) Number of hours and minutes completed;

(6) School owner or on-site official name and signature; and

(7) School seal.

History

• Authority G.S. 88B-4; 88B-16
• Eff. January 1, 2012
• Amended Eff. January 1, 2014; June 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023; September 1, 2021; September 1, 2020; October 1, 2019; December 1, 2016
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0601 Cosmetic Art curricula

(a) Cosmetic art schools shall develop and submit to the Board a curriculum of each discipline to be taught at the school. The curriculum, once approved by the Board's standards listed in Rules .0602-.0610 of this Section, shall be adhered to and lessons developed from the approved curriculum.

(b) Blood exposure and infection control evaluations shall be passed with a score of 100 percent before a student may practice or execute a performance for a cosmetic art service. Before a student may execute a performance the student shall pass the respective mannequin practice evaluation plan.

(c) All cosmetic art students shall receive conceptual education training on Board laws, Board rules, Board website, licensure scope of practice, and Safety Data Sheets prepared by the manufacturer on all products used by the school's students in performances.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023; October 1, 2019; January 1, 2016
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0602 Cosmetology Curriculum

(a) A cosmetologist training course shall begin with infection control and blood exposure procedures as defined in 21 NCAC 14H .0403 and .0404 and consist of 1500 hours of instruction as defined in 21 NCAC 14T .0612(c).

(b) Students shall pass the infection control and blood exposure procedures evaluation plan with a score of 100 percent.

(c) Each school shall develop and use required evaluations for each of the Board required services listed in this Paragraph. Evaluation plans shall include a minimum of infection control, tool safety, client consultation, draping, and safe application and be recorded in the student's permanent file. Teachers shall ensure students follow infection control, tool safety, draping, and safe application of products for all service performances. Students shall receive guided theory, demonstration, guided practice, independent theory, and practice, and pass the evaluation plan, prior to performing services on a live model:

(1) Blow drying and hot iron;

(2) Hair cut with shears, a razor, and clipper;

(3) Color application including virgin and retouch;

(4) Relaxer application including virgin and retouch;

(5) Permanent waving;

(6) Basic manicure;

(7) Basic pedicure;

(8) Basic facial including steam; and

(9) Waxing.

(d) Each school shall develop and use evaluation plans for each of the cosmetic art services listed in this Paragraph. Evaluation plans shall include a minimum of infection control, tool safety, client consultation, draping, and safe application services to a client. In addition to the requirements set forth in Paragraph (a) of this Rule all students shall receive guided theory, demonstration, guided practice, independent theory, and practice, and perform the following services:

(1) Shampooing;

(2) Roller sets;

(3) Pin curls;

(4) Ridge curls with C shaping;

(5) Fingerwaves;

(6) Artificial hair;

(7) Up-styles;

(8) Pressing or thermal;

(9) Blow drying;

(10) Hot iron;

(11) Styles that apply tension (twists, braiding, locs, or knots);

(12) Solid form cut;

(13) Elevated cut;

(14) Cut with tapered or thinning shears;

(15) Razor cut;

(16) Clipper cut;

(17) Shears over comb cut;

(18) Clippers over comb cut;

(19) Virgin darker;

(20) Virgin lightener;

(21) Retouch;

(22) Foil;

(23) Freehand painting;

(24) Relaxer;

(25) Permanent waving rod placement rectangle, or contour or bricklay-overlap or spiral;

(26) Basic manicure or pedicure;

(27) Artificial nails;

(28) Basic facial;

(29) Waxing including face and body;

(30) Hair removal with tweezers;

(31) Hair removal with razor;

(32) Makeup application;

(33) Lash lift and brow lamination;

(34) Artificial lashes; and

(35) Lash and brow tint.

History

• Authority G.S. 88B-4; 88B-16
• Eff. January 1, 2012
• Amended Eff. January 1, 2015; June 1, 2013; October 1, 2012
• Readopted Eff. January 1, 2016
• Amended Eff. April 1, 2023; September 1, 2020; October 1, 2019
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0603 Apprentice Cosmetology Curriculum

(a) An apprentice cosmetologist training course shall begin with infection control and blood exposure procedures as defined in 21 NCAC 14H .0403 and .0404 and consist of 1200 hours of instruction as defined in 21 NCAC 14T .0612(c).

(b) Students shall pass the infection control and blood exposure procedures evaluation plan with a score of 100 percent.

(c) Each school shall develop and use required evaluations for each of the Board required services listed in this Paragraph. Evaluation plans shall include a minimum of infection control, tool safety, client consultation, draping, and safe application and be recorded in the student's permanent file. Teachers shall ensure students follow infection control, tool safety, draping, and safe application of products for all service performances. Students shall receive guided theory, demonstration, guided practice, independent theory, and practice, and pass the evaluation plan, prior to performing services on a live model:

(1) Blow drying and hot iron;

(2) Hair cut with shears, a razor, and clipper;

(3) Color application including virgin and retouch;

(4) Relaxer application including virgin and retouch;

(5) Permanent waving;

(6) Basic manicure;

(7) Basic pedicure;

(8) Basic facial including steam; and

(9) Waxing.

(d) Each school shall develop and use evaluation plans for each of the cosmetic art services listed in this Paragraph. Evaluation plans shall include a minimum of infection control, tool safety, client consultation, draping, and safe application services to a client. In addition to the requirements set forth in Paragraph (a) of this Rule all students shall receive guided theory, demonstration, guided practice, independent theory, and practice, and perform the following services:

(1) Shampooing;

(2) Roller sets;

(3) Pin curls;

(4) Ridge curls with C shaping;

(5) Fingerwaves;

(6) Artificial hair;

(7) Up-styles;

(8) Pressing or thermal;

(9) Blow drying;

(10) Hot iron;

(11) Styles that apply tension (twists, braiding, locs, or knots);

(12) Solid form cut;

(13) Elevated cut;

(14) Cut with tapered or thinning shears;

(15) Razor cut;

(16) Clipper cut;

(17) Shears over comb cut;

(18) Clippers over comb cut;

(19) Virgin darker;

(20) Virgin lightener;

(21) Retouch;

(22) Foil;

(23) Freehand painting;

(24) Relaxer;

(25) Permanent waving rod placement rectangle, or contour or bricklay-overlap or spiral;

(26) Basic manicure or pedicure;

(27) Artificial nails;

(28) Basic facial;

(29) Waxing including face and body;

(30) Hair removal with tweezers;

(31) Hair removal with razor;

(32) Makeup application;

(33) Lash lift and brow lamination;

(34) Artificial lashes; and

(35) Lash and brow tint.

History

• Authority G.S. 88B-4; 88B-16
• Eff. January 1, 2012
• Amended Eff. January 1, 2015; June 1, 2013; September 1, 2012
• Readopted Eff. January 1, 2016
• Amended Eff. April 1, 2023; September 1, 2020; October 1, 2019
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0604 Esthetics Curriculum

(a) To meet the approval of the Board, an esthetician training course shall begin with infection control and blood exposure procedures as defined in 21 NCAC 14H .0403 and .0404 and consist of 600 hours of instruction as defined in 21 NCAC 14T .0612(c).

(b) Students must pass the infection control and blood exposure procedures evaluation plan with a score of 100 percent.

(c) Each school must develop and use required evaluations for each of the Board required services listed in this Paragraph. Evaluation plans must include a minimum of infection control, tool safety, client consultation, draping, and safe application and be recorded in the student permanent file. Teachers must ensure students follow infection control, tool safety, draping, and safe application of products for all service performances. Students must receive guided theory, demonstration, guided practice, independent theory, and practice, pass the evaluation plan, prior to performing services on a live model:

(1) Basic facial, including steam;

(2) Waxing;

(3) Lash lift and brow lamination;

(4) Artificial lashes; and

(5) Lash and brow tint.

(d) Each school must develop and use evaluation plans for each of the cosmetic art services listed in this Paragraph. Evaluation plans must include a minimum of infection control, tool safety, client consultation, draping, and safe application services to a client. In addition to the requirements set forth in Paragraph (a) of this Rule all students must receive guided theory, demonstration, guided practice, independent theory, and practice, and perform the following services:

(1) Draping;

(2) Basic facials;

(3) Waxing including underarm, lip, eyebrow, leg and bikini;

(4) Hair removal with depilatory and tweezers;

(5) Makeup application;

(6) Facials with machines including Woods lamp, magnifier, galvanic current, LED light, high frequency (direct and indirect), infrared light, vaporizer, microderm abrasion, suction, exfoliating;

(7) Manual Exfoliation including products and devices;

(8) Manual extraction;

(9) artificial lashes including single eyelash extensions;

(10) Facial or body treatment (cleansing, manipulations, masks, and chemical peels);

(11) Aromatherapy;

(12) Make-up application;

(13) Lash lift and brow lamination;

(14) Microneedling;

(15) Dermaplaning; and

(16) Lash and brow tint.

History

• Authority G.S. 88B-2; 88B-4; 88B-16; 88B-17
• Eff. January 1, 2012
• Amended Eff. January 1, 2015; August 1, 2014
• Readopted Eff. January 1, 2016
• Amended Eff. April 1, 2023; September 1, 2020; October 1, 2019
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0605 Manicuring Curriculum

(a) A manicurist training course shall begin with infection control and blood exposure procedures as defined in 21 NCAC 14H .0403 and .0404 and consist of 300 hours of instruction as defined in 21 NCAC 14T .0612(c).

(b) Students shall pass the infection control and blood exposure procedures evaluation plan with a score of 100 percent.

(c) Each school shall develop and use required evaluations for each of the Board required services listed in this Paragraph. Evaluation plans shall include a minimum of infection control, tool safety, client consultation, draping, and safe application and be recorded in the student's permanent file. Teachers shall ensure students follow infection control, tool safety, draping, and safe application of products for all service performances. Students shall receive guided theory, demonstration, guided practice, independent theory, and practice, and pass the evaluation plan, prior to performing services on a live model:

(1) Basic manicure;

(2) Basic pedicure with rasp;

(3) Sculptured nails including application, fill, and removal; and

(4) Electric file.

(d) Each school shall develop and use evaluation plans for each of the cosmetic art services listed in this Paragraph. Evaluation plans shall include a minimum of infection control, tool safety, client consultation, draping, and safe application services to a client. In addition to the requirements set forth in Paragraph (a) of this Rule all students shall receive guided theory, demonstration, guided practice, independent theory, and practice, and perform the following services:

(1) Basic manicure;

(2) Basic pedicure;

(3) Nail tips;

(4) Acrylic overlay (application, repair, fill, and removal);

(5) Sculptured nails (application, repair, fill, and removal);

(6) Gel overlay (application, repair, fill, and removal);

(7) Trimming;

(8) Filing;

(9) Shaping;

(10) Decorating;

(11) Arm and hand manipulation; and

(12) Electric file.

History

• Authority G.S. 88B-2; 88B-4; 88B-16; 88B-17
• Eff. January 1, 2012
• Amended Eff. January 1, 2015; August 1, 2014
• Readopted Eff. January 1, 2016
• Amended Eff. April 1, 2023; September 1, 2020; October 1, 2019
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0606 Natural Hair Care Curriculum

(a) A natural hair care specialist training course shall begin with infection control and blood exposure procedures as defined in 21 NCAC 14H .0403 and .0404 and consist of 300 hours of instruction as defined in 21 NCAC 14T .0612(c).

(b) Students shall pass the infection control and blood exposure procedures evaluation plan with a score of 100 percent.

(c) Each school shall develop and use required evaluations for each of the Board required services listed in this Paragraph. Evaluation plans shall include a minimum of infection control, tool safety, client consultation, draping, and safe application and be recorded in the student's permanent file. Teachers shall ensure students follow infection control, tool safety, draping, and safe application of products for all service performances. Students shall receive guided theory, demonstration, guided practice, independent theory, and practice, and pass the evaluation plan, prior to performing services on a live model:

(1) Three strand overbraid and underbraid;

(2) Track and sew weft; and

(3) Blow drying and hot iron.

(d) Each school shall develop and use evaluation plans for each of the cosmetic art services listed in this Paragraph. Evaluation plans shall include a minimum of infection control, tool safety, client consultation, draping, and safe application services to a client. In addition to the requirements set forth in Paragraph (a) of this Rule all students shall receive guided theory, demonstration, guided practice, independent theory, and practice, and perform the following services:

(1) Twists;

(2) Knots;

(3) Locs;

(4) Two strand overlap;

(5) Three strand overbraid;

(6) Three strand underbraid;

(7) On the scalp three strand braid;

(8) Track and sew weft;

(9) Adding hair extensions;

(10) Shampooing;

(11) Draping;

(12) Wrapping; and

(13) Blowdry and thermal iron.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• Amended Eff. January 1, 2015; August 1, 2014; June 1, 2013
• Readopted Eff. January 1, 2016
• Amended Eff April 1, 2023; September 1, 2020; October 1, 2019
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0607 Cosmetology Teacher Trainee Curriculum

(a) A cosmetologist teacher training course shall consist of at least 800 hours of instruction in theory and practical application, divided as follows:

| Requirement Description | Hours | | --- | --- | | Guided and independent theory: observation, motivation, student relations, teaching techniques, preparing lesson plans, preparing class lectures and presentations, preparing examinations, grading, and G.S. 88B and the rules of the Board | 400 | | Practical Application: Conducting guided theory classes from prepared lessons, preparing and giving examinations, and giving demonstrations | 400 |

(b) Trainees shall receive a minimum of 150 hours of guided or independent theory prior to providing any instruction in a cosmetic art classroom.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• Readopted Eff. January 1, 2016
• Amended Eff. April 1, 2023; October, 1, 2019
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0608 Esthetic Teacher Trainee Curriculum

(a) An esthetician teacher training course shall consist of at least 650 hours of instruction in theory and practical application, divided as follows:

| Requirement Description | Hours | | --- | --- | | Guided and independent theory: observation, motivation, student relations, teaching techniques, preparing lesson plans, preparing class lectures and presentations, preparing examinations, grading, and G.S. 88B and the rules of the Board | 325 | | Practical Application: Conducting guided theory classes from prepared lessons, preparing and giving examinations, and giving demonstrations | 325 |

(b) Trainees shall receive a minimum of 120 hours of guided or independent theory prior to providing any instruction in a cosmetic art classroom.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• *Readopted Eff. January 1, 2016 *
• Amended Eff. April 1, 2023; October 1, . 2019
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0609 Manicurist Teacher Trainee Curriculum

(a) A manicurist teacher training course shall consist of at least 320 hours of instruction in theory and practical application, divided as follows:

| Requirement Description | Hours | | --- | --- | | Guided and independent theory: observation, motivation, student relations, teaching techniques, preparing lesson plans, preparing class lectures and presentations, preparing examinations, grading, and G.S. 88B and the rules of the Board | 160 | | Practical Application: Conducting guided theory classes from prepared lessons, preparing and giving examinations, and giving demonstrations | 160 |

(b) Trainees shall receive a minimum of 115 hours of guided or independent theory prior to providing any instruction in a cosmetic art classroom.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• Readopted Eff. January 1, 2016
• Amended Eff. April, 1, 2023; October 1, 2019
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0610 Natural Hair Care Teacher Curriculum

(a) A natural hair care teacher training course shall consist of at least 320 hours of instruction in theory and practical application, divided as follows:

| Requirement Description | Hours | | --- | --- | | Guided and independent theory: observation, motivation, student relations, teaching techniques, preparing lesson plans, preparing class lectures and presentations, preparing examinations, grading, and G.S. 88B and the rules of the Board | 160 | | Practical Application: Conducting guided theory classes from prepared lessons, preparing and giving examinations, and giving demonstrations | 160 |

(b) Trainees shall receive a minimum of 115 hours of guided or independent theory prior to providing any instruction in a cosmetic art classroom.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• Readopted Eff. January 1, 2016
• Amended Eff. April 1, 2023; October 1, 2019
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0611 Online Instruction

(a) Online instruction and course hours are accepted by the Board for any cosmetic art curriculum.

(b) The school shall determine if a student possesses the skills and comprehension necessary to succeed in an online instruction environment and maintain in each student's record documentation of the method used to determine the student's skill and comprehension.

(c) The school shall track and record the student's hours by minute and educational achievements in the online instruction and shall provide electronic reports generated by the tracking system to an agent of the Board or its inspector upon request.

(d) Online instruction shall be limited to the independent or guided theory portion only and no more than 50 percent for teacher trainees and 30 percent of the total statutorily required hours for the respective cosmetic art discipline.

(e) The school shall provide access to technical support regarding function and usage of any online program or resource utilized for the online educational course or program to students and instructors.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023; October 1, 2019
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0612 Instruction Guidelines

(a) The hours earned in the clinic department must be devoted to safe and effective practice and performance completions.

(b) Work in the clinic department may be done on the public.

(c) All instruction in a cosmetic art school shall be in this order:

(1) Guided theory;

(2) Demonstration;

(3) Guided practice;

(4) Independent theory;

(5) Practice;

(6) Evaluation and passage of evaluation; and

(7) Performance.

(d) Infection control and blood exposure required evaluations shall be taught in this order:

(1) Hand washing;

(2) Implement disinfection;

(3) Beginning and end of day infection control;

(4) Blood exposure (self cut); and

(5) Blood exposure (client).

(e) A minimum of 10 percent of scheduled attendance time each week shall be dedicated to guided theory, demonstration, and guided practice.

(f) All written assignments shall be graded and returned to the students.

(g) Cosmetic art students shall receive training and practice only in the discipline in which they are enrolled.

(h) Performances on other students may be performed in the clinic or in a room within the school with a cosmetic art station.

(i) Textbooks shall not be used more than five years if a newer version is available.

(j) Schools shall provide textbooks and supplementary educational materials and equipment as listed in 21 NCAC 14T .0301-.0404 to students.

(k) A cosmetic art teacher shall not perform clinical services on a client at the cosmetic art school.

(l) Exams administered in a proctored exam site need not be attended by a cosmetic art teacher.

(m) Cosmetic art teachers shall use the respective evaluation plan to verify student competency prior to assigning a performance.

(n) The school shall provide students and teachers with access to current reference materials that may include, but are not limited to, such formats as books, periodicals and other written matter, audio-visual equipment and materials, digital media, and online education platforms to support the educational course. Equipment for producing digital and paper copies of supplementary instructional materials shall be available.

(o) Schools must develop lesson plans for conceptual education, guided theory, hands-on education, and demonstrations that integrate Board infection control rules as established in 21 NCAC 14H with the steps to complete each service as listed in 21 NCAC 14T .0602-.0606.

(p) School owners, teachers, and school administrators shall not make any statement to a member of the public or students, either verbally or in writing, stating or implying Board mandated consequences that are not established by the Board rules or NC General Statutes. A violation of this prohibition is considered practicing or attempting to practice by fraudulent misrepresentation as set forth in 21 NCAC 14P .0108.

History

• Authority G.S. 88B-4; 88B-16
• Eff. January 1, 2012
• Amended Eff. June 1, 2013; October 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023; March 1, 2022; October 1, 2019; January 1, 2016
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0613 Uniforms and Identification

(a) Each cosmetic arts school shall define what constitutes a uniform for students and acceptable attire for teachers. Students and teachers shall wear the uniform or acceptable attire as defined by the school so that Board members or agents of the Board can identify by sight students and teachers.

(b) Each school's definition of a uniform or acceptable attire cannot change more than once per year.

(c) Students shall wear a name tag identifying student name and cosmetic art discipline while on the school's premises.

(d) Each cosmetic art school may permit students to be out of uniform a maximum of four days per year. Notice to the Board shall be submitted prior to any day uniforms will not be worn.

(e) Teachers, guest lecturers, and substitute teachers shall wear a name tag with name and position title.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• Amended Eff. October 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0614 Internships

Cosmetic art schools and cosmetic art shops desiring to implement an internship program shall follow these requirements:

(1) Schools wishing to participate in an internship program shall notify the Board of intent to implement a program before credit for an internship may be granted.

(2) Schools shall report to the Board all cosmetic art shops contracted and students selected to participate in the program.

(3) Internships may be arranged in various time frames but shall never exceed five percent of a student's total training period.

(4) Credit for an internship shall be granted upon submission of student hours verification based on a daily attendance record. Hours shall be recorded on a form approved by the school.

(5) Students may be assigned a variety of duties, but client services are restricted. Cosmetology and natural hair care students may provide only shampoo services, manicurist students may only remove nail polish, and esthetician students may only drape clients.

(6) A licensed teacher need not be in attendance during this internship.

(7) Students participating in the program shall not receive compensation for duties performed in the cosmetic art shop.

(8) Prior to a student participating in an internship the student shall have passed the infection control and blood exposure evaluations.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. February 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0615 Field Trips

(a) Cosmetic art schools shall notify the Board prior to any field trip and record the field trip hours of each student. Cosmetic art educational field trips include the following locations or activities:

(1) cosmetic art shops;

(2) cosmetic art conventions;

(3) competition training;

(4) other schools;

(5) professional cosmetic art supply store;

(6) college or career day at school;

(7) fashion shows;

(8) rest homes or nursing homes;

(9) hospitals; and

(10) funeral homes.

(b) An instructor shall be present during the educational field trips listed in Paragraph (a) of this Rule for credit to be given to students, with a ratio of at least one instructor per 25 students present.

(c) The maximum number of hours a student may earn for field trips is 40 hours for cosmetology students, 20 hours for esthetician students, and 10 hours for manicurist or natural hair care students.

(d) Students may earn up to four additional hours of credit for curriculum requirements for interviews for employment at a licensed cosmetic art shop.

(e) Students may not perform any service outside of the school. Students may perform services as part of the school participation in a cosmetic art competition.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• Amended Eff. August 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023; September 1, 2020
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0616 Additional Hours

(a) Notwithstanding any other rule in this Subchapter, pursuant to G.S. 88B-18(d), a cosmetologist, apprentice, esthetician, manicurist, natural hair care specialist, or teacher candidate who has failed the practical section of the examination three times shall complete the following amounts of study at an approved cosmetic art school before an applicant may reapply:

(1) Cosmetologist 40 hours;

(2) Apprentice 40 hours;

(3) Esthetician 40 hours;

(4) Manicurist 40 hours;

(5) Natural Hair Care Specialist 40 hours; and

(6) Teacher:

(A) cosmetology 40 hours;

(B) esthetician 40 hours; and

(C) manicurist 40 hours.

(b) Schools shall evaluate students returning to complete additional hours in accordance with Paragraph (a) of this Rule and shall provide remedial assistance or training in the areas of deficiency.

(c) Additional hours as required in Paragraph (a) of this Rule may be completed as online instruction through enrollment in a licensed cosmetic art school.

History

• Authority G.S. 88B-2; 88B-4; 88B-16; 88B-18
• Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023; September 1, 2021; August 1, 2014
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0617 Teacher Trainees

(a) A cosmetic art teacher trainee may not perform clinical services on a client at the cosmetic art school.

(b) A cosmetic art teacher trainee shall be supervised by a cosmetology teacher at all times when the trainee is at a cosmetic art school except as set out in Paragraph (c) of this Rule.

(c) A manicurist, natural hair care, or esthetician teacher may supervise a cosmetic art teacher trainee with regard to manicuring, natural hair care, or esthetics.

(d) A cosmetic art teacher trainee program may be a full-time program or a part-time program. A cosmetic art teacher trainee, however, shall not receive credit for more than 10 hours per day.

(e) Teacher trainees may present lessons as long as the supervising teacher is present in the classroom.

(f) Persons receiving teacher training in a cosmetic art school shall be furnished a teacher's manual and shall spend all of their training time under the direct supervision of a licensed cosmetic art teacher and shall not be left in charge of students or the school at any time. Direct supervision is considered as in-person interactive guidance and advising on teacher training topics by a licensed cosmetic art teacher.

(g) Teacher trainees shall be taught how to assess cosmetic art performances using evaluation plans.

(h) Cosmetic art teacher trainees shall be enrolled in school to earn hours.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• Amended Eff. August 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023; March 1, 2022
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0701 School Operations/Licensure Maintenance

(a) No individual shall be given credit for any hours earned in a cosmetic art school before the date the school is granted a license, before the student is enrolled, or after graduation or withdrawal of the student without a new enrollment.

(b) All cosmetic art schools shall submit hours of operation per cosmetic art discipline to the Board. Any changes to the hours of operation shall be submitted to the Board. A school shall be considered open by the Board when cosmetic art instruction, services, or performances are provided.

(c) Students may be required to clean and disinfect work areas, reception areas, implements, and the dispensary. Students shall not be required to perform maintenance as defined in 21 NCAC 14T .0201.

(d) All cosmetic art schools shall adhere to all Board Sanitation Rules located in 21 NCAC 14H.

(e) Cosmetic art schools may permit students to leave the cosmetic art school during instructional time to visit on-campus libraries and other educational resource rooms such as computer labs for research and study under the supervision of a cosmetic art instructor.

(f) Cosmetic art schools shall use the following grading scale for minimum passing grades:

| Grade A | 100-90 | | --- | --- | | Grade B | 80-89 | | Grade C | 70-79 | | Grade F (Fail) | 0-69 |

(g) Cosmetic art schools may adopt a higher grading scale.

(h) In order to graduate, all students shall meet the minimum school and Board requirements as set forth in Rules .0602-.0610 of this Subchapter.

(i) Written examination shall be administered in the cosmetic art curriculum.

(j) Students present at school shall be supervised by a cosmetic art teacher. If a guest lecturer is leading a class, at least one cosmetic art teacher shall be present in the lecture.

(k) All cosmetic art schools shall provide:

(1) One teacher for every 25 students enrolled in the practice department;

(2) One teacher for every 20 students during practical work on live models in the clinic department; and

(3) Each cosmetic art teacher may have up to five teacher trainees, in addition to the ratios set forth in Subparagraphs (k)(1) and (2) of this Rule.

(l) In theory classes, the teacher-student ratio may exceed the ratios established in this Rule. A teacher may administer instruction to up to 10 students in practice and clinic departments at the same time.

(m) At no time can any one teacher be simultaneously responsible for teaching students in a theory class and monitoring students in practice or on the clinic floor.

(n) In cases of change in teaching staff, the school shall notify the Board of the change in writing prior to beginning instruction. A change in teaching staff includes any substitution for the regularly scheduled teacher and any change, scheduled or otherwise, in the list of teachers last given to the Board.

(1) All courses in a cosmetic art school shall be taught by an onsite licensed cosmetology teacher, and student performances completed on the clinic floor shall be supervised by an onsite cosmetology teacher, except as follows:

(A) manicuring courses, theory, and performances shall be taught by either an onsite licensed cosmetology teacher or an onsite licensed manicurist teacher;

(B) natural hair care courses, theory, and performances shall be taught by either an onsite licensed cosmetology teacher or an onsite licensed natural hair care teacher;

(C) esthetics courses, theory, and performances shall be taught by either an onsite licensed cosmetology teacher or an onsite licensed esthetician teacher.

(2) A licensed cosmetologist not licensed as a cosmetology teacher may substitute for a cosmetology, esthetician, natural hair care, or manicurist teacher; a licensed manicurist not licensed as a manicurist teacher may substitute for a manicurist teacher; a licensed natural hair care specialist not licensed as a natural hair care teacher may substitute for a natural hair care teacher; and a licensed esthetician not licensed as an esthetician teacher may substitute for an esthetician teacher.

(o) In no event may any cosmetic art licensee substitution last for more than 15 consecutive working days per year per teacher. If any teacher substitution is 16 consecutive days or longer, the school shall provide a new cosmetic art teacher.

(p) Enrolled students may earn a maximum of 10 hours per day per discipline of cosmetic art and a maximum of 48 hours per week per discipline. Online education can be earned in addition to the maximum daily and weekly hours. A student enrolled in more than one cosmetic art discipline may not earn hours or complete performances concurrently.

(q) The Board shall certify student hours for any North Carolina cosmetic art school that is closed. The Board shall not certify student hours between any North Carolina open cosmetic art schools. The Board shall certify student hours earned at North Carolina cosmetic art schools to other state boards and schools open outside of the state of North Carolina as set forth in Rule .0502 of this Subchapter.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. February 1, 2012
• Amended Eff. August 1, 2014; June 1, 2013; October 1, 2012
• Readopted Eff. January 1, 2016
• Amended Eff. April 1, 2023; March 1, 2022; October 1, 2019; December 1, 2016
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0702 Transfer of Credit

(a) A student who transfers from one cosmetic art discipline to another cosmetic art discipline shall not receive credit for hours received in the initial curriculum.

(b) Up to 50 percent of all credit earned in an approved esthetician, manicurist, or natural hair care teacher training program may be transferred to a cosmetology teacher training program.

(c) A maximum of 160 hours earned in either an esthetician, natural hair care, or manicurist teacher training program may be transferred between programs once.

(d) Licensed estheticians, manicurists, and natural hair care stylists may request the school to apply up to 50 percent of hours required for licensure by G.S. 88B earned toward the cosmetology curriculum.

(e) Licensed cosmetologists may request the school apply up to 50 percent of the hours required for licensure by G.S. 88B earned toward the esthetician, manicurist, or natural hair care specialist curriculum.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0703 Expiration of Student Credit

Students and graduates who fail to file an application for the Board examination after graduation and within five years of the initial enrollment shall not be credited any hours or performances previously earned.

History

• Authority G.S. 88B-2; 88B-4; 88B-16; 88B-19
• Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. October 1, 2019
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0705 School Performance Requirements

(a) Each cosmetic art school shall meet or exceed a program completion rate of at least 50 percent during any five year period and shall meet or exceed a student pass rate on state licensure examinations of at least 70 percent during any two year period. Schools that fail to meet the requirements in this Rule will be issued a hearing order for a probationary hearing by the Board.

(b) The school shall allow the teachers to have the opportunity to prepare for class, evaluate students' progress in the course, counsel students individually, and participate in activities of continuing education.

(c) Cosmetic art schools shall provide to substitutes copies of lesson plans and the performance evaluation plan for the successful grading of clinical performances.

(d) School attendance policies shall give attendance credit for all hours attended.

(e) If a graduate meets all the school financial and academic requirements and the Board hours and performance requirements as set forth in 21 NCAC 14T .0602-.0610 the school shall approve the student for Board examination.

(f) Private cosmetic art schools shall maintain current bond according to G.S. 88B-17 and shall submit certification of renewal or new bond prior to expiration of the bond approved by the Board.

(g) At the time of private school license renewal, each school shall submit to the Board financial records of prepaid tuition and a letter signed by an authorized representative of the school documenting the calculations made and the method of computing the amount of the bond for the preceding year. If the school did not collect prepaid tuition, the school shall submit a letter signed by an authorized representative of the school documenting that no prepaid tuition was collected.

(h) Each private school shall maintain and submit to the Board proof of bond in an amount of ten thousand dollars ($10,000) or equivalent to prepaid tuition received during the previous year, whichever is greater.

History

• Authority G.S. 88B-4; 88B-16; 88B-17
• Eff. January 1, 2012
• Amended Eff. January 1, 2015; September 1, 2012
• Readopted Eff. January 1, 2016
• Amended Eff. December 1, 2016
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0706 School Approval Changes and School Closing

(a) If the location of a cosmetic art school changes or if there is a transfer of majority ownership of a cosmetic art school, whether by sale, lease, or otherwise, the new school owner shall submit a new application for approval in accordance with Rule .0102 of this Subchapter.

(b) License and letters of approval issued to cosmetic art schools are not transferrable, and are valid only for the location, square footage, and enrollment capacity for which issued, and to the owner to whom issued. The letter of approval shall contain the school name, school owner name, school location, date of approval, the signature of the Board members, the amount of approved square footage, and the maximum number of enrollments for which the school has been approved.

(c) Schools intending to close shall notify the Board not less than 30 days in advance.

(d) Schools shall make provisions for the long-term storage of school documents as set forth in Rule .0502 of this Subchapter, and facilitate the retrieval of any school documents upon the request of a student or the Board. Schools shall notify the Board of the contact information for retrieval of any school information.

(e) Schools shall facilitate and cooperate in the final inspection and processing of student hours.

(f) If the square footage or instructional layout of a cosmetic art school changes, the school shall notify the Board of the change and submit a diagram of the new instructional layout. Following receipt of the notification of the change in the instructional layout or square footage, a Board inspector shall verify the change. If there is an educational change such as adding an educational program the full curriculum shall be submitted to the Board for approval. Schools shall verify compliance with mechanical codes when changing or moving equipment.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023; March 1, 2022; September 1, 2021
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0802 School Infection Control Grades

Schools shall be issued a grade at each inspection per 21 NCAC 14H .0504 on a grade card provided by the Board.

History

• Authority G.S. 88B-2; 88B-4; 88B-16; 88B-27
• Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0803 School Inspections

(a) Schools shall facilitate and cooperate by providing access to the school facility, students, and records during all school inspections.

(b) Schools are subject to reevaluation and re-inspection at any time.

(c) Failure to comply with the G.S. 88B and rules of the Board is cause to revoke or suspend the school's license/letter of approval.

(d) In addition to such other reports as may be required by the Board, cosmetic art schools shall report to the Board or its authorized agent, upon inspection of the cosmetic art school and at other times upon specific request, the names of all students currently enrolled and the hours and evaluation plans completed by each.

(e) The owner of the cosmetic art school or owner's representative shall read each inspection report made of the school by an authorized agent of the Board to determine that the information on the inspection report is correct, and shall sign and retain a copy of all inspection reports.

(f) If any part of the information on the report is incorrect, it shall be corrected by the authorized agent of the Board.

(g) A school may submit an exception to any inspection report. Such exceptions shall be prepared and signed by the owner and submitted to the Board and shall be attached to the report.

(h) All present student equipment and records shall be made available to inspectors during school inspection.

(i) Cosmetic art schools shall maintain copies of lesson plans and evaluation plans and make such copies available to an agent of the Board upon request.

History

• Authority G.S. 88B-2; 88B-4; 88B-16; 88B-27
• Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023
• Readopted Eff. April 1, 2026.

21 NCAC 14T .0901 School Probation

(a) After notice and opportunity for a hearing, the Board shall put the school on probation if the Board finds that the program fails to comply with G.S. 88B or these Rules. The decision shall identify all deficiencies required to be corrected for the program to come into compliance.

(b) No later than one calendar year after notification of probation, the school shall either:

(1) Correct the deficiencies identified and come into compliance with Board requirements; or

(2) Request an extension of time in which it shall:

(A) Explain the basis for its failure to correct the deficiencies within the allotted time;

(B) Provide a summary of the program's efforts to come into compliance within the allotted time; and

(C) Present a plan of action to come into compliance.

(c) After a request for an extension the Board shall extend the time to come into compliance by a single six-month period based on:

(1) The explanation provided contains all material related to the non-compliance;

(2) There are efforts by the school to correct the deficiencies pursuant to Paragraph (a) of this Rule to come into compliance; and

(3) The efforts made by the school to come into compliance address each instance of non-compliance.

(d) The Board shall make site visits or require the school to submit progress reports, syllabi, evaluative tools, and student records.

(e) When a program previously placed on probation fails to demonstrate compliance with G.S. 88B or these Rules as set forth in the Board's order, the Board shall order the school's administrator or official and the director to appear at a hearing at which time the school shall present evidence why the school's license should not be revoked.

(f) If after a probationary period and hearing in accordance with this Rule, the Board revokes the school license due to failure to comply with the applicable Rules and Statutes, the school shall work with Board inspectors and personnel for the collection of student records.

History

• Authority G.S. 88B-4; 88B-16; 88B-24
• Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. January 1, 2016
• Readopted Eff. April 1, 2026.

Chapter 16 Dental Examiners

Subchapter A

21 NCAC 16A .0101 Definitions

As used in this Chapter:

(1) "Applicant" means a person applying for any license or permit issued by the Board.

(2) "Board" means the North Carolina State Board of Dental Examiners.

(3) "Current license" means a license that is renewed by the licensing board.

(4) "CPR certification" means the licensee has completed a CPR course that meets American Red Cross or American Heart Association standards for certification and that provides manikin testing of cardiopulmonary resuscitation. The course shall also cover the use of an automatic external defibrillator, unconscious and conscious choking, and rescue breathing. The manikin testing shall be provided by an instructor who is present in the training room with the students.

(5) "Internship" means practice in an educational training program. Internship does not mean practice under an intern permit while holding an unrestricted general dental or dental specialty license issued by a state, U.S. territory, or the District of Columbia.

(6) "Secure electronic transmission" means an electronic method of communication that ensures that completeness, integrity, and confidentiality of information are maintained during transmission.

(7) "Unrestricted license" means a license that is not under suspension or inactivation, or subject to the terms of a consent order or other disciplinary action imposed by the jurisdiction that issued the license, or limited by supervision or location requirements.

(8) Except where otherwise defined by these Rules or by statute, "supervision," "direct supervision," and "supervision and direction" means that the dentist overseeing treatment is present in the same facility or location and available during the performance of the acts that are being performed pursuant to that dentist's order, control, and approval and that the dentist shall examine and evaluate the results of such acts.

(9) Except where otherwise defined by these Rules or by statute, "direction" or "under direction" means that the dentist ordering treatment does not have to be present in the same facility or location during the performance of the acts that are being performed pursuant to that dentist's order, control, and approval, but that dentist shall be responsible for all consequences or results arising from such acts.

History

• Authority G.S. 90-28; 90-29(a); 90-29.3; 90-29.4; 90-29.5; 90-30; 90-48; 90-224; 90-224.1; 90-226
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1991; May 1, 1989; September 1, 1988; October 1, 1986
• Temporary Amendment Eff. January 1, 2003
• Amended Eff. May 1, 2011; January 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. August 1, 2024; October 1, 2019.

21 NCAC 16A .0102 Organization

History

• Status: repealed
• Authority G.S. 90-22 et seq.; 90-26; 90-43; 90-48; 90-221 et. seq.
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. March 1, 1985
• Repealed Eff. October 1, 1986.

21 NCAC 16A .0103 Functions

History

• Status: repealed
• Authority G.S. 90-22 et seq.; 90-26; 90-43; 90-48; 90-221 et. seq.
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. March 1, 1985
• Repealed Eff. October 1, 1986.

21 NCAC 16A .0104 Location

History

• Status: repealed
• Authority G.S. 90-26; 90-43; 90-48
• Eff. May 1, 1989
• Amended Eff. February 1, 2008; September 1, 2001; May 1, 1991
• Repealed Eff. September 1, 2013.

21 NCAC 16A .0106 Petition for Predetermination

An individual who wishes to file a petition for a predetermination of whether the individual's criminal history will likely disqualify the individual from obtaining a dental license or dental hygiene license shall submit a petition on the forms furnished by the Board at www.ncdentalboard.org that shall include the petitioner's:

(1) legal name;

(2) mailing, physical, and email addresses;

(3) social security number;

(4) date of birth;

(5) telephone number;

(6) place(s) of residence for the past seven years;

(7) employment history since the commission of the crime(s);

(8) criminal record report prepared no more than 60 days prior to the date of petition by Castle Branch, Inc., or another reporting service designated by the Board in accordance with G.S. 93B-8.1(b6), the cost of which shall be borne by the petitioner;

(9) copies of all documents in the court file related to any conviction reported on the petition or noted on the criminal record report, certified by the clerk of court or other judicial official;

(10) written statement describing the circumstances surrounding the commission of the crimes;

(11) written statement of any rehabilitation efforts, if applicable;

(12) rehabilitative drug or alcohol treatments, if applicable;

(13) Certificate of Relief granted pursuant to G.S. 15A-173.2, if applicable;

(14) affidavits or other written documents, including character references, that the petitioner wishes the Board to consider in responding to the petition;

(15) written statement certifying that the information and documentation submitted with the petition is complete and accurate to the best of the petitioner's knowledge;

(16) fee of forty-five dollars ($45.00) for a petition for predetermination; and

(17) notarized signature.

History

• Authority G.S. 90-29; 90-30; 90-41; 90-48; 90-223; 90-224; 90-229; 93B-8.1
• Eff. April 1, 2020.

21 NCAC 16A .0107 board CONTACT INFORMATION; submission of information and documents TO THE BOARD

(a) To contact or obtain information about the Board:

(1) Mailing address: 2000 Perimeter Park Drive, Suite 160, Morrisville, North Carolina 27560.

(2) Website: www.ncdentalboard.org.

(3) Telephone number: (919) 678-8223.

(4) Fax number: (919) 678-8472.

(5) Email address: info@ncdentalboard.org.

(b) Unless otherwise stated, all forms required by the rules of this Chapter are available on the Board's website.

(c) For any rule in this Chapter requiring an applicant or licensee to request a testing agency, educational program, or other entity to send information or documents directly to the Board office, the Board accepts information and documents sent by the entity via secure electronic transmission, as well as documents sent in a sealed envelope directly from the entity to the Board office.

History

• Authority G.S. 90-28; 90-48
• Eff. August 1, 2024.

Subchapter B

21 NCAC 16B .0101 Examination Required; Exemptions

(a) Persons seeking a license to practice dentistry in North Carolina shall pass Board approved written and clinical examinations, as set forth in Rule .0303 of this Subchapter, before receiving a license.

(b) The examination requirement in Paragraph (a) of this Rule shall not apply to persons who do not hold a North Carolina dental license and who are:

(1) volunteers pursuant to G.S. 90-21.107;

(2) persons holding an unexpired instructor's license issued by the Board and seeking a dental license pursuant to Rule .0502 of this Subchapter; or

(3) persons seeking a dental license pursuant to a Board rule setting forth a different examination requirement, such as:

(A) by military endorsement pursuant to Rules .1001 and .1002 of this Subchapter; or

(B) by credentials pursuant to Rule .0501 of this Subchapter.

(c) All persons practicing dentistry in North Carolina shall maintain an unexpired CPR certification at all times.

History

• Authority G.S. 90-21.107; 90-28; 90-30; 90-36; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. September 1, 2014; September 1, 2013; March 1, 2006; May 1, 1991; May 1, 1989; January 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. December 1, 2023; October 1, 2019.

21 NCAC 16B .0102 No Reciprocal Arrangement

History

• Status: expired
• Authority G.S. 90-28; 90-30; 90-36; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

21 NCAC 16B .0201 In General

(a) An applicant for licensure as a dentist shall be a graduate of and have a DMD or DDS degree from a university or college accredited by the Commission on Dental Accreditation of the American Dental Association.

(b) Graduates of foreign colleges may apply for licensure after completing at least two years in a dental school accredited by the Commission on Accreditation of the American Dental Association, graduating with a DMD or DDS degree from that dental school, and passing Board approved written and clinical examinations, as set out in these Rules.

History

• Authority G.S. 90-28; 90-30; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. September 1, 2014; August 1, 2009; March 1, 2006; May 1, 1989; October 1, 1986
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16B .0202 Student May Apply

Applications for a dental license shall be accepted from students currently enrolled in schools of dentistry accredited by the Commission on Dental Accreditation of the American Dental Association. Applications shall be automatically denied if the applicant fails to complete the required course of study or fails a Board approved licensure examination.

History

• Authority G.S. 90-28; 90-30; 90-48
• Eff. September 3, 1976
• Readopted Eff. March 1, 2006; September 26, 1977
• Amended Eff. September 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16B .0203 Transcripts Required

History

• Status: repealed
• Authority G.S. 90-28; 90-30; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Repealed Eff. March 1, 2006.

21 NCAC 16B .0301 Application for Licensure

(a) All applications for licensure as a dentist shall be made on the forms furnished by the Board at www.ncdentalboard.org and shall include the following information:

(1) full name;

(2) street address as of the date of the application;

(3) permanent street address;

(4) preferred mailing address for all information;

(5) telephone number;

(6) email address;

(7) age;

(8) date of birth;

(9) place of birth;

(10) citizenship or immigration status, with verifying documentation;

(11) social security number;

(12) marital status;

(13) any other name by which the applicant was known in the past, accompanied by a certified copy of a court order of name change, if applicable;

(14) all resident addresses for the 10 years preceding the date of application;

(15) the names, addresses, and phone numbers for two individuals to whom the applicant always provides the applicant's current address;

(16) disclosure and explanation of any bankruptcy proceedings in which the applicant was a named party;

(17) the license number, issuing state, and expiration date for all current drivers' licenses held by the applicant, and the issuing state for all drivers' licenses held in the past by the applicant;

(18) the date of the applicant's previous application for examination by the Board, if applicable;

(19) the date and type of any dental permit or provisional license for which the applicant applied in the past, if applicable;

(20) if the applicant failed an examination administered by a dental board, the date of the examination and jurisdiction of the dental board that administered the examination;

(21) if any dental board has refused to administer an examination to applicant, the jurisdiction of the dental board that refused to administer the examination and the date of the refusal;

(22) the dates upon which the applicant has taken the Dental National Board Examination, the location of the examination, and authorization for the Board to access the examination scores;

(23) if the applicant failed the Dental National Board Examination, the date of the failed examination;

(24) if the applicant has applied for a dental license in any other state or foreign country, the date of the application and whether the license was issued to the applicant;

(25) all employment held by the applicant for the past 10 years other than dentistry;

(26) if the applicant was terminated from employment within the past 10 years, an explanation regarding the termination;

(27) all dental licenses from other jurisdictions ever held by the applicant, including type of licensure, license number, and dates of licensure;

(28) if the applicant has ever been suspended or otherwise disqualified, or reprimanded, censured, or otherwise disciplined by any licensing board, professional organization, or while the applicant was holding public office, a written statement disclosing:

(A) the facts that formed the basis for the discipline;

(B) the date of the discipline;

(C) whether the applicant appealed the discipline and the outcome of any appeal; and

(D) the name and address of the authority in possession of records related to discipline;

(29) if the applicant has ever been the subject of a complaint with any licensing board, professional organization, or while the applicant was holding public office, a written statement disclosing:

(A) the facts that gave rise to the complaint;

(B) the date of the complaint;

(C) whether the organization that received the complaint instituted proceedings against the applicant; and

(D) the name and address of the authority in possession of records related to the complaint;

(30) if the applicant has ever been reported to the National Practitioner Data Bank or the Healthcare Integrity and Protection Data Bank, a written statement disclosing:

(A) the facts that formed the basis for the report;

(B) the date of the report; and

(C) the name and address of the authority in possession of records related to the report;

(31) if the applicant is a diplomate, board-eligible, or a declared specialist in any branch of dentistry, a statement of specialty and how he or she is qualified;

(32) if the applicant has taken any post-graduate training or refresher courses, other than continuing education courses, since receiving his or her dental degree, a written statement of the dates, locations, and names of the training or refresher courses;

(33) if the applicant has ever been dropped, suspended, expelled, or disciplined by any post-secondary school or college, a written statement disclosing:

(A) the facts leading to the discipline;

(B) the date of the discipline; and

(C) the school or college issuing the discipline;

(34) if the applicant has ever been denied admission to any college or post-secondary school for a reason other than academic qualifications, a written statement explaining the reason for the admission denial;

(35) if the applicant has ever served in the armed forces of the United States or any other country, a written statement explaining:

(A) whether the applicant has been separated from service;

(B) the nature of the separation;

(C) if other than honorable, the circumstances surrounding his or her release from service;

(D) dates of service;

(E) the facts leading to any charges or complaints made or filed against the applicant while the applicant was serving in the armed forces, and the outcome of the charges or complaints;

(F) the facts leading to any disciplinary proceedings instituted against the applicant while serving in the armed forces, and the outcome of the proceedings; and

(G) if the applicant was ever a defendant in any court martial, the facts giving rise to those proceedings and the outcome of the proceedings;

(36) a statement of whether the applicant has registered under the Military Selective Service Act;

(37) a statement of whether the applicant has ever:

(A) been summoned to court or before a magistrate for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(B) been arrested for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(C) been taken into custody for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(D) been indicted for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(E) been convicted or tried for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(F) been charged with the violation of any law or ordinance or for the commission of any felony or misdemeanor; or

(G) pleaded guilty to the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(38) if the applicant has been admitted to practice dentistry in any jurisdiction, a certified statement disclosing all the dental practices at which the applicant has worked from dental school graduation to the date of the application, including:

(A) the dates during which the applicant was employed as a dentist or engaged in practice;

(B) the addresses of offices of places at which the applicant was employed or practicing, and the names and addresses of all employers, partners, associates, or other dentists sharing office space;

(C) whether the applicant was practicing general dentistry or a specialty; and

(D) the reason for the termination of each employment or period of private practice;

(39) if the applicant has ever held any other health care license, a written statement disclosing:

(A) the type of license held by the applicant;

(B) the dates the applicant held the license; and

(C) the licensing board that issued the license;

(40) if the applicant has ever held hospital privileges and those privileges were suspended or revoked, a written statement disclosing the date, location, and reason the privileges were suspended or revoked;

(41) if the applicant has ever held a federal Drug Enforcement Administration license or registration number and, if that license or registration number has ever been revoked, suspended, or surrendered, a written statement disclosing the date, location, and reason for the revocation, suspension, or decision to surrender the license or registration number;

(42) the applicant's post-high school, pre-dental education, including the name and location of the schools the applicant attended and the period of attendance;

(43) each degree conferred upon the applicant, including the date of the degree and institution;

(44) copies of the applicant's transcripts of undergraduate college;

(45) the name and location of each dental school that the applicant attended, the period of attendance, the degree conferred upon applicant, and the institution that conferred the degree;

(46) a statement disclosing and explaining any current condition or impairment, including substance abuse, alcohol abuse, or a mental, emotional, or nervous disorder or condition, that in any way affects the ability to practice dentistry. For purposes of this Rule, "current" means recently enough that the condition or impairment may affect the applicant's ability to function as a dentist as set out in G.S. 90-41(a)(2) and (7). If the applicant contends that the condition or impairment is reduced or ameliorated because the applicant is receiving ongoing treatment or participating in a monitoring or support program, the applicant may provide information regarding the treatment or program, and may include any verification demonstrating that the applicant has complied with all provisions and terms of any drug treatment program, or impaired dentists or other impaired professionals program;

(47) a photograph of the applicant, taken within six months prior to the date of the application;

(48) a completed fingerprint record card and signed release of information form authorizing the Board to request a fingerprint-based criminal history record check from the North Carolina State Bureau of Investigation (SBI);

(49) a copy of an unexpired CPR certificate; and

(50) if the applicant holds, or has held in the past, a dental license in any other state or jurisdiction, a copy of a National Practitioner Data Bank Report concerning the applicant that was obtained within six months prior to the date the Report is submitted to the Board.

(b) The applicant shall submit to the Board the notarized application form with all the information and materials listed in Paragraph (a) of this Rule, accompanied by the nonrefundable application fee set forth in 21 NCAC 16M .0101.

(c) In addition to the requirements of Paragraphs (a) and (b) of this Rule, the applicant shall request the applicable entity to send the following required information or documents to the Board office, with each document in an unopened envelope sealed by the entity involved:

(1) the applicant's official transcripts from a dental school accredited by the Commission on Dental Accreditation of the American Dental Association;

(2) if the applicant is licensed in other states, a certificate of the applicant's licensure status from the dental regulatory authority or other occupational or professional regulatory authority, accompanied by a disclosure of any disciplinary action taken or investigation pending, from all licensing jurisdictions where the applicant holds or has ever held a dental license or other occupational or professional license; and

(3) examination scores required by Rule .0303(b) of this Subchapter that shall include the American Board of Dental Examiners (ADEX) dental licensure examinations.

(d) The Board shall receive all information and documentation set forth in Paragraphs (a) through (c) of this Rule and the applicant's passing scores on all examinations required by Rule .0303 of this Subchapter for the application to be complete. Applications that are not completed within one year of being submitted to the Board shall be disregarded as expired without a refund of the application fee.

(e) Any applicant who changes his or her address shall notify the Board office in writing within 10 business days.

(f) Any license obtained through fraud or by any false representation shall be revoked.

History

• Authority G.S. 90-28; 90-30; 90-39; 90-41; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. September 1, 2014; March 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. March 1, 2020.

21 NCAC 16B .0302 Consent for Board Investigation

In making application, the applicant authorizes the Board to verify the information contained in the application or to seek such further information pertinent to the applicant's qualifications or character as the Board may deem proper. The applicant consents that his character and reputation may be inquired into, and waives any right he may have to recover damages against the Board, any member thereof or its agents, or any person who answers a Board inquiry in good faith and without malicious intent.

History

• Authority G.S. 90-28; 90-30; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16B .0303 Board approved EXAMINATIONS

(a) All applicants for dental licensure shall achieve a passing score of at least 80 percent on the Board's sterilization and jurisprudence examinations. Applicants may take a reexamination in accordance with Rule .0317 of this Section.

(b) All applicants for dental licensure shall achieve passing scores, as set by the testing agency, on the examination administered by the Joint Commission on National Dental Examinations and clinical examinations developed and administered by Board approved testing agencies. The Board shall determine which testing agencies are approved based on the requirements set forth in Paragraphs (c) and (d) of this Rule.

(c) To qualify as an approved testing agency, the test-development or test-administration agency shall allow a representative of the Board to serve on the agency's Board of Directors and the Examination Review Committee for the limited purpose of allowing Board input in the development and administration of the examination. When Board members offer to participate as examiners for examinations administered in North Carolina, the test-administration agency shall assign at least one of those Board members to each examination administered in North Carolina.

(d) To qualify as an approved testing agency, the clinical examination developed or administered by the testing agency shall:

(1) include procedures performed on human subjects or an alternative method that simulates human subjects, including manikins, as part of the assessment of restorative clinical competencies;

(2) include evaluations in clinical periodontics and at least three of the following subject matter areas:

(A) endodontics, clinical abilities testing;

(B) amalgam preparation and restoration;

(C) anterior composite preparation and restoration;

(D) posterior ceramic or composite preparation and restoration;

(E) prosthetics, written or clinical abilities testing;

(F) oral diagnosis, written or clinical abilities testing; or

(G) oral surgery, written or clinical abilities testing; and

(3) provide the following:

(A) anonymity between applicants and examination graders;

(B) standardization and calibration of graders;

(C) a mechanism for post exam analysis;

(D) conjunctive scoring, which is scoring that requires applicants to earn a passing grade on all sections or areas tested and that does not allow weighted, averaged, or overall scoring to compensate for failures in individual subject areas;

(E) a minimum passing score set by the testing agency for each subject area tested;

(F) an annual review of the examination conducted by the testing agency;

(G) a task analysis performed by the testing agency at least once every seven years that surveys dentists nationwide to determine the content of the examination;

(H) a system of quality assurance to ensure uniform, consistent administration of the examination at each testing site; and

(I) a system of quality assurance that does not permit a dental instructor to grade candidates at any institution at which the instructor is employed.

(e) The Board shall accept examination scores for five years following the date of the examinations. Each applicant shall request the applicable entity to send the applicant's scores to the Board office. Individuals who apply for licensure more than five years after the examination date shall re-take the examination.

(f) The applicant shall comply with all requirements of the testing agency in applying for and taking the examination.

History

• Authority G.S. 90-30; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. September 1, 2014; June 1, 2009; March 1, 2006; August 1, 1998; March 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. August 1, 2024; December 1, 2022; October 1, 2019.

21 NCAC 16B .0304 Other Requirements

History

• Status: repealed
• Authority G.S. 90-28; 90-30; 90-41; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2002 August 1, 1998; January 1, 1994; May 1, 1991; May 1, 1989; March 1, 1988; October 1, 1986; January 1, 1983
• Temporary Amendment Eff. January 1, 2003
• Amended Eff. January 1, 2004; April 1, 2003
• Repealed Eff. March 1, 2006.

21 NCAC 16B .0305 Time for Filing

History

• Status: repealed
• Authority G.S. 90-28; 90-30; 90-41; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2002 August 1, 1998; January 1, 1994; May 1, 1991; May 1, 1989; March 1, 1988; October 1, 1986; January 1, 1983
• Temporary Amendment Eff. January 1, 2003
• Amended Eff. January 1, 2004; April 1, 2003
• Repealed Eff. March 1, 2006.

21 NCAC 16B .0306 Foreign Graduates

History

• Status: repealed
• Authority G.S. 90-28; 90-30; 90-41; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2002 August 1, 1998; January 1, 1994; May 1, 1991; May 1, 1989; March 1, 1988; October 1, 1986; January 1, 1983
• Temporary Amendment Eff. January 1, 2003
• Amended Eff. January 1, 2004; April 1, 2003
• Repealed Eff. March 1, 2006.

21 NCAC 16B .0307 Examinations

History

• Status: repealed
• Authority G.S. 90-28; 90-30; 90-41; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2002 August 1, 1998; January 1, 1994; May 1, 1991; May 1, 1989; March 1, 1988; October 1, 1986; January 1, 1983
• Temporary Amendment Eff. January 1, 2003
• Amended Eff. January 1, 2004; April 1, 2003
• Repealed Eff. March 1, 2006.

21 NCAC 16B .0308 Patients and Supplies for Clinical Exam

History

• Status: repealed
• Authority G.S. 90-28; 90-30; 90-41; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2002 August 1, 1998; January 1, 1994; May 1, 1991; May 1, 1989; March 1, 1988; October 1, 1986; January 1, 1983
• Temporary Amendment Eff. January 1, 2003
• Amended Eff. January 1, 2004; April 1, 2003
• Repealed Eff. March 1, 2006.

21 NCAC 16B .0309 Scope of Clinical Examination

History

• Status: repealed
• Authority G.S. 90-28; 90-30; 90-41; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2002 August 1, 1998; January 1, 1994; May 1, 1991; May 1, 1989; March 1, 1988; October 1, 1986; January 1, 1983
• Temporary Amendment Eff. January 1, 2003
• Amended Eff. January 1, 2004; April 1, 2003
• Repealed Eff. March 1, 2006.

21 NCAC 16B .0310 Clinical Operative Dentistry

History

• Status: repealed
• Authority G.S. 90-28; 90-30; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. January 1, 1983
• Repealed Eff. October 1, 1986.

21 NCAC 16B .0311 Oral Surgery: Radiographs: Interpretation and Diagnosis

History

• Status: repealed
• Authority G.S. 90-28; 90-30; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. January 1, 1983
• Repealed Eff. October 1, 1986.

21 NCAC 16B .0312 Removable Prosthodontics

History

• Status: repealed
• Authority G.S. 90-28; 90-30; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. January 1, 1983
• Repealed Eff. October 1, 1986.

21 NCAC 16B .0313 Periodontics

History

• Status: repealed
• Authority G.S. 90-28; 90-30; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. January 1, 1983
• Repealed Eff. October 1, 1986.

21 NCAC 16B .0314 Simulated Clinical Procedures

History

• Status: repealed
• Authority G.S. 90-28; 90-30; 90-48
• Eff. January 1, 1983
• Repealed Eff. October 1, 1986.

21 NCAC 16B .0315 Reexamination

History

• Status: repealed
• Authority G.S. 90-28; 90-30; 90-48
• Eff. January 1, 1983
• Amended Eff. April 1, 2003; August 1, 2002; May 1, 1991; May 1, 1989; October 1, 1986
• Repealed Eff. March 1, 2006.

21 NCAC 16B .0316 Oral Examination: Instructors

History

• Status: repealed
• Authority G.S. 90-28; 90-30; 90-48
• Eff. October 1, 1986
• Repealed Eff. May 1, 1989.

21 NCAC 16B .0317 Reexamination

(a) Any applicant who has passed the written examination but has failed the clinical examination must also re-take the written examination unless the applicant successfully passes the clinical examination within one year after passing the written examination. The Board will not accept scores from the written portion of the examination that are more than one year old.

(b) Any applicant who has failed the written portion of the examination may retake the written portion of the examination two additional times during the 12 month period from the date of the initial examination. The applicant must wait a minimum of 72 hours before attempting to retake a written examination.

(c) Any applicant who has failed the written portion of the examination three times shall successfully complete an additional Board approved course of study in the area(s) of deficiency exhibited on the examination. Such applicant must send evidence of the additional study, along with the application, before being admitted for reexamination.

History

• Authority G.S. 90-28; 90-30; 90-48
• Eff. November 1, 2008
• Amended Eff. September 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16B .0318 TEMPORARY LIMIted LICENSE during state of emergency

History

• Status: expired
• Authority G.S. 90-28; 90-28.5; 90-30; 90-39; S.L. 2020-3, s. 4.38; S.L. 2020-97, s. 3.20
• Emergency Adoption Eff. May 22, 2020 to expire pursuant to S.L. 2020-3, s. 4.38.(e)
• Emergency Adoption Expired Eff. August 1, 2020 pursuant to S.L. 2020-3, s. 4.38.(e)
• Emergency Adoption Eff. October 22, 2020 to expire pursuant to S.L. 2020-97, s. 3.20
• Emergency Adoption Expired Eff. March 31, 2021.

21 NCAC 16B .0401 Application for Board Conducted Examination

History

• Status: repealed
• Authority G.S. 90-28; 90-30; 90-39; 90-41; 90-48
• Eff. March 1, 2006
• Amended Eff. February 1, 2008
• Repealed Eff. September 1, 2014.

21 NCAC 16B .0402 Time for Filing

History

• Status: repealed
• Authority G.S. 90-28; 90-30; 90-39; 90-41; 90-48
• Eff. March 1, 2006
• Amended Eff. February 1, 2008
• Repealed Eff. September 1, 2014.

21 NCAC 16B .0403 EXAMINATION conducted by the board

History

• Status: repealed
• Authority G.S. 90-28; 90-30; 90-39; 90-41; 90-48
• Eff. March 1, 2006
• Amended Eff. February 1, 2008
• Repealed Eff. September 1, 2014.

21 NCAC 16B .0404 Patients and Supplies for Board Conducted Clinical Examination

History

• Status: repealed
• Authority G.S. 90-28; 90-30; 90-39; 90-41; 90-48
• Eff. March 1, 2006
• Amended Eff. February 1, 2008
• Repealed Eff. September 1, 2014.

21 NCAC 16B .0405 Scope of Board Conducted Clinical Examination

History

• Status: repealed
• Authority G.S. 90-28; 90-30; 90-39; 90-41; 90-48
• Eff. March 1, 2006
• Amended Eff. February 1, 2008
• Repealed Eff. September 1, 2014.

21 NCAC 16B .0406 Board Conducted Reexamination

History

• Status: repealed
• Authority G.S. 90-28; 90-30; 90-48
• Eff. April 1, 2006
• Repealed Eff. September 1, 2014.

21 NCAC 16B .0501 Dental Licensure by Credentials

(a) Except for instructors applying under Rule .0502 of this Section, an applicant for a dental license by credentials shall submit to the Board:

(1) a notarized application form provided by the Board at www.ncdentalboard.org that includes the information and materials required by Rule .0301(a) of this Subchapter;

(2) the non-refundable licensure by credentials fee set forth in 21 NCAC 16M .0101(10);

(3) an affidavit from the applicant stating for the five year period set out in G.S. 90-36(c)(1):

(A) the dates that and locations where the applicant has practiced dentistry;

(B) that the applicant has provided at least 5,000 hours of clinical care to patients. Applicants applying under G.S. 90-36(b1)(2) may rely upon the hours of clinical care provided to patients during their participation in an advanced dental education program to meet the 5,000-hour requirement of this Part;

(C) that the applicant has held an active, unrestricted dental license issued by another U.S. state or U.S. territory, without any period of interruption; and

(4) a statement disclosing and explaining any investigations, malpractice claims, or state or federal agency complaints, judgments, or settlements that are related to licensure and are not disclosed elsewhere in the application.

(b) In addition to the requirements of Paragraph (a) of this Rule, an applicant for a dental license by credentials shall request the applicable entity to send the following required information or documents, in a sealed envelope or via secure electronic transmission, directly from the entity to the Board office:

(1) the applicant's official transcripts from a dental school or college accredited by the Commission on Dental Accreditation of the American Dental Association ("CODA") showing the applicant graduated with a DDS or DMD degree, except that for applicants applying under G.S. 90-36(b1)(2), a copy of the applicant's general dental degree and the applicant's official transcripts from an advanced dental education program accredited by CODA that issued either a certificate or a degree to the applicant;

(2) a certificate of the applicant's licensure status from the dental regulatory authority or other occupational or professional regulatory authority and a disclosure of any disciplinary action taken or investigation pending, from all licensing jurisdictions where the applicant holds or has ever held a dental license or other occupational or professional license;

(3) scores from:

(A) the National Board Dental Examination administered by the Joint Commission on National Dental Examinations; and

(B) a clinical examination accepted by the Board based on the criteria set out in Rule .0303(d) of this Subchapter;

(4) a report of any pending or final malpractice actions against the applicant verified by any malpractice insurance carrier covering the applicant; and

(5) a letter of coverage history from all current and all previous malpractice insurance carriers covering the applicant.

(c) An application shall be complete when the Board receives all information and documentation set forth in Paragraphs (a) and (b) of this Rule and the applicant's passing scores on all examinations required by this Rule. Partial applications that are not completed within one year of the date the first document is submitted to the Board shall be disregarded as expired without a refund of the application fee.

(d) An applicant for dental licensure by credentials shall pass the Board's written examinations in sterilization and jurisprudence as set out in Rule .0303(a) of this Subchapter. Individuals who do not pass either written examination after three attempts within one year in accordance with Rule .0317(b) of this Subchapter shall not be eligible for reexamination under Rule .0317(c) of this Subchapter and may not reapply for licensure by credentials.

(e) If an applicant graduated with a certificate or a degree from a CODA-accredited advanced dental education program, the applicant shall be subject to all the requirements of this Rule, except:

(1) the applicant is not required to hold a dental license issued by any U.S. state or territory; and

(2) the applicant shall satisfy the educational credentials requirement set out in Subparagraph (b)(1) of this Rule by requesting the applicable entity to send directly to the Board office, in a sealed envelope or via secure electronic transmission:

(A) official transcripts from any school or college showing the applicant graduated with a general dental degree; and

(B) official transcripts from a school or college showing the applicant graduated with a certificate or a degree from a CODA-accredited advanced dental education program in the school.

(f) Any applicant who changes his or her address shall notify the Board office in writing within 10 business days.

(g) Any license obtained through fraud or by any false representation, as determined by the Board, shall be revoked.

History

• Authority G.S. 90-28; 90-36; 90-41; 90-48
• Temporary Adoption Eff. January 1, 2003
• Eff. January 1, 2004
• Recodified from 21 NCAC 16B .0401 Eff. March 1, 2006
• Amended Eff. September 1, 2014; February 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. August 1, 2026; December 1, 2023; March 1, 2020.

21 NCAC 16B .0502 DENTAL LICENSURE VIA Instructor'S license

(a) An applicant for license by credentials who holds an unexpired instructor's license issued by the Board shall submit to the Board:

(1) a notarized application form provided by the Board at www.ncdentalboard.org that includes information and materials required by Rule .0301(a) of this Subchapter;

(2) a letter of recommendation from the applicant's employing dental school or academic medical center; and

(3) the non-refundable licensure by credentials fee set forth in 21 NCAC 16M .0101.

(b) An application shall be complete when the Board receives all information and documentation required by this Rule. Partial applications that are not completed within one year of the date the first document is submitted to the Board shall be disregarded as expired without a refund of the application fee.

(c) Any applicant who changes his or her address shall notify the Board office in writing within 10 business days.

(d) Any license obtained through fraud or by any false representation shall be revoked.

History

• Authority G.S. 90-28; 90-36; 90-41
• Eff. December 1, 2023.

21 NCAC 16B .0601 Limited Volunteer Dental License

(a) An applicant for a limited volunteer dental license shall submit to the Board:

(1) a notarized application form provided by the Board at www.ncdentalboard.org that includes the information and materials required by Rule .0301(a) of this Subchapter;

(2) the non-refundable limited volunteer dental licensure fee set forth in 21 NCAC 16M .0101;

(3) an affidavit from the applicant stating:

(A) for the five consecutive years preceding the date of the application, the dates that and locations where the applicant has practiced dentistry;

(B) that the applicant has provided at least 1,000 hours per year of clinical care to patients for at least five years, not including post graduate training, residency programs or an internship; and

(C) that the applicant has provided at least 500 hours of clinical care to patients within the five years preceding the date of the application, not including post graduate training, residency programs or an internship; and

(4) a statement disclosing and explaining any investigations, malpractice claims, or state or federal agency complaints, judgments, or settlements that are related to licensure and are not disclosed elsewhere in the application.

(b) In addition to the requirements of Paragraph (a) of this Rule, an applicant for a limited volunteer dental license shall satisfy the requirements in Rule .0501(b) of this Subchapter.

(c) The Board shall receive all information and documentation required under Paragraphs (a) and (b) of this Rule and the applicant's passing scores on all examinations required by Rule .0303 of this Subchapter for the application to be complete. Applications that are not completed within one year of being submitted to the Board shall be disregarded as expired without a refund of the application fee.

(d) An applicant for limited volunteer dental license shall pass written examinations as set out in Rule .0303(a) of this Subchapter. Applicants who do not pass the written examination after three attempts in one year may not reapply for a limited volunteer dental license.

(e) A North Carolina licensee who holds an active dental license may request his or her active dental license be converted to a limited volunteer dental license by submitting a written request to the Board office. A North Carolina active licensee making this request is not subject to Paragraphs (a) through (d) of this Rule.

(f) Any applicant who changes his or her address shall notify the Board office in writing within 10 business days.

(g) Any license obtained through fraud or by any false representation shall be revoked.

History

• Authority G.S. 90-28; 90-37.1
• Temporary Adoption Eff. January 1, 2003
• Eff. January 1, 2004
• Recodified from 21 NCAC 16B .0501 Eff. March 1, 2006
• Amended Eff. September 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. March 1, 2020.

21 NCAC 16B .0701 Instructor's License

(a) An applicant for an instructor's license shall submit to the Board:

(1) a notarized application form provided by the Board at www.ncdentalboard.org that includes the information and materials required by Rule .0301(a) of this Subchapter;

(2) the non-refundable instructor's licensure fee set forth in 21 NCAC 16M .0101; and

(3) a statement disclosing and explaining any investigations, malpractice claims, or state or federal agency complaints, judgments, or settlements that are related to licensure and are not disclosed elsewhere in the application.

(b) In addition to the requirements of Paragraph (a) of this Rule, an applicant for an instructor's license shall request the applicable entity to send the following required information or documents to the Board office, with each document in an unopened envelope sealed by the entity involved:

(1) if the applicant is or has ever been employed as a dentist by or under contract with a government agency or a nonprofit or for-profit organization, a certification letter of the applicant's current status and disciplinary history from each agency or organization where the applicant is or has been employed or under contract;

(2) a certificate of the applicant's licensure status from the dental regulatory authority or other occupational or professional regulatory authority and information regarding all disciplinary actions taken or investigations pending, from all licensing jurisdictions where the applicant holds or has ever held a dental license or other occupational or professional license;

(3) a report of any pending or final malpractice actions against the applicant, verified by the malpractice insurance carrier covering the applicant;

(4) a letter of coverage history from all current and all previous malpractice insurance carriers covering the applicant; and

(5) a certification letter from the dean or director that the applicant has met or been approved under the credentialing standards of a dental school or an academic medical center with which the person is to be affiliated, and certification that the school or medical center is accredited by the American Dental Association's Commission on Accreditation or the Joint Commission on Accreditation of Health Care Organizations.

(c) The Board shall receive all information and documentation set forth in Paragraphs (a) and (b) of this Rule for the application to be complete. Applications that are not completed within one year of being submitted to the Board shall be disregarded as expired without a refund of the application fee.

(d) Any applicant who changes his or her address shall notify the Board office in writing within 10 business days.

(e) Any license obtained through fraud or by any false representation shall be revoked.

History

• Authority G.S. 90-28; 90-29.5
• Temporary Adoption Eff. January 1, 2003
• Eff. January 1, 2004
• Recodified from 21 NCAC 16B .0601 Eff. March 1, 2006
• Amended Eff. September 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. March 1, 2020.

21 NCAC 16B .0801 Temporary Volunteer Dental Permit

(a) An applicant for a temporary volunteer dental permit shall submit to the Board an application form provided by the Board at www.ncdentalboard.org that includes the following information:

(1) full name;

(2) street address;

(3) employer name and address, and the applicant's position title;

(4) work, home, and cellular telephone numbers;

(5) fax number;

(6) email address;

(7) any other name by which the applicant was known in the past;

(8) social security number;

(9) citizenship or immigration status, with verifying documentation;

(10) authorization to work in the United States;

(11) dental education, including dental school name, address, and the applicant's graduation date, and any other dental post-graduate education;

(12) all dental licenses from other states ever held by the applicant, including state, license number, date issued, and licensure status as of the application date;

(13) if the applicant has ever been denied a license or the privilege of taking a dental licensure or competency examination by any dental licensing authority or examining body, a written statement disclosing the details, jurisdiction, and date;

(14) if the applicant is not engaged in the practice of dentistry as of the application date, the last month and year when the applicant practiced;

(15) if the applicant has been charged with or convicted of any crime within the 10 years preceding the application date, excluding traffic violations but including driving while impaired offenses, a written statement disclosing the details and copies of the charges and judgment;

(16) if the applicant has any contagious or infectious disease, a written statement disclosing the details;

(17) a statement disclosing and explaining any current condition or impairment, including substance abuse, alcohol abuse, or a mental, emotional, or nervous disorder or condition, that in any way affects the ability to practice dentistry. For purposes of this Rule, "current" means recently enough that the condition may affect the applicant's ability to function as a dentist as set out in G.S. 90-41(a)(2) and (7). If the applicant contends that the condition or impairment is reduced or ameliorated because the applicant is receiving ongoing treatment or participating in a monitoring or support program, the applicant may provide information regarding the treatment or program, and may include any verification demonstrating that the applicant has complied with all provisions and terms of any drug treatment program, or impaired dentists or other impaired professionals program;

(18) the type of facility and addresses of all facilities where the applicant will provide temporary volunteer dental services in North Carolina;

(19) the dates on which the applicant intends to provide temporary volunteer dental services in North Carolina;

(20) the names of all North Carolina licensed dentists who will direct or supervise the applicant at each location where the applicant will provide temporary volunteer dental services;

(21) a copy of an unexpired CPR certificate;

(22) a photograph of the applicant taken within six months preceding the application date;

(23) a completed fingerprint record card and signed release of information form authorizing the Board to request a fingerprint-based criminal history record check from the North Carolina State Bureau of Investigation (SBI); and

(24) a signed, notarized statement by the applicant affirming the applicant has not been disciplined by any dental board or agency, the information in the application is accurate, and no fee will be charged or accepted for any dental services provided.

(b) In addition to the requirements of Paragraph (a) of this Rule, the applicant shall request the applicable entity or person to send the following required information or documents to the Board office, with each document in an unopened envelope sealed by the entity involved:

(1) a statement from all jurisdictions in which the applicant is now or has ever been licensed, disclosing the applicant's disciplinary history and current status of the applicant's license; and

(2) a statement signed by a North Carolina licensed dentist agreeing to provide supervision or direction to the temporary volunteer dentist, stating when and where the supervision or direction will occur and affirming that no fee or monetary compensation of any kind will be paid to the applicant for dental services performed.

(c) The Board shall receive all items set forth in Paragraphs (a) and (b) of this Rule for the application to be complete. Applications that are not completed within one year of being submitted to the Board shall be disregarded as expired.

(d) The holder of a temporary volunteer dental permit shall notify the Board within five days of any changes in the practice location or facility disclosed under Paragraph (a) of this Rule.

(e) To renew the temporary volunteer dental permit, the licensee shall submit to the Board:

(1) an affidavit or notarized statement verifying the location and type of facility where the applicant will practice, the duration of the practice, the name of the supervising dentist, that no fee will be charged or accepted, and that the information in the original application submitted under Paragraph (a) of this Rule is correct and requires no update or correction; and

(2) the information required in Paragraph (b) of this Rule.

The Board shall receive all items set forth in this Paragraph for the renewal application to be complete before the deadline for renewing applications. The applicant shall report any changes to submitted information within five days of when the licensee knew or should have known of the changes.

(f) Any applicant who changes his or her address shall notify the Board office in writing within 10 business days.

(g) Any license obtained through fraud or by any false representation shall be revoked.

History

• Authority G.S. 90-29; 90-37.2; 90-41
• Eff. February 1, 2008
• Amended Eff. September 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. March 1, 2020.

21 NCAC 16B .0901 Definitions

The following definitions apply only to this Section;

(1) "Dental Board" – the North Carolina State Board of Dental Examiners.

(2) "Eligible licensees" – all dentists currently licensed by and in good standing with the North Carolina State Board of Dental Examiners who are serving in the armed forces of the United States and who are eligible for an extension of time to file a tax return pursuant to G.S. 105-249.2.

(3) "Extension period" – the time period disregarded pursuant to 26 U.S.C. 7508.

(4) "Good standing" – a dentist whose license is not suspended, revoked or subject to a probationary order.

History

• Authority G.S. 90-28; 93B-15
• Eff. April 1, 2010
• Amended Eff. September 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16B .0902 Exemptions Granted

(a) Eligible licensees are granted a waiver of their mandatory continuing education requirements.

(b) Eligible licensees are granted an extension period in which to pay license renewal fees and comply with all other requirements imposed by the Dental Board as conditions for maintaining licensure and current sedation permits.

History

• Authority G.S. 90-28; 93B-15
• Eff. April 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16B .1001 Dental Licensure by Endorsement Based on Military Service

(a) An applicant for a dental license by endorsement based on military service shall submit to the Board:

(1) a notarized application form provided by the Board at www.ncdentalboard.org that includes the information and materials required by Rule .0301(a) of this Subchapter; and

(2) written evidence demonstrating the applicant has satisfied the conditions set forth in G.S. 93B-15.1(a), including engaging in the active practice of dentistry for at least 1,000 hours per year for at least two of the five years preceding the date of the application.

(b) In addition to the requirements of Paragraph (a) of this Rule, an applicant for licensure by endorsement based on military service shall satisfy the requirements in Rule .0501(b) of this Subchapter.

(c) The Board shall receive all information and documentation required under Paragraphs (a) and (b) of this Rule for the application to be complete. Applications that are not completed within one year of being submitted to the Board shall be disregarded as expired.

(d) Any applicant who changes his or her address shall notify the Board office in writing within 10 business days.

(e) Any license obtained through fraud or by any false representation shall be revoked.

History

• Authority G.S. 90-30(b); 90-41; 93B-15.1
• Eff. September 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. March 1, 2020.

21 NCAC 16B .1002 Dental Licensure by Endorsement Based on Status as Military Spouse

(a) An applicant for a dental license by endorsement based on the applicant's status as a military spouse shall submit to the Board:

(1) a notarized application form provided by the Board at www.ncdentalboard.org that includes the information and materials required by Rule .0301(a) of this Subchapter; and

(2) written evidence demonstrating the applicant is married to an active member of the U.S. military and the applicant satisfies the conditions set forth in G.S. 93B-15.1(b), including engaging in the active practice of dentistry for at least 1,000 hours per year for at least two of the five years preceding the date of the application.

(b) In addition to the requirements of Paragraph (a) of this Rule, an applicant for licensure by endorsement based on status as a military spouse shall satisfy the requirements in Rule .0501(b) of this Subchapter.

(c) The Board shall receive all information and documentation required under Paragraphs (a) and (b) of this Rule for the application to be complete. Applications that are not completed within one year of being submitted to the Board shall be disregarded as expired.

(d) Any applicant who changes his or her address shall notify the Board office in writing within 10 business days.

(e) Any license obtained through fraud or by any false representation shall be revoked.

History

• Authority G.S. 90-30(b); 90-36; 90-41; 93B-15.1
• Eff. September 1, 2013
• Amended Eff. September 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. March 1, 2020.

21 NCAC 16B .1101 Application for Reinstatement

(a) Any person desiring to practice dentistry in North Carolina whose North Carolina dental license has been revoked, suspended, retired, or expired shall submit to the Board an application for reinstatement. All applications for reinstatement of a dental license shall be submitted on forms furnished by the Board at www.ncdentalboard.org and shall include:

(1) original dental license number and date of issuance;

(2) full name;

(3) street address as of the date of the application;

(4) telephone number;

(5) email address;

(6) citizenship or immigration status, with verifying documentation;

(7) a statement disclosing and explaining the nature, facts, and disposition of any matter where the applicant has ever:

(A) been summoned to court or before a magistrate for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(B) been arrested for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(C) been taken into custody for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(D) been indicted for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(E) been convicted for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(F) been charged with the violation of any law or ordinance or for the commission of any felony or misdemeanor; or

(G) pleaded guilty to the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(8) whether the applicant, to their knowledge, is under investigation as of the date of the application or has ever been investigated by the Board or any other licensing board;

(9) whether the applicant has ever been a party to a civil lawsuit related to the practice of dentistry settled;

(10) all dental licenses from other jurisdictions ever held by the applicant, including dates of licensure;

(11) a statement disclosing all the applicant's dental practices from dental school graduation to the date of the application, including:

(A) the dates during which the applicant was engaged in practice as a dentist;

(B) the addresses of the offices or places at which the applicant was employed or practicing, and the names and addresses of all employers, partners, associates, or persons sharing office space;

(C) whether the applicant was practicing general dentistry or a specialty; and

(D) the reason for the termination of each employment or period of private practice;

(12) a statement disclosing and explaining any current condition or impairment, including a substance use disorder, or a mental, emotional, or nervous disorder or condition, that in any way affects the applicant's ability to practice dentistry. For purposes of this Rule, "current" means recently enough that the condition or impairment may affect the applicant's ability to function as a dentist as set out in G.S. 90-41(a)(2) and (7). If the applicant contends that the condition or impairment is reduced or ameliorated because the applicant is receiving ongoing treatment or participating in a monitoring or support program, the applicant may provide information regarding the treatment or program, and may include any verification demonstrating that the applicant has complied with all provisions and terms of any drug treatment program, or impaired dentists or other impaired professionals program;

(13) two letters of character reference from non-family members;

(14) a copy of a National Practitioner Data Bank report concerning the applicant that was obtained within six months prior to the date the report is submitted to the Board;

(15) documentation of the applicant's completion of continuing education courses, as set out in the rules of Section .0200 of Subchapter 16R, in amounts equal to the number of hours required for renewal of a dental license; and

(16) a copy of an unexpired CPR certificate.

(b) The applicant shall submit to the Board the notarized application form for reinstatement with all the information and materials listed in Paragraph (a) of this Rule, accompanied by the nonrefundable reinstatement application fee set forth in 21 NCAC 16M .0101(a)(8) and the renewal fees set forth in 21 NCAC 16M .0101(a)(2) and (b).

(c) In addition to the requirements of Paragraphs (a) and (b) of this Rule, if the applicant is or has ever been licensed in other states, the applicant shall request the dental regulatory authority, or other occupational or professional regulatory authority of each licensing jurisdiction where the applicant holds or has ever held a dental license, to send to the Board office, in a sealed envelope or via secure electronic transmission, a certificate of the applicant's licensure status accompanied by a disclosure of any disciplinary action taken or investigation pending against the applicant.

(d) An applicant whose North Carolina license has been revoked, suspended, retired, or expired for more than one year shall submit to the Board a completed fingerprint record card and signed release of information form authorizing the Board to request a fingerprint-based criminal history record check from the North Carolina State Bureau of Investigation.

(e) An applicant whose North Carolina dental license has been revoked, suspended, retired, or expired for two to five years shall submit to the Board evidence of completion of refresher courses as specified by the Board. Refresher courses for an applicant whose license was revoked or suspended shall relate to the deficiencies that led to the imposition of discipline. Refresher courses for an applicant whose license has been retired or expired shall be specified by the Board taking into account the amount of time the license has been retired or expired and the applicant's level of experience.

(f) An applicant whose North Carolina dental license has been revoked, suspended, retired, or expired for more than five years shall pass the American Board of Dental Examiners dental licensure clinical examinations before applying for reinstatement.

(g) The Board shall receive all information and documentation set forth in Paragraphs (a) through (e) of this Rule and the applicant's passing scores on any examinations required under Paragraph (f) of this Rule for the application to be complete. Applications that are not completed within one year of being submitted to the Board shall be disregarded as expired without a refund of the application fees.

(h) Absent a Board order stating otherwise, an applicant whose North Carolina dental license has been revoked shall not be eligible to:

(1) apply for reinstatement for a period of one year after the effective date of the revocation; or

(2) re-apply for reinstatement for a period of one year after the Board's denial of the applicant's previous application for reinstatement.

(i) An application for reinstatement that is received before the applicant is eligible to apply pursuant to Paragraph (h) of this Rule shall be disregarded without a refund of the application fees.

(j) Any applicant who changes his or her address shall notify the Board office in writing within 10 business days.

(k) Any license obtained through fraud or by any false representation shall be revoked in accordance with the procedures set forth in the rules of Subchapter U and Section .0500 and Section .0600 of Subchapter N.

History

• Authority G.S. 90-30; 90-41; 90-42; 90-48
• Eff. September 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2025; September 1, 2020.

Subchapter C

21 NCAC 16C .0101 Licensure

(a) All dental hygienists shall be licensed by the Board before practicing dental hygiene in this State. All persons desiring to practice dental hygiene in this State shall pass Board approved written and clinical examinations, as set forth in Rule .0303 of this Subchapter, before receiving a license.

(b) The examination requirement set forth in Paragraph (a) of this Rule shall not apply to persons who do not hold a North Carolina dental hygiene license who are seeking volunteer licenses pursuant to G.S. 90-21.107, or licensure by military endorsement pursuant to 21 NCAC 16G .0107 or .0108.

(c) All dental hygienists shall maintain an unexpired CPR certification at all times.

History

• Authority G.S. 90-223; 90-224
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. September 1, 2014; September 1, 2013; June 1, 2006; May 1, 1989; January 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. July 1, 2022; October 1, 2019.

21 NCAC 16C .0102 No Reciprocal Arrangement

History

• Status: expired
• Authority G.S. 90-223; 90-224; 90-226
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

21 NCAC 16C .0201 In General

History

• Status: repealed
• Authority G.S. 90-28; 90-48; 90-223; 90-224
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 16C .0202 Student May Apply

The Board shall accept dental hygienist applications from students currently enrolled in schools of dental hygiene. Applications shall automatically be denied if the applicant fails to complete the required course of study or fails a Board approved licensure examination.

History

• Authority G.S. 90-223; 90-224
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. September 1, 2014; June 1, 2006; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16C .0203 Transcripts Required

History

• Status: repealed
• Authority G.S. 90-223; 90-224
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 2003; January 1, 1994; May 1, 1989
• Repealed Eff. June 1, 2006.

21 NCAC 16C .0301 Application for Licensure

(a) All applications for licensure as a dental hygienist shall be made on the forms furnished by the Board at www.ncdentalboard.org and shall include the following information:

(1) full name;

(2) street address as of the date of the application;

(3) permanent street address:

(4) preferred mailing address for all information;

(5) telephone number;

(6) email address;

(7) age;

(8) date of birth;

(9) place of birth;

(10) citizenship or immigration status, with verifying documentation;

(11) social security number;

(12) marital status;

(13) any other name by which the applicant was known in the past, accompanied by a certified copy of a court order of name change, if applicable;

(14) all resident addresses for the past 10 years preceding the date of application;

(15) the names, addresses, and phone numbers for two individuals to whom the applicant always provides the applicant's current address;

(16) disclosure and explanation of any bankruptcy proceedings in which the applicant was a named party;

(17) the license number, issuing state, and expiration date for all current drivers' licenses held by the applicant, and the issuing state for all drivers' licenses held in the past by the applicant;

(18) the date of the applicant's previous application for examination by the Board, if applicable;

(19) the date and type of any dental hygiene license for which the applicant applied in the past, if applicable;

(20) if the applicant failed an examination administered by a dental board, the date of the examination and jurisdiction of the dental board that administered the examination;

(21) if any dental board has refused to administer an examination to applicant, the jurisdiction of the dental board that refused to administer the examination and the date of the refusal;

(22) the dates upon which the applicant has taken the Dental Hygiene National Board Examination, the location of each examination, and authorization for the Board to access the examination scores;

(23) if the applicant failed the Dental Hygiene National Board Examination, the date of the examination that he or she failed;

(24) if the applicant has applied for a dental hygiene license in any other state or foreign country, the date of the application and whether the license was issued to the applicant;

(25) all employment held by the applicant for the past 10 years;

(26) if the applicant was terminated from employment within the past 10 years, an explanation regarding the termination;

(27) all dental hygiene licenses from other jurisdictions ever held by the applicant, including type of licensure, license number, and dates of licensure;

(28) places of employment at which the applicant has practiced dental hygiene, including the name of the employer, the address of the employer, dates of employment, and the reason for leaving the employment;

(29) if the applicant has ever been suspended or otherwise disqualified, or reprimanded, censured, or otherwise disciplined by any licensing board, professional organization, or while the applicant was holding public office, a written statement disclosing:

(A) the facts that formed the basis for the discipline;

(B) the date of the discipline;

(C) whether the applicant appealed the discipline and the outcome of any appeal; and

(D) the name and address of the authority in possession of records related to discipline;

(30) if the applicant has ever been the subject of a complaint with any licensing board, professional organization, or while the applicant was holding public office, a written statement disclosing:

(A) the facts that gave rise to the complaint;

(B) the date of the complaint;

(C) whether the organization that received the complaint instituted proceedings against the applicant; and

(D) the name and address of the authority in possession of records related to the complaint;

(31) if the applicant has ever been reported to the National Practitioner Data Bank or the Healthcare Integrity and Protection Data Bank, a written statement disclosing:

(A) the facts that formed the basis for the report;

(B) the date of the report; and

(C) the name and address of the authority in possession of records related to the report;

(32) if the applicant has ever been dropped, suspended, expelled, or disciplined by any post-secondary school or college for any cause, a written statement disclosing:

(A) the facts leading to the discipline;

(B) the date of the discipline; and

(C) the school or college issuing the discipline;

(33) if the applicant has ever been denied admission to any college or post-secondary school for a reason other than academic qualifications, a written statement explaining the reason for the admission denial;

(34) if the applicant has ever served in the armed forces of the United States or any other country, a written statement explaining:

(A) whether the applicant has been separated from service;

(B) the nature of the separation;

(C) if other than honorable, the circumstances surrounding his or her release from service;

(D) dates of service;

(E) the facts leading up to any charges or complaints made or filed against the applicant while the applicant was serving in the armed forces, and the outcome of the charges or complaints;

(F) the facts leading to any disciplinary proceedings instituted against the applicant while the applicant was serving in the armed forces, and the outcome of the proceedings; and

(G) if the applicant was ever a defendant in any court martial, the facts giving rise to those proceedings and the outcome of the proceedings;

(35) a statement of whether the applicant has registered under the Military Selective Service Act;

(36) a statement of whether the applicant has ever:

(A) been summoned to court or before a magistrate for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(B) been arrested for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(C) been taken into custody for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(D) been indicted for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(E) been convicted or tried for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(F) been charged with the violation of any law or ordinance or for the commission of any felony or misdemeanor; or

(G) pleaded guilty to the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(37) the applicant's high school education including the name, location, and period of attendance for each school, and the date of graduation;

(38) any college or university education other than dental hygiene, including the name, location, and period of attendance for each school, and the date of graduation;

(39) the applicant's dental hygiene education including the name, location, and period of attendance for each school, and date of graduation;

(40) a statement disclosing and explaining any current condition or impairment, including substance abuse, alcohol abuse, or a mental, emotional, or nervous disorder or condition, that in any way affects the ability to practice dental hygiene. For purposes of this Rule, "current" means recently enough that the condition or impairment may affect the applicant's ability to function as a dental hygienist as set out in G.S. 90-229(a)(4) and (13). If the applicant contends that the condition or impairment is reduced or ameliorated because the applicant is receiving ongoing treatment or participating in a monitoring or support program, the applicant may provide information regarding the treatment or program, and may include any verification demonstrating that the applicant has complied with all provisions and terms of any drug treatment program, or impaired dental hygienists or other impaired professionals program;

(41) a photograph of the applicant, taken within six months prior to the date of the application;

(42) a completed fingerprint record card and signed release of information form authorizing the Board to request a fingerprint-based criminal history record check from the North Carolina State Bureau of Investigation (SBI);

(43) a copy of an unexpired CPR certificate; and

(44) if the applicant holds, or has held in the past, a dental hygiene license in any other state or jurisdiction, a copy of a National Practitioner Data Bank Report concerning the applicant that was obtained within six months prior to the date the report is submitted to the Board.

(b) The applicant shall submit to the Board the notarized application form with all the information and materials listed in Paragraph (a) of this Rule, accompanied by the nonrefundable application fee set forth in 21 NCAC 16M .0102.

(c) In addition to the requirements of Paragraphs (a) and (b) of this Rule, the applicant shall request the applicable entity to send the following required information or documents to the Board office, with each document in an unopened envelope sealed by the entity involved:

(1) proof of graduation from high school or its equivalent;

(2) the applicant's official transcripts from a dental hygiene program accredited by the Commission on Dental Accreditation of the American Dental Association;

(3) if the applicant is licensed in other states, a certificate of the applicant's licensure status from the dental regulatory authority or other occupational or professional regulatory authority, accompanied by a full disclosure of any disciplinary action taken or investigation pending, from all licensing jurisdictions where the applicant holds or has ever held a dental hygiene license or other occupational or professional license; and

(4) examination scores required by Rule .0303(b) of this Subchapter which shall include the American Board of Dental Examiners (ADEX) dental hygiene licensure examinations.

(d) The Board shall receive all information and documentation set forth in Paragraphs (a) through (c) of this Rule and the applicant's passing scores on all examinations required by Rule .0303 of this Subchapter for the application to be complete. Applications that are not completed within one year of being submitted to the Board shall be disregarded as expired without a refund of the application fee.

(e) Any applicant who changes his or her address shall notify the Board office in writing within 10 business days.

(f) Any license obtained through fraud or by any false representation shall be revoked.

History

• Authority G.S. 90-223; 90-224; 90-229(a)(4) and (13)
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. September 1, 2014; September 1, 2013; June 1, 2006; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. March 1, 2020.

21 NCAC 16C .0302 Consent for Board Investigation

In making application, the applicant authorizes the Board to verify the information contained in the application or to seek such further information pertinent to the applicant's qualifications or character as the Board may deem proper. The applicant consents that his or her character and reputation may be inquired into, and waives any right he or she may have to recover damages against the Board, any member thereof, or its agents, or from any person who answers a Board inquiry in good faith without malicious intent.

History

• Authority G.S. 90-223; 90-224
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16C .0303 Board Approved Examinations

(a) All applicants for dental hygiene licensure shall achieve a passing score of at least 80 percent on the Board's sterilization and jurisprudence examinations. Reexamination shall be governed by Rule .0311 of this Section.

(b) All applicants for dental hygiene licensure shall achieve passing scores, as set by the testing agency, on the examination administered by the Joint Commission on National Dental Examinations and clinical examinations developed and administered by Board approved testing agencies. The Board shall determine which testing agencies are approved based on the requirements set forth in Paragraphs (c) and (d) of this Rule.

(c) To qualify as an approved testing agency, the test-development or test-administration agency shall allow a representative of the Board to serve on the agency's Board of Directors and Examination Review Committee for the limited purpose of allowing Board input in the development and administration of the examination. When Board members offer to participate as examiners for examinations administered in North Carolina, the test-administration agency shall assign at least one of those Board members to each examination administered in North Carolina.

(d) To qualify as an approved testing agency, the clinical examination developed or administered by the testing agency shall:

(1) include procedures performed on human subjects or an alternative method that simulates human subjects, including manikins, as part of the assessment of clinical competency;

(2) include probing, supra- and subgingival scaling, and soft tissue management; and

(3) provide the following:

(A) anonymity between applicants and examination graders;

(B) standardization and calibration of graders;

(C) a mechanism for post exam analysis;

(D) conjunctive scoring, which is scoring that requires applicants to earn a passing grade on all sections or areas tested and that does not allow weighted, averaged, or overall scoring to compensate for failures in individual subject areas;

(E) a minimum passing score set by the testing agency for each subject area tested;

(F) an annual review of the examination conducted by the testing agency;

(G) a task analysis performed by the testing agency at least once every seven years that surveys dentists nationwide to determine the content of the examination;

(H) a system of quality assurance to ensure uniform, consistent administration of the examination at each testing site; and

(I) a system of quality assurance that does not permit a dental hygiene instructor to grade candidates at any institution at which the instructor is employed.

(e) The Board shall accept examination scores for five years following the date of the examination. Individuals who apply for licensure more than five years after the examination date shall re-take the examination. Each applicant shall request the applicable entity to send the applicant's scores to the Board office.

(f) The applicant shall comply with all requirements of the testing agency in applying for and taking the examination.

History

• Authority G.S. 90-223; 90-224
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. September 1, 2014; June 1, 2009; June 1, 2006; May 1, 1989; March 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. August 1, 2024; December 1, 2022; September 1, 2020.

21 NCAC 16C .0304 Other Requirements

History

• Status: repealed
• Authority G.S. 90-223; 90-224; 90-229
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2002; January 1, 1994; May 1, 1991; May 1, 1989; March 1, 1988; October 1, 1986; January 1, 1983
• Temporary Amendment Eff. January 1, 2003
• Amended Eff. January 1, 2004; April 1, 2003
• Repealed Eff. June 1, 2006.

21 NCAC 16C .0305 Time for Filing

History

• Status: repealed
• Authority G.S. 90-223; 90-224; 90-229
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2002; January 1, 1994; May 1, 1991; May 1, 1989; March 1, 1988; October 1, 1986; January 1, 1983
• Temporary Amendment Eff. January 1, 2003
• Amended Eff. January 1, 2004; April 1, 2003
• Repealed Eff. June 1, 2006.

21 NCAC 16C .0306 Examinations

History

• Status: repealed
• Authority G.S. 90-223; 90-224; 90-229
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2002; January 1, 1994; May 1, 1991; May 1, 1989; March 1, 1988; October 1, 1986; January 1, 1983
• Temporary Amendment Eff. January 1, 2003
• Amended Eff. January 1, 2004; April 1, 2003
• Repealed Eff. June 1, 2006.

21 NCAC 16C .0307 Clinical Examination

History

• Status: repealed
• Authority G.S. 90-223; 90-224; 90-229
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2002; January 1, 1994; May 1, 1991; May 1, 1989; March 1, 1988; October 1, 1986; January 1, 1983
• Temporary Amendment Eff. January 1, 2003
• Amended Eff. January 1, 2004; April 1, 2003
• Repealed Eff. June 1, 2006.

21 NCAC 16C .0308 Supplies

History

• Status: repealed
• Authority G.S. 90-223; 90-224; 90-229
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2002; January 1, 1994; May 1, 1991; May 1, 1989; March 1, 1988; October 1, 1986; January 1, 1983
• Temporary Amendment Eff. January 1, 2003
• Amended Eff. January 1, 2004; April 1, 2003
• Repealed Eff. June 1, 2006.

21 NCAC 16C .0309 Patient

History

• Status: repealed
• Authority G.S. 90-223; 90-224; 90-229
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2002; January 1, 1994; May 1, 1991; May 1, 1989; March 1, 1988; October 1, 1986; January 1, 1983
• Temporary Amendment Eff. January 1, 2003
• Amended Eff. January 1, 2004; April 1, 2003
• Repealed Eff. June 1, 2006.

21 NCAC 16C .0310 Reexamination

History

• Status: repealed
• Authority G.S. 90-223; 90-224; 90-229
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2002; January 1, 1994; May 1, 1991; May 1, 1989; March 1, 1988; October 1, 1986; January 1, 1983
• Temporary Amendment Eff. January 1, 2003
• Amended Eff. January 1, 2004; April 1, 2003
• Repealed Eff. June 1, 2006.

21 NCAC 16C .0311 Reexamination

(a) Any applicant who passed the written examination but failed the clinical portion of any Board approved examination shall also re-take the written examination unless the applicant successfully passes the clinical examination within one year of passing the written examination. The Board shall not accept scores from the written examination that are more than one year old.

(b) Any applicant who failed the written examination may retake the written portion of the examination two additional times during a one year period and need not retake the clinical portion of the examination. The applicant shall wait at least 72 hours before attempting to retake the written examination. If the applicant does not pass the written portion of the examination upon the second reexamination, the applicant shall retake the written and clinical portions of the examination upon subsequent reexamination.

(c) Any applicant who failed the written or clinical portions of the examination three times shall successfully complete an additional Board approved course of study in the area(s) of deficiency exhibited on the examination. Such applicant must send evidence of the additional study, along with the application, before being admitted for reexamination.

History

• Authority G.S. 90-223; 90-224
• Eff. September 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16C .0312 TEMPORARY LIMIted LICENSE during state of emergency

History

• Status: expired
• Authority G.S. 90-28.5; 90-223; 90-224; S.L. 2020-3, s. 4.38; S.L. 2020-97, s. 3.20
• Emergency Adoption Eff. May 22, 2020 to expire pursuant to S.L. 2020-3, s. 4.38.(e)
• Emergency Adoption Expired Eff. August 1, 2020 pursuant to S.L. 2020-3, s. 4.38.(e)
• Emergency Adoption Eff. October 22, 2020 to expire pursuant to S.L. 2020-97, s. 3.20
• Emergency Adoption Expired Eff. March 31, 2021.

21 NCAC 16C .0401 Application for Examination Conducted by the Board

History

• Status: repealed
• Authority G.S. 90-223; 90-224; 90-224.1
• Eff. June 1, 2006
• Amended Eff. July 1, 2010; February 1, 2008
• Repealed Eff. September 1, 2014.

21 NCAC 16C .0402 Time for Filing

History

• Status: repealed
• Authority G.S. 90-223; 90-224; 90-224.1
• Eff. June 1, 2006
• Amended Eff. July 1, 2010; February 1, 2008
• Repealed Eff. September 1, 2014.

21 NCAC 16C .0403 Examination Conducted by the Board

History

• Status: repealed
• Authority G.S. 90-223; 90-224; 90-224.1
• Eff. June 1, 2006
• Amended Eff. July 1, 2010; February 1, 2008
• Repealed Eff. September 1, 2014.

21 NCAC 16C .0404 Patients and Supplies for Board Conducted Clinical Examination

History

• Status: repealed
• Authority G.S. 90-223; 90-224; 90-224.1
• Eff. June 1, 2006
• Amended Eff. July 1, 2010; February 1, 2008
• Repealed Eff. September 1, 2014.

21 NCAC 16C .0405 Board Conducted Reexamination

History

• Status: repealed
• Authority G.S. 90-223; 90-224; 90-224.1
• Eff. June 1, 2006
• Amended Eff. July 1, 2010; February 1, 2008
• Repealed Eff. September 1, 2014.

21 NCAC 16C .0501 Dental Hygiene Licensure by Credentials

(a) An applicant for a dental hygiene license by credentials shall submit to the Board:

(1) a notarized application form provided by the Board at www.ncdentalboard.org that includes the information and materials required by Rule .0301(a) of this Subchapter;

(2) the nonrefundable licensure by credentials fee set forth in 21 NCAC 16M .0102;

(3) an affidavit from the applicant stating for the two year period set out in G.S. 90-224.1(c)(1):

(A) the dates that and locations where the applicant has practiced dental hygiene;

(B) that the applicant has provided at least 2,000 hours of clinical care to patients; and

(C) that the applicant holds an active, unrestricted dental hygiene license issued by another U.S. state or any U.S. territory, and has done so without any period of interruption; and

(4) a statement disclosing and explaining any investigations, malpractice claims, or state or federal agency complaints, judgments, or settlements that are related to licensure and are not disclosed elsewhere in the application.

(b) In addition to the requirements of Paragraph (a) of this Rule, an applicant for a dental hygiene license by credentials shall request the applicable entity to send the following required information or documents, in a sealed envelope or via secure electronic transmission, directly from the entity to the Board office:

(1) the applicant's official transcripts from a dental hygiene program accredited by the Commission on Dental Accreditation of the American Dental Association;

(2) a certificate of the applicant's licensure status from the regulatory authority or other occupational or professional regulatory authority and a disclosure of all disciplinary actions taken or investigations pending, from all licensing jurisdictions where the applicant holds or has ever held a dental hygiene license or other occupational or professional license;

(3) scores from:

(A) the National Board Dental Hygiene Examination administered by the Joint Commission on National Dental Examinations; and

(B) a clinical examination accepted by the Board based on the criteria set out in Rule .0303(d) of this Subchapter;

(4) a report of any pending or final malpractice actions against the applicant verified by any malpractice insurance carrier covering the applicant; and

(5) a letter of coverage history from all current and all previous malpractice insurance carriers covering the applicant.

For purposes of this Rule, "secure electronic transmission" means an electronic method of communication that ensures that completeness, integrity, and confidentiality of information are maintained during transmission.

(c) An application shall be complete when the Board receives all information and documentation set forth in Paragraphs (a) and (b) of this Rule and the applicant's passing scores on all examinations required by this Rule. Partial applications that are not completed within one year of the date the first document is submitted to the Board shall be disregarded as expired without a refund of the application fee.

(d) An applicant for dental hygiene licensure by credentials shall pass the Board's written examinations in sterilization and jurisprudence as set out in Rule .0303(a) of this Subchapter. Applicants who do not pass either written examination after three attempts within one year in accordance with Rule .0311(b) of this Subchapter shall not be eligible for reexamination under Rule .0311(c) of this Subchapter and may not reapply for licensure by credentials.

(e) Any applicant who changes his or her address shall notify the Board office in writing within 10 business days.

(f) Any license obtained through fraud or by any false representation shall be revoked.

History

• Authority G.S. 90-223; 90-224.1; 90-229
• Temporary Adoption Eff. January 1, 2003
• Eff. January 1, 2004
• Recodified from Rule .0401 Eff. June 1, 2006
• Amended Eff. September 1, 2014; February 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. July 1, 2023; March 1, 2020.

21 NCAC 16C .0601 application for reinstatement

(a) Any person desiring to practice dental hygiene in North Carolina whose North Carolina dental hygiene license has been revoked, suspended, retired, or expired shall submit to the Board an application for reinstatement. All applications for reinstatement of a dental hygiene license shall be made on the forms furnished by the Board at www.ncdentalboard.org and shall include:

(1) original dental hygiene license number and date of issuance;

(2) full name;

(3) street address as of the date of the application;

(4) telephone number;

(5) email address;

(6) citizenship or immigration status, with verifying documentation;

(7) a statement disclosing and explaining the nature, facts, and disposition of any matter where the applicant has ever:

(A) been summoned to court or before a magistrate for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(B) been arrested for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(C) been taken into custody for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(D) been indicted for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(E) been convicted for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(F) been charged with the violation of any law or ordinance or for the commission of any felony or misdemeanor; or

(G) pleaded guilty to the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(8) whether the applicant, to their knowledge, is under investigation as of the date of the application or has ever been investigated by the Board or any other licensing board;

(9) whether the applicant has ever been a party to a civil lawsuit related to the practice of dental hygiene settled;

(10) all dental hygiene licenses from other jurisdictions ever held by the applicant, including dates of licensure;

(11) a statement disclosing all the applicant's dental hygiene practices, including:

(A) the dates during which the applicant was employed as a dental hygienist;

(B) the name and address of each employer; and

(C) the reason for the termination of each employment;

(12) a statement disclosing and explaining any current condition or impairment, including a substance use disorder, or a mental, emotional, or nervous disorder or condition, that in any way affects the applicant's ability to practice dental hygiene. For purposes of this Rule, "current" means recently enough that the condition or impairment may affect the applicant's ability to function as a dental hygienist as set out in G.S. 90-229(a)(4) and (13). If the applicant contends that the condition or impairment is reduced or ameliorated because the applicant is receiving ongoing treatment or participating in a monitoring or support program, the applicant may provide information regarding the treatment or program, and may include any verification demonstrating that the applicant has complied with all provisions and terms of any drug treatment program, or impaired dental hygienists or other impaired professionals program;

(13) two letters of character reference from non-family members;

(14) a copy of a National Practitioner Data Bank report concerning the applicant that was obtained within six months prior to the date the report is submitted to the Board;

(15) documentation of the applicant's completion of continuing education courses, as set out in the rules of Section .0200 of Subchapter 16I, in amounts equal to the number of hours required for renewal of a dental hygiene license; and

(16) a copy of an unexpired CPR certificate.

(b) The applicant shall submit to the Board the notarized application form for reinstatement with all the information and materials listed in Paragraph (a) of this Rule, accompanied by the nonrefundable reinstatement application fee set forth in 21 NCAC 16M .0102(a)(3) and the renewal fees set forth in 21 NCAC 16M .0102(a)(2) and (b).

(c) In addition to the requirements of Paragraphs (a) and (b) of this Rule, if the applicant is or has ever been licensed in other states, the applicant shall request the dental regulatory authority, or other occupational or professional regulatory authority of each licensing jurisdiction where the applicant holds or has ever held a dental hygiene license, to send to the Board office, in a sealed envelope or via secure electronic transmission, a certificate of the applicant's licensure status accompanied by a disclosure of any disciplinary action taken or investigation pending against the applicant.

(d) An applicant whose North Carolina license has been revoked, suspended, retired, or expired for more than one year shall submit to the Board a completed fingerprint record card and signed release of information form authorizing the Board to request a fingerprint-based criminal history check from the North Carolina State Bureau of Investigation.

(e) An applicant whose North Carolina dental hygiene license has been revoked, suspended, retired, or expired for two to five years shall submit to the Board evidence of completion of refresher courses as specified by the Board. Refresher courses for an applicant whose license was revoked or suspended shall relate to the deficiencies that led to the imposition of discipline. Refresher courses for an applicant whose license has been retired or expired shall be specified by the Board taking into account the amount of time the license has been retired or expired and the applicant's level of experience.

(f) An applicant whose North Carolina dental hygiene license has been revoked, suspended, retired, or expired for more than five years shall pass the American Board of Dental Examiners dental hygiene licensure clinical examinations before seeking reinstatement.

(g) The Board shall receive all information and documentation set forth in Paragraphs (a) through (e) of this Rule and the applicant's passing scores on any examinations required under Paragraph (f) of this Rule for the application to be complete. Applications that are not completed within one year of being submitted to the Board shall be disregarded as expired without a refund of the application fees.

(h) Absent a Board order stating otherwise, an applicant whose North Carolina dental license has been revoked shall not be eligible to:

(1) apply for reinstatement for a period of one year after the effective date of the revocation; or

(2) re-apply for reinstatement for a period of one year after the Board's denial of the applicant's previous application for reinstatement.

(i) An application for reinstatement that is received before the applicant is eligible to apply pursuant to Paragraph (h) of this Rule shall be disregarded without a refund of the application fees.

(j) Any applicant who changes his or her address shall notify the Board office in writing within 10 business days.

(k) Any license obtained through fraud or by any false representation shall be revoked in accordance with the procedures set forth in the rules of Subchapter U and Section .0500 and Section .0600 of Subchapter N.

History

• Authority G.S. 90-223; 90-224; 90-229; 90-48
• Eff. September 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2025; September 1, 2020.

Subchapter D

21 NCAC 16D .0101 Eligibility Requirements

(a) Persons shall be eligible for provisional licensure under the provisions of G.S. 90-29.3 if they have been licensed to practice dentistry in another jurisdiction for a period of at least two years immediately preceding the date of application for provisional licensure.

(b) An applicant for provisional licensure must present to the Board documentary evidence satisfactory to the Board that he is in good standing with the dental licensing agencies of all jurisdictions wherein he is currently licensed to practice dentistry.

(c) No person shall be eligible for provisional licensure who has been censured, disciplined, or punished by any dental licensing agency or dental organization for violation of professional ethics or the laws of any jurisdiction.

History

• Authority G.S. 90-28; 90-29.3; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. January 1, 1994; June 1, 1991; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16D .0102 Restrictions on Practice

(a) Any provisional license issued to a member of the faculty of an educational institution shall limit the practice of such provisional licensee to the confines of the facilities provided by the educational institution of which he is a faculty member.

(b) The dental practice of a provisional licensee shall be restricted to a specific facility or, to a geographic location, or to a specialized field of dentistry, or any combination thereof. Direction by a dentist licensed in North Carolina shall also be required. Such dentist shall provide direction over the functions performed by the licensee and shall be responsible for all consequences or results arising from the licensee's practice of dentistry.

(c) For purposes of this Section, the acts of a provisional licensee are deemed to be under the direction of a licensed dentist when performed in a locale where a licensed dentist is not always required to be physically present during the performance of such acts and such acts are being performed pursuant to the dentist's order, control, and approval.

History

• Authority G.S. 90-29.3
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2002; January 1, 1994; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16D .0103 Patient Records

History

• Status: repealed
• Authority G.S. 90-29.3
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. September 1, 2014.

21 NCAC 16D .0104 Application for Provisional License

(a) An applicant for a provisional dental license shall submit to the Board:

(1) a notarized application form provided by the Board at www.ncdentalboard.org that includes the information and materials required by 21 NCAC 16B .0301(a);

(2) the nonrefundable provisional licensure fee set forth in 21 NCAC 16M .0101;

(3) a letter from a North Carolina licensed dentist stating he or she will supervise the applicant; and

(4) a statement disclosing and explaining any investigations, malpractice claims, or state or federal agency complaints, judgments, or settlements that are related to licensure and are not disclosed elsewhere in the application.

(b) In addition to the requirements of Paragraph (a) of this Rule, an applicant for a provisional license shall satisfy the requirements in 21 NCAC 16B .0501(b).

(c) The Board shall receive all items set forth in Paragraphs (a) and (b) of this Rule and the applicant's passing scores on all examinations required by 21 NCAC 16B .0303 for the application to be complete. Applications that are not completed within one year of being submitted to the Board shall be disregarded as expired without a refund of the application fee.

(d) An applicant for a provisional license shall pass written examinations as set out in 21 NCAC 16B .0303(a). Applicants who do not pass the written examination after three attempts within one year may not reapply for provisional licensure.

(e) Any applicant who changes his or her address shall notify the Board office in writing within 10 business days.

(f) Any license obtained through fraud or by any false representation shall be revoked.

History

• Authority G.S. 90-29.3; 90-41(a)
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Temporary Amendment Eff. January 1, 2003
• Amended Eff. December 1, 2014; January 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. March 1, 2020.

21 NCAC 16D .0105 Examination

History

• Status: expired
• Authority G.S. 90-29.3
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2002
• Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

21 NCAC 16D .0201 Clinical Examination

History

• Status: repealed
• Authority G.S. 90-28; 90-29.5; 90-48
• Eff. January 1, 1983
• Repealed Eff. September 1, 2009.

21 NCAC 16D .0202 Oral Examination

History

• Status: repealed
• Authority G.S. 90-28; 90-29.5; 90-48
• Eff. January 1, 1983
• Repealed Eff. October 1, 1986.

Subchapter E

21 NCAC 16E .0101 Eligibility Requirements

History

• Authority G.S. 90-226
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• RRC Objection November 21, 2002 and rule was returned to agency on February 20, 2003.

21 NCAC 16E .0102 Restrictions on Practice

The dental hygiene practice of a provisional licensee shall be restricted to the dental practice location designated in the application for provisional licensure.

History

• Authority G.S. 90-226
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. March 1, 2020.

21 NCAC 16E .0103 Application for Provisional License

(a) An applicant for a provisional dental hygiene license shall submit to the Board:

(1) a notarized application form provided by the Board at www.ncdentalboard.org that includes the information and materials required by 21 NCAC 16C .0301(a);

(2) the nonrefundable provisional licensure application fee set forth in 21 NCAC 16M .0102;

(3) a letter from a North Carolina licensed dentist stating he or she will supervise the applicant; and

(4) a statement disclosing and explaining any investigations, malpractice claims, or state or federal agency complaints, judgments, or settlements that are related to licensure and are not disclosed elsewhere in the application.

(b) In addition to the requirements of Paragraph (a) of this Rule, an applicant for a provisional license shall satisfy the requirements in 21 NCAC 16C .0501(b).

(c) The Board shall receive all items set forth in Paragraphs (a) and (b) of this Rule and the applicant's passing scores on all examinations required by 21 NCAC 16C .0303 for the application to be complete. Applications that are not completed within one year of being submitted to the Board shall be disregarded as expired without a refund of the application fee.

(d) An applicant for a provisional license shall pass written examinations as set out in 21 NCAC 16C .0303(a). Applicants who do not pass the written examination after three attempts within one year may not reapply for provisional licensure.

(e) Any applicant who changes his or her address shall notify the Board office in writing within 10 business days.

(f) Any license obtained through fraud or by any false representation shall be revoked.

History

• Authority G.S. 90-226; 90-229(a); 90-232
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Temporary Amendment Eff. January 1, 2003
• Amended Eff. December 1, 2014; January 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. March 1, 2020.

21 NCAC 16E .0104 Examination

As a condition precedent to issuing a provisional license, the Board may require an applicant to demonstrate professional competency by appearing before the Board for oral examination, written examination(s), clinical evaluation or any combination thereof.

The Board shall consider the applicant's training, experience, gaps in practice history and malpractice and disciplinary history in determining whether proof of competency will be required.

History

• Authority G.S. 90-226; 90-229(a)(5).
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. December 1, 2014; August 1, 2002; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

Subchapter F

21 NCAC 16F .0101 Certification of Licensure Required

History

• Status: repealed
• Authority G.S. 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 16F .0102 Application for Certification of Licensure

(a) For purposes of formation of a professional entity, an application for certification that all proposed owners of shares of stock in a professional corporation or association or all proposed managers and members of a professional limited liability company are licensed to practice dentistry in North Carolina shall be submitted on a form available on the Board's website, www.ncdentalboard.org, or by letter to the Board's office requesting such certification, and shall include:

(1) the information and materials set out in Rule .0104(a) and (b) of this Subchapter; and

(2) the names, addresses, and North Carolina dental license numbers of the proposed incorporators of a professional corporation or association or the members who executed the articles of organization of the professional limited liability company.

(b) For an existing professional entity to issue or transfer shares of stock or an ownership interest to another person, an application for certification that the person proposed to acquire shares or an ownership interest is licensed to practice dentistry in North Carolina shall be submitted on a form available on the Board's website, www.ncdentalboard.org, and shall include the name of the professional entity and the name, address, and dental license number of the person proposed to acquire the shares or ownership interest.

History

• Authority G.S. 55B-4; 55B-6; 57D-2-01; 57D-2-02; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 1994; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 9, 2018
• Amended Eff. July 1, 2022.

21 NCAC 16F .0103 Corporate or Limited Liability Company Name

Corporation or limited liability company designations shall consist only of the use of the words "Professional Association," "P.A.", "Professional Corporation," or "P.C." for professional corporations and "Professional Limited Liability Company", or "P.L.L.C." for professional limited liability companies.

All names shall also contain only the name or surname of one or more of the shareholders or members and may include the words:

(1) "Associate(s);" "D.D.S.;" "D.M.D.;" and

(2) the geographic location of the company.

The company name may not be false, deceptive or misleading.

History

• Authority G.S. 55B-5; 57D-2-01; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 2011; August 1, 2009; August 1, 2002; April 1, 1994; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16F .0104 Certificate of Registration

(a) Each professional entity shall submit an application for a certificate of registration on the form available on the Board's website, www.ncdentalboard.org, and shall include the following information:

(1) name of the company;

(2) street address of the company;

(3) mailing address of the company, if different from the street address;

(4) email address of the company;

(5) name, address, and dental license number of each shareholder or member, and each dentist to be employed by the company once it is registered;

(6) name, address, and occupation of each corporation director and officer, or each limited liability company manager; and

(7) disclosure of any disciplinary action taken by or investigation pending before the Board with respect to any licensed dentist identified as an incorporator, officer, director, shareholder, member, manager, or employee.

(b) The application shall be:

(1) signed and notarized in accordance with Rule .0110 of this Subchapter;

(2) accompanied by a statement of the capacity in which the person signs and the person's authority to submit the application on behalf of the professional entity;

(3) submitted to the Board with all the information listed in Paragraph (a) of this Rule; and

(4) accompanied by the registration fee of fifty dollars ($50.00).

(c) In addition to the requirements set out in Paragraphs (a) and (b) of this Rule, a certificate of registration shall not be issued until the Board receives a copy of the certificate of incorporation and articles of incorporation of the professional corporation or association, or a copy of the articles of organization of the professional limited liability company, accompanied by certification of filing from the Secretary of State as set forth in G.S. 55D-17.

(d) The initial certificate of registration shall remain effective for one year from the date of issuance, unless suspended or terminated as provided in G.S. 55B-13, and each subsequent renewal of the certificate shall be effective for a period of one year from the date of issue.

History

• Authority G.S. 55B-10; 57D-2-01; 57D-2-02; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2009; April 1, 1994; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. July 1, 2022; September 1, 2020.

21 NCAC 16F .0105 APPLICATION FOR RENEWAL or reinstATEMENT

(a) The certificate of registration shall be renewed each year based on the anniversary of the date of issuance. Within 30 days after the anniversary date, the professional entity shall submit its application for renewal upon a form available on the Board's website, www.ncdentalboard.org, and shall include the following information:

(1) name of the company as shown on the certificate of registration;

(2) name of the company as of the date of the application for renewal, if the company name has been amended;

(3) street address of the company;

(4) mailing address of the company, if different from the street address;

(5) email address of the company;

(6) name, address, and dental license number of each shareholder or member, and each dentist practicing under the company;

(7) name, address, and occupation of each corporation director and officer, or each limited liability company manager; and

(8) disclosure of any disciplinary action taken by, or investigation pending before, the Board with respect to any licensed dentist identified as an incorporator, officer, director, shareholder, member, manager, or employee.

(b) The application shall be submitted by the president or vice president of the professional corporation or association or by a manager of the professional limited liability company to the Board with all the information listed in Paragraph (a) of this Rule, accompanied by the renewal fee of twenty-five dollars ($25.00).

(c) If the application for renewal of the certificate of registration is not submitted within 30 days after the anniversary of the date of issuance, the certificate of registration shall be suspended. The professional entity may apply for reinstatement of the certificate of registration by satisfying the requirements of Paragraphs (a) and (b) of this Rule including payment of the renewal fee, plus payment of the penalty fee of ten dollars ($10.00) as set out in G.S. 55B-11.

History

• Authority G.S. 55B-11; 57D-2-01; 57D-2-02; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 1994; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. July 1, 2022; September 1, 2020.

21 NCAC 16F .0106 Transfer of Stock

History

• Status: repealed
• Authority G.S. 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 16F .0107 Amendments to Articles of Incorporation or Organization, or Articles of Dissolution

Amendments to the articles of incorporation or articles of organization, including amendments made by restated articles of organization, or articles of dissolution shall be forwarded to the Board's office within 10 days after the filing of the same in the office of the Secretary of State of North Carolina.

History

• Authority G.S. 55B-12; 57D-2-01; 57D-2-02; 57D-2-22; 57D-2-23; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 1994; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. July 1, 2022.

21 NCAC 16F .0108 Employment of Dental Hygienist

History

• Status: expired
• Authority G.S. 90-223(b); 90-233(b)
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 1994; January 1, 1983
• Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

21 NCAC 16F .0109 Rules and Regulations of the Board Apply

History

• Status: repealed
• Authority G.S. 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 16F .0110 CORPORATE OFFICERS OR MANAGERS shall EXECUTE DOCUMENTS

All documents required by these Rules to be submitted to the Board by the professional entity shall be executed by the president or vice president of the corporation or by a manager of the limited liability company authorized to submit the documents on behalf of the professional entity, and notarized.

History

• Authority G.S. 55B-12; 57D-2-01; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 1994; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. July 1, 2022.

Subchapter G

21 NCAC 16G .0101 FUNCTIONS That MAY BE DELEGATED

A dental hygienist may be delegated functions to be performed under the control and supervision of a dentist who shall be responsible for any and all consequences or results arising from performance of such acts and functions. In addition to the functions set out in G.S. 90-221(a) and 21 NCAC 16H .0203, functions that may be delegated to a dental hygienist provided that the dentist first examined the patient and prescribed the procedure include:

(1) performing periodontal screening;

(2) performing periodontal probing;

(3) performing subgingival exploration for or removal of hard or soft deposits;

(4) performing sulcular irrigation;

(5) applying resorbable sulcular antimicrobial or antibiotic agents;

(6) using ultrasonic scalers for prophylaxis;

(7) performing scaling and root planning;

(8) applying oral cancer screening products in preparation for the dentist's examination and diagnosis of oral cancer;

(9) using laser fluorescence detectors in preparation for the dentist's examination and diagnosis of cavities;

(10) applying resin infiltration treatment for incipient smooth surface lesions, following the dentist's diagnosis that the lesion is non-penetrable; or

(11) applying silver diamine fluoride.

History

• Authority G.S. 90-41; 90-221; 90-223(b); 90-233
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 2017; August 1, 2016; April 1, 2015; August 1, 2008; August 1, 2000; May 1, 1989; October 1, 1985; March 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. April 1, 2018.

21 NCAC 16G .0102 Functions Which Shall Not Be Delegated

History

• Status: repealed
• Authority G.S. 90-221(a); 90-223(b)
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989.
• Repealed Eff. August 1, 2000.

21 NCAC 16G .0103 Procedures Prohibited

Those procedures that require the professional education and skill of a dentist and shall not be delegated to a dental hygienist include:

(1) performing comprehensive examination, diagnosis, and treatment planning;

(2) performing surgical or cutting procedures on hard or soft tissues, including laser, air abrasion, or micro-abrasion procedures;

(3) placing or removing therapeutic sulcular nonresorbable agents;

(4) issuing prescription drugs, medications, or work authorizations;

(5) performing the final placement or intraoral adjustment of a fixed or removable appliance;

(6) performing intraoral occlusal adjustments that affect function, fit, or occlusion of any temporary or permanent restoration or appliance;

(7) performing direct pulp capping or pulpotomy;

(8) placing sutures;

(9) performing final placement or cementation of orthodontic bands or brackets;

(10) performing the placement or cementation of final restorations;

(11) administering any anesthetic by any route except the administration of:

(a) topically-applied agents intended to anesthetize only cutaneous tissue; or

(b) local anesthetics by dental hygienists certified in accordance with G.S. 90-221(a) and this Section, and administered under the direct supervision of a North Carolina licensed dentist;

(12) using a high-speed handpiece intraorally;

(13) performing cementation of endodontic posts;

(14) condensing Amalgam;

(15) using a transcutaneous electrical nerve stimulation (TENS) unit;

(16) applying formocresol;

(17) placing stainless steel crown on permanent or primary teeth;

(18) performing pulp vitality testing;

(19) performing curettage;

(20) placing periodontal or surgical dressing;

(21) performing oral brush biopsy;

(22) taking bite registration or elastometrics;

(23) placing eugenol wick in dry socket;

(24) fabricating or delivering sleep apnea appliance;

(25) removing, replacing, or torqueing either impression or prosthetic implant abutments; and

(26) administering any sedation or general anesthesia pharmacological agents, including drawing a dosage into a syringe.

History

• Authority G.S. 90-221(a); 90-223(b)
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2016; August 1, 2008; August 1, 2000; May 1, 1989; March 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. July 1, 2022; September 1, 2020; April 1, 2018.

21 NCAC 16G .0104 Definition: Direct Control and Supervision

History

• Status: repealed
• Authority G.S. 90-223(b)
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. January 1, 1983.

21 NCAC 16G .0105 Employment of Dental Hygienist

History

• Status: repealed
• Authority G.S. 90-28; 90-48; 90-223(b)
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. January 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 16G .0106 Dental Hygiene School Extension Facilities and Off Campus Classes

(a) Dental hygiene schools may operate extension facilities and conduct off-campus hygiene classes in which dental hygiene services are provided to members of the public at Board approved sites, including non-profit health care facilities serving low income populations, state and county institutions with resident populations, hospitals, state or county health department and area health education centers.

(b) Dental hygiene schools which operate extension facilities or conduct hygiene classes off-campus must notify the Dental Board of the location and nature of each facility or off campus course location, the names of the students assigned thereto, and the names and qualifications of all instructors functioning therein.

(c) No student enrolled in an off-campus dental hygiene class or extension facility may receive fees, compensation or remuneration of any kind for providing dental hygiene services in accordance with G.S. 90-29(c)(4) or G.S. 90-233(c)(2).

History

• Authority G.S. 90-29(c)(4); 90-233(c)(2)
• Eff. November 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16G .0107 Dental Hygiene Licensure by Endorsement Based on Military Service

(a) An applicant for a dental hygiene license by endorsement based on military service shall submit to the Board:

(1) a notarized application form provided by the Board at www.ncdentalboard.org that includes the information and materials required by 21 NCAC 16C .0301(a); and

(2) written evidence demonstrating the applicant has satisfied the conditions set forth in G.S. 93B-15.1(a), including engaging in the active practice of dental hygiene for at least 1,000 hours per year for at least two of the five years preceding the date of application.

(b) In addition to the requirements of Paragraph (a) of this Rule, an applicant for licensure by endorsement based on military service shall satisfy the requirements in 21 NCAC 16C .0501(b).

(c) The Board shall receive all information and documentation required under Paragraphs (a) and (b) of this Rule for the application to be complete. Applications that are not completed within one year of being submitted to the Board shall be disregarded as expired.

(d) Any applicant who changes his or her address shall notify the Board office in writing within 10 business days.

(e) Any license obtained through fraud or by any false representation shall be revoked.

History

• Authority G.S. 90-223; 90-224(c); 90-229; 93B-15.1
• Eff. September 19, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. March 1, 2020.

21 NCAC 16G .0108 Dental Hygiene Licensure by Endorsement Based on Status as Military Spouse

(a) An applicant for a dental hygiene license by endorsement based on the applicant's status as a military spouse shall submit to the Board:

(1) a notarized application form provided by the Board at www.ncdentalboard.org that includes the information and materials required by 21 NCAC 16C .0301(a); and

(2) written evidence demonstrating the applicant is married to an active member of the U.S. military and the applicant satisfies the conditions set forth in G.S. 93B-15.1(b), including engaging in the active practice of dental hygiene for at least 1,000 hours per year for at least two of the five years preceding the date of application.

(b) In addition to the requirements of Paragraph (a) of this Rule, an applicant for licensure by endorsement based on status as a military spouse shall satisfy the requirements in Rule 21 NCAC 16C .0501(b).

(c) The Board shall receive all information and documentation set forth in Paragraphs (a) and (b) of this Rule for the application to be complete. Applications that are not completed within one year of being submitted to the Board shall be disregarded as expired.

(d) Any applicant who changes his or her address shall notify the Board office in writing within 10 business days.

(e) Any license obtained through fraud or by any false representation shall be revoked.

History

• Authority G.S. 90-223; 90-224(c); 90-229; 90-232; 93B-15.1
• Eff. September 19, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. March 1, 2020.

21 NCAC 16G .0109 dental hygienist certification to administer local anesthetics

(a) To apply for certification to administer local anesthetics by block or infiltration techniques:

(1) a dental hygienist holding a valid dental hygiene license issued or renewed by the Board on or after October 1, 2021, shall submit to the Board a certificate of completion from a dental hygiene program meeting the requirements set out in G.S. 90-225.2 that was completed within five years prior to the date of the application; or

(2) a dental hygienist licensed in North Carolina or any other state or territory who has been practicing dental hygiene for the two year period set out in G.S. 90-225.3(a)(2) shall submit to the Board evidence that, within five years prior to the date of the application, the applicant completed a course or courses meeting the requirements of G.S. 90-225.3(a)(3), including a certified letter stating the applicant's completion of the required injections in a course. For purposes of this Rule, "certified" shall mean the letter bears:

(A) the notarized signature of a licensed dentist instructor who supervised the applicant's completion of the injections during the course or courses; or

(B) the official seal or stamp of the school, college, or continuing education provider through which the applicant completed the course or courses.

(b) If an applicant completed the course of study required pursuant to G.S. 90-225.2 or G.S. 90-225.3(a)(3) more than five years prior to submitting the application materials set out in Paragraph (a) of this Rule, the applicant shall retake a course or courses meeting the requirements of G.S. 90-225.3(a)(3) before the applicant may be certified to administer local anesthetics, unless the applicant submits documentation showing the applicant has been practicing dental hygiene, including the administration of local anesthetics by infiltration and block techniques, for the two year period prior to the date of the application.

(c) The requirements set out in Paragraph (a) of this Rule are in addition to any other applicable requirements set out in this Chapter for the issuance or renewal of a dental hygiene license.

(d) As a condition to renew a certificate to administer local anesthetics, each dental hygienist shall complete two clock hours of continuing education each calendar year in satisfaction of the requirements of G.S. 90-225.3(c), which may be among those chosen to satisfy the requirements set out in 21 NCAC 16I .0201(a).

(e) A dental hygienist certified in accordance with this Rule shall conduct administration of local anesthetics only under the direct supervision of a North Carolina licensed dentist.

History

• Authority G.S. 90-221; 90-223; 90-225.2; 90-225.3
• Temporary Adoption Eff. November 1, 2021
• Eff. July 1, 2022.

Subchapter H

21 NCAC 16H .0101 Classification

Based upon education, training, and experience, a dental assistant shall be categorized as a Dental Assistant I or a Dental Assistant II.

History

• Authority G.S. 90-29(c)(9)
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16H .0102 Dental Assistant I

(a) A Dental Assistant I is anyone performing any of the permitted or delegable functions under 21 NCAC 16H .0201, who does not satisfy the training and experience requirements for classification as a Dental Assistant II set forth in 21 NCAC 16H .0104, and is not licensed by the Board as a dentist or dental hygienist.

(b) A Dental Assistant I shall have an unexpired CPR certification in effect at all times while performing any of the permitted functions under 21 NCAC 16H .0201.

(c) No Dental Assistant I may take radiographs before completing radiology training consistent with G.S. 90-29(c)(12).

History

• Authority G.S. 90-29(c)(9)
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16H .0103 Dental Assistant Ii

A Dental Assistant II is an expanded duty assistant who has completed training in accordance with Rule .0104 of this Section. Under direct control and supervision, a Dental Assistant II may be delegated intra-oral procedures in accordance with 21 NCAC 16H .0203 the supervising dentist deems appropriate, with the dentist personally and professionally responsible for any and all consequences or results arising from the performance of said acts. All delegated procedures must be reversible in nature.

History

• Authority G.S. 90-29(c)(9)
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16H .0104 Approved Education and Training Programs

(a) To be classified as a Dental Assistant II, an assistant shall have and maintain an unexpired CPR certification and shall complete:

(1) a dental assisting program accredited by the Commission on Dental Accreditation ("CODA"), a list of which is available at no cost at coda.ada.org/find-a-program/search-dental-programs and is incorporated by reference, including subsequent amendments and editions;

(2) one complete school year or longer in a CODA-accredited dental hygiene program;

(3) a dental assisting program offered through a branch of the U.S. armed forces at the Medical Education & Training Campus that includes a clinical rotation providing dental assisting for live patients;

(4) the Certified Dental Assistant certification examinations administered by the Dental Assisting National Board ("DANB") with a passing score as set by DANB; or

(5) the following:

(A) employment as a Dental Assistant I for two years of the preceding five, consisting of at least 3,000 hours total; and

(B) a 3-hour course in sterilization and infection control, and a 3-hour course in dental office emergencies. The courses shall be offered by Board-approved course sponsors as set out in 21 NCAC 16I .0202.

(b) A Dental Assistant I who has completed the requirements of Part (a)(5)(B) of this Rule but not completed the employment hours required pursuant to Part (a)(5)(A) may be trained by a licensed dentist and allowed to perform the functions of a Dental Assistant II, as specified in Rule .0203 of this Subchapter, under the direct control and supervision of a licensed dentist.

(c) For purposes of this Rule, an unexpired CPR certification is one that is in effect and valid at the time of classification as a Dental Assistant II and remains so at all times while employed as a Dental Assistant II or while performing any of the permitted functions under Rule .0203 of this Subchapter.

(d) A dental assistant shall not take radiographs before completing radiology training consistent with G.S. 90-29(c)(12).

History

• Authority G.S. 90-29(c)(9); 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2016; April 1, 2015; August 1, 2000; November 1, 1996; January 1, 1994; September 1, 1998; May 1, 1989; October 1, 1986.
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. August 1, 2024; September 1, 2020.

21 NCAC 16H .0105 dental RadioLOGY COURSE AND EXAMINATION requirements

(a) If a dental radiology course and the course's final examination meet the requirements of this Rule, the Board will recognize the course and final examination as satisfying the dental radiology training and equivalency examination requirements set out in G.S. 90-29(c)(12).

(b) For the Board to recognize a dental radiology course and its final examination:

(1) The course shall include at least 7 hours of didactic, lecture-based instruction and at least 14 hours of laboratory instruction.

(2) The course curriculum shall include instruction and training in clinical dental radiology, in the production and use of dental x-rays, and on digital x-ray equipment. The course shall enable the student to:

(A) identify in sequence the steps necessary for operating dental x-ray equipment;

(B) identify the requirements of a diagnostic digital image;

(C) differentiate the effect of variations in amperage, kilo-voltage, distance, and exposure time on the resulting digital images;

(D) identify the terms used to measure radiation;

(E) establish guidelines for maintaining radiation safety and the ALARA ("as low as reasonably achievable") principle;

(F) follow principles of radiologic health practices and radiation biology;

(G) identify radiation safety techniques and monitoring devices;

(H) identify the parts and identification marks on dental x-ray sensors;

(I) identify and compare intraoral sensors according to size and customary usage;

(J) identify methods of sensor handling and storage;

(K) identify and perform in sequence the steps in processing digital images;

(L) differentiate between preliminary interpretation and diagnosis of the digital images;

(M) identify the anatomical landmarks of the face and skull;

(N) identify any dental radiograph according to its location in the maxilla or mandible, and position it on a digital image mount;

(O) identify the types of radiographic errors caused by faulty exposure techniques;

(P) identify the types of radiographic errors caused by incorrect digital mount positioning and angulation of the central ray;

(Q) identify the types of radiographic errors caused by faulty digital processing techniques;

(R) identify the conditions that cause digital images to be fogged;

(S) identify the advance preparations necessary before exposing digital images;

(T) carry out the task of digital image exposure to completion;

(U) use the paralleling technique to produce digital images of diagnostic quality addressing contrast, density, and definition;

(V) explain the principles of digital imaging and quality assurance;

(W) identify errors when using digital imaging in technique and processing;

(X) explain the utilization of beam aligning devices; and

(Y) describe the use of hand-held radiation exposure devices following guidelines from the Radiation Protection Section of the Department of Health and Human Services, Radiology Compliance Branch ("Radiation Protection Section"), which are incorporated by reference, including subsequent amendments and editions, and are available at no cost online at www.ncradiation.net/Xray/dentdose.htm.

(3) The laboratory portion of the course shall have no more than six students per instructor, and shall include practice on dental radiography manikins. Students shall not practice on peer students unless the unit is turned off and all requirements of the Board's sterilization and infection control Rule, 21 NCAC 16J .0103, are satisfied. Students shall be required to achieve a passing score of at least 80 percent on a written examination on radiation safety prior to taking radiographs.

(4) To complete the course, students shall be required to achieve a passing score of at least 80 percent on a written examination upon completion of the didactic, lecture-based portion of the course and to achieve a passing score of at least 80 percent on a final laboratory examination. The final laboratory examination shall be conducted on a manikin and include completion of a full mouth series.

(5) The facility used as the training location for the course shall:

(A) assume all overhead costs involved in offering the course;

(B) comply with the Board's rules regarding sanitation, sterilization, and infection control set out in 21 NCAC 16J, the applicable guidelines of the Radiation Protection Section, and the OSHA guidelines and standards related to dentistry, which are incorporated by reference, including subsequent amendments and editions, and are available at no cost online at www.osha.gov/dentistry/standards;

(C) provide access to a room large enough to accommodate the number of participants for lecture purposes;

(D) have the number of x-ray machines necessary based on the course curriculum and enrollment to ensure there are no more than two students per machine; and

(E) have facilities for digital radiography.

(6) The didactic and laboratory portions of the course shall be taught by:

(A) an instructor of dental radiography at an institution accredited by the Commission on Dental Accreditation ("CODA"), a list of which is available at no cost at www.ada.org/coda and is incorporated by reference, including subsequent amendments and editions; or

(B) an instructor who has successfully completed a Board-approved radiology instructor course set forth in 21 NCAC 16H .0106 and has completed three hours of continuing education in the area of radiology every other year. The continuing education courses shall be offered by Board-approved continuing education course sponsors as set out in 21 NCAC 16I .0202 or 21 NCAC 16R .0202.

(7) The course sponsor shall provide students with all supplies.

(8) Course advertising shall comply with the Board's rules regarding advertisement of dental services set out in 21 NCAC 16P.

(c) A course sponsor seeking Board recognition of a dental radiology course shall submit to the Board office:

(1) the course outline, syllabus, and handouts;

(2) slides and other lecture materials;

(3) examinations and grading criteria; and

(4) the name, resume, and verification of credentials satisfying Subparagraph (b)(6) of this Rule for all course instructors.

(d) After the course sponsor submits all the information and documents required by Paragraph (c) of this Rule, the course will be reviewed by the Board for compliance with this Rule at the next scheduled Board meeting. The Board may delay reviewing a course until a later meeting if the Board's workload makes the review impracticable. If the Board delays reviewing a course, it shall notify the course sponsor. A course shall be recognized by a majority vote of the Board. A list of recognized courses is available on the Board's website at www.ncdentalboard.org.

(e) Upon receipt of evidence that a previously recognized course is not in compliance with this Rule, the Board will notify the course sponsor in writing of each item of noncompliance. Within 30 days from the date of the notice of noncompliance, the course sponsor shall provide a written response to the Board office which shall respond to each item of noncompliance. The response shall provide documentation of corrections made, and shall show each item is in compliance with this Rule. If the course sponsor fails to respond or correct noncompliance, the Board's recognition of the course shall be withdrawn. As of the date recognition is withdrawn, the course and its examination shall not satisfy the dental radiology training and equivalency examination requirements set out in G.S. 90-29(c)(12).

History

• Authority G.S. 90-29(c)(12); 90-48
• Eff. July 1, 2023
• Amended Eff. August 1, 2026.

21 NCAC 16H .0106 dental RadioLOGY Instructor COURSE requirements

(a) All instructors of a dental radiology course shall successfully complete a Board-approved instructor's course that covers the following topics:

(1) foundational concepts of teaching including developing a syllabus, establishing course objectives, adjusting to different learning styles, and developing grading criteria;

(2) a review of basic radiography, including:

(A) radiation history and physics;

(B) radiography techniques;

(C) radiography errors;

(D) radiography equipment, including hand-held devices;

(E) patient protection; and

(F) anatomy;

(3) a review of sanitation, sterilization, and infection control standards and techniques, including the Rules in Subchapter 16J;

(4) guidance on educational activities designed for the laboratory portion of the dental radiography course including demonstrations of shadow casting, paralleling technique, patient shielding and safe operator distancing; evaluation of occupational dose limits, and labeling diagrams of radiography equipment;

(5) administration of written examinations to students;

(6) examination of students' clinical skills in the laboratory including:

(A) evaluation and correction of student errors in radiographs;

(B) explanation of the physics and geometry of bisecting and paralleling techniques; and

(C) demonstration and explanation to students of inaccuracies in angulation;

(7) a review of the requirements set forth in the following:

(A) 21 NCAC 16H .0105 of this Section;

(B) 10A NCAC 15;

(C) The Radiation Protection Guide for medical, dental, and veterinary arts published by the Radiation Protection Section of the Division of Health Services of the North Carolina Department of Health and Human Services available at no cost at https://radiation.ncdhhs.gov/xray/documents/healartsprog.pdf;

(D) The Hand-Held Dental X-Ray Guide published by the Radiation Protection Section of the Division of Health Services of the North Carolina Department of Health and Human Services available at no cost at https://radiation.ncdhhs.gov/xray/documents/handhelddentgud.pdf; and

(E) Entrance Skin Exposure Facts - Dental published by the Radiation Protection Section of the Division of Health Services of the North Carolina Department of Health and Human Services available at no cost at https://radiation.ncdhhs.gov/xray/documents/eseguide.pdf

(b) The instructor course may apply toward fulfillment of the continuing education requirements, including the requirements of 21 NCAC 16H .0105(b)(6)(B), and all existing dental radiology instructors must successfully complete the instructor course on or before December 31, 2028.

(c) Beginning on January 1, 2029, all instructors must complete a Board-approved instructor's course before teaching a dental radiology course.

History

• Authority G.S. 90-29(c)(12); 90-48
• Eff. August 1, 2026.

21 NCAC 16H .0201 General Permitted Functions of Dental Assistant I

(a) A Dental Assistant I may assist a dentist as a chairside assistant provided that the acts and functions of the Dental Assistant I do not constitute the practice of dentistry or dental hygiene as set out in G.S. 90-29(b) and G.S. 90-221(a).

(b) A Dental Assistant I may perform only routine dental assisting procedures such as oral hygiene instruction, chairside assisting, application of topical fluorides or topical anesthetics, and exposure of radiographs, provided that the assistant can show compliance with radiography training consistent with G.S. 90-29(c)(12).

(c) Functions of a Dental Assistant II also may be delegated to a Dental Assistant I in accordance with 21 NCAC 16H .0104(b).

History

• Authority G.S. 90-29(c)(9); 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2000; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. October 1, 2019.

21 NCAC 16H .0202 Specific Permitted Functions of Dental Assistant I

History

• Status: repealed
• Authority G.S. 90-29(c)(9); 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. November 1, 1996; May 1, 1989.
• Repealed Eff. August 1, 2000.

21 NCAC 16H .0203 Permitted Functions of Dental Assistant Ii

(a) A Dental Assistant II may perform all acts or procedures that may be performed by a Dental Assistant I as set forth in 21 NCAC 16H .0201. In addition, a Dental Assistant II may be delegated the following functions to be performed under the direct control and supervision of a dentist who shall be responsible for any and all consequences or results arising from the performance of such acts and functions, provided that the dentist first examined the patient and prescribed the procedure:

(1) taking impressions for study models and opposing casts that may be used for the construction of temporary or permanent dental appliances, adjustable orthodontic appliances, nightguards and the repair of dentures or partials;

(2) applying sealants to teeth that do not require mechanical alteration prior to the application of such sealants;

(3) inserting matrix bands and wedges;

(4) placing cavity bases and liners;

(5) placing and removing rubber dams;

(6) cementing temporary restorations using temporary cement;

(7) applying acid etch materials and rinses;

(8) applying bonding agents;

(9) removing periodontal and surgical dressings;

(10) removing sutures;

(11) placing and removing gingival retraction cord;

(12) removing excess cement with hand scaler supragingivally;

(13) flushing, drying, and temporarily closing root canals or pulpotomies;

(14) placing and removing temporary restorations;

(15) placing and tying in or untying and removing orthodontic arch wires, ligature wires, or lock pins;

(16) inserting interdental spacers;

(17) fitting (sizing) orthodontic bands or brackets;

(18) applying dentin desensitizing solutions;

(19) performing extra-oral adjustments that affect function, fit, or occlusion of any restoration or appliance;

(20) initially forming and sizing orthodontic arch wires and placing arch wires after final adjustment and approval by the dentist;

(21) polishing the clinical crown, pursuant to Paragraph (b) of this Rule using only:

(A) a hand-held brush and polishing agents; or

(B) a combination of a slow speed handpiece (not to exceed 10,000 rpm) with attached rubber cup or bristle brush, and polishing agents;

(22) exposing radiographs and cone beam images;

(23) polishing removable appliances extra-orally;

(24) preparing and loading amalgam in carrier;

(25) measuring pulse, blood pressure, and temperature;

(26) using micro-etcher extra-orally;

(27) placing a throat shield in oropharynx during administration of general anesthesia;

(28) delivering dentures to patient for insertion, provided the dentist approves the denture placement; or

(29) removing or replacing healing abutments or cover screws for implants that may be accessed supragingivally.

(b) A Dental Assistant II shall complete a course in coronal polishing identical to that taught in an ADA accredited dental assisting program, or by a licensed North Carolina hygienist or dentist lasting at least seven clock hours before using a slow speed handpiece with rubber cup or bristle brush attachment. The course shall include instruction on dental morphology, the periodontal complex, operation of handpieces, polish aids, and patient safety. A list of ADA accredited programs offering courses in coronal polishing, which is incorporated by reference along with its subsequent amendments and editions, is available at no cost on the American Dental Association's website at http://www.ada.org/en/coda/find-a-program. A coronal polishing procedure shall not be represented to the patient as a prophylaxis. No coronal polishing procedure may be billed as a prophylaxis unless the dentist has performed an evaluation for calculus, deposits, or accretions and a dentist or dental hygienist has removed any substances detected.

History

• Authority G.S. 90-29(c)(9); 90-41; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2016; April 1, 2015; January 1, 2014; September 1, 2009; September 1, 2008; August 1, 2000; October 1, 1996; January 1, 1994; May 1, 1989; October 1, 1985; March 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. April 1, 2018.

21 NCAC 16H .0204 General Prohibited Functions of Dental Assistants I and Ii

History

• Status: repealed
• Authority G.S. 90-29(c)(9); 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989.
• Repealed Eff. August 1, 2000.

21 NCAC 16H .0205 Specific Prohibited Functions of Dental Assistants I and Ii

The specific functions that shall not be delegated to either a Dental Assistant I or a Dental Assistant II include procedures prohibited in 21 NCAC 16G .0103 for dental hygienists. In addition, those procedures that require the professional education and skill of a dentist or dental hygienist and shall not be delegated to a Dental Assistant I or Dental Assistant II include:

(1) performing prophylaxis;

(2) performing periodontal screening;

(3) performing periodontal probing;

(4) performing exploration for or removal of hard or soft deposits, except as provided by Rule .0203 of this Section;

(5) performing sulcular irrigation;

(6) using ultrasonic scalers;

(7) applying antibiotic-coated materials;

(8) applying resorbable antimicrobial agents;

(9) performing root planing;

(10) applying oral cancer screening products; or

(11) using laser fluorescence detectors in preparation for the dentist's examination and diagnosis of cavities.

History

• Authority G.S. 90-29(c)(9); 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2000; January 1, 1994; May 1, 1989; March 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2025; April 1, 2018.

21 NCAC 16H .0206 Direct Control and Supervision Defined

In any instance in which the rules adopted by the Board or any portion of the North Carolina Dental Practice Act shall require or direct that any act or function be performed by a Dental Assistant I or II under the direct control and supervision of a dentist, the term "direct control and supervision of a dentist" means that the dentist must be present in the office when the act or function is being performed and that the dentist must directly and personally supervise, examine, and evaluate the results of any and all acts and functions lawfully done or performed by any person other than the dentist.

History

• Authority G.S. 90-29(c)(9); 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16H .0207 Limited Exception for Assisting Hygienists

History

• Status: expired
• Authority G.S. 90-29(c)(9); 90-48; 90-233
• Eff. December 1, 2016
• Expired Eff. May 31, 2019 (Agency did not readopt rule by RRC established deadline).

21 NCAC 16H .0208 Limited Exception for Assisting Hygienists

A Dental Assistant II may assist a Limited Supervision Hygienist, who is qualified and practicing pursuant to 21 NCAC 16Z .0101-.0103, in providing oral hygiene instruction, applying sealants, applying topical fluorides, applying fluoride varnishes, and while the Hygienist is performing prophylaxis, provided:

(1) The treatment is provided to children in school-based oral health programs under the "ECU School-based Oral Health Expansion Readiness" grant, proposal number 19-0786 and related project number A19-0231, developed by the East Carolina University School of Dental Medicine and funded by The Duke Endowment; and

(2) Prior to any treatment being provided, a licensed North Carolina dentist has:

(a) examined the patient;

(b) ordered in writing the treatment provided to the patient; and

(c) agreed to provide the patient with any necessary additional treatment resulting from the treatment rendered in accordance with this Rule.

History

• Authority G.S. 90-29(c)(9); 90-48; 90-233
• Eff. October 1, 2019.

Subchapter I

21 NCAC 16I .0101 Applications

(a) A renewal application for a dental hygiene license shall be submitted electronically before midnight on January 31 of each year through the Board's website: www.ncdentalboard.org. The renewal application shall include:

(1) dental hygiene license number;

(2) full name;

(3) mailing address and any secondary address the licensee wishes to provide;

(4) telephone number;

(5) fax number;

(6) email address;

(7) citizenship or immigration status, with verifying documentation;

(8) whether, during the calendar year preceding the application, the licensee has:

(A) been summoned to court or before a magistrate for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(B) been arrested for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(C) been taken into custody for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(D) been indicted for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(E) been convicted or tried for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(F) been charged with the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(G) pleaded guilty to the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(H) been disciplined by any professional licensing board; or

(I) had a malpractice suit settled or pending against the licensee;

(9) whether the licensee has been investigated for employee misclassification as an independent contractor within the five years preceding the application;

(10) employment status as a dental hygienist as of the date of the application, including;

(A) whether the licensee is currently working as a dental hygienist;

(B) name of the practice in which the licensee provides services;

(C) primary setting in which the licensee provides services;

(D) type of employer for which the licensee works; and

(E) number of hours the licensee works in an average week;

(11) a report of the licensee's completion of continuing education hours related to clinical patient care during the calendar year preceding the application, or the licensee's exemption from reporting;

(12) whether the licensee holds an unexpired CPR certification;

(13) whether the licensee has been employed as a limited supervision hygienist as set forth in 21 NCAC 16Z during the calendar year preceding the application; and

(14) a written statement certifying that the information submitted is accurate to the best of the licensee's knowledge.

(b) In addition to the requirements of Paragraph (a) of this Rule, the licensee shall mail to the Board the following materials for review by the Board before the license will be renewed:

(1) for each matter existing under Subparagraph (a)(8) of this Rule, a statement describing the nature, facts, and disposition of the matter, and include a copy, certified by the clerk of court or the applicable licensing board, of the disposition or judgment in the matter; and

(2) for each matter under Subparagraph (a)(9) of this Rule, documentation of the results of the investigation.

(c) The Board shall receive all information and documentation set forth in Paragraphs (a) and (b) of this Rule, accompanied by the renewal fees set forth in 21 NCAC 16M .0102, for the renewal application to be complete. If a renewal application is not complete, the license shall not be renewed.

(d) Eligible licensees shall be granted an extension period as set out in Rule .0111 of this Subchapter in which to pay renewal fees, obtain CPR certification, and comply with the Board's continuing education rules.

(e) Any license obtained through fraud or by any false representation shall be revoked.

History

• Authority G.S. 90-227; 93B-15
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 2015; February 1, 2008; April 1, 2003; August 1, 1998; May 1, 1989.
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. September 1, 2020.

21 NCAC 16I .0106 Fee for Late Filing

If the application for a renewal certificate, accompanied by the renewal fee of eighty-one dollars ($81.00) and annual fee to assist in funding for programs for impaired dentists of twenty-five dollars ($25.00), is not received in the Board's office before the close of business on January 31 of each year, an additional fee of fifty dollars ($50.00) shall be charged for the renewal certificate.

History

• Authority G.S. 90-227; 90-232
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Transferred and Recodified from 21 NCAC 16I .0002 Eff. May 1, 1994
• Amended Eff. February 1, 2008; April 1, 2003; August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. October 1, 2019.

21 NCAC 16I .0107 License Void Upon Failure to Renew

If an application for a renewal certificate, accompanied by the renewal fee and the additional late filing fee, is not received in the Board's office before midnight on March 31 of each year, the license becomes void and the hygienist must petition the Board for reinstatement.

History

• Authority G.S. 90-227
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Transferred and Recodified from21 NCAC 16I .0003 Eff. May 1, 1994
• Amended Eff. April 1, 2015; February 1, 2008; April 1, 2003; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16I .0108 Form of Certificate

The certificate of renewal of license shall bear the original license number, the full name of the applicant, and the date of issuance.

History

• Authority G.S. 90-222; 90-223; 90-227
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1991
• Transferred and Recodified from 21 NCAC 16I .0004 Eff. May 1, 1994
• Amended Eff. April 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16I .0109 Certificate Displayed

(a) The original license and current certificate of renewal of license for a Dental Hygienist shall at all times be displayed where it is visible to patients receiving treatment at the office where the dental hygienist is employed.

(b) Hygienists providing treatment at more than one office shall only be required to display a current renewal certificate of license at each additional office where they provide dental hygiene services, as long as the original license is displayed in at least one office.

(c) Hygienists shall produce their original license and current renewal certificate on demand of the North Carolina State Board of Dental Examiners or its agents.

History

• Authority G.S. 90-227
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Transferred and Recodified from 21 NCAC 16I .0005 Eff. May 1, 1994
• Amended Eff. August 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16I .0110 Definitions

The following definitions apply only to this Subchapter:

(1) "Dental Board" -- the North Carolina State Board of Dental Examiners.

(2) "Eligible licensees"-- all hygienists currently licensed by and in good standing with the North Carolina State Board of Dental Examiners who are serving in the armed forces of the United States and who are eligible for an extension of time to file a tax return pursuant to G.S. 105-249.2.

(3) "Extension period" -- the time period disregarded pursuant to 26 U.S.C. 7508.

(4) "Good standing" – a hygienist whose license is not suspended or revoked and who is not practicing under any probationary terms.

History

• Authority G.S. 90-222; 90-223; 93B-15
• Eff. April 1, 2010
• Amended Eff. April 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16I .0111 Exemptions Granted

(a) Eligible licensees, as defined in Rule .0110 of this Section, are granted a waiver of their mandatory continuing education requirements for the period allowed pursuant to G.S. 105-249.2

(b) Eligible licensees are granted an extension for the period allowed pursuant to G.S. 105-249.2 in which to pay license renewal fees and comply with all other requirements imposed by the Dental Board as conditions for maintaining licensure.

History

• Authority G.S. 90-222; 90-223; 93B-15
• Eff. April 1, 2010
• Amended Eff. April 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16I .0201 Continuing Education Required

(a) As a condition of license renewal, each dental hygienist shall complete six clock hours of continuing education each calendar year. The hours may be acquired through self-study courses. To count toward the mandatory continuing education requirement, self-study courses shall be related to clinical patient care and offered by a Board-approved sponsor listed in Rule .0202 of this Section. The dental hygienist shall pass a test administered by the self-study course sponsor and obtain a certificate of completion from the sponsor.

(b) An unexpired certification in CPR is required in addition to the mandatory continuing education hours.

(c) Upon receipt of a written request from the dental hygienist, the Board will grant exemptions from the requirements set out in this Rule and in Rule .0206 of this Section as follows:

(1) A dental hygienist who practices not more than 250 clock hours in a calendar year shall be classified as a semi-retired dental hygienist, and shall:

(A) be exempt from the requirement set out in Paragraph (a) of this Rule to complete six clock hours of continuing education each calendar year; and

(B) maintain an unexpired CPR certification.

(2) A retired dental hygienist who does not practice any dental hygiene shall be exempt from all continuing education and CPR certification requirements.

(d) If a dental hygienist who has been exempted from continuing education requirements wishes to resume practicing for more hours than permitted by his or her classification under Paragraph (c) of this Rule, the Board shall require an unexpired CPR certification and continuing education courses for the calendar year in which he or she increases practice hours in accordance with this Rule and Rule .0206 of this Section when reclassifying the dental hygienist. A dental hygienist who has been classified as retired and wishes to resume practice shall satisfy the reinstatement requirements of 21 NCAC 16C .0601.

History

• Authority G.S. 90-225.1; 90-229
• Eff. May 1, 1994
• Amended Eff. April 1, 2015; November 1, 2008; April 1, 2001; August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Recodified from 21 NCAC 16I .0102 Eff. January 1, 2020
• Amended Eff. July 1, 2023.

21 NCAC 16I .0202 Approved Courses and Sponsors

(a) Courses allowed to satisfy the continuing education requirement shall be related to clinical patient care. Hours spent reviewing dental or dental hygiene publications or videos shall not count toward fulfilling the continuing education requirement, with the exception of self study courses as described in Rule .0201 of this Subchapter that are offered by a Board approved continuing education sponsor.

(b) Approved continuing education course sponsors include:

(1) providers recognized by the American Dental Association's Continuing Education Recognition Program, the Academy of General Dentistry, the American Dental Hygienists' Association, or components of such organizations;

(2) North Carolina Area Health Education Centers;

(3) educational institutions with dental, dental hygiene or dental assisting schools or departments;

(4) national, state, or local societies or associations;

(5) local, state, or federal governmental entities; and

(6) Federally Qualified Health Centers.

History

• Authority G.S. 90-225.1
• Eff. May 1, 1994
• Amended Eff. November 1, 2008; April 1, 2001; August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Recodified from 21 NCAC 16I .0103 Eff. January 1, 2020
• Amended Eff. July 1, 2022.

21 NCAC 16I .0203 Reporting Continuing Education

(a) The number of hours completed to satisfy the continuing education requirement shall be indicated on the renewal application form submitted to the Board and certified by the hygienist. Upon request by the Board or its authorized agent, the hygienist shall provide documentation of attendance at courses indicated. Such documentation shall be provided by the organization offering or sponsoring the course. Documentation must include:

(1) the title;

(2) the number of hours of instruction;

(3) the date of the course attended;

(4) the name(s) of the course instructor(s); and

(5) the name of the organization offering or sponsoring the course.

(b) All records, reports and certificates relative to continuing education hours must be maintained by the licensee for at least two years and shall be produced upon request of the Board or its authorized agent.

(c) Dental hygienists shall receive four hours credit per year for continuing education when engaged in the following:

(1) service on a full-time basis on the faculty of an educational institution with direct involvement in education, training, or research in dental or dental auxiliary programs; or

(2) service on a full-time basis with a federal, state or county government agency whose operation is directly related to dentistry or dental auxiliaries.

Verification of credit hours shall be maintained in the manner specified in this Rule.

(d) Evidence of service or affiliation with an agency as specified in Paragraph (c) of this Rule shall be in the form of verification of affiliation or employment which is documented by a director or an official acting in a supervisory capacity.

(e) Hygienists who work at least 20 hours per week in an institution or entity described in Subparagraph (c)(1) or (2) of this Rule shall receive two hours credit per year for continuing education.

(f) Hygienists may receive one hour of continuing education credits per year for performing at least five hours of dental hygiene on a volunteer basis at any state, city or county operated site approved by the Dental Board. Credit will not be given for less than five hours of volunteer work.

History

• Authority G.S. 90-225.1
• Eff. May 1, 1994
• Amended Eff. November 1, 2008; September 1, 2008; June 1, 2008; August 1, 2002; April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Recodified from 21 NCAC 16I .0104 Eff. January 1, 2020.

21 NCAC 16I .0205 Penalty/Non-Compliance/Continuing Education Requirement

(a) If the applicant for a renewal certificate fails to provide proof of completion of reported continuing education hours for the current year as required by Rules .0201 and .0203 of this Subchapter, the Board shall refuse to issue a renewal certificate for the year for which renewal is sought until the licensee completes the required hours of education for the current year and meets all other qualifications for renewal. If the applicant applies for credit for continuing education hours or a reduction of continuing education hours and fails to provide the required documentation upon request, the Board shall refuse to issue a certificate of renewal until the applicant meets the qualifications for credit.

(b) If an applicant fails to meet the qualifications for renewal, including completing the required hours of continuing education and delivering the required documentation to the Board's office before midnight on March 31 of each year, the license becomes void and the holder must petition the Board for reinstatement.

History

• Authority G.S. 90-225.1; 90-227
• Eff. May 1, 1994
• Amended Eff. April 1, 2015; February 1, 2008; April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Recodified from 21 NCAC 16I .0105 Eff. January 1, 2020.

21 NCAC 16I .0206 continuing educaTION ON MENTAL HEALTH

(a) Every two calendar years, each dental hygienist shall complete one clock hour of continuing education on mental health. To count toward this requirement, the course shall be:

(1) designed to address relevant mental health issues for dental professionals, including substance use disorders, chemical dependency, impairment, or mental health disorders; and

(2) offered by a Board-approved sponsor as set out in Rule .0202(b) of this Section.

(b) The continuing education requirement set out in Paragraph (a) of this Rule may be completed through a self-study course that satisfies Subparagraphs (a)(1) and (2) of this Rule. The dental hygienist shall pass a test administered by the self-study course sponsor and obtain a certificate of completion from the sponsor.

(c) Every two calendar years, a dental hygienist may apply one clock hour of a course meeting the requirements of this Rule toward the total number of continuing education hours required pursuant to Rule .0201(a) of this Section.

History

• Authority G.S. 90-223; 90-225.1
• Eff. October 1, 2022
• Amended Eff. June 1, 2025.

Subchapter J

21 NCAC 16J .0101 Premises

(a) The premises of a dental facility shall be kept free of rubbish and any substances that create a hazard, as follows:

(1) all floors shall be free of obstacles to cleaning;

(2) reception areas, hallways, treatment areas, office facilities, and other walking surfaces shall be free of obstruction;

(3) all equipment and instruments that have been used for patient dental care shall be handled in accordance with Rule .0103 of this Subchapter; and

(4) solid wastes and medical wastes shall be handled and disposed of in accordance with 15A NCAC 18A .1300, which is incorporated by reference, including subsequent amendments.

(b) The premises shall be kept free of all insects and vermin.

(c) Water shall be piped under pressure to all equipment and fixtures where the use of water is required. The water supply shall meet the requirements in 15A NCAC 18A .1700 or 15A NCAC 18C, which are incorporated by reference, including subsequent amendments.

(d) All plumbing shall comply with applicable local plumbing ordinances and with the North Carolina State Plumbing Code, which is incorporated by reference, including subsequent amendments and editions, and is available at no cost online at https://www.ncosfm.gov/codes/codes-current-and-past.

(e) Comfortable and sanitary conditions for patients and employees shall be maintained at all times, as follows:

(1) floors, including carpeted areas, shall be kept clean, dry, odor free, and in good repair;

(2) walls and ceilings shall be kept clean and in good repair;

(3) doors, windows, and window treatments shall be kept clean and in good repair;

(4) equipment, furniture, and light fixtures, including in reception areas, shall be kept clean and in good repair;

(5) rooms shall be heated, cooled, and ventilated to maintain a temperature between 65°F (19°C) and 85°F (30°C), and ventilation equipment shall be kept clean and in good repair; and

(6) moisture shall be controlled such that there is no evidence of microbial growth on interior surfaces and objects.

(f) All liquid and human waste, including floor wash water, shall be disposed of through trapped drains into a public sanitary sewer system in localities where such system is available. In localities where a public sanitary system is not available, liquid and human waste shall be disposed of in accordance with 15A NCAC 18A .1300 and 15A NCAC 18C.

(g) There shall be functioning toilet facilities on the premises of every dental office. The toilet facilities and fixtures shall be kept clean and in good repair, and shall conform to standards set out in 15A NCAC 18A .1300.

(h) No animals shall be allowed in any area of a dental office where clinical work is being performed, except service animals in accordance with G.S. 168-4.2 and the Americans with Disabilities Act, or certified facility dogs. For purposes of this Rule, a "certified facility dog" shall be defined as a dog that is trained and certified by a program that is accredited by or a member of Assistance Dogs International, Animal Assisted Intervention International, or a similar organization whose purpose is to promote standards of training, placement, and utilization of assistance dogs (an "assistance dog program"). While in the dental office, the facility dog shall be handled by a dentist, dental hygienist, dental assistant, or other employee designated by the dentist who is trained and certified by an assistance dog program.

(i) For purposes of this Rule, "clean" means washed and free from dirt, grime, bodily fluids or tissue, foreign material, or unwanted matter. "Good repair" means capable of being cleaned and used for its intended purpose in a safe manner.

History

• Authority G.S. 90-41(a)(23); 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 2015; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2021.

21 NCAC 16J .0102 Housekeeping

History

• Status: repealed
• Authority G.S. 90-23; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 16J .0103 Sterilization and Infection Control

(a) All instruments or equipment used in the treatment of dental patients shall be sterilized according to manufacturer specifications.

(b) All settings in which licensees engage in the practice of dentistry or dental hygiene ("dental settings") shall comply with the recommendations and guidelines of the Centers for Disease Control and Prevention ("CDC") for infection prevention and control directed at or applicable to dental settings. The CDC recommendations and guidelines are incorporated by reference, including subsequent amendments and editions, and are available at no cost online at https://www.cdc.gov.

(c) All licensees are responsible for utilizing and maintaining sterilization and infection control techniques and precautions as required by this Rule to prevent the cross contamination and transmission of infection to all persons.

History

• Authority G.S. 90-41(a)(23); 90-48; 90-233(a5)
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. February 1, 2008; May 1, 1991
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2021.

Subchapter K

21 NCAC 16K .0101 Authority for Designation

History

• Status: repealed
• Authority G.S. 90-29(c)(4)
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 16K .0102 Supervision and Direction

History

• Status: repealed
• Authority G.S. 90-29(c)(4)
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 16K .0103 Instructors to Be Approved

All dentists acting as instructors in dental school extension facilities shall be approved by that official of a North Carolina school of dentistry who is generally responsible for faculty appointments.

History

• Authority G.S. 90-29(c)(4)
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 2015; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16K .0104 No Fees for Services

Any student enrolled in a dental school extension facility shall receive no fees, compensation or remuneration of any kind or nature for dental services rendered by him other than for expenses incurred or such subsistence allowance as is authorized and permitted by the agency or entity wherein or for which said services are rendered in accordance with G.S. 90-29(c)(4).

History

• Authority G.S. 90-29(c)(4)
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16K .0105 Extension of School of Dentistry

History

• Status: repealed
• Authority G.S. 90-29(c)(4)
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 16K .0106 Reports to Board

Every North Carolina school of dentistry shall keep the Board informed of the:

(1) location and kind of patients seen at each dental school extension facility;

(2) names of the students assigned there; and

(3) names and qualifications of all instructors functioning therein.

History

• Authority G.S. 90-29(c)(4)
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 2015; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

Subchapter L

21 NCAC 16L .0101 Ballots

Ballots shall contain the name and practicing address of each nominee.

History

• Authority G.S. 90-22
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16L .0102 Notice to Nominee

Each nominee shall be notified by the Secretary of the Board of Elections of his nomination before midnight May 20.

History

• Authority G.S. 90-22
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16L .0103 Nominated Board Member Disqualified from Vote

History

• Status: repealed
• Authority G.S. 90-22
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 16L .0104 Solicitations for Votes

Solicitations for votes shall not:

(1) be false or misleading or imply endorsement by the Board;

(2) contain a material misrepresentation of fact;

(3) misrepresent credentials, degrees, education, or experience of the candidate;

(4) include false or misleading testimonials or endorsements;

(5) mislead or deceive because only partial disclosure of relevant facts are made;

(6) contain representations or implications that the solicitation materials were generated by the Board; or

(7) use or refer to the Board's name or any variation of the Board's name on the candidate's letterhead, envelopes, postcards or other printed or electronic media. The candidate may indicate that he or she is a candidate for election to the Board.

History

• Authority G.S. 90-22; 90-48
• Eff. April 1, 2003
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

Subchapter M

21 NCAC 16M .0101 Dentists

(a) The following fees shall be payable to the Board:

(1) Application for general dentistry license $ 395.00

(2) Renewal of general dentistry license $ 289.00

(3) Application for instructor's license or renewal thereof $ 140.00

(4) Application for provisional license $ 100.00

(5) Application for intern permit or renewal thereof $ 150.00

(6) Certificate of license to a resident dentist desiring to change

to another state or territory $ 25.00

(7) Duplicate license $ 25.00

(8) Reinstatement of license $ 225.00

(9) Fee for late renewal of any license or permit $ 50.00

(10) Application for license by credentials $2000.00

(11) Application for limited volunteer dental license $ 100.00

(12) Renewal of limited volunteer dental license $ 25.00

(13) Board conducted examination processing fee $ 805.00

(14) Application for license by endorsement $ 395.00

(b) Each dentist renewing a license to practice dentistry in North Carolina shall be assessed a fee of forty dollars ($40.00), in addition to the annual renewal fee, to be contributed to the operation of the North Carolina Caring Dental Professionals.

History

• Authority G.S. 90-28; 90-39; 90-48; 150B-19(5); 93B-15.1
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 1998; December 1, 1994; May 1, 1989; March 1, 1988; May 1, 1987
• Temporary Amendment Eff. October 28, 1998
• Amended Eff. August 1, 2000
• Temporary Amendment Eff. January 1, 2003
• Amended Eff. September 19, 2013; May 1, 2011; April 1, 2006; March 1, 2004; January 1, 2004; April 1, 2003
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16M .0102 Dental Hygienists

(a) The following fees shall be payable to the Board:

(1) Application for examination

conducted by the Board $275.00

(2) Renewal of dental hygiene license $81.00

(3) Reinstatement of license $60.00

(4) Application for provisional licensure $60.00

(5) Certificate to a resident dental hygienist

desiring to change to another state or territory $25.00

(6) Application for license by credentials $750.00

(7) License application processing fee $75.00

(b) Each dental hygienist renewing a license to practice dental hygiene in North Carolina shall be assessed a fee of twenty-five dollars ($25.00), in addition to the annual renewal fee, to be contributed to the operation of the North Carolina Caring Dental Professionals.

History

• Authority G.S. 90-232; 150B-19(5)
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; March 1, 1988; May 1, 1987
• Temporary Amendment Eff. August 20, 1999
• Amended Eff. April 1, 2001
• Temporary Amendment Eff. January 1, 2003
• Amended Eff. October 1, 2006; June 1, 2006; March 1, 2004; January 1, 2004; April 1, 2003
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16M .0103 Primary Source Verification Fee

All primary source verification requests must be in writing. Primary source verifications shall be provided in writing only for a fee of fifteen dollars ($15.00).

History

• Authority G.S. 150B-19(5)
• Eff. August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

Subchapter N

21 NCAC 16N .0101 Petition for Rulemaking Hearings

Any person wishing to submit a petition requesting the adoption, amendment or repeal of a rule by the Board shall address the petition to the Board's office. The envelope containing the petition should clearly bear the notation: RULEMAKING PETITION RE: and then the subject area, for example, DENTAL PRACTICE ACT or DENTAL HYGIENE ACT.

History

• Authority G.S. 150B-16
• Eff. August 25, 1977
• Amended Eff. May 1, 1989; March 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16N .0102 Contents of Petition

The petition shall include the following information:

(1) An indication of the subject area to which the petition is directed; for example, "This is a petition to hold a rulemaking hearing to amend Rule .0000 of Subchapter X pertaining to delegable duties to dental auxiliaries";

(2) Either a draft of the proposed rule or a summary of its contents;

(3) Reasons for the proposal;

(4) The effect on existing rules or orders;

(5) Any data supporting the proposal;

(6) Affect of the proposed rule on existing practices in the area involved, including cost factors;

(7) Names of those most likely to be affected by the proposed rule, with addresses if reasonably known; and

(8) Name and address of each petitioner.

History

• Authority G.S. 150B-16
• Eff. August 25, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16N .0103 Disposition of Petitions

(a) The Board will determine whether the public interest would be served by the adoption, amendment or repeal of the requested rule. Prior to making this determination, the Board may:

(1) Request additional information from the petitioner;

(2) Contact interested persons or those likely to be affected by the proposed rule and request comments; and

(3) It may use any other appropriate method for obtaining information on which to base its determination. It will consider all the contents of the petition submitted plus any other information obtained by the means described herein.

(b) The Board shall act on a petition at its next regularly scheduled meeting or within 120 days after submission of a petition.

History

• Authority G.S. 150B-16
• Eff. August 25, 1977
• Amended Eff. May 1, 1989; October 1, 1986; January 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16N .0201 Notice of Proceedings

History

• Status: repealed
• Authority G.S. 90-28; 90-48; 90-223(b); 150B-12; 150B-60
• Eff. August 25, 1977;.
• Amended Eff. October 1, 1986
• Repealed Eff. May 1, 1989.

21 NCAC 16N .0202 Notice of Mailing List

The Board maintains a mailing list of persons that have requested notice of rulemaking, and sends notices of rulemaking to persons on the mailing list by electronic mail. Any person or agency desiring to be placed on the mailing list for the Board's rulemaking notices may submit a written request by email, fax, or first-class mail to the Board's office. The request shall provide the email address to which notices will be sent. If circumstances require that rulemaking notices be sent by first-class mail, the Board may require reasonable postage and stationery costs to be paid by those requesting the notices.

History

• Authority G.S. 90-48; 150B-21.2(d)
• Eff. August 25, 1977
• Amended Eff. May 1, 1989; March 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. August 1, 2024.

21 NCAC 16N .0203 Additional Information

History

• Status: expired
• Authority G.S. 90-48; 90-223(b); 150B-12
• Eff. August 25, 1977
• Amended Eff. March 1, 1985
• Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

21 NCAC 16N .0301 Request to Participate

History

• Status: repealed
• Authority G.S. 90-48; 150B-12(a)
• Eff. August 25, 1977
• Amended Eff. May 1, 1989
• Repealed Eff. April 1, 2014.

21 NCAC 16N .0302 Content of Request: General Time Limitations

Presentations at Board rule making hearings shall be limited to 15 minutes unless the Board prescribes some other time limit.

History

• Authority G.S. 90-48; 90-223(b); 150B-12(a)
• Eff. August 25, 1977
• Amended Eff. April 1, 2014; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16N .0303 Receipt of Request: Specific Time Limits

History

• Status: repealed
• Authority G.S. 90-48; 90-223(b); 150B-12(a)
• Eff. August 25, 1977
• Amended Eff. May 1, 1989.
• Repealed Eff. April 1, 2014.

21 NCAC 16N .0304 Written Submissions

Any person may file a written submission containing data, comments or arguments after publication of notice of a rulemaking hearing up to the date of hearing. The Board may in its discretion grant an additional 30 days after a hearing for further comment and argument. These written comments should be sent to the Board's office. They should clearly state the rule or proposed rule to which such comments are addressed.

History

• Authority G.S. 90-48; 90-223(b); 150B-12
• Eff. August 25, 1977
• Amended Eff. May 1, 1989; March 1, 1988; October 1, 1986; March 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16N .0305 Board President to Preside: Powers and Duties

The president of the Board shall preside at a rulemaking hearing and shall be authorized to do the following:

(1) Grant any extension of time in connection with a request for the presentation of oral data, views or arguments;

(2) Recognize any prospective speaker;

(3) Extend or shorten the time allotted for any particular presentation; and

(4) Direct the overall proceedings including management of any questions directed to any speaker by any Board member.

History

• Authority G.S. 90-48; 90-223(b); 150B-12(a)
• Eff. August 25, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16N .0306 Statement of Reasons for Decision

History

• Status: repealed
• Authority G.S. 90-28; 150B-60(4); 90-48; 90-223(b); 150B-12(e)
• Eff. August 25, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 16N .0307 Record of Proceedings

A record of all rulemaking proceedings will be maintained in the Board's office for as long as the rule is in effect, and for five years thereafter, following filing. This record will contain: the original petition if any, the notice, all written memoranda and information submitted, and any record or summary of oral presentations, if any. A record of the rulemaking proceedings will be available for public inspection during the regular office hours of the Board.

History

• Authority G.S. 90-48; 90-223(b); 150B-12(e)
• Eff. August 25, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16N .0308 Temporary Rules

History

• Status: repealed
• Authority G.S. 90-28; 150B-13
• Eff. August 25, 1977
• Amended Eff. April 1, 1988
• Repealed Eff. May 1, 1989.

21 NCAC 16N .0401 Subjects of Declaratory Rulings

History

• Status: repealed
• Authority G.S. 90-28; 90-48; 90-223(b); 150B-17
• Eff. August 25, 1977
• Amended Eff. October 1, 1986
• Repealed Eff. May 1, 1989.

21 NCAC 16N .0402 Submission of Request for Ruling

All requests for declaratory rulings shall be written and mailed to the Board's office. The envelope containing the request should bear the notation: REQUEST FOR DECLARATORY RULING. The request must include the following information:

(1) Name and address of petitioner;

(2) Statute or rule to which petition relates;

(3) Concise statement of the manner in which petitioner is aggrieved by the rule or statute or its potential application to him; and

(4) A statement of whether an oral hearing is desired and if so, the reason therefor.

History

• Authority G.S. 150B-4
• Eff. August 25, 1977
• Amended Eff. May 1, 1989; October 1, 1986; March 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16N .0403 Disposition of Requests

(a) When the Board deems it appropriate to issue a declaratory ruling, it shall issue the declaratory ruling as soon as practicable but no longer than the period set out in G.S. 150B-4(a1).

(b) A declaratory ruling proceeding may consist of written submissions or other procedures the Board determines to be in the interests of justice and judicial economy based on the content and circumstances of the request.

(c) Whenever the Board finds good cause exists to deny the request for a declaratory ruling, the Board may deny the request to issue a declaratory ruling. In that event, the Board shall notify the petitioner of its decision in writing, stating the reasons for the denial of the declaratory ruling.

(d) For purposes of Paragraph (c) of this Rule, good cause for the denial of a declaratory ruling request may include one of the following:

(1) the petitioner does not show that the circumstances are changed since the adoption of the rule and a declaratory ruling would be warranted;

(2) at the time the rule was adopted, the Board gave full consideration to the factors specified in the request for a declaratory ruling;

(3) there has been a previous determination of a contested case involving similar factual questions; or

(4) the subject matter of the request is involved in pending litigation in any State or federal court in North Carolina.

History

• Authority G.S. 150B-4
• Eff. August 25, 1977
• Amended Eff. May 1, 1989; October 1, 1986
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. September 1, 2020.

21 NCAC 16N .0404 Record of Decision

A record of all declaratory ruling proceedings will be maintained in the Board's office for as long as the ruling is in effect and for five years thereafter. This record will contain: the request, all written submissions filed on the request, whether filed by the petitioner or any other person, and a record or summary of all the oral presentations, if any. Records of declaratory ruling proceedings will be available for public inspection during the Board's regular office hours.

History

• Authority G.S. 150B-4
• Eff. August 25, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16N .0405 Definition

History

• Status: repealed
• Authority G.S. 90-28; 150B-17; 90-48; 90-223(b); 150B-60(4); 150B-12(e)
• Eff. August 25, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 16N .0501 Right to Hearing

(a) When the Board acts or proposes to act in a manner that will affect the rights, duties, or privileges of a licensee or applicant, the licensee or applicant has a right to an administrative hearing.

(b) Except in contested cases for which the Board serves a notice of hearing in accordance with G.S. 150B-3 and 150B-38, the Board shall give the affected person notice of the right to a hearing by mail to the affected person's last known address. If the affected person desires a hearing, they shall request a hearing within 30 days of the date of the Board's notice of right to a hearing. The request shall be in writing, and shall contain a clear and specific statement of request for a hearing. The request shall be sent to the Board's office by email, fax, or delivery to the Board's mailing address, as set out in 21 NCAC 16A .0107. Upon receipt of the affected person's request for a hearing, the Board shall issue a notice of hearing in accordance with G.S. 150B-38 and Rule .0504 of this Section.

(c) The right to an administrative hearing does not apply to rulemaking or declaratory ruling proceedings, to applicants for reinstatement after revocation, or to applicants for license by comity or credentials pursuant to G.S. 90-36.

History

• Authority G.S. 90-41.1; 150B-3; 150B-38
• Eff. August 25, 1977
• Amended Eff. May 1, 1989; November 20, 1980
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. August 1, 2024; October 1, 2019.

21 NCAC 16N .0502 Request for Hearing

(a) A licensee or applicant who believes their rights, duties, or privileges have been affected by the Board's administrative action, and who has not received a notice of a hearing or notice of a right to an administrative hearing, may submit to the Board a request for a hearing within 30 days of the date of the action taken by the Board which is challenged.

(b) The licensee or applicant shall submit the request to the Board's office by email, fax, or delivery to the Board's mailing address, as set out in 21 NCAC 16A .0107. The request shall contain:

(1) the name and address of the petitioner;

(2) a concise statement of the action taken by the Board which is challenged;

(3) a concise statement of the way in which petitioner has been aggrieved; and

(4) a clear and specific statement of request for a hearing.

History

• Authority G.S. 150B-38
• Eff. August 25, 1977
• Amended Eff. April 1, 2015; May 1, 1989; March 1, 1985; November 20, 1980
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. August 1, 2024.

21 NCAC 16N .0503 Granting or Denying Hearing Request

(a) Upon receipt of a request for a hearing submitted in accordance with Rule .0502 of this Section, the Board will decide whether to grant the request. Whenever the Board finds good cause exists to deny a request for a hearing, the Board may deny the request. For purposes of this Rule, good cause for denial of a hearing request exists when:

(1) the petitioner has not demonstrated a right to an administrative hearing pursuant to Rule .0501 of this Section;

(2) the request does not satisfy all the requirements set out in Rule .0502 of this Section; or

(3) the Board determines that the request should be denied for some other reason consistent with the Board's prior decisions, the Board's rules, and applicable laws including those found in Chapter 90 of the General Statutes.

(b) The denial of a request for a hearing will be issued in writing upon decision, no later than 60 days after the submission of the request. The denial shall state the reasons leading the Board to deny the request.

(c) Approval of a request for a hearing will be signified by the Board issuing a notice of hearing in accordance with G.S. 150B-38 and Rule .0504 of this Section.

History

• Authority G.S. 90-28; 90-48; 150B-38
• Eff. August 25, 1977
• Amended Eff. May 1, 1989; April 1, 1988; October 1, 1986; November 20, 1980
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. August 1, 2024.

21 NCAC 16N .0504 Notice of Hearing

(a) The Board shall give the party or parties in a contested case a notice of hearing by one of the following methods:

(1) a signed acceptance of service from the party;

(2) delivery to the party's attorney of record who accepts service on behalf of the party; or

(3) any method of service permitted pursuant to G.S. 150B-38(c).

(b) If the Board determines that the public health, safety, or welfare requires emergency action, it may issue an order summarily suspending a license pursuant to G.S. 150B-3. The licensee to whom the order is directed shall cease practicing in North Carolina effective on the date of service of the order. The Board shall give notice of hearing pursuant to G.S. 150B-3 and 150B-38 following service of the order. The suspension shall remain in effect pending issuance by the Board of a final agency decision pursuant to G.S. 150B-42.

History

• Authority G.S. 90-41.1; 150B-3; 150B-38
• Eff. August 25, 1977
• Amended Eff. April 1, 2015; May 1, 1989; April 1, 1988; October 1, 1986; November 20, 1980
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. August 1, 2024.

21 NCAC 16N .0505 Who Shall Hear Contested Cases

All administrative hearings shall be conducted by a panel consisting of a majority of Board members eligible to vote on the issue, or an administrative law judge designated to hear the case pursuant to G.S. 150B-40(e).

History

• Authority G.S. 150B-38; 150B-40
• Eff. August 25, 1997
• Amended Eff. April 1, 2015; March 1, 1988; October 1, 1986; November 20, 1980
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16N .0506 Petition for Intervention

(a) A person desiring to intervene in a contested case shall file a written petition with the Board's office. The request shall bear the notation: PETITION TO INTERVENE IN THE CASE OF (NAME OF CASE).

(b) The petition shall include the following information:

(1) the name and address of petitioner;

(2) the business or occupation of petitioner;

(3) the name and citation of the hearing in which petitioner is seeking to intervene;

(4) the grounds for intervention or a statement that no grounds exist;

(5) any claim or defense in respect to which intervention is sought; and

(6) a summary of the arguments or evidence petitioner seeks to present.

(c) The person desiring to intervene shall serve copies of the petition on all parties to the case.

(d) If the Board determines to allow intervention, it shall send written notice to the petitioner and all parties. In cases of discretionary intervention, such notification shall include a statement of any limitations of time, subject matter, evidence or whatever else the Board deems necessary that are imposed on the intervenor.

(e) If the Board decides to deny intervention it shall send written notice to the petitioner and all parties, stating the reasons for the denial.

History

• Authority G.S. 150B-38
• Eff. August 25, 1977
• Amended Eff. April 1, 2015; May 1, 1989; March 1, 1985; November 20, 1980
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16N .0507 Types of Intervention

(a) Intervention of Right. A petition to intervene of right, as provided in the North Carolina Rules of Civil Procedure, Rule 24, will be granted if the petitioner meets the criteria of that rule and his petition is timely.

(b) Permissive Intervention. A petition to intervene permissively, as provided in the North Carolina Rules of Civil Procedure, Rule 24, will be granted if the petitioner meets the criteria of that rule and the Board determines that:

(1) There is sufficient legal or factual similarity between the petitioner's claimed rights, privileges, or duties and those of the parties to the hearings; and

(2) Permitting intervention by the petitioner as a party would aid the purpose of the hearing.

(c) Discretionary Intervention. The Board may allow discretionary intervention, with whatever limits and restrictions are deemed appropriate. Upon the filing of a timely petition, discretionary intervention will be deemed advisable if:

(1) The information petitioner desires to present is relevant, not repetitious and cumulative; and

(2) The petitioner would lend added impact to the arguments of the parties.

History

• Authority G.S. 150B-38
• Eff. August 25, 1977
• Legislative Objection Lodged Eff. February 19, 1980
• Amended Eff. November 20, 1980
• Legislative Objection Removed Eff. March 19, 1981
• Amended Eff. May 1, 1989; April 2, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16N .0508 Disqualification of Board Members

(a) Self Disqualification. If a Board member determines that personal bias or other factors render that member unable to hear a contested case and perform all duties in an impartial manner, that Board member shall voluntarily decline to participate in the hearing or decision.

(b) Petition for Disqualification. If any party in a contested case believes that a Board member is personally biased or otherwise unable to hear a contested case and perform all duties in an impartial manner, the party may file a sworn, notarized affidavit with the Board. The title of such affidavit shall bear the notation: AFFIDAVIT OF DISQUALIFICATION OF BOARD MEMBER IN THE CASE OF (NAME OF CASE).

(c) Contents of Affidavit. The affidavit shall state all facts the party deems to be relevant to the disqualification of the Board member.

(d) Timeliness and Effect of Affidavit. An affidavit of disqualification shall be considered timely if filed 10 days before commencement of the hearing. Any other affidavit shall be considered timely provided it is filed at the first opportunity after the party becomes aware of facts which give rise to a reasonable belief that a Board member may be disqualified under this Rule. When a petition for disqualification is filed less than 10 days before or during the course of a hearing, the hearing shall continue with the challenged Board member sitting. The petitioner shall have the opportunity to present evidence supporting his or her petition, and the petition and any evidence presented at the hearing shall be made a part of the record. The Board, before rendering its decision, shall decide whether the evidence justifies disqualification. In the event of disqualification, the disqualified member shall not participate in further deliberation or decision of the case.

(e) Procedure for Determining Disqualification:

(1) The Board shall appoint a Board member to investigate the allegations of the affidavit.

(2) The investigator shall report to the Board the findings of the investigation.

(3) The Board shall decide whether to disqualify the challenged individual.

(4) The person whose disqualification is to be determined shall not participate in the decision but may be called upon to furnish information to the other members of the Board.

(5) When a Board member is disqualified, the hearing shall continue with the remaining members sitting, provided that the remaining members still constitute a majority of the Board who are eligible to vote.

(6) If a majority of the members of the Board who are eligible to vote are disqualified pursuant to this Rule, the Board shall petition the Office of Administrative Hearings to appoint an administrative law judge to hear the contested case pursuant to G.S. 150B-40(e).

History

• Authority G.S. 150B-38; 150B-40
• Eff. August 25, 1977
• Amended Eff. April 1, 2015; May 1, 1989; October 1, 1986; November 20, 1980
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16N .0601 Failure to Appear

History

• Status: repealed
• Authority G.S. 90-28; 90-48; 90-223(b); 150B-25(a); 150B-60(4)
• Eff. August 25, 1977
• Amended Eff. November 20, 1980
• Repealed Eff. April 1, 1988.

21 NCAC 16N .0602 Simplification of Issues

The parties to a contested case, specifically including the Board, may agree in advance to simplify the hearing by decreasing the number of the issues to be contested at the hearing, accepting the validity of certain proposed evidence, accepting the findings in some other case which relates to the case at hand or agreeing to such other matters as may expedite the hearing.

History

• Authority G.S. 150B-38; 150B-40
• Eff. August 25, 1977
• Amended Eff. May 1, 1989; November 20, 1980
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16N .0603 Subpoenas

(a) A request for subpoenas for the attendance and testimony of witnesses or for the production of documents, either at a hearing or for the purposes of discovery, shall:

(1) be made in writing to the Board;

(2) identify any documents sought with specificity;

(3) include the name and home or business address of all persons to be subpoenaed; and

(4) if known, the date, time, and place for responding to the subpoena.

(b) The Board shall issue the requested subpoenas within three days of the receipt of the request.

(c) Subpoenas shall contain:

(1) the caption of the case;

(2) the name and address of the person subpoenaed;

(3) the date, hour and location of the hearing in which the witness is commanded to appear;

(4) a description of the books, papers, records, or objects the witness is directed to bring with him to the hearing, if any;

(5) the identity of the party on whose application the subpoena was issued; and

(6) a return of service form.

(d) The "return of service" form, as filled out, shall show the name and capacity of the person serving the subpoena, the date the subpoena was delivered to the person directed to make service, the date service was made, the person on whom service was made, the manner in which service was made, and the signature of the person making service.

(e) Subpoenas shall be served as permitted by Rule 45 of the North Carolina Rules of Civil Procedure, as set forth in G.S. 1A-1.

(f) Any person receiving a subpoena from the Board may object thereto by filing a written objection to the subpoena with the Board's office. Such objection shall include a statement of all reasons why the subpoena should be revoked or modified. These reasons may include any basis sufficient in law for holding the subpoena invalid, such as that the evidence is privileged, that the burden of appearance or production outweighs the relevance of the evidence sought, or other undue hardship.

(g) Any objection to a subpoena shall be served on the party who requested the subpoena simultaneously with the filing of the objection with the Board.

(h) The party who requested the subpoena may file a written response to the objection within 10 days of receipt or 7 days prior to the contested case hearing, whichever is sooner. The written response shall be served by the requesting party on the objecting witness simultaneously with the filing of the response with the Board.

(i) After receipt of the objection and response thereto, if any, the Board shall issue a notice to the party who requested the subpoena and the party challenging the subpoena, and shall notify any other party or parties of a hearing.

(j) The Presiding Officer of the Board members hearing the contested case shall conduct the hearing and rule on the objection unless the interests of justice and judicial economy allow the Presiding Officer to involve the other Board members. On the basis of the content of the written objection and the response, the Presiding Officer shall either permit the parties to submit affidavits in advance of the hearing or permit the parties to present evidence and testimony at the hearing, limited to the narrow questions raised by the objection and response.

History

• Authority G.S. 90-28; 90-48; 90-223(b); 150B-39; 150B-40
• Eff. August 25, 1977
• Legislative Objection Lodged Eff. November 20, 1980
• Legislative Objection Removed Eff. March 19, 1981
• Amended Eff. April 1, 2015; May 1, 1989; March 1, 1988; October 1, 1986; March 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. October 1, 2019.

21 NCAC 16N .0604 Final Decision

The Board will issue the final decision in all contested cases. This decision is the prerequisite "final agency decision" for the right to judicial review.

History

• Authority G.S. 90-48; 90-223(b); 150B-43
• Eff. August 25, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16N .0605 Proposals for Decisions

(a) When an administrative law judge conducts a hearing pursuant to G.S. 150B-40(e), a "proposal for decision" shall be rendered. Any party may file written exceptions to this "proposal for decision" and submit their own proposed findings of fact and conclusions of law. Exceptions and alternative proposals must be received within ten days after the party has received the "proposal for decision" as drafted by the administrative law judge.

(b) Any exceptions to the procedure during the hearing, the handling of the hearing by the administrative law judge, rulings on evidence, or any other matter must be written and refer specifically to pages of the record or otherwise precisely identify the occurrence to which the exception is taken. Exceptions must be filed with the Board within ten days of the receipt of the proposal for decision. The written exceptions must bear the notation: EXCEPTIONS TO THE PROCEEDINGS IN THE CASE (NAME OF CASE).

(c) Any party may present oral argument to the Board upon request. The request must be included with the written exceptions.

(d) Upon receipt of request for further oral argument, notice will be issued promptly to all parties designating the time and place for such oral argument.

(e) Giving due consideration to the proposal for decision and the exceptions and arguments of the parties, the Board may adopt the proposal for decision or may modify it as the Board deems necessary. The decision rendered will be a part of the record and a copy thereof shall be given to all parties. The Board decision becomes the "final agency decision" for the right to judicial review. Said decision will be rendered by the Board within 60 days of the next regularly scheduled meeting following the oral arguments, if any. If there are no oral arguments presented, the decision will be rendered within 60 days of the next regularly scheduled Board meeting following receipt of the written exceptions.

History

• Authority G.S. 150B-38; 150B-40
• Eff. August 25, 1977
• Amended Eff. May 1, 1989; March 1, 1988; October 1, 1986; November 20, 1980
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16N .0606 Failure to Appear

Should a party fail to appear at a scheduled hearing, the Board, or the designated administrative law judge, may proceed with the hearing and make its decision in the absence of the party, provided that the party has been given proper notice. The Board or the administrative law judge may order a continuance in order to give the party another opportunity to appear.

History

• Authority G.S. 90-28; 90-48; 90-223(b); 150B-25(a); 150B-60(4)
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16N .0607 Disciplinary Factors

If the Board concludes that a dentist or dental hygienist (the "Respondent") has violated the Dental Practice Act, the Dental Hygiene Practice Act, or the Board's Rules, it shall consider the following factors relevant to the discipline to be imposed:

(1) The Board shall consider revocation of a license or permit if it concludes that lesser discipline is insufficient to protect the public and that one or more of the following factors applies:

(a) Respondent caused or contributed to a patient's death, permanent organic brain dysfunction, physical injury, or severe medical emergency requiring hospitalization;

(b) Respondent has been convicted of or entered a plea of guilty or nolo contendere to a felony charge; or

(c) Respondent engaged in fraud, dishonesty, misrepresentation, deceit, or fabrication related to the practice of dentistry or dental hygiene, including attempts to obtain or collect any fees.

(2) The Board shall consider revocation or suspension of a license or permit if it concludes that lesser discipline is insufficient to protect the public and that one or more of the following factors applies:

(a) Respondent's ability to practice dentistry or dental hygiene is impaired;

(b) Respondent is mentally, emotionally, or physically unfit to practice dentistry or dental hygiene;

(c) Respondent is incompetent in the practice of dentistry or dental hygiene;

(d) Respondent's violations resulted in harm or potential harm to a patient, the public, or the dental or dental hygiene profession;

(e) Respondent failed to comply with a prior Board decision or consent order;

(f) Respondent's violations demonstrate a lack of honesty, trustworthiness, or integrity;

(g) Respondent has been convicted of or entered a plea of guilty or nolo contendere to charges involving or found liable for acts of fraud, misrepresentation, deceit, or fabrication that are not related to the practice of dentistry or dental hygiene;

(h) Respondent committed multiple instances of negligence or malpractice in treating patients, including failure to complete treatment for patients;

(i) Respondent distributed or caused to be distributed any intoxicant, drug, or narcotic for an unlawful purpose;

(j) Respondent failed to participate in the Board's investigation and disciplinary process;

(k) Respondent aided a person or entity not licensed in this State to perform acts or services that can only be performed by a dentist or dental hygienist licensed in this State; or

(l) Respondent committed any acts set forth in Sub-items (1)(a)-(c) of this Rule.

(3) In all cases, the Board shall consider the following factors in imposing disciplinary measures:

(a) effect of Respondent's violation on a patient or other individuals;

(b) Respondent's elevation of his or her interest above that of the patient or the public;

(c) prior disciplinary violation in this State or any other jurisdiction, or the absence thereof;

(d) dishonest or selfish motive for the violation found, or the absence thereof;

(e) a pattern of violations;

(f) Respondent's intent either to commit acts where the harm or potential harm is foreseeable or to cause the harm or potential harm resulting from the acts;

(g) vulnerability of patient or victim, including violations involving an individual with a physical or mental disability or impairment;

(h) Respondent's failure to respond, or provide responsive documents or information, to requests or subpoenas from the Board during an investigation or disciplinary proceedings;

(i) Respondent's obstruction of the disciplinary proceedings by intentionally failing to comply with rules or orders of the Board;

(j) Respondent's submission of false evidence, false statements, or other deceptive practices during the Board's investigation or disciplinary process;

(k) Respondent's refusal to acknowledge the wrongful nature of the violation;

(l) impact of Respondent's actions on the patient's or public's perception of the dental or dental hygiene profession;

(m) Respondent's efforts to make restitution or to rectify consequences of misconduct, or the failure to do so;

(n) Respondent's physical or mental disability or impairment diagnosed by a treating medical professional, which condition caused or contributed to Respondent's conduct in the opinion of the treating medical professional;

(o) the degree of Respondent's rehabilitation, if any, prior to any disciplinary action;

(p) Respondent's voluntary disclosure to the Board or cooperative attitude toward the proceedings;

(q) Respondent's remorse for the violation or effect of the violation;

(r) Respondent's character or reputation in the community;

(s) remoteness in time of any prior violation by or discipline of Respondent;

(t) Respondent's degree of experience in the practice of dentistry or dental hygiene;

(u) imposition of other penalties or sanctions on Respondent for the conduct constituting the violation; and

(v) any other factors found to be pertinent to the consideration of the discipline to be imposed on Respondent.

History

• Authority G.S. 90-41; 90-229
• Eff. October 1, 2019.

Subchapter O

21 NCAC 16O .0101 Registration

History

• Status: repealed
• Authority G.S. 90-28; 90-29(b)(6); 90-48; 90-223; 150B-12
• Eff. May 24, 1978
• Repealed Eff. July 16, 1980.

21 NCAC 16O .0102 Reporting

History

• Status: repealed
• Authority G.S. 90-28; 90-29(b)(6); 90-48; 90-223; 150B-12
• Eff. May 24, 1978
• Repealed Eff. July 16, 1980.

21 NCAC 16O .0201 Educational Requirements

History

• Status: repealed
• Authority G.S. 90-28; 90-29(b)(6); 90-48; 90-223; 150A-12
• Eff. May 24, 1978
• Repealed Eff. July 16, 1980.

21 NCAC 16O .0202 Definition

History

• Status: repealed
• Authority G.S. 90-28; 90-29(b)(6); 90-48; 90-223; 150A-12
• Eff. May 24, 1978
• Repealed Eff. July 16, 1980.

21 NCAC 16O .0203 Approved Course(s)

History

• Status: repealed
• Authority G.S. 90-28; 90-29(b)(6); 90-48; 90-223; 150A-12
• Eff. May 24, 1978
• Repealed Eff. July 16, 1980.

21 NCAC 16O .0301 Conscious Sedation

"Conscious sedation" means the use of drugs for controlling pain or apprehension without rendering the patient unconscious.

History

• Authority G.S. 90-29(b)(6); 90-48; 90-223
• Eff. July 16, 1980
• Amended Eff. May 1, 1989
• Amended Eff. April 1, 2016 (See S.L. 2016-31)
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16O .0302 Monitoring

"Monitoring" means observation of the patient during the flow of sedation agents and includes reducing the flow of sedation or shutting off equipment controlling such flow. Monitoring does not include increasing the flow of sedation agents.

History

• Authority G.S. 90-29(b)(6); 90-48; 90-223
• Eff. July 16, 1980
• Amended Eff. May 1, 1989
• Amended Eff. April 1, 2016 (See S.L. 2016-31)
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16O .0401 Non-Delegable Functions

Conscious sedation shall not be induced by anyone other than a dentist or a lawfully qualified nurse or anesthetist who does so under the supervision and direction of a dentist or physician.

History

• Authority G.S. 90-29(b)(6); 90-48; 90-223
• Eff. July 16, 1980
• Amended Eff. May 1, 1989
• Amended Eff. April 1, 2016 (See S.L. 2016-31)
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16O .0402 Educational Requirements

(a) A Dental Assistant may aid and assist a licensed dentist in the monitoring of nitrous oxide-oxygen inhalant sedation by completing a Board-approved course totaling at least seven hours that covers the following topics:

(1) definitions and descriptions of physiological and psychological aspects of pain and anxiety;

(2) the states of drug-induced central nervous system depression through all levels of consciousness and unconsciousness, with emphasis on the distinction between the conscious and unconscious state;

(3) respiratory and circulatory physiology, and related anatomy;

(4) pharmacology of agents used in the nitrous oxide techniques being taught, including drug interaction and incompatibility;

(5) patient monitoring, with particular attention to vital signs and reflexes related to consciousness;

(6) prevention, recognition, and management of complications and life threatening situations that may occur during the use of the nitrous oxide techniques, including cardiopulmonary resuscitation;

(7) description and use of ventilation sedation equipment; and

(8) potential health hazards of trace anesthetics, and proposed techniques for elimination of these potential health hazards.

(b) Courses approved to satisfy the educational requirements of this Rule shall be provided and taught by:

(1) an instructor who is a dentist holding an unrestricted license as defined by 21 NCAC 16A .0101(7);

(2) an instructor licensed pursuant to 21 NCAC 16B .0701; or

(3) a dental hygienist or dental assistant under the direction of an instructor who satisfies the requirements of Subparagraph (b)(1) or (b)(2) of this Rule, who shall be physically present and administer nitrous oxide if it is administered in the course.

(c) Courses shall be reviewed at any Board meeting and approved by a majority of the Board to satisfy the educational requirements of this Rule. A list of approved courses is available on the Board's website at www.ncdentalboard.org.

History

• Authority G.S. 90-29(b)(6); 90-29(c)(10); 90-29(c)(13); 90-48; 90-223
• Eff. July 16, 1980
• Amended Eff. April 1, 2016; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. November 1, 2021.

21 NCAC 16O .0403 Previous Compliance

History

• Status: repealed
• Authority G.S. 90-28; 90-29(b)(6); 90-48; 90-223; 150B-12
• Eff. July 16, 1980
• Repealed Eff. May 1, 1989.

Subchapter P

21 NCAC 16P .0101 Communications Concerning Dental Services

A dentist shall not make a false or misleading communication about the dentist or the dentist's services. A communication is false or misleading if it:

(1) Contains a material misrepresentation of fact;

(2) Is likely to mislead or deceive because it makes only a partial disclosure of relevant facts;

(3) Is intended or is likely to create false or unjustified expectations of favorable results;

(4) Contains express or implied claims of superiority which cannot reasonably be substantiated by the advertising practitioner; or

(5) Contains other representations or implications which are intended or likely to cause an ordinary, prudent person to misunderstand or be deceived.

History

• Authority G.S. 90-41(a)(16),(17),(18); 90-48
• Eff. March 1, 1985
• Amended Eff. May 1, 1989; October 1, 1986
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16P .0102 Ads Must Include Dentist's Name and Area of Practice

All advertisements of dental services shall contain the name or names of the dentist or dentists whose services are being advertised and shall state whether each dentist is a general dentist or, if qualified, a specialist in the named area of specialization. The dentist's name and designation as a general dentist or specialist shall be stated prominently in the advertisement. The dentist whose services are being advertised shall be personally responsible for determining that the content of the advertisement is not contrary to North Carolina law or Board rules.

History

• Authority G.S. 90-41(a)(16),(17),(18); 90-48
• Eff. March 1, 1985
• Amended Eff. May 1, 1989; October 1, 1986
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16P .0103 Advertisement of Fees

Advertisements of dental services shall:

(1) Not quote a range of fees for a given service unless the basic factors upon which the actual fees will be determined are disclosed;

(2) Specify any related services which usually are required in conjunction with the advertised services and for which additional fees will be charged; and

(3) If discounts are advertised, state the amount of the discounts. The dentist must be available in the office and provide upon request a list of actual standard fees to which the discounts will be applied.

History

• Authority G.S. 90-41(a)(16),(17),(18); 90-48
• Eff. March 1, 1985
• Amended Eff. May 1, 1989; October 1, 1986
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16P .0104 Testimonials and Endorsements

Advertisements for dental services shall not:

(1) Include false or misleading testimonials and endorsements; or

(2) Reveal a patient's identity or personally identifiable facts, data or other information obtained in a professional capacity without first obtaining the patient's consent.

History

• Authority G.S. 90-41(a)(16),(17),(18); 90-48
• Eff. March 1, 1985
• Amended Eff. May 1, 1989; October 1, 1986
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16P .0105 Advertising as a Specialist

(a) A dentist shall not advertise or otherwise hold himself or herself out to the public as a specialist, or use any variation of the term, in an area of practice if the communication is false or misleading under Rule .0101 of this Section.

(b) It shall be false or misleading for a dentist to hold himself or herself out to the public as a specialist, or any variation of that term, in a practice area unless the dentist:

(1) has completed a qualifying postdoctoral educational program in that area as set forth in Paragraph (c) of this Rule; or

(2) holds a current certification by a qualifying specialty board or organization as set forth in Paragraph (d) of this Rule.

(c) For purposes of this Rule, a "qualifying postdoctoral educational program" is a postdoctoral advanced dental educational program accredited by an agency recognized by the U.S. Department of Education (U.S. DOE).

(d) In determining whether an organization is a qualifying specialty board or organization, the Board shall consider the following criteria:

(1) whether the organization requires completion of an educational program with didactic, clinical, and experiential requirements appropriate for the specialty or subspecialty field of dentistry in which the dentist seeks certification, and the collective didactic, clinical and experiential requirements are similar in scope and complexity to a qualifying postdoctoral educational program. Programs that require solely experiential training, continuing education classes, on-the-job training, or payment to the specialty board shall not constitute a qualifying specialty board or organization;

(2) whether the organization requires all dentists seeking certification to pass a written or oral examination, or both, that tests the applicant's knowledge and skill in the specialty or subspecialty area of dentistry and includes a psychometric evaluation for validation;

(3) whether the organization has written rules on maintenance of certification and requires periodic recertification;

(4) whether the organization has written by-laws and a code of ethics to guide the practice of its members;

(5) whether the organization has staff to respond to consumer and regulatory inquiries; and

(6) whether the organization is recognized by another entity whose primary purpose is to evaluate and assess dental specialty boards and organizations.

(e) A dentist qualifying under Paragraph (d) of this Rule and advertising or otherwise holding himself or herself out to the public as a specialist, or any variation of that term, shall disclose in the advertisement or communication the specialty board by which the dentist was certified and provide information about the certification criteria or where the certification criteria may be located.

(f) A dentist shall maintain documentation of either completion of a qualifying postdoctoral educational program or of his or her current specialty certification and provide the documentation to the Board upon request. Dentists shall maintain documentation demonstrating that the certifying board qualifies under the criteria in Subparagraphs (d)(1) through (6) of this Rule and provide the documentation to the Board upon request.

(g) Nothing in this Section shall be construed to prohibit a dentist who does not qualify to hold himself or herself out to the public as a specialist under Paragraph (b) of this Rule from restricting his or her practice to one or more specific areas of dentistry or from advertising the availability of his or her services, provided that such advertisements do not include the term "specialist," or any variation of that term, and must state that the services advertised are to be provided by a general dentist.

History

• Authority G.S. 90-41(a)(16),(17),(18); 90-48
• Eff. March 1, 1985
• Amended Eff. April 1, 2003; May 1, 1989
• Readopted Eff. February 1, 2019.

Subchapter Q

21 NCAC 16Q .0101 General Anesthesia and Sedation Definitions

For the purpose of these Rules relative to the administration of minimal conscious sedation, moderate conscious sedation, moderate pediatric conscious sedation, or general anesthesia by or under the direction of a dentist, the following definitions shall apply:

(1) "Analgesia" – the diminution or elimination of pain.

(2) "Anti-anxiety sedative" – a sedative agent administered in a dosage intended to reduce anxiety without diminishing consciousness or protective reflexes.

(3) "Anxiolysis" – pharmacological reduction of anxiety through the administration of a single dose of a minor psychosedative, possibly in combination with nitrous oxide, to children or adults prior to commencement of treatment on the day of the appointment that allows for uninterrupted interactive ability in an awake patient with no compromise in the ability to maintain a patent airway independently and continuously. Nitrous oxide may be administered in addition to the minor psychosedative without constituting multiple dosing for purpose of these Rules.

(4) "ACLS" – Advanced Cardiac Life Support.

(5) "Administer" – to direct, manage, supervise, control, and have charge of all aspects of selection, dosage, timing, and method of delivery to the patient of any pharmacologic agent intended to reduce anxiety or depress consciousness.

(6) "ASA" – American Society of Anesthesiologists.

(7) "Auxiliaries" – non-dentist staff members involved in general anesthesia or sedation procedures.

(8) "BLS" – Basic Life Support.

(9) "Behavior control" – the use of pharmacological techniques to control behavior to a level that dental treatment may be performed without injury to the patient or dentist.

(10) "Behavioral management" – the use of pharmacological or psychological techniques, singly or in combination, to modify behavior to a level that dental treatment may be performed without injury to the patient or dentist.

(11) "Competent" – displaying special skill or knowledge derived from training and experience.

(12) "Conscious sedation" - an induced state of a depressed level of consciousness that retains the patient's ability to maintain an airway without assistance and respond to physical stimulation and verbal commands, and that is produced by pharmacologic or non-pharmacologic agents, or a combination thereof. All dentists who perform conscious sedation shall have an unexpired sedation permit from the Dental Board.

(13) "CRNA" – Certified Registered Nurse Anesthetist.

(14) "Deep sedation" – an induced state of a depressed level of consciousness accompanied by partial loss of protective reflexes, including the ability to maintain an airway without assistance or respond to verbal command, produced by pharmacological agents. All dentists who perform deep sedation shall have an unexpired general anesthesia permit from the Dental Board.

(15) "Deliver" – to assist a permitted dentist in administering sedation or anesthesia drugs by providing the drugs to the patient pursuant to a direct order from the dentist and while under the dentist's direct supervision.

(16) "Direct supervision" – the dentist responsible for the sedation or anesthesia procedure shall be immediately available and shall be aware of the patient's physical status and well being at all times.

(17) "Emergencies manual" – a written manual that documents:

(a) the location of all emergency equipment and medications in each facility;

(b) each staff member's role during medical emergencies; and

(c) the appropriate treatment for laryngospasm, bronchospasm, emesis and aspiration, respiratory depression and arrest, angina pectoris, myocardial infarction, hypertension, hypotension, allergic reactions, convulsions, syncope, bradycardia, hypoglycemia, cardiac arrest, and airway obstruction.

(18) "Enteral" - the administration of pharmacological agents orally, intranasally, sublingually, or rectally.

(19) "ET CO2" —end tidal carbon dioxide.

(20) "Facility" – the location where a permit holder practices dentistry and provides anesthesia or sedation services.

(21) "Facility inspection" – an on-site inspection to determine if a facility where the applicant proposes to provide anesthesia or sedation is supplied, equipped, staffed, and maintained in a condition to support provision of anesthesia or sedation services in compliance with the Dental Practice Act set forth in Article 2 of G.S. 90 and the Board's rules of this Chapter.

(22) "General anesthesia" - the intended controlled state of a depressed level of consciousness that is produced by pharmacologic agents and accompanied by a partial or complete loss of protective reflexes, including the ability to maintain an airway and respond to physical stimulation and verbal commands. All dentists who perform general anesthesia shall have an unexpired general anesthesia permit from the Dental Board.

(23) "Good standing" – a licensee whose license is not suspended or revoked and who is not subject to a current disciplinary order imposing probationary terms.

(24) "Immediately available" – on-site in the facility and available for use without delay.

(25) "Itinerant general anesthesia provider"- a permittee who has complied with Rule .0206 of this Subchapter and who administers general anesthesia at another practitioner's facility.

(26) "Local anesthesia" – the elimination of sensations, including pain, in one part of the body by the regional application or injection of a drug.

(27) "Minimal conscious sedation" – conscious sedation characterized by a minimally depressed level of consciousness, in which the patient retains the ability to independently and continuously maintain an airway and respond normally to tactile stimulation and verbal command, provided to patients 13 years or older, by oral or rectal routes of administration of a single pharmacological agent, in one or more doses, not to exceed the manufacturer's maximum recommended dose, at the time of treatment, possibly in combination with nitrous oxide. Minimal conscious sedation may be provided for behavioral management.

(28) "Minor psychosedative/Minor tranquilizer" – pharmacological agents that allow for uninterrupted interactive ability in a patient with no compromise in the ability to maintain a patent airway continuously and without assistance and carry a margin of safety wide enough to render unintended loss of consciousness unlikely.

(29) "Moderate conscious sedation" – conscious sedation characterized by a drug induced depression of consciousness, during which patients respond to verbal commands, either alone or accompanied by light tactile stimulation, provided to patients 13 years of age or older, by oral, nasal, rectal, or parenteral routes of administration of single or multiple pharmacological agents, in single or multiple doses, within a 24 hour period, including the time of treatment, possibly in combination with nitrous oxide. Moderate conscious sedation may be provided for behavior control by licensed dentists who comply with the terms of Rule .0301 of this Subchapter. A moderate conscious sedation provider shall not use the following:

(a) drugs designed by the manufacturer for use in administering general anesthesia or deep sedation; or

(b) drugs contraindicated for use in moderate conscious sedation.

(30) "Moderate pediatric conscious sedation" - conscious sedation characterized by a drug induced depression of consciousness, during which patients respond to verbal commands, either alone or accompanied by light tactile stimulation, provided to patients up to 18 years of age, or special needs patients, by oral, nasal, rectal, or parenteral routes of administration of single or multiple pharmacological agents, in single or multiple doses, within a 24 hour period, including the time of treatment, possibly in combination with nitrous oxide. Moderate pediatric conscious sedation may be provided for behavior control by licensed dentists who comply with the terms of Rule .0404 of this Subchapter. A moderate pediatric conscious sedation permit holder shall not use the following:

(a) drugs designed by the manufacturer for use in administering general anesthesia or deep sedation; or

(b) drugs contraindicated for use in moderate pediatric conscious sedation.

(31) "Parenteral" - the administration of pharmacological agents intravenously, intraosseously, intramuscularly, subcutaneously, submucosally, intranasally, or transdermally.

(32) "PALS" – Pediatric Advanced Life Support.

(33) "Protective reflexes" – includes the ability to swallow and cough.

(34) "RN" – Registered Nurse licensed by the North Carolina Board of Nursing.

(35) "Sedation Procedure" – process begins when any pharmacological agent is first administered to a patient to induce general anesthesia or sedation and continues until the dentist permit holder determines that the patient has met the recovery and discharge criteria set forth in the applicable rules in this Subchapter.

(36) "Special needs patients" – patients with diminished mental and or physical capacity who are unable to cooperate to receive ambulatory dental care without sedation or anesthesia.

(37) "Supplemental dosing" – the oral administration of a pharmacological agent that results in an enhanced level of conscious sedation when added to the primary sedative agent administered for the purpose of oral moderate conscious sedation, and when added to the primary agent, does not exceed the maximum safe dose of either agent, separately or synergistically.

(38) "Vested adult" – a responsible adult who is the legal parent or guardian, or designee of a legal parent or guardian, entrusted with the care of a patient following the administration of general anesthesia or conscious sedation.

History

• Authority G.S. 90-30.1; 90-48
• Eff. February 1, 1990
• Temporary Amendment Eff. December 11, 2002
• Amended Eff. June 1, 2017; July 3, 2008; August 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16Q .0102 Application for General Anesthesia or Sedation Permit, Permit Renewal, and Permit Reinstatement

(a) An applicant for a general anesthesia or sedation permit shall be licensed and in good standing with the Board.

(b) All permit applications shall be made on the forms furnished by the Board at www.ncdentalboard.org and shall include:

(1) the full name;

(2) the mailing address;

(3) the North Carolina dental license number;

(4) a telephone number; and

(5) an email address.

(c) In addition to the information in Paragraph (b) of this Rule, all applications for a general anesthesia, moderate conscious sedation, moderate pediatric conscious sedation, or minimal conscious sedation permit shall include:

(1) the addresses of all dental offices where the applicant intends to use general anesthesia or sedation;

(2) dental education, including dental school name, dates attended, degree received, and any other dental post-graduate education or specialty degrees received;

(3) a resume or curriculum vitae;

(4) the names of and copies of unexpired BLS certifications for any auxiliaries that will assist the applicant with general anesthesia or sedation;

(5) a statement disclosing and explaining any instances of patient mortality or morbidity in connection with applicant's prior use of general anesthesia or sedation; and

(6) documentation of the required qualifications for the permit for which the applicant is applying, as set out in Rule .0201, .0301, .0404, or .0504 of this Subchapter.

(d) In addition to the information in Paragraph (b) of this Rule, all applications for an itinerant permit shall include:

(1) North Carolina general anesthesia or sedation permit number; and

(2) a statement of compliance with the requirements for the itinerant permit for which the applicant is applying, as set out in Rule .0206, .0304, or .0406 of this Subchapter.

(e) All applications for renewal of a general anesthesia or sedation permit shall be submitted electronically through the Board's website, www.ncdentalboard.org, and shall include:

(1) the full name;

(2) the permit number and expiration date;

(3) the addresses of all dental offices where the permit holder uses general anesthesia or sedation; and

(4) a statement disclosing and explaining any instances of patient mortality or morbidity in connection with use of general anesthesia or sedation that occurred during the calendar year preceding the application and that were not previously disclosed to the Board.

(f) All applications for reinstatement of a general anesthesia or sedation permit shall be made on forms furnished by the Board at www.ncdentalboard.org and shall include:

(1) the full name;

(2) the permit number and date of issuance;

(3) the mailing address;

(4) the North Carolina dental license number;

(5) the addresses of all dental offices where the applicant intends to use general anesthesia or sedation; and

(6) a statement disclosing and explaining any instances of patient mortality or morbidity in connection with use of general anesthesia or sedation that occurred during the calendar year preceding the application.

(g) Any permit obtained through fraud or by any false representation shall be revoked.

History

• Authority G.S. 90-28; 90-30.1
• Eff. August 1, 2021.

21 NCAC 16Q .0103 EQUIPMENT, Personnel, AND CLINICAL REQUIREMENTS TO ADMINISTER ANESTHESIA OR MODERATE SEDATION

(a) Before administering general anesthesia, moderate conscious sedation, or moderate pediatric conscious sedation ("anesthesia or moderate sedation"), or supervising a CRNA to administer or an RN employed to deliver anesthesia or moderate sedation, a dentist shall hold an unexpired permit issued by the Board in accordance with this Subchapter permitting the dentist to administer that level of sedation.

(b) Before performing sedation procedures in a facility other than a hospital or credentialed surgery center, the permit holder shall ensure that the Board has been notified that the permit holder intends to administer anesthesia or moderate sedation at the facility and shall ensure that the facility has passed a facility inspection by the Board in accordance with this Subchapter. For purposes of these Rules, "credentialed surgery center" means a surgical facility accredited by the Joint Commission on Accreditation of Healthcare Organizations, the Accreditation Association for Ambulatory Health Care, or the American Association for Accreditation of Ambulatory Surgery Facilities.

(c) The permit holder shall ensure that the facility where the sedation procedure is to be performed meets the following requirements at the time of the procedure:

(1) The permit holder shall ensure the facility is equipped as follows and that the following listed equipment is immediately available and accessible from the operatory and recovery rooms:

(A) an operatory of size and design to permit access of emergency equipment and personnel and to permit emergency management;

(B) a CPR board or dental chair suitable for providing emergency treatment;

(C) lighting as necessary for the procedure to be performed, and back-up lighting;

(D) suction equipment as necessary for the procedure to be performed, including non-electrical back-up suction;

(E) positive pressure oxygen delivery system, including full face masks for small, medium, and large patients, and back-up E-cylinder portable oxygen tank apart from the central system;

(F) small, medium, and large oral and nasal airways;

(G) a blood pressure monitoring device;

(H) an EKG monitor;

(I) a pulse oximeter;

(J) an automatic external defibrillator (AED);

(K) a capnograph;

(L) a precordial or pretracheal stethoscope;

(M) a thermometer;

(N) vascular access set-up as necessary for the procedure to be performed, including hardware and fluids;

(O) a laryngoscope with working batteries;

(P) intubation forceps and advanced airway devices;

(Q) tonsillar suction with back-up suction;

(R) syringes as necessary for the procedure to be performed; and

(S) tourniquet and tape.

(2) The permit holder shall ensure all monitoring and other equipment in the facility receives preventive maintenance no less frequently than once per year, including safety and function checks per the manufacturers' recommendations. The permit holder shall maintain documentation of all preventive maintenance performed, and shall ensure equipment is replaced upon its expiration or as clinically required.

(3) The permit holder shall ensure the following unexpired drugs are immediately available and are accessible from the operatory and recovery rooms:

(A) epinephrine;

(B) atropine;

(C) an antiarrhythmic;

(D) an antihistamine;

(E) an antihypertensive;

(F) a bronchodilator;

(G) an antihypoglycemic agent;

(H) a vasopressor;

(I) a corticosteroid;

(J) an anticonvulsant;

(K) appropriate reversal agents;

(L) nitroglycerine; and

(M) an antiemetic.

(4) The permit holder shall maintain written emergency and patient discharge protocols accessible from the operatory and recovery rooms. The written emergency manual shall include a protocol for activation of emergency management services for life-threatening complications along with the information set out in Rule .0101(17) of this Section.

(5) The permit holder shall satisfy any additional facility requirements applicable to the level of the permit, as set out in Rule .0202, .0206, .0302, or .0405 of this Subchapter.

(d) The permit holder shall ensure that the following staffing, education, and training requirements are met prior to performing a sedation procedure:

(1) The permit holder shall provide training to familiarize all auxiliaries in the treatment of clinical emergencies including the following, and shall review and practice responding to clinical emergencies with all auxiliaries as a team and in person every six months;

(A) airway obstruction;

(B) allergic reactions;

(C) angina pectoris;

(D) apnea;

(E) bradycardia;

(F) bronchospasm;

(G) cardiac arrest;

(H) convulsions;

(I) emesis and aspiration;

(J) hypertension;

(K) hypoglycemia;

(L) hypotension;

(M) hypoventilation and respiratory arrest;

(N) hypoxemia and hypoxia;

(O) laryngospasm;

(P) myocardial infarction; and

(Q) syncope.

(2) All auxiliaries in the facility shall be BLS certified.

(3) Except as set out in Subparagraph (d)(4) of this Rule, the permit holder performing the surgery or other dental procedure shall ensure that an RN or a BLS-certified auxiliary is dedicated to patient monitoring and recording anesthesia or sedation data throughout the sedation procedure.

(4) The requirement set out in Subparagraph (d)(3) of this Rule shall not apply if the permit holder or an additional sedation provider is dedicated to patient care and monitoring regarding anesthesia or moderate sedation throughout the sedation procedure and is not performing the surgery or other dental procedure. The additional sedation provider shall be:

(A) a dentist holding a permit or mobile permit in satisfaction of this Subchapter to administer the anesthesia or sedation level at the facility where the sedation procedure is performed;

(B) an anesthesiologist licensed and practicing in accordance with the rules of the North Carolina Medical Board; or

(C) a CRNA licensed and practicing in accordance with the rules of the North Carolina Board of Nursing, under the supervision and direction of the permit holder who shall ensure the level of sedation administered does not exceed the level of the sedation allowed by the permit holder's permit.

(5) The permit holder shall satisfy any additional staffing, education, and training requirements applicable to the level of the permit, as set out in Rule .0202, .0302, or .0405 of this Subchapter.

(e) Before starting any sedation procedure, the permit holder shall conduct a pre-operative patient evaluation which shall include the following:

(1) evaluating the patient for health risks relevant to the potential sedation procedure;

(2) evaluating the patient's food and fluid intake following the ASA guidelines for pre-operative fasting applicable to elective procedures involving the administration of anesthesia or moderate sedation. The ASA guidelines are incorporated by reference, including subsequent amendments and editions, and may be accessed at https://www.asahq.org at no cost; and

(3) satisfying any additional requirements for pre-operative patient evaluation and procedures applicable to the level of the permit, as set out in Rule .0202, .0302, or .0405 of this Subchapter.

(f) During the sedation procedure:

(1) Prescriptions intended to accomplish procedural sedation, including enteral dosages, shall be administered only under the direct supervision of the permit holder.

(2) If IV sedation is used, IV infusion shall be administered before the start of the procedure and maintained until the patient is ready for discharge.

(3) Capnography shall be used to monitor patients unless an individual patient's behavior or condition prevents use of capnography. In that event, the permit holder shall document in the sedation record the clinical reason capnography could not be used.

(4) The permit holder shall ensure the patient's baseline vital signs are taken and recorded, including temperature, SPO2, blood pressure, and pulse.

(5) The permit holder shall ensure the patient's blood pressure, oxygen saturation, ET CO2 (unless capnography cannot be used), pulse, and respiration rates ("vital sign information") are monitored continuously in a manner that enables the permit holder to view vital sign trends throughout the procedure.

(6) The permit holder shall ensure the intraoperative vital sign information is recorded on the anesthesia or sedation record contemporaneously throughout the procedure in intervals of five minutes or less for patients over twelve years old, and in intervals of ten minutes or less for pediatric patients twelve years old or younger.

(7) The permit holder shall satisfy any additional requirements for operative procedures applicable to the level of the permit, as set out in Rule .0202, .0302, or .0405 of this Subchapter.

(g) Post-operative monitoring and discharge shall include the following:

(1) The permit holder or an auxiliary under his or her direct supervision shall monitor the patient's post-operative vital sign information until the patient is recovered and is ready for discharge from the office. Recovery from anesthesia or moderate sedation shall include documentation of the following:

(A) stable cardiovascular function;

(B) uncompromised airway patency;

(C) patient arousable and protective reflexes intact;

(D) state of hydration within normal limits;

(E) patient can talk, if applicable;

(F) patient can sit unaided, if applicable;

(G) patient can ambulate with minimal assistance, if applicable; and

(H) for a special needs patient, the pre-sedation level of responsiveness or the level as close as possible for that patient shall be achieved.

(2) Before allowing the patient to leave the office, the permit holder shall determine that the patient has met the recovery criteria set out in Subparagraph (g)(1) of this Rule and the following discharge criteria:

(A) oxygenation, circulation, activity, skin color, and level of consciousness are stable and have been documented;

(B) explanation and documentation of written post-operative instructions have been provided to the patient or a person responsible for the patient at time of discharge; and

(C) a person authorized by or responsible for the patient is available to transport the patient after discharge.

(h) The permit holder shall maintain the following in the patient treatment records for 10 years:

(1) the patient's current written medical history, including known allergies and previous surgeries;

(2) a pre-operative assessment as set out in Paragraph (e) of this Rule;

(3) consent to the procedure and to the anesthesia or sedation, signed by the patient or guardian, identifying the procedure and its risks and benefits, the level of anesthesia or sedation and its risks and benefits, and the date signed;

(4) the anesthesia or sedation record that shall include:

(A) the patient's baseline vital signs and intraoperative vital sign information as set out in Subparagraphs (f)(4)-(6) of this Rule;

(B) the printed or downloaded vital sign information from the capnograph. A permit holder's failure to maintain capnograph documentation, except as set out in Subparagraph (f)(3) of this Rule, shall be deemed a failure to monitor the patient as required pursuant to this Subchapter;

(C) procedure start and end times;

(D) gauge of needle and location of IV on the patient, if used;

(E) the total amount of any local anesthetic administered during the procedure;

(F) any analgesic, sedative, pharmacological, or reversal agent, or other drugs administered during the procedure, including route of administration, dosage, strength, time, and sequence of administration, with separate entries for each increment of medication that is titrated to effect;

(G) documentation of complications or morbidity, and clinical responses; and

(H) status of patient upon discharge, including documentation of satisfying the requirements set out in Paragraph (g) of this Rule; and

(5) any additional documentation applicable to the level of the permit, as set out in Rule .0202, .0302, or .0405 of this Subchapter.

History

• Authority G.S. 90-28; 90-30.1; 90-31.1; 90-48
• Eff. June 17, 2024.

21 NCAC 16Q .0104 Requirements for Inspections and Evaluations

(a) During a facility inspection pursuant to the rules of this Subchapter, for a dentist applying for or holding a permit to administer general anesthesia, moderate conscious sedation, or moderate pediatric conscious sedation, the applicant or permit holder shall demonstrate satisfaction of the requirements set forth in Rule .0103(c) and (d) of this Section.

(b) During an evaluation, for a dentist applying for or holding a permit to administer general anesthesia, moderate conscious sedation, or moderate pediatric conscious sedation, the applicant or permit holder shall demonstrate the administration of anesthesia or sedation in accordance with the level of the permit, and shall demonstrate competency in the following areas:

(1) pre-operative patient evaluation and procedures, including the requirements set forth in Rule .0103(e) of this Section;

(2) operative procedures, including the deployment of an intravenous delivery system and the requirements set forth in Rule .0103(f) of this Section;

(3) post-operative patient monitoring and discharge, including the requirements set forth in Rule .0103(g) of this Section; and

(4) treatment of the clinical emergencies set out in Rule .0103(d)(1) of this Section.

(c) During the evaluation, the applicant shall take a written examination on the topics set forth in Subparagraphs (b)(1)-(4) of this Rule. The applicant shall obtain a passing score on the written examination by answering 80 percent of the examination questions correctly. If the applicant fails to obtain a passing score on the written examination, he or she may be re-examined in accordance with Rule .0204(h), .0306(h), or .0408(h) of this Subchapter.

(d) The permit holder shall be subject to re-evaluation every five years. Each facility where the permit holder administers anesthesia or sedation shall be subject to a facility inspection upon annual renewal of the permit.

History

• Authority G.S. 90-28; 90-30.1; 90-48
• Eff. June 17, 2024.

21 NCAC 16Q .0105 Update COURSE FOR general Anesthesia and Moderate Conscious sedation permit holders

(a) All general anesthesia permit holders, moderate conscious sedation permit holders, moderate pediatric conscious sedation permit holders, and all auxiliaries dedicated to patient monitoring for these sedation procedures, shall complete a Board-approved update course by December 31, 2030, and once every three years thereafter, that includes at least six total hours and covers the following topics:

(1) patient assessment and selection;

(2) appropriate medications and dosages;

(3) different levels of sedation and anesthesia, including inducement, recognition, and reversal;

(4) proper patient monitoring;

(5) effective airway management; and

(6) recognizing, diagnosing, and effectively managing medical emergencies.

(b) The update course shall incorporate an in-person simulation that includes induction of deep sedation, recognition of deep sedation, and reversal of deep sedation.

(c) The update course may apply toward fulfillment of the continuing education requirements for permit renewal set forth in Rules .0207, .0305, and .0407 of this Subchapter.

History

• Authority G.S. 90-28; 90-30.1; 90-31.1; 90-48
• Eff. December 1, 2025.

21 NCAC 16Q .0201 General Anesthesia Credentials and Permit

(a) Before a dentist licensed to practice in North Carolina may administer or supervise a CRNA to administer general anesthesia or perform deep sedation, the dentist shall obtain a general anesthesia permit from the Board by completing the application requirements of this Rule and paying a four hundred seventy-five dollar ($475.00) fee that includes the one-hundred dollar ($100.00) application fee and the three-hundred seventy-five dollar ($375.00) inspection fee. The permit shall be renewed annually and shall be displayed with the current renewal at all times in the permit holder's facility where it is visible to patients receiving treatment.

(b) A dentist applying for a general anesthesia permit shall be in good standing with the Board, has an unexpired ACLS certification, and demonstrates that he or she has one of the following qualifications:

(1) has completed a minimum of two years of advanced training in anesthesiology and related academic subjects beyond the undergraduate dental school level;

(2) has graduated from a program certified by the American Dental Association in Oral and Maxillofacial Surgery;

(3) is a Diplomate of or eligible for examination by the American Board of Oral and Maxillofacial Surgery; or

(4) is a Fellow of the American Dental Society of Anesthesiology.

(c) Before receiving a general anesthesia permit, all applicants shall pass an evaluation and inspection as set out in Rule .0104 of this Subchapter. Every location other than a hospital or credentialed surgery center where a general anesthesia permit holder administers general anesthesia shall pass an inspection as set out in Rule .0204 of this Section.

(d) A dentist who holds a general anesthesia permit may administer any level of sedation without obtaining a separate sedation permit.

(e) A dentist who does not hold a general anesthesia permit may not employ a CRNA to administer general anesthesia services. A dentist who holds a general anesthesia permit may employ a CRNA to administer general anesthesia services under supervision of the dentist.

(f) A general anesthesia permit holder may provide general anesthesia at the office of another licensed dentist, regardless of the permit, if any held, by the hosting dentist. The permit holder shall ensure that the facility where the general anesthesia is administered has been inspected and complies with the requirements set out in Rules .0103 and .0202 of this Subchapter, and shall obtain an itinerant general anesthesia permit and comply with the requirements of Rule .0206 of this Section.

History

• Authority G.S. 90-28; 90-30.1; 90-39
• Eff. February 1, 1990
• Amended Eff. April 1, 2001; August 1, 2000
• Temporary Amendment Eff. December 11, 2002
• Amended Eff. June 1, 2017; February 5, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. August 1, 2024.

21 NCAC 16Q .0202 General Anesthesia Equipment and Clinical Requirements

(a) A dentist holding or applying for a permit to administer general anesthesia shall be subject to the requirements set out in Section .0100 of this Subchapter.

(b) In addition to the drugs listed in Rule .0103(c)(3) of this Subchapter, an unexpired neuromuscular blocking agent shall be immediately available and be accessible from the operatory and recovery rooms.

History

• Authority G.S. 90-28; 90-30.1; 90-48
• Eff. February 1, 1990
• Amended Eff. June 1, 2017; November 1, 2013; August 1, 2002; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 17, 2024; February 1, 2019; August 1, 2018.

21 NCAC 16Q .0203 Temporary Approval Prior to Site Evaluation

History

• Status: repealed
• Authority G.S. 90-28; 90-30.1
• Eff. February 1, 1990
• Amended Eff. August 1, 2002
• Repealed Eff. April 1, 2016.

21 NCAC 16Q .0204 PROCEDURE FOR GENERAL ANESTHESIA EVALUATION OR INSPECTION and RE-inspection

(a) When both an evaluation and on-site inspection is required, the Board shall designate two or more qualified persons to serve as evaluators, each of whom has administered general anesthesia for at least three years preceding the inspection. Training in general anesthesia shall not be counted in the three years. The fee for an evaluation and on-site inspection shall be three-hundred seventy-five dollars ($375.00). When an on-site inspection involves only a facility and equipment check and not an evaluation of the dentist, the inspection may be accomplished by one evaluator, and the fee for the on-site inspection shall be two-hundred seventy-five dollars ($275.00).

(b) An inspection fee of two-hundred seventy-five dollars ($275.00) shall be due 10 days after the dentist receives notice of the inspection of each additional location at which the dentist administers general anesthesia.

(c) Any dentist-member of the Board may observe or consult in any evaluation or inspection.

(d) The inspection team shall determine compliance with the requirements of the rules in this Subchapter, as applicable, by assigning a grade of "pass" or "fail."

(e) Each evaluator shall report his or her recommendation to the Board's Anesthesia and Sedation Committee, setting forth the details supporting his or her conclusion. The Committee shall not be bound by these recommendations. The Committee shall determine whether the applicant has passed the evaluation and inspection and shall notify the applicant in writing of its decision.

(f) An applicant who fails an inspection or evaluation shall not receive a permit to administer general anesthesia. If a permit holder's facility fails an inspection, no further general anesthesia procedures shall be performed at the facility until it passes a re-inspection by the Board.

(g) An applicant who fails an inspection or evaluation may request a re-evaluation or re-inspection within 15 days of receiving the notice of failure. The request shall be directed to the Board in writing and shall include a statement of the grounds supporting the re-evaluation or re-inspection. Except as set forth in Paragraph (h) of this Rule, the Board shall require the applicant to receive additional training prior to the re-evaluation to address the areas of deficiency determined by the evaluation. The Board shall notify the applicant in writing of the need for additional training.

(h) A permit applicant who has failed the written examination portion of the evaluation but passed all other aspects of the evaluation and inspection may retake the written examination two additional times at the Board office. The applicant must wait a minimum of 72 hours before attempting to retake a written examination. Any applicant who has failed the written portion of the examination three times shall complete an additional Board approved course of study in the area(s) of deficiency and provide the Board evidence of the additional study before written reexamination.

(i) Re-evaluations and re-inspections shall be conducted by Board-appointed evaluators not involved in the failed evaluation or inspection.

(j) An applicant must complete all the requirements of Rules .0103, .0104, and .0202 of this Subchapter, including passing the written examination, evaluation and inspection, within 12 months of submitting the application to the Board.

History

• Authority G.S. 90-28; 90-30.1; 90-39
• Eff. February 1, 1990
• Amended April 1, 2016; February 1, 2009; December 4, 2002; January 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. August 1, 2024; February 1, 2019; August 1, 2018.

21 NCAC 16Q .0205 Results of Site Evaluation and Reevaluation

History

• Status: repealed
• Authority G.S. 90-28; 90-30.1
• Eff. February 1, 1990
• Amended Eff. August 1, 2002
• Repealed Eff. April 1, 2016.

21 NCAC 16Q .0206 ITINERANT (Mobile) GENERAL ANESTHESIA PERMIT, EQUIPMENT AND EVALUATION

(a) A dentist who holds a general anesthesia permit from the Board and who wishes to provide general anesthesia or other sedation services in the office of another practitioner shall obtain a mobile general anesthesia permit from the Board by completing the application requirements of this Rule and paying a one hundred dollar ($100.00) application fee and a two-hundred seventy-five dollar ($275.00) inspection fee. No mobile permit shall be required to administer general anesthesia in a hospital or credentialed surgery center.

(b) Before a mobile general anesthesia permit may be issued, a general anesthesia permit holder appointed by the Board shall inspect the applicant's equipment and medications to ensure that they comply with Paragraphs (c) and (d) of this Rule.

(c) The permit holder shall maintain in good working order the following equipment:

(1) small, medium, and large supraglottic airways devices;

(2) small, medium, and large anesthesia circuits;

(3) rebreathing device;

(4) scavenging system;

(5) intermittent compression devices;

(6) gastric suction device;

(7) endotracheal tube and pulmonary suction device;

(8) equipment for performing emergency cricothyrotomies and delivering positive pressure ventilation; and

(9) the equipment required by Rule .0103 of this Subchapter.

(d) A neuromuscular blocking agent, an anti-malignant hyperthermia agent, and the medications required by Rules .0103 and .0202 of this Subchapter shall be on site, unexpired, and available to the permit holder.

(e) The evaluation and on-site inspection shall be conducted as set out in Rules .0104 and .0204 of this Subchapter.

(f) Prior to administering general anesthesia or sedation at another provider's office, the mobile permit holder shall inspect the host facility within 24 business hours before each procedure and shall ensure that:

(1) the operatory's size and design permit emergency management and access of emergency equipment and personnel;

(2) there is a CPR board or dental chair without enhancements suitable for providing emergency treatment;

(3) there is lighting to permit performance of all procedures planned for the facility;

(4) there is suction equipment, including non-electrical back-up suction; and

(5) the facility shall be staffed with at least two BLS certified auxiliaries, one of whom shall be dedicated to patient monitoring and recording general anesthesia or sedation data throughout the sedation procedure. This Subparagraph shall not apply if the dentist permit holder is dedicated to patient care and monitoring regarding general anesthesia or sedation throughout the sedation procedure and is not performing the surgery or other dental procedure.

(g) Upon inspection, the permit holder shall document that the facility where the general anesthesia or sedation procedure will be performed was inspected and that it met the requirements of Paragraph (f) of this Rule. The permit holder shall retain the inspection and compliance record required by this Paragraph for 10 years following the procedure and provide these records to the Board upon request.

(h) The mobile general anesthesia permit shall be displayed in the host facility where it is visible to patients receiving treatment.

(i) All applicants for mobile general anesthesia permit shall be in good standing with the Board.

History

• Authority G.S. 90-28; 90-30.1; 90-39; 90-48
• Eff. June 1, 2017
• Amended Eff. August 1, 2024; August 1, 2021; August 1, 2018.

21 NCAC 16Q .0207 ANNUAL RENEWAL OF GENERAL ANESTHESIA AND ITinERANT (Mobile) GENERAL ANESTHESIA PERMIT REQUIRED

(a) General anesthesia permits and itinerant general anesthesia permits shall be renewed by the Board annually at the same time as dental licenses. For each permit to be renewed, the permit holder shall pay a one-hundred dollar ($100.00) fee and complete the renewal application requirements of this Rule. If the completed permit renewal application and renewal fee are not received before midnight on January 31 of each year, a fifty dollar ($50.00) late fee shall be charged. The renewal application shall be submitted electronically through the Board's website, www.ncdentalboard.org, and shall include the information required by Rule .0102(e) of this Subchapter and a report of compliance with the conditions for renewal in Paragraph (d) of this Rule.

(b) Any permit holder who fails to renew a general anesthesia permit or itinerant general anesthesia permit before March 31 of each year shall complete a reinstatement application, pay the renewal fee and late fee set out in Paragraph (a) of this Rule, and comply with all conditions for renewal set out in this Rule. Dentists whose general anesthesia permits or itinerant general anesthesia permits have been lapsed for more than 12 calendar months shall pass an inspection and an evaluation as part of the reinstatement process in accordance with Rules .0104 and .0204 of this Subchapter. All applicants for reinstatement of a permit shall be in good standing. All applications for reinstatement of a permit shall be submitted on forms furnished by the Board at www.ncdentalboard.org and shall include the information required by Rule .0102(f) of this Subchapter and a report of compliance with the conditions for renewal set out in Paragraph (d) of this Rule.

(c) A dentist who administers general anesthesia in violation of this Rule shall be subject to the penalties prescribed by Rule .0701 of this Subchapter.

(d) As a condition for renewal of the general anesthesia permit and itinerant general anesthesia permit, the permit holder shall meet the clinical equipment and requirements set out in Rules .0103 and .0202 of this Subchapter, the itinerant general anesthesia permit holder shall also meet the clinical equipment and requirements set out in Rule .0206 of this Section, and the permit holder shall document the following:

(1) six hours of continuing education each year in one or more of the following areas, which shall be counted toward fulfillment of the continuing education required each calendar year for license renewal:

(A) sedation;

(B) medical emergencies;

(C) monitoring IV sedation and the use of monitoring equipment;

(D) pharmacology of drugs and agents used in general anesthesia and IV sedation;

(E) physical evaluation, risk assessment, or behavioral management; or

(F) airway management;

(2) unexpired ACLS certification, which shall not count towards the six hours of continuing education required in Subparagraph (d)(1) of this Rule;

(3) that the permit holder and all auxiliaries involved in anesthesia or sedation procedures have practiced responding to dental emergencies as a team at least once every six months in the preceding year;

(4) that the permit holder and all auxiliaries involved in anesthesia or sedation procedures have read the practice's emergency manual in the preceding year; and

(5) that all auxiliaries involved in sedation procedures have completed BLS certification and three hours of continuing education annually in any of the areas set forth in Subparagraph (d)(1) of this Rule.

(e) Absent a Board order stating otherwise, all permit holders applying for renewal of a general anesthesia permit or itinerant general anesthesia permit shall be in good standing and their office shall be subject to inspection by the Board.

History

• Authority G.S. 90-28; 90-30.1; 90-31; 90-39; 90-48
• Eff. June 1, 2017
• Amended Eff. August 1, 2024; August 1, 2021; August 1, 2018.

21 NCAC 16Q .0301 Credentials and Permits for Moderate Parenteral and Enteral Conscious Sedation

(a) Before a dentist licensed to practice in North Carolina may administer or supervise a CRNA employed to administer, or an RN employed to deliver, moderate conscious sedation, the dentist shall obtain a permit from the Board by completing the application requirements in this Rule and paying a fee of three hundred seventy-five dollars ($375.00) that includes the one-hundred dollar ($100.00) application fee and the two-hundred seventy-five dollar ($275.00) inspection fee. The permit shall be renewed annually and shall be displayed with the current renewal at all times in the facility of the permit holder where it is visible to patients receiving treatment.

(b) The permit holder shall provide supervision to any CRNA employed to administer, or an RN employed to deliver, sedation, and shall ensure that the level of the sedation does not exceed the level of the sedation allowed by the permit holder's permit.

(c) A dentist applying for a permit to administer moderate conscious sedation shall provide documentation of the following:

(1) Training that may consist of either:

(A) Course: Completion of 60 hours of Board approved didactic training in intravenous conscious sedation, and 30 hours of clinical training that shall include a record of the applicant's individual management of all aspects of intravenous moderate sedation for a minimum of 20 live patients, under supervision of the course instructor. BLS training shall not count toward the required hours. Course training shall meet the requirements of the American Dental Association Guidelines for Teaching Pain Control and Sedation to Dentists and Dental Students for moderate sedation that are hereby incorporated by reference, including subsequent amendments and editions. The guidelines may be found at https://www.ada.org/-/media/project/ada-organization/ada/ada-

org/files/resources/library/oral-health topics/ada_sedation_teaching_guidelines.pdf at no charge. The course director shall provide a written certification of the applicant's competence in moderate sedation techniques and medications, and in rescuing patients from a deeper level of sedation than moderate, including managing the airway, intravascular or intraosseous access, and use of reversal medications; or

(B) Program: Completion of a pre-doctoral dental or postgraduate program that included intravenous conscious sedation training equivalent to that defined in Part (c)(1)(A) of this Rule;

(2) Unexpired ACLS certification; and

(3) All auxiliaries involved in sedation procedures that have unexpired BLS certification.

(d) All applicants for a moderate conscious sedation permit shall be in good standing with the Board.

(e) Prior to issuance of a moderate conscious sedation permit, the applicant shall pass an evaluation and a facility inspection. The applicant shall be responsible for passing the evaluation and inspection of his or her facility.

(f) A dentist who holds a moderate conscious sedation permit shall not (i) intentionally administer deep sedation; (ii) otherwise administer medications in a manner that induces deep sedation more than two times in one year; or (iii) administer reversal agents without documented clinical justification.

(g) A moderate conscious sedation permit holder may provide moderate conscious sedation at the office of another licensed dentist, regardless of the permit, if any held, by the hosting dentist. The moderate conscious sedation permit holder shall ensure that the facility where the moderate conscious sedation is administered has been inspected and complies with the requirements set out in Rules .0103 and .0302 of this Subchapter. The moderate conscious sedation permit holder shall also obtain an itinerant moderate conscious sedation permit and comply with the requirements of Rule .0304 of this Section.

History

• Authority G.S. 90-30.1; 90-39; 90-48
• Eff. February 1, 1990
• Amended Eff. April 1, 2001; August 1, 2000; January 1, 1994
• Temporary Amendment Eff. December 11, 2002
• Amended Eff. June 1, 2017; July 1, 2010, July 3, 2008; August 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. December 1, 2025; August 1, 2024; February 1, 2019; August 1, 2018.

21 NCAC 16Q .0302 Moderate Parenteral and Enteral Conscious Sedation Clinical Requirements and Equipment

(a) A dentist holding or applying for a permit to administer moderate conscious sedation or supervising any CRNA employed to administer or RN employed to deliver moderate conscious sedation shall be subject to the requirements set out in Section .0100 of this Subchapter.

(b) In addition to the drugs listed in Rule .0103(c)(3) of this Subchapter, an unexpired muscle relaxant shall be immediately available and be accessible from the operatory and recovery rooms.

(c) As part of the pre-operative assessment required by Rule .0103(e) of this Subchapter, the permit holder shall evaluate the patient for health risks as follows:

(1) a patient who is medically stable and who is ASA I or II shall be evaluated by reviewing the patient's current medical history and medication use; or

(2) a patient who is not medically stable or who is ASA III or higher shall be evaluated by the permit holder's consultation with the patient's primary care physician or consulting medical specialist regarding the potential risks posed by the planned dental procedure.

(d) During the sedation procedure, a moderate conscious sedation permit holder shall not administer anesthetic or sedative agents:

(1) designed by the manufacturer for use in administering general anesthesia or deep sedation;

(2) determined by the manufacturer to be contraindicated for use in moderate conscious sedation; or

(3) in amounts exceeding the manufacturers' maximum recommended dosages, unless the permit holder documents in the sedation record the clinical reason for exceeding the maximum recommended dosage for the patient.

History

• Authority G.S. 90-28; 90-30.1; 90-48
• Eff. February 1, 1990
• Amended Eff. August 1, 2002; August 1, 2000
• Temporary Amendment Eff. December 11, 2002
• Amended Eff. June 1, 2017; November 1, 2013; July 1, 2010; July 3, 2008; August 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 17, 2024; February 1, 2019; August 1, 2018.

21 NCAC 16Q .0303 Temporary Approval Prior to Site Inspection

History

• Status: repealed
• Authority G.S. 90-28; 90-30.1
• Eff. February 1, 1990
• Amended Eff. August 1, 2002; January 1, 1994
• Temporary Amendment Eff. December 11, 2002
• Amended Eff. September 1, 2014; February 1, 2009; July 3, 2008; August 1, 2004
• Repealed Eff. April 1, 2016.

21 NCAC 16Q .0304 ITINERANT (Mobile) Moderate PERMIT, EQUIPMENT AND EVALUATION

(a) A dentist who holds a moderate conscious sedation permit from the Board and who wishes to provide moderate conscious sedation or other sedation services in the office of another practitioner shall obtain a mobile moderate conscious sedation permit from the Board by completing the application requirements of this Rule and paying a one-hundred dollar ($100.00) application fee and a two-hundred seventy-five dollar ($275.00) inspection fee. No mobile permit shall be required to administer moderate conscious sedation in a hospital or credentialed surgery center.

(b) The permit holder shall maintain in good working order the equipment required by Rule .0103 of this Subchapter.

(c) The unexpired medications required by Rules .0103 and .0302 of this Subchapter shall be on site and available to the permit holder.

(d) Before a mobile moderate sedation permit may be issued, a permit holder appointed by the Board shall inspect the applicant's equipment and medications to ensure that they comply with Paragraphs (b) and (c) of this Rule. The evaluation and inspection shall be conducted as set out in Rules .0104 and .0306 of this Subchapter.

(e) Prior to administering moderate conscious sedation or other sedation services at another provider's office, the mobile permit holder shall inspect the host facility within 24 business hours before each procedure and shall ensure that:

(1) the operatory's size and design permit emergency management and access of emergency equipment and personnel;

(2) there is a CPR board or dental chair without enhancements suitable for providing emergency treatment;

(3) there is lighting to permit performance of all procedures planned for the facility;

(4) there is suction equipment, including non-electrical back-up suction; and

(5) the facility shall be staffed with at least two BLS certified auxiliaries, one of whom shall be dedicated to patient monitoring and recording moderate conscious sedation or other sedation services data throughout the sedation procedure. This Subparagraph shall not apply if the dentist permit holder is dedicated to patient care and monitoring regarding sedation throughout the sedation procedure and is not performing the surgery or other dental procedure.

(f) Upon inspection, the permit holder shall document that the facility where the general anesthesia or sedation procedure will be performed was inspected and that it met the requirements of Paragraph (e) of this Rule. The permit holder shall retain the inspection and compliance record required by this Paragraph for 10 years following the procedure and provide these records to the Board upon request.

(g) The mobile moderate conscious sedation permit shall be displayed in the host facility where it is visible to patients receiving treatment.

(i) All applicants for mobile moderate conscious sedation permit shall be in good standing with the Board.

History

• Authority G.S. 90-28; 90-30; 90-30.1; 90-39; 90-48
• Recodified from 21 NCAC 16Q .0302(e)(f), Eff. November 1, 2013
• Amended Eff. June 1, 2017
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. August 1, 2024; August 1, 2018.

21 NCAC 16Q .0305 ANNUAL RENEWAL of MODERATE PARENTERAL AND ENTERAL CONSCIOUS SEDATION PERMIT REQUIRED

(a) Moderate conscious sedation permits and itinerant moderate conscious sedation permits shall be renewed by the Board annually at the same time as dental licenses. For each permit to be renewed, the permit holder shall pay a one-hundred dollar ($100.00) fee and complete the renewal application requirements in this Rule. If the completed permit renewal application and renewal fee are not received before midnight on January 31 of each year, a fifty dollar ($50.00) late fee shall be charged. The renewal application shall be submitted electronically through the Board's website, www.ncdentalboard.org, and shall include the information required by Rule .0102(e) of this Subchapter and a report of compliance with the conditions for renewal in Paragraph (d) of this Rule.

(b) Any permit holder who fails to renew a moderate conscious sedation permit or itinerant moderate conscious sedation permit before March 31 of each year shall complete a reinstatement application, pay the renewal fee and late fee set out in Paragraph (a) of this Rule, and comply with all conditions for renewal set out in this Rule. Dentists whose moderate conscious sedation permits or itinerant moderate conscious sedation permits have been lapsed for more than 12 calendar months shall pass an inspection and an evaluation as part of the reinstatement process in accordance with Rules .0104 and .0306 of this Subchapter. All applicants for reinstatement of a permit shall be in good standing. All applications for reinstatement of a permit shall be submitted on forms furnished by the Board at www.ncdentalboard.org and shall include the information required by Rule .0102(f) of this Subchapter and a report of compliance with the conditions for renewal set out in Paragraph (d) of this Rule.

(c) A dentist who administers moderate conscious sedation in violation of this Rule shall be subject to the penalties prescribed by Rule .0701 of this Subchapter.

(d) As a condition for renewal of the moderate conscious sedation permit and itinerant moderate conscious sedation permit, the permit holder shall meet the clinical and equipment requirements set out in Rules .0103 and .0302 of this Subchapter, the itinerant moderate conscious sedation permit holder shall also meet the clinical and equipment requirements set out in Rule .0304 of this Section, and the permit holder shall document the following:

(1) six hours of continuing education each year in one or more of the following areas, which shall be counted toward fulfillment of the continuing education required each calendar year for license renewal:

(A) sedation;

(B) medical emergencies;

(C) monitoring IV sedation and the use of monitoring equipment;

(D) pharmacology of drugs and agents used in IV sedation;

(E) physical evaluation, risk assessment, or behavioral management; or

(F) airway management;

(2) unexpired ACLS certification, which shall not count towards the six hours of continuing education required in Subparagraph (d)(1) of this Rule;

(3) that the permit holder and all auxiliaries involved in sedation procedures have practiced responding to dental emergencies as a team at least once every six months in the preceding year;

(4) that the permit holder and all auxiliaries involved in sedation procedures have read the practice's emergency manual in the preceding year; and

(5) that all auxiliaries involved in sedation procedures have completed BLS certification and three hours of continuing education annually in any of the areas set forth in Subparagraph (d)(1) of this Rule.

(e) Absent a Board order stating otherwise, all permit holders applying for renewal of a moderate conscious sedation permit or itinerant moderate conscious sedation permit shall be in good standing and their office shall be subject to inspection by the Board.

History

• Authority G.S. 90-28; 90-30.1; 90-31; 90-39; 90-48
• Eff. June 1, 2017
• Amended Eff. August 1, 2024; August 1, 2021; August 1, 2018.

21 NCAC 16Q .0306 PROCEDURE FOR MODERATE CONSCIOUS SEDATION EVALUATION OR INSPECTION and Re-INSPECTION

(a) When an evaluation or on-site inspection is required, the Board shall designate one or more qualified persons to serve as evaluators each of whom has administered moderate conscious sedation for at least three years preceding the inspection. Training in moderate conscious sedation shall not be counted in the three years.

(b) An inspection fee of two-hundred seventy-five dollars ($275.00) shall be due 10 days after the dentist receives notice of the inspection of each additional location at which the dentist administers moderate conscious sedation.

(c) Any dentist-member of the Board may observe or consult in any evaluation or inspection.

(d) The inspection team shall determine compliance with the requirements of the rules in this Subchapter, as applicable, by assigning a grade of "pass" or "fail."

(e) Each evaluator shall report his or her recommendation to the Board's Anesthesia and Sedation Committee, setting forth the details supporting his or her conclusion. The Committee shall not be bound by these recommendations. The Committee shall determine whether the applicant has passed the evaluation or inspection and shall notify the applicant in writing of its decision.

(f) An applicant who fails an inspection or evaluation shall not receive a permit to administer moderate conscious sedation. If a permit holder's facility fails an inspection, no further moderate sedation procedures shall be performed at the facility until it passes a re-inspection by the Board.

(g) An applicant who fails an inspection or evaluation may request a re-evaluation or re-inspection within 15 days of receiving the notice of failure. The request shall be directed to the Board in writing and shall include a statement of the grounds supporting the re-evaluation or re-inspection. Except as set forth in subsection (h) of this Rule, the Board shall require the applicant to receive additional training prior to the re-evaluation to address the areas of deficiency determined by the evaluation. The Board shall notify the applicant in writing of the need for additional training.

(h) A permit applicant who has failed the written examination portion of the evaluation but passed all other aspects of the evaluation and inspection may retake the written examination two additional times at the Board office. The applicant must wait a minimum of 72 hours before attempting to retake a written examination. Any applicant who has failed the written portion of the examination three times shall complete an additional Board approved course of study in the area(s) of deficiency and provide the Board evidence of the additional study before written reexamination.

(i) Re-evaluations and re-inspections shall be conducted by Board-appointed evaluators not involved in the failed evaluation or inspection.

(j) An applicant must complete all the requirements of Rules .0103, .0104, and .0302 of this Subchapter, including passing the written examination, evaluation and inspection, within 12 months of submitting the application to the Board.

History

• Authority G.S. 90-30.1; 90-39; 90-48
• Eff. April 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. August 1, 2024; February 1, 2019; August 1, 2018.

21 NCAC 16Q .0403 Temporary Approval Prior to Site Inspection

History

• Status: repealed
• Authority G.S. 90-28; 90-30.1.
• Temporary Adoption Eff. March 13, 2003; December 11, 2002
• Eff. August 1, 2004
• Amended Eff. February 1, 2009; July 3, 2008
• Repealed Eff. April 1, 2016.

21 NCAC 16Q .0404 Credentials and Permits for Moderate Pediatric Conscious Sedation

(a) Before a dentist licensed to practice in North Carolina may administer moderate pediatric conscious sedation, the dentist shall obtain a general anesthesia or moderate pediatric conscious sedation permit from the Board by completing the application requirements of this Rule and paying a fee of three hundred seventy-five dollars ($375.00) that includes the one-hundred dollar ($100.00) application fee and the two-hundred seventy-five dollar ($275.00) inspection fee. The permit shall be renewed annually and shall be displayed with the current renewal at all times in the permit holder's facility where it is visible to patients receiving treatment.

(b) A dentist applying for a permit to administer moderate pediatric conscious sedation shall hold an unexpired PALS certification and meet at least one of the following criteria:

(1) completion of a postgraduate program that included pediatric intravenous conscious sedation training;

(2) completion of a Commission On Dental Accreditation (CODA) approved pediatric residency that included intravenous conscious sedation training; or

(3) completion of a pediatric degree or pediatric residency at a CODA approved institution that includes training in the use and placement of IVs or intraosseous vascular access. A list of CODA approved institutions that is hereby incorporated by reference, including subsequent amendments and editions, appears at www.ada.org/coda and is available at no cost.

(c) All applicants for moderate pediatric conscious sedation permits shall have completed the training required by Paragraph (b) of this Rule within the last two years or show evidence of moderate pediatric conscious sedation practice within the last two years in another state or U.S. Territory.

(d) All applicants for moderate pediatric conscious sedation permits shall be in good standing with the Board.

(e) Prior to issuance of a moderate pediatric conscious sedation permit, the applicant shall pass an evaluation and a facility inspection. The applicant shall be responsible for passing the evaluation and inspection of his or her facility.

(f) A moderate pediatric conscious sedation permit holder may provide moderate pediatric conscious sedation at the office of another licensed dentist, regardless of the permit, if any held, by the hosting dentist. The permit holder shall ensure that the facility where the moderate pediatric conscious sedation is administered has been inspected and complies with the requirements set out in Rules .0103 and .0405 of this Subchapter. The permit holder shall also obtain an itinerant moderate pediatric conscious sedation permit and comply with the requirements of Rule .0406 of this Section.

History

• Authority G.S. 90-30.1; 90-39; 90-48
• Eff. June 1, 2017
• Amended Eff. August 1, 2024; February 1, 2019; August 1, 2018.

21 NCAC 16Q .0405 Moderate Pediatric Conscious Sedation Clinical Requirements and Equipment

(a) A dentist holding or applying for a permit to administer moderate pediatric conscious sedation shall be subject to the requirements set out in Section .0100 of this Subchapter.

(b) In addition to the drugs listed in Rule .0103(c)(3) of this Subchapter, an unexpired muscle relaxant shall be immediately available and be accessible from the operatory and recovery rooms.

(c) In addition to the requirements set out in Rule .0103(c)(4) of this Subchapter, the permit holder's emergency manual shall include assignments to be performed in the event of emergency by a BLS-certified auxiliary dedicated to patient monitoring.

(d) In addition to the requirements set out in Rule .0103(e) of this Subchapter concerning pre-operative procedures, the permit holder shall ensure that patients who have been administered moderate pediatric conscious sedation are monitored for alertness, responsiveness, breathing, and skin coloration during waiting periods before operative procedures by the permit holder or an auxiliary dedicated to patient monitoring.

(e) As part of the pre-operative assessment required by Rule .0103(e) of this Subchapter, the permit holder shall evaluate the patient for health risks as follows:

(1) a patient who is medically stable and who is ASA I or II shall be evaluated by reviewing the patient's current medical history and medication use; or

(2) a patient who is not medically stable or who is ASA III or higher shall be evaluated by the permit holder's consultation with the patient's primary care physician or consulting medical specialist regarding the potential risks posed by the planned dental procedure.

(f) If a patient immobilization device is used, the permit holder shall ensure that:

(1) the device is applied to avoid airway obstruction or chest restriction;

(2) the patient's head position and respiratory excursions are checked frequently to ensure airway patency;

(3) a hand or foot is kept exposed; and

(4) the patient is under observation by the permit holder or a BLS-certified auxiliary at all times.

(g) During the sedation procedure, a moderate pediatric conscious sedation permit holder shall not administer anesthetic or sedative agents:

(1) designed by the manufacturer for use in administering general anesthesia or deep sedation;

(2) determined by the manufacturer to be contraindicated for use in moderate pediatric conscious sedation; or

(3) in amounts exceeding the manufacturers' maximum recommended dosages, unless the permit holder documents in the sedation record the clinical reason for exceeding the maximum recommended dosage for the patient.

(h) In addition to the requirements set out in Rule .0103(h) of this Subchapter concerning the patient treatment record, the permit holder shall maintain documentation of pre-sedation instructions and information provided to the patient or person responsible for the patient, which shall include:

(1) objectives of the sedation;

(2) anticipated changes in patient behavior during and after sedation;

(3) instructions to the person responsible for a patient transported in a child safety seat regarding patient head position to avoid airway obstruction;

(4) a 24-hour telephone number for the permit holder or his or her BLS-certified auxiliaries; and

(5) instructions on limitations of activities and dietary precautions.

(i) For purposes of Rule .0104(b)(2) of this Subchapter, during an evaluation, a moderate pediatric conscious sedation permit holder or applicant shall demonstrate competency in the deployment of an intravenous delivery system as follows:

(1) a permit holder or applicant who uses intravenous sedation shall demonstrate the administration of moderate pediatric conscious sedation on a live patient, including the deployment of an intravenous delivery system; and

(2) a permit holder or applicant who does not use intravenous sedation shall describe the proper deployment of an intravenous delivery system and shall demonstrate the administration of moderate pediatric conscious sedation on a live patient.

History

• Authority G.S. 90-28; 90-30.1; 90-48
• Eff. June 1, 2017
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 17, 2024; February 1, 2019; August 1, 2018.

21 NCAC 16Q .0406 ITINERANT (Mobile) Moderate PEDIATRIC CONSCIOUS SEDATION PERMITS

(a) A dentist who holds a moderate pediatric conscious sedation permit from the Board and who wishes to provide moderate pediatric conscious sedation or other sedation services in the office of another practitioner shall obtain a mobile moderate pediatric conscious sedation permit from the Board by completing the application requirements of this Rule and paying a one hundred dollar ($100.00) application fee and a two-hundred seventy-five dollar ($275.00) inspection fee. No mobile permit shall be required to administer moderate pediatric conscious sedation in a hospital or credentialed surgery center.

(b) The permit holder shall maintain in good working order the equipment required by Rule .0103 of this Subchapter.

(c) The unexpired medications required by Rules .0103 and .0405 of this Subchapter shall be on site and available to the permit holder.

(d) Before a mobile moderate pediatric sedation permit may be issued, a permit holder appointed by the Board shall inspect the applicant's equipment and medications to ensure that they comply with Paragraphs (b) and (c) of this Rule. The evaluation and on-site inspection shall be conducted as set out in Rules .0104 and .0408 of this Subchapter.

(e) Prior to administering moderate pediatric conscious sedation or other sedation services at another provider's office, the mobile permit holder shall inspect the host facility within 24 business hours before each procedure and shall ensure that:

(1) the operatory's size and design permit emergency management and access of emergency equipment and personnel;

(2) there is a CPR board or dental chair without enhancements suitable for providing emergency treatment;

(3) there is lighting to permit performance of all procedures planned for the facility;

(4) there is suction equipment, including non-electrical back-up suction; and

(5) the facility shall be staffed with at least two BLS certified auxiliaries, one of whom shall be dedicated to patient monitoring and recording moderate pediatric conscious sedation or other sedation services data throughout the sedation procedure. This Subparagraph shall not apply if the dentist permit holder is dedicated to patient care and monitoring regarding sedation throughout the sedation procedure and is not performing the surgery or other dental procedure.

(f) Upon inspection, the permit holder shall document that the facility where the sedation procedure will be performed was inspected and that it met the requirements of Paragraph (e) of this Rule. The permit holder shall retain the inspection and compliance record required by this Paragraph for 10 years following the procedure and provide these records to the Board upon request.

(g) The mobile moderate pediatric conscious sedation permit shall be displayed in the host facility where it is visible to patients receiving treatment.

(h) All applicants for a mobile moderate pediatric conscious sedation permit shall be in good standing with the Board.

History

• Authority G.S. 90-28; 90-30.1; 90-48
• Eff. June 1, 2017
• Amended Eff. August 1, 2024; August 1, 2018.

21 NCAC 16Q .0407 Annual Renewal of Moderate Pediatric Conscious Sedation Permit Required

(a) Moderate pediatric conscious sedation permits and itinerant moderate pediatric conscious sedation permits shall be renewed by the Board annually at the same time as dental licenses. For each permit to be renewed, the permit holder shall pay a one-hundred dollar ($100.00) fee and complete the renewal application requirements in this Rule. If the completed renewal application and renewal fee are not received before midnight on January 31 of each year, a fifty dollar ($50.00) late fee shall be charged. The renewal application shall be submitted electronically through the Board's website, www.ncdentalboard.org, and shall include the information required by Rule .0102(e) of this Subchapter and a report of compliance with the conditions for renewal in Paragraph (d) of this Rule.

(b) Any permit holder who fails to renew a moderate pediatric conscious sedation permit or itinerant moderate pediatric conscious sedation permit before March 31 of each year shall complete a reinstatement application, pay the renewal fee and late fee set out in Paragraph (a) of this Rule, and comply with all conditions for renewal set out in Paragraphs (d) and (e) of this Rule. Dentists whose moderate pediatric conscious sedation permits or itinerant moderate pediatric conscious sedation permits have been lapsed for more than 12 calendar months shall pass an inspection and an evaluation as part of the reinstatement process in accordance with Rules .0104 and .0408 of this Subchapter. All applicants for reinstatement of a permit shall be in good standing. All applications for reinstatement of a permit shall be submitted on forms furnished by the Board at www.ncdentalboard.org and shall include the information required by Rule .0102(f) of this Subchapter and a report of compliance with the conditions for renewal set out in Paragraph (d) of this Rule.

(c) A dentist who administers moderate pediatric conscious sedation in violation of this Rule shall be subject to the penalties prescribed by Rule .0701 of this Subchapter.

(d) As a condition for renewal of the moderate pediatric conscious sedation permit and itinerant moderate pediatric conscious sedation permit, the permit holder shall meet the clinical and equipment requirements of Rules .0103 and .0405 of this Subchapter, the itinerant moderate pediatric conscious sedation permit holder shall also meet the clinical and equipment requirements of Rule .0406 of this Section, and the permit holder shall document the following:

(1) six hours of continuing education each year in one or more of the following areas, which shall be counted toward fulfillment of the continuing education required each calendar year for license renewal:

(A) sedation;

(B) medical emergencies;

(C) monitoring IV sedation and the use of monitoring equipment;

(D) pharmacology of drugs and agents used in IV sedation;

(E) physical evaluation, risk assessment, or behavioral management; or

(F) airway management;

(2) unexpired PALS certification, which shall not count towards the six hours of continuing education required in Subparagraph (d)(1) of this Rule;

(3) that the permit holder and all auxiliaries involved in sedation procedures have practiced responding to dental emergencies as a team at least once every six months in the preceding year;

(4) that the permit holder and all auxiliaries involved in sedation procedures have read the practice's emergency manual in the preceding year; and

(5) that all auxiliaries involved in sedation procedures have completed BLS certification and three hours of continuing education annually in any of the areas set forth in Subparagraph (d)(1) of this Rule.

(e) Absent a Board order stating otherwise, all permit holders applying for renewal of a moderate pediatric conscious sedation permit or itinerant moderate pediatric conscious sedation permit shall be in good standing and their office shall be subject to inspection by the Board.

History

• Authority G.S. 90-28; 90-30.1; 90-31; 90-39; 90-48
• Eff. June 1, 2017
• Amended Eff. August 1, 2024; August 1, 2021; August 1, 2018.

21 NCAC 16Q .0408 PROCEDURE FOR MODERATE PEDIATRIC SEDATION EVALUATION OR INSPECTION and RE-INSPECTION

(a) When an evaluation or on-site inspection is required, the Board shall designate one or more qualified persons to serve as evaluators, each of whom has administered moderate pediatric sedation for at least three years preceding the evaluation or inspection. Training in moderate pediatric sedation shall not count toward the three years.

(b) An inspection fee of two-hundred seventy-five dollars ($275.00) shall be due 10 days after the dentist receives notice of the inspection of each additional location at which the dentist administers moderate pediatric sedation.

(c) Any dentist-member of the Board may observe or consult in any evaluation or inspection.

(d) The inspection team shall determine compliance with the requirements of the rules in this Subchapter, as applicable, by assigning a grade of "pass" or "fail."

(e) Each evaluator shall report his or her recommendation to the Board's Anesthesia and Sedation Committee, setting forth the details supporting his or her conclusion. The Committee shall not be bound by these recommendations. The Committee shall determine whether the applicant has passed the evaluation or inspection and shall notify the applicant in writing of its decision.

(f) An applicant who fails an inspection or evaluation shall not receive a permit to administer moderate pediatric sedation. If a permit holder's facility fails an inspection, no further moderate pediatric sedation procedures shall be performed at the facility until it passes a re-inspection by the Board.

(g) An applicant who fails an inspection or evaluation may request a re-evaluation or re-inspection within 15 days of receiving the notice of failure. The request shall be directed to the Board in writing and include a statement of the grounds supporting the re-evaluation or re-inspection. Except as set forth in subsection (h) of this Rule, the Board shall require the applicant to receive additional training prior to the re-evaluation to address the areas of deficiency determined by the evaluation. The Board shall notify the applicant in writing of the need for additional training.

(h) A permit applicant who has failed the written examination portion of the evaluation but passed all other aspects of the evaluation and inspection may retake the written examination two additional times at the Board office. The applicant must wait a minimum of 72 hours before attempting to retake a written examination. Any applicant who has failed the written portion of the examination three times shall complete an additional Board approved course of study in the area(s) of deficiency and provide the Board evidence of the additional study before written reexamination.

(i) Re-evaluations and re-inspections shall be conducted by Board-appointed evaluators not involved in the failed evaluation or inspection.

(j) An applicant must complete all the requirements of Rules .0103, .0104, and .0405 of this Subchapter, including passing the written examination, evaluation and inspection, within 12 months of submitting the application to the Board.

History

• Authority G.S. 90-30.1; 90-39; 90-48
• Eff. April 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. August 1, 2024; February 1, 2019; August 1, 2018.

21 NCAC 16Q .0501 Annual Renewal Required

History

• Status: repealed
• Authority G.S. 90-28; 90-30.1; 90-48
• Eff. February 1, 1990
• Amended Eff. August 1, 2002
• Transferred and Recodified from 16Q .0401 to 16Q .0501
• Temporary Amendment Eff. December 11, 2002
• Amended Eff. November 1, 2013; July 3, 2008; August 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. August 1, 2018
• Repealed Eff. February 1, 2019.

21 NCAC 16Q .0502 Payment of Fees

History

• Status: repealed
• Authority G.S. 90-28; 90-30.1
• Eff. February 1, 1990
• Transferred and Recodified from 16Q .0402 to .0502
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Repealed Eff. August 1, 2018.

21 NCAC 16Q .0504 Minimal Conscious Sedation Credentials and Permit

(a) Before a dentist licensed to practice in North Carolina may administer or supervise a CRNA employed to administer or an RN employed to deliver minimal conscious sedation, the dentist shall obtain a Board-issued permit for minimal conscious sedation, moderate pediatric conscious sedation, moderate conscious sedation, or general anesthesia. A dentist may obtain a minimal conscious sedation permit from the Board by completing the application requirements of this Rule and paying a fee of three-hundred seventy-five dollars ($375.00) that includes the one-hundred dollar ($100.00) application fee and the two-hundred seventy-five dollar ($275.00) inspection fee. The permit shall be renewed annually and shall be displayed with the current renewal at all times in the facility of the permit holder where it is visible to patients receiving treatment.

(b) The minimal conscious sedation permit holder shall ensure the level of the sedation administered does not exceed minimal conscious sedation as defined in Rule .0101(27) of this Subchapter.

(c) An applicant for a minimal conscious sedation permit shall submit to the Board:

(1) a completed application form provided by the Board at www.ncdentalboard.org that includes the information and materials required by Rule .0102(b) and (c) of this Subchapter;

(2) a copy of an unexpired ACLS certification; and

(3) documentation showing completion of one of the following:

(A) an 18-hour minimal conscious sedation course from the list, available on the Board's website, of sedation courses reviewed at any public Board meeting and approved by a majority of the Board based on its collective experience; or

(B) a post-doctoral program accredited by the Commission on Dental Accreditation (CODA) that provides training in administering and managing minimal conscious sedation. A list of CODA-accredited programs is available at no cost at www.ada.org/coda and is incorporated by reference, including subsequent amendments and editions.

(d) Prior to issuance of a minimal conscious sedation permit, the applicant shall pass an evaluation and facility inspection in accordance with Rules .0505 and .0507 of this Section.

(e) An applicant shall submit the fee set out in Paragraph (a) and satisfy all requirements in Paragraphs (c) and (d) of this Rule for the application to be complete. Applications that are not completed within one year of being submitted to the Board shall be disregarded without a refund of the fee.

(f) A dentist who administers minimal conscious sedation in violation of this Rule shall be subject to the penalties prescribed by Rule .0701 of this Subchapter.

History

• Authority G.S. 90-28; 90-30.1; 90-39
• Temporary Adoption Eff. March 13, 2003; December 11, 2002
• Eff. August 1, 2004
• Amended Eff. July 3, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. February 1, 2019
• Recodified from 21 NCAC 16Q .0401 Eff. November 9, 2020
• Amended Eff. August 1, 2021.

21 NCAC 16Q .0505 Minimal Conscious Sedation Clinical Requirements and Equipment

(a) A permit holder administering minimal conscious sedation or supervising a CRNA employed to administer or RN employed to deliver minimal conscious sedation shall ensure that the facility where the sedation is administered meets the following requirements:

(1) The facility shall be equipped with the following:

(A) an operatory of size and design to permit access of emergency equipment and personnel and to permit emergency management;

(B) a CPR board or a dental chair without enhancements, suitable for providing emergency treatment;

(C) lighting as necessary for specific procedures and back-up lighting;

(D) suction equipment as necessary for specific procedures, including non-electrical back-up suction;

(E) positive pressure oxygen delivery system, including full face masks for small, medium, and large patients and back-up E-cylinder portable oxygen tank apart from the central system;

(F) small, medium, and large oral and nasal airways;

(G) blood pressure monitoring device;

(H) pulse oximeter;

(I) automatic external defibrillator (AED);

(J) thermometer;

(K) tonsillar suction with back-up suction; and

(L) syringes as necessary for specific procedures.

(2) The following unexpired drugs shall be maintained in the facility and with access from the operatory and recovery rooms:

(A) epinephrine;

(B) oral antihistamine;

(C) bronchodilator;

(D) antihypoglycemic agent;

(E) appropriate reversal agents; and

(F) nitroglycerine.

(3) The permit holder shall maintain written emergency and patient discharge protocols. The permit holder shall also provide training to familiarize auxiliaries in the treatment of clinical emergencies.

(4) The permit holder shall maintain the following records for at least 10 years:

(A) patient's current written medical history and pre-operative assessment;

(B) drugs administered during the procedure, including route of administration, dosage, strength, time, and sequence of administration; and

(C) a sedation record.

(5) The sedation record shall include:

(A) base line vital signs, blood pressure (unless patient behavior prevents recording), oxygen saturation, pulse and respiration rates of the patient recorded in real time at 15-minute intervals;

(B) procedure start and end times;

(C) status of patient upon discharge;

(D) documentation of complications or morbidity; and

(E) a consent form, signed by the patient or guardian, identifying the procedure, risks and benefits, level of sedation, and date signed.

(6) During a sedation procedure, the facility shall be staffed with at least two BLS certified auxiliaries, one of whom shall be involved in patient monitoring. This Subparagraph shall not apply if the permit holder is dedicated to patient care and monitoring regarding sedation throughout the sedation procedure and is not performing the surgery or other dental procedure.

(b) During an inspection or evaluation, the applicant or permit holder shall demonstrate the administration of minimal sedation on a patient while the evaluator observes. During the demonstration, the applicant or permit holder shall demonstrate competency in the following areas:

(1) monitoring blood pressure, pulse, pulse oximetry, and respiration;

(2) drug dosage and administration;

(3) treatment of untoward reactions, including respiratory or cardiac depression if applicable;

(4) sterile technique;

(5) use of BLS certified auxiliaries;

(6) monitoring of patient during recovery; and

(7) sufficiency of patient recovery time.

(c) During an inspection or evaluation, the applicant or permit holder shall demonstrate competency to the evaluator in the treatment of the following clinical emergencies:

(1) laryngospasm;

(2) bronchospasm;

(3) emesis and aspiration;

(4) respiratory depression and arrest;

(5) angina pectoris;

(6) myocardial infarction;

(7) hypertension and hypotension;

(8) allergic reactions;

(9) convulsions;

(10) syncope;

(11) bradycardia;

(12) hypoglycemia;

(13) cardiac arrest; and

(14) airway obstruction.

(d) During the evaluation, the applicant shall take a written examination on the topics set forth in Paragraphs (b) and (c) of this Rule. The applicant must obtain a passing score on the written examination by answering 80 percent of the examination questions correctly. If the applicant fails to obtain a passing score on the written examination that is administered during the evaluation, he or she may be reexamined in accordance with Rule .0507(h) of this Section.

(e) A minimal conscious sedation permit holder shall evaluate each patient for health risks before starting any sedation procedure as follows:

(1) The permit holder shall review the patient's current medical history and medication use and, if the permit holder considers it clinically necessary, the permit holder shall consult with the patient's treating medical provider.

(2) A patient who is not medically stable or who is ASA III or higher shall be evaluated further by the permit holder's consultation with the patient's treating primary care physician or medical specialist regarding the potential risks posed by the procedure the permit holder plans to perform.

(f) Post-operative monitoring and discharge:

(1) The permit holder or a BLS certified auxiliary under his or her direct supervision shall monitor the patient's vital signs throughout the sedation procedure until the patient is recovered as defined in Subparagraph (f)(2) of this Rule and is ready for discharge from the office.

(2) Recovery from minimal conscious sedation shall include documentation of the following:

(A) cardiovascular function stable;

(B) airway patency uncompromised;

(C) patient arousable and protective reflexes intact;

(D) state of hydration within normal limits;

(E) patient can talk, if applicable;

(F) patient can sit unaided, if applicable;

(G) patient can ambulate, if applicable, with minimal assistance; and

(H) for the special needs patient or patient incapable of the usually expected responses, the pre-sedation level of responsiveness or the level as close as possible for that patient shall be achieved.

(3) Prior to allowing the patient to leave the office, the permit holder shall determine that the patient has met the recovery criteria set out in Subparagraph (f)(2) of this Rule and the following discharge criteria:

(A) oxygenation, circulation, activity, skin color, and level of consciousness are stable and have been documented;

(B) explanation and documentation of written postoperative instructions have been provided to the patient or a person responsible for the patient at the time of discharge; and

(C) a person authorized by the patient is available to transport the patient after discharge.

History

• Authority G.S. 90-28; 90-30.1
• Temporary Adoption Eff. December 11, 2002
• Eff. August 1, 2004
• Amended Eff. July 3, 2008
• Readopted Eff. February 1, 2019
• Recodified from 21 NCAC 16Q .0402 Eff. November 9, 2020
• Amended Eff. August 1, 2021.

21 NCAC 16Q .0506 ANNUAL RENEWAL of MINIMAL CONSCIOUS SEDATION PERMIT REQUIRED

(a) Minimal conscious sedation permits shall be renewed by the Board annually at the same time as dental licenses by the permit holder paying a renewal fee of one hundred dollars ($100.00) and completing the renewal application requirements of this Rule. If the completed permit renewal application and renewal fee are not received in the Board's office before midnight on January 31 of each year, a fifty dollar ($50.00) late fee shall be charged. The renewal application shall be submitted electronically through the Board's website, www.ncdentalboard.org, and shall include the information required by Rule .0102(e) of this Subchapter and a report of compliance with the conditions for renewal in Paragraph (d) of this Rule.

(b) Any permit holder who fails to renew a minimal conscious sedation permit before midnight on March 31 of each year shall complete a reinstatement application, pay the renewal fee and late fee set out in Paragraph (a), and comply with all conditions for renewal set out this Rule. Dentists whose sedation permits have been lapsed for more than 12 calendar months shall pass an inspection and an evaluation as part of the reinstatement process in accordance with Rules .0505 and .0507 of this Section. All applicants for reinstatement of a permit shall be in good standing. All applications for reinstatement of a permit shall be submitted on forms furnished by the Board at www.ncdentalboard.org and shall include the information required by Rule .0102(f) of this Subchapter and a report of compliance with the conditions for renewal set out in Paragraph (d) of this Rule.

(c) A dentist who administers minimal conscious sedation in violation of this Rule shall be subject to the penalties prescribed by Rule .0701 of this Subchapter.

(d) As a condition for renewal of the minimal conscious sedation permit, the permit holder shall meet the clinical and equipment requirements of Rule .0505 of this Section and shall document the following:

(1) three hours of continuing education each year in one or more of the following areas, which shall be counted toward fulfillment of the continuing education required each calendar year for license renewal:

(A) sedation;

(B) medical emergencies;

(C) monitoring sedation and the use of monitoring equipment;

(D) pharmacology of drugs and agents used in sedation;

(E) physical evaluation, risk assessment, or behavioral management; or

(F) airway management;

(2) unexpired ACLS certification, which shall not count towards the three hours of continuing education required in Subparagraph (d)(1) of this Rule;

(3) that the permit holder and all auxiliaries involved in sedation procedures have read the practice's emergency manual in the preceding year; and

(4) that all auxiliaries involved in sedation procedures have completed BLS certification and, within the past two years, completed three hours of continuing education in any of the areas set forth in Subparagraph (d)(1) of this Rule.

(e) Absent a Board order stating otherwise, all permit holders applying for renewal of a minimal conscious sedation permit shall be in good standing and their office shall be subject to inspection as set out in Rule .0507 of this Section.

History

• Authority G.S. 90-30.1; 90-31; 90-39
• Eff. August 1, 2021.

21 NCAC 16Q .0507 PROCEDURE FOR MINIMAL CONSCIOUS SEDATION EVALUATION OR INSPECTION and Re-INSPECTION

(a) When an evaluation or on-site inspection is required, the Board shall designate one or more persons to serve as evaluators, each of whom has administered sedation or general anesthesia in accordance with this Subchapter for at least three years preceding the inspection. Training in minimal conscious sedation or other levels of sedation shall not be counted in the three years.

(b) The inspection fee set out in Rule .0504(a) of this Section shall be paid no later than 10 days after the applicant or permit holder receives notice of the inspection for each additional location at which the applicant or permit holder administers minimal conscious sedation.

(c) Any dentist-member of the Board may observe or consult in any evaluation or inspection.

(d) Each evaluator shall determine compliance with the requirements of the rules in this Subchapter, as applicable, by assigning a recommended grade of "pass" or "fail."

(e) Each evaluator shall report his or her recommendation to the Board through the Board member serving as the Chair of the Board's Anesthesia and Sedation Committee, setting forth the details supporting his or her conclusion. The Committee Chair shall not be bound by these recommendations. The Committee Chair shall determine whether the applicant or permit holder has passed the evaluation or inspection and shall notify the applicant or permit holder in writing of its decision.

(f) An applicant who fails an inspection or evaluation shall not receive a permit to administer minimal conscious sedation. If a permit holder's facility fails an inspection, no further minimal conscious sedation procedures shall be performed at the facility until it passes a re-inspection by the Board.

(g) An applicant or permit holder who fails an inspection or evaluation may request a re-evaluation or re-inspection within 15 days of receiving the notice of failure. The request shall be directed to the Board in writing and shall include a statement of the grounds supporting the re-evaluation or re-inspection. Except as set forth in Paragraph (h) of this Rule, the Board shall require the applicant or permit holder to receive additional training prior to the re-evaluation to address the areas of deficiency determined by the evaluation. The Board shall notify the applicant in writing of the need for additional training.

(h) An applicant who failed the written examination portion of the evaluation but passed all other aspects of the evaluation and inspection may retake the written examination two additional times at the Board office. The applicant must wait a minimum of 72 hours before attempting to retake a written examination. Any applicant who failed the written portion of the examination three times shall complete an additional Board-approved course of study in the areas of deficiency and provide the Board evidence of the additional study before written reexamination.

(i) Re-evaluations and re-inspections shall be conducted by Board-appointed evaluators not involved in the failed evaluation or inspection.

(j) An applicant must satisfy all the requirements of Rule .0505 of this Section, including passing the written examination, evaluation, and inspection, within 12 months of submitting the application to the Board.

History

• Authority G.S. 90-30.1; 90-39
• Eff. August 1, 2021.

21 NCAC 16Q .0601 Reports of Adverse Occurrences

History

• Status: repealed
• Authority G.S. 90-28; 90-30.1; 90-41
• Eff. February 1, 1990
• Transferred and Recodified from 16Q .0501 to 16Q .0601
• Transferred and Recodified from 16Q .0502 to 16Q .0602
• Temporary Amendment Eff. December 11, 2002
• Amended Eff. August 1, 2004
• Repealed Eff. April 1, 2016.

21 NCAC 16Q .0602 Failure to Report

History

• Status: repealed
• Authority G.S. 90-28; 90-30.1; 90-41
• Eff. February 1, 1990
• Transferred and Recodified from 16Q .0501 to 16Q .0601
• Transferred and Recodified from 16Q .0502 to 16Q .0602
• Temporary Amendment Eff. December 11, 2002
• Amended Eff. August 1, 2004
• Repealed Eff. April 1, 2016.

21 NCAC 16Q .0701 Failure to Comply

(a) Failure to comply with the provisions of this Subchapter may result in suspension or revocation of the general anesthesia or sedation permit and the dentist's license to practice dentistry in accordance with G.S. 90-41.

(b) Absent a Board order stating otherwise, a dentist whose permit has been revoked shall not be eligible to:

(1) apply for reinstatement of the permit for a period of one year after the effective date of the revocation; or

(2) re-apply for reinstatement of the permit for a period of one year after the Board's denial of the applicant's previous application for reinstatement.

(c) An application for permit reinstatement that is received before the applicant is eligible to apply pursuant to Paragraph (b) of this Rule shall be disregarded without a refund of the application fees.

History

• Authority G.S. 90-28; 90-30.1; 90-41; 90-48
• Eff. February 1, 1990
• Transferred and Recodified from 16Q .0601 to 16Q .0701
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2025.

21 NCAC 16Q .0703 Reports of Adverse Occurrences

(a) A dentist who holds a permit to administer general anesthesia or sedation shall submit an adverse occurrence report to the Board within 72 hours after each adverse occurrence if the patient dies or has permanent organic brain dysfunction within 24 hours after the administration of general anesthesia or sedation. Sedation permit holders shall cease administration of sedation until the Board has investigated the death or permanent organic brain dysfunction and approved resumption of permit privileges. General anesthesia permit holders shall cease administration of general anesthesia and sedation until the Board has reviewed the adverse occurrence report and approved resumption of permit privileges.

(b) A dentist who holds a permit to administer general anesthesia or sedation shall submit an adverse occurrence report to the Board within 30 days after each adverse occurrence if the patient is admitted to a hospital on inpatient status for a medical emergency or physical injury within 24 hours after the administration of general anesthesia or sedation.

(c) The adverse occurrence report shall be in writing and shall include the following:

(1) dentist's name, license number and permit number;

(2) date and time of the occurrence;

(3) facility where the occurrence took place;

(4) name and address of the patient;

(5) surgical procedure involved;

(6) type and dosage of sedation or anesthesia utilized in the procedure;

(7) circumstances involved in the occurrence; and

(8) the entire patient treatment record including anesthesia records.

(d) Upon receipt of any report submitted pursuant to this Rule, the Board shall investigate and shall take disciplinary action if the evidence demonstrates that a licensee has violated the Dental Practice Act set forth in Article 2 of Chapter 90 of the General Statutes or the rules of this Chapter.

History

• Authority G.S. 90-28; 90-30.1; 90-41; 90-48
• Eff. April 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 17, 2024.

21 NCAC 16Q .0704 Inspection Authorized

Incident to the renewal of an anesthesia or sedation permit or any itinerant permit, or incident to an investigation pursuant to 21 NCAC 16U, the Board may require an on-site inspection of the dentist's facility, equipment, personnel, and procedures. The inspection shall be conducted in accordance with the rules and requirements of this Subchapter applicable to the type of permit.

History

• Authority G.S. 90-28; 90-30.1
• Eff. February 1, 1990
• Amended Eff. January 1, 1994
• Transferred and Recodified from 16Q .0403 to 16Q .0503
• Temporary Amendment Eff. December 11, 2002
• Amended Eff. August 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. August 1, 2018
• Recodified from 21 NCAC 16Q .0503 Eff. November 9, 2020
• Amended Eff. July 1, 2022.

Subchapter R

21 NCAC 16R .0101 Applications

(a) A renewal application for a dental license shall be submitted electronically before midnight on January 31 of each year through the Board's website: www.ncdentalboard.org. The renewal application shall include:

(1) dental license number;

(2) full name;

(3) mailing address;

(4) telephone number;

(5) fax number;

(6) email address;

(7) citizenship or immigration status, with verifying documentation;

(8) whether, during the calendar year preceding the application, the licensee has:

(A) been summoned to court or before a magistrate for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(B) been arrested for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(C) been taken into custody for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(D) been indicted for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(E) been convicted or tried for the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(F) been charged with the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(G) pleaded guilty to the violation of any law or ordinance or for the commission of any felony or misdemeanor;

(H) been disciplined by any professional licensing board; or

(I) had a malpractice suit settled or pending against the licensee;

(9) whether the licensee has been investigated for employee misclassification as an independent contractor within the five years preceding the application;

(10) employment status as a dentist as of the date of the application, including:

(A) whether the licensee is currently working as a dentist;

(B) primary practice area;

(C) name of the practice in which the licensee provides services;

(D) primary setting in which the licensee provides services;

(E) number of hours the licensee works in an average week;

(F) whether the licensee is self-employed;

(G) if not self-employed, the type of employer for which the licensee works; and

(H) if self-employed, the number of dentists, hygienists, and dental assistants working in the licensee's practice;

(11) a report of the licensee's completion of continuing education hours related to clinical patient care during the calendar year preceding the application, or the licensee's exemption from reporting;

(12) whether the licensee is enrolled in or completed a residency program during the calendar year preceding the application;

(13) whether the licensee holds an unexpired CPR certification;

(14) whether the licensee employed dental hygienists as limited supervision hygienists as set forth in 21 NCAC 16Z during the calendar year preceding the application;

(15) whether the licensee is registered with and using the N.C. Controlled Substances Reporting System as of the date of the application;

(16) whether the licensee has an active U.S. Drug Enforcement Administration license as of the date of the application to prescribe schedule II-IV controlled medications;

(17) whether the licensee has completed at least one hour of continuing education in controlled substance prescribing practices and controlled substance prescribing for chronic pain management during the calendar year preceding the application; and

(18) a written statement certifying that the information submitted is accurate to the best of the licensee's knowledge.

(b) In addition to the requirements of Paragraph (a) of this Rule, the licensee shall mail to the Board the following materials for review by the Board before the license will be renewed:

(1) for each matter existing under Subparagraph (a)(8) of this Rule, a statement describing the nature, facts, and disposition of the matter, and include a copy, certified by the clerk of court or the applicable licensing board, of the disposition or judgment in the matter; and

(2) for each matter under Subparagraph (a)(9) of this Rule, documentation of the results of the investigation.

(c) The Board shall receive all information and documentation set forth in Paragraphs (a) and (b) of this Rule, accompanied by the renewal fees set forth in 21 NCAC 16M .0101, for the renewal application to be complete. If a renewal application is not complete, the license will not be renewed.

(d) Eligible licensees shall be granted an extension period as set out in 21 NCAC 16B .0900 in which to pay renewal fees, obtain CPR certification, and comply with the Board's continuing education rules.

(e) Any license obtained through fraud or by any false representation shall be revoked.

History

• Authority G.S. 90-28; 90-31; 90-39; 93B-15
• Eff. April 1, 2003
• Amended Eff. July 1, 2015; February 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. September 1, 2020.

21 NCAC 16R .0102 Fee for Late Filing and Duplicate License

(a) If the application for a renewal certificate, including all information and documentation set out in Rule .0101 of this Subchapter and accompanied by the renewal fees required by 21 NCAC 16M .0101, is not received in the Board's office before midnight on January 31 of each year, an additional fee for late renewal shall be charged as set out in 21 NCAC 16M .0101.

(b) A fee shall be charged for each duplicate of any license or certificate issued by the Board as set out in 21 NCAC 16M .0101.

History

• Authority G.S. 90-31; 90-39
• Eff. April 1, 2003
• Amended Eff. July 1, 2015; February 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. September 1, 2020.

21 NCAC 16R .0103 Continuing Education Required

History

• Status: repealed
• Authority G.S. 90-31.1; 90-38
• Eff. May 1, 1994
• Amended Eff. Amended Eff. November 1, 2008; September 1, 2008; February 1, 2008; April 1, 2003; August 1, 2002; April 1, 2001; August 1, 1998.
• Repealed Eff. July 1, 2015.

21 NCAC 16R .0104 Approved Courses and Sponsors

History

• Status: repealed
• Authority G.S. 90-31.1; 90-38
• Eff. May 1, 1994
• Amended Eff. Amended Eff. November 1, 2008; September 1, 2008; February 1, 2008; April 1, 2003; August 1, 2002; April 1, 2001; August 1, 1998.
• Repealed Eff. July 1, 2015.

21 NCAC 16R .0105 Reporting of Continuing Education

History

• Status: repealed
• Authority G.S. 90-31.1; 90-38
• Eff. May 1, 1994
• Amended Eff. Amended Eff. November 1, 2008; September 1, 2008; February 1, 2008; April 1, 2003; August 1, 2002; April 1, 2001; August 1, 1998.
• Repealed Eff. July 1, 2015.

21 NCAC 16R .0106 Variances and Exemption from and Credit for Continuing Education

History

• Status: repealed
• Authority G.S. 90-31.1; 90-38
• Eff. May 1, 1994
• Amended Eff. Amended Eff. November 1, 2008; September 1, 2008; February 1, 2008; April 1, 2003; August 1, 2002; April 1, 2001; August 1, 1998.
• Repealed Eff. July 1, 2015.

21 NCAC 16R .0107 Penalty/Non-Compliance/Continuing Education

History

• Status: repealed
• Authority G.S. 90-31.1; 90-38
• Eff. May 1, 1994
• Amended Eff. Amended Eff. November 1, 2008; September 1, 2008; February 1, 2008; April 1, 2003; August 1, 2002; April 1, 2001; August 1, 1998.
• Repealed Eff. July 1, 2015.

21 NCAC 16R .0108 License Void Upon Failure to Timely Renew

If an application for a renewal certificate, including all information and documentation set out in Rule .0101 of this Subchapter and accompanied by the renewal and late filing fees required by 21 NCAC 16M .0101, is not received in the Board's office before midnight on March 31 of each year, the license shall become void and the applicant shall apply for reinstatement in accordance with 21 NCAC 16B .1101.

History

• Authority G.S. 90-31; 90-34
• Eff. July 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. September 1, 2020.

21 NCAC 16R .0110 Renewal Certificate Must Be Displayed

The current certificate of renewal of license for a dentist shall be posted where it is visible to patients receiving treatment in the office where the dentist is employed, and shall be exhibited or produced to the North Carolina State Board of Dental Examiners or its investigators during every visit to the office.

History

• Authority G.S. 90-33
• Eff. July 1, 2015
• Amended Eff. August 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16R .0201 Continuing Education Required

(a) Except as permitted in Rule .0204 of this Section as a condition of license renewal, every dentist shall complete a minimum of 15 clock-hours of continuing education each calendar year.

(b) For licensees who prescribe controlled substances, one hour of the total required continuing education hours shall consist of a course designed to address prescribing practices, including instruction on controlled substance prescribing practices and controlled substance prescribing for chronic pain management.

(c) Each applicant who receives an Instructor's license or a license to practice general dentistry after January 1, 2019, and who is actively engaged in the practice or teaching of dentistry in North Carolina shall take a six-hour course in professionalism and ethics in the first year that the applicant is required to meet the continuing education requirements of Paragraph (a) of this Rule.

(1) The six-hour professionalism and ethics course shall be included in the 15 clock-hour requirement of Paragraph (a) of this Rule.

(2) The professionalism and ethics Course shall include segments addressing coding and billing, record keeping, informed consent, patient and staff boundaries, office management, duties delegable to dental auxiliaries, the American Dental Association's Code of Ethics, and professionalism.

(3) A dentist who receives a variance or exemption from continuing education requirements under 21 NCAC 16R .0204(a)(1),(3), or (4) shall be exempt from taking the professionalism and ethics course until such time as he or she resumes full practice. A dentist classified as a semi-retired Class II dentist shall complete the professionalism and ethics course.

(d) Any or all of the hours may be acquired through self-study courses, provided that the self-study courses are related to clinical patient care and offered by a Board-approved sponsor listed in Rule .0202 of this Section. The dentist shall pass a test following every self-study course and obtain a certificate of completion.

(e) Courses taken to maintain CPR certification shall not count toward the mandatory continuing education hours set forth in this Rule.

History

• Authority G.S. 90-31.1
• Eff. July 1, 2015
• Amended Eff. August 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. November 1, 2018; September 1, 2018.

21 NCAC 16R .0202 Approved Courses and Sponsors

(a) Courses allowed to satisfy the continuing education requirement shall be related to clinical patient care. Hours devoted to financial issues or practice development topics shall not be counted toward the continuing education requirement. Hours spent reviewing dental journals, publications, or videos shall not count toward fulfilling the continuing education requirement, with the exception of self-study courses as described in Rule .0201 of this Section offered by Board approved sponsors.

(b) Approved continuing education course sponsors include:

(1) those recognized by the Continuing Education Recognition Program of the American Dental Association;

(2) the Academy of General Dentistry;

(3) North Carolina Area Health Education Centers;

(4) educational institutions with dental, dental hygiene or dental assisting schools or departments;

(5) national, state, or local societies or associations;

(6) local, state, or federal governmental entities; and

(7) Federally Qualified Health Centers.

History

• Authority G.S. 90-31.1
• Eff. July 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. July 1, 2022.

21 NCAC 16R .0203 Reporting Continuing Education

(a) All licensed dentists shall report the number of continuing education hours completed annually on the license renewal application form submitted to the Board. The organization offering or sponsoring each course shall provide to each attendee a report containing the following information:

(1) course title;

(2) number of hours of instruction;

(3) date of the course attended;

(4) name(s) of the course instructor(s); and

(5) name of the organization offering or sponsoring the course.

(b) Evidence of employment by or affiliation with an agency or institution as specified in Rule .0204(c) of this Section shall be verified by a director or official acting in a supervisory position.

(c) All licensed dentists shall maintain the report referred to in Paragraph (a) of this Rule for at least two years following completion of the course and shall produce a copy of the report to the Board or its investigator during every Board audit of the licensee's continuing education hours.

History

• Authority G.S. 90-31.1
• Eff. July 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16R .0204 Exemption from and Credit for Continuing Education

(a) Upon receipt of written evidence, the Board will grant exemptions from the mandatory continuing education requirements set out in Rules .0201 and .0206 of this Section as follows:

(1) A dentist who practices not more than 250 clock hours in a calendar year shall be classified as a semi-retired Class I dentist, and shall:

(A) be exempt from the requirement set out in Rule .0201(a) of this Section to complete 15 clock hours of continuing education each calendar year;

(B) complete the course required in Rule .0201(b) of this Section if the dentist prescribes controlled substances; and

(C) maintain an unexpired CPR certification.

(2) A dentist who practices not more than 1,000 clock hours in a calendar year shall be classified as a semi-retired Class II dentist, and shall:

(A) be exempt from one half of the total continuing education hours required in Rule .0201(a) of this Section;

(B) complete the course required in Rule .0201(b) of this Section if the dentist prescribes controlled substances;

(C) complete the continuing education requirement on substance abuse and mental health set out in Rule .0206 of this Section; and

(D) maintain an unexpired CPR certification.

(3) A retired dentist who does not practice any dentistry shall be exempt from all continuing education and CPR certification requirements.

(b) If a dentist who has been exempted from continuing education requirements wishes to resume practicing for more hours than permitted by his or her classification under Paragraph (a) of this Rule, the Board shall require continuing education courses for the calendar year in which he or she increases practice hours in accordance with this Rule and Rules .0201 and .0206 of this Section when reclassifying the dentist. A dentist who has been classified as retired and wishes to resume practice shall satisfy the reinstatement requirements of 21 NCAC 16B .1101.

(c) Dentists shall receive 10 hours credit per year for continuing education when engaged in any of the following:

(1) service on a full-time basis on the faculty of an educational institution with involvement in education, training, or research in dental or dental hygiene programs; or

(2) service on a full-time basis with a federal, state, or county government agency whose operation is related to dentistry. Verification of credit hours shall be maintained in the manner specified in Rule .0203 of this Section.

(d) Dentists who do not work on a full-time basis but work at least 20 hours per week in an institution or entity described in Subparagraph (c)(1) or (2) of this Rule shall receive five hours credit per year for continuing education.

(e) Dentists shall receive up to two hours of continuing education credits per year for providing dental services on a volunteer basis at any state, city, or county operated site. Credit will be given at ratio of 1:5, with one hour credit given for every five hours of volunteer work.

(f) Eligible licensees as defined by 21 NCAC 16B .0901 shall be granted a waiver of their mandatory continuing education requirements.

History

• Authority G.S. 90-31.1; 90-38
• Eff. July 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. July 1, 2023; December 1, 2020.

21 NCAC 16R .0205 Penalty/Non-Compliance/Continuing Education

If an applicant for a renewal of license fails to provide proof of completion of reported continuing education hours for the current year as required by Rule .0203 of this Section, the Board shall refuse to issue a renewal certificate until the licensee completes the required hours of education for the current year and complies with the requirements of Rules 21 NCAC 16R .0101 and .0102. If an applicant applies for credit for or exemption from continuing education hours and fails to provide the required documentation upon request, the Board shall refuse to issue a certificate of renewal until the applicant meets the qualifications for exemption or credit. If an applicant fails to meet the qualifications for renewal, including completing the required hours of continuing education and delivering the required documentation to the Board's office before midnight on March 31 of each year, the license shall become void and the licensee must seek reinstatement.

History

• Authority G.S. 90-31.1
• Eff. July 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16R .0206 continuing educaTION ON MENTAL HEALTH

(a) Every two calendar years, each dentist shall complete one clock hour of continuing education on mental health. To count toward this requirement, the course shall be:

(1) designed to address relevant mental health issues for dental professionals, including substance use disorders, chemical dependency, impairment, or mental health disorders; and

(2) offered by a Board-approved sponsor as set out in Rule .0202(b) of this Section.

(b) The continuing education requirement set out in Paragraph (a) of this Rule may be completed through a self-study course that satisfies Subparagraphs (a)(1) and (2) of this Rule. The dentist shall pass a test administered by the self-study course sponsor and obtain a certificate of completion from the sponsor.

(c) Every two calendar years, a dentist may apply one clock hour of a course meeting the requirements of this Rule toward the total number of continuing education hours required pursuant to Rule .0201(a) of this Section.

(d) The mental health continuing education requirement shall not replace or substitute for the controlled substance continuing education requirement set out in Rule .0201(b) of this Section.

History

• Authority G.S. 90-28; 90-31.1
• Eff. October 1, 2022
• Amended Eff. June 1, 2025.

Subchapter S

21 NCAC 16S .0101 Definitions

The following definitions are applicable to impaired dentist programs established in accordance with G.S. 90-48.2:

(1) "Board" -- the North Carolina State Board of Dental Examiners;

(2) "Impairment" -- chemical dependency or mental illness;

(3) "Board of Directors" -- individuals comprising the oversight panel consisting of representatives from the North Carolina Dental Society, the Board, licensed dental hygienists, and the UNC School of Dentistry established to function as a supervisory body to the North Carolina Caring Dental Professionals;

(4) "Director" -- the person designated by the Board of Directors to organize and coordinate the activities of the North Carolina Caring Dental Professionals;

(5) "North Carolina Caring Dental Professionals" -- the program established through agreements between the Board and special impaired dentist peer review organizations formed by the North Carolina Dental Society made up of Dental Society members designated by the Society, the Board, a licensed dental hygienist upon recommendation of the dental hygienist member of the Board, and the UNC School of Dentistry to conduct peer review activities as provided in G.S. 90-48.2(a).

(6) "North Carolina Caring Dental Professionals members" -- the two hygienists appointed by the Dental Board and volunteer Dental Society members selected by the Board of Directors from peer review organizations to serve as parties to interventions, to direct impaired dentists into treatment, and as monitors of those individuals receiving treatment. Peer liaisons and volunteers participating in programs for impaired dental hygienists shall be dental hygienists.

History

• Authority G.S. 90-48; 90-48.2; 90-48.3
• Eff. April 1, 1994
• Temporary Amendment Eff. August 20, 1999
• Amended Eff. July 1, 2015; April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16S .0102 Board Agreements with Peer Review Organizations

The Board may enter into agreements with special impaired dentist peer review organizations, pursuant to G.S. 90-48.2, to establish the North Carolina Caring Dental Professionals to be supervised by the Board of Directors. Such agreements shall provide for:

(1) investigation, review and evaluation of records, reports, complaints, litigation, and other information about the practice and practice patterns of licensed dentists and dental hygienists as may relate to impaired dentists and dental hygienists;

(2) identification, intervention, treatment, referral, and follow up care of impaired dentists and dental hygienists; and

(3) due process rights for any subject dentist or dental hygienist.

History

• Authority G.S. 90-48; 90-48.2; 90-48.3
• Eff. April 1, 1994
• Temporary Amendment Eff. August 20, 1999
• Amended Eff. July 1, 2015; April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16S .0201 Receipt and Use of Information of Suspected Impairment

(a) Information concerning suspected impairment may be received by the North Carolina Caring Dental Professionals through any of the following sources:

(1) reports of physicians, psychologists or counselors;

(2) reports from family members, staff or other individuals;

(3) self-referral; or

(4) referral by the Board.

(b) When information of suspected impairment is received, the Program shall conduct an investigation and routine inquiries to determine the validity of the report.

(c) Dentists and dental hygienists suspected of impairment may be required to submit to personal interviews if the investigation and inquiries indicate the report of impairment may be valid.

History

• Authority G.S. 90-48; 90-48.2; 90-48.3
• Eff. April 1, 1994
• Temporary Amendment Eff. August 20, 1999
• Amended Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16S .0202 Confidentiality

Information received by the Program regarding voluntary participants shall remain confidential and shall not be released to the Dental Board or members of the public, except as set out in Rule .0203(b) of this Section. Voluntary participants who meet the requirements of Rule .0203(b) of this Section shall be reported to the Board along with evidence of the events leading to the report. Information received about participants referred to the Program by the Board shall be exchanged with the Board or its investigators.

History

• Authority G.S. 90-48; 90-48.2
• Eff. April 1, 1994
• Amended Eff. July 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16S .0203 Intervention and Referral

(a) Following an investigation, if an impairment is determined to exist and confirmed, an intervention shall be conducted using specialized techniques designed to assist the dentist or dental hygienist in acknowledging responsibility for dealing with the impairment. The dentist or dental hygienist shall be referred to an appropriate treatment source.

(b) Following an investigation, intervention, treatment, or upon receipt of a complaint or other information, a peer review organization participating in the North Carolina Caring Dental Professionals shall report to the Board detailed information about any dentist or dental hygienist licensed by the Board, if it is determined that:

(1) the dentist or dental hygienist constitutes an imminent danger to the public or himself or herself;

(2) the dentist or dental hygienist refuses to cooperate with the program, refuses to submit to treatment, or is still impaired after treatment and exhibits professional incompetence; or

(3) it reasonably appears that there are other grounds for disciplinary action.

(c) Program members may consult with medical professionals and treatment sources as necessary in carrying out the Program's directives.

(d) Interventions shall be arranged and conducted as expeditiously as possible. When interventions are conducted as a direct result of a Board-initiated referral, a Board representative may be present.

(e) Treatment sources shall be evaluated and determined applicable before an individual is referred for treatment, and any treatment contracts or aftercare agreements shall be documented and recorded by the Program.

History

• Authority G.S. 90-48; 90-48.2; 90-48.3
• Eff. April 1, 1994
• Temporary Amendment Eff. August 20, 1999
• Amended Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16S .0204 Monitoring Treatment

A treatment source or facility receiving referrals from the Program shall be continually monitored to determine its ability to provide:

(1) adequate medical and non-medical staffing;

(2) appropriate treatment;

(3) affordable treatment;

(4) adequate facilities; and

(5) appropriate post-treatment support.

History

• Authority G.S. 90-48; 90-48.2
• Eff. April 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16S .0205 Monitoring Rehabilitation and Performance After Treatment

(a) Program members shall monitor dentists and dental hygienists following treatment. Testing for impairment shall be conducted until rehabilitation has been accomplished.

(b) Treatment sources shall submit reports to the Director concerning a dentist's or dental hygienist's rehabilitation and performance.

(c) Impaired dentists and dental hygienists shall submit to periodic personal interviews before the Director or Program members designated by the Director; or, for those referred to the Program by the Board, before the Board's agents. The frequency of personal interviews shall be determined by the dentist's or dental hygienist's ability to accomplish rehabilitation and adequately perform after treatment.

(d) Complete records shall be maintained by the Program on all dentists and dental hygienists reporting for assistance, treatment, or monitoring and such records shall remain confidential in accordance with G.S. 90-48.2(e).

(e) The Program shall maintain statistical information regarding impairment, to be reported to the Board periodically, but no less than once a year.

(f) The Program shall compile and report information periodically to the Board regarding investigations, reports, complaints, intervention, treatment, referral, rehabilitation and follow up care of impaired dentists and dental hygienists. Such reports shall not identify the subject dentist or dental hygienist unless the dentist or dental hygienist was referred by the Board or a determination under Rule .0203(b) of this Section has been made.

History

• Authority G.S. 90-48; 90-48.2
• Eff. April 1, 1994
• Temporary Amendment Eff. August 20, 1999
• Amended Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

Subchapter T

21 NCAC 16T .0101 Record Content

A dentist shall maintain treatment records on all patients for a period of 10 years from the last treatment date, except that work orders must only be maintained for a period of two years. Treatment records may include such information as the dentist deems appropriate but shall include:

(1) the patient's full name, address, and treatment dates;

(2) the patient's emergency contact or responsible party;

(3) a current health history;

(4) the diagnosis of condition;

(5) the treatment rendered and by whom;

(6) the name and strength of any medications prescribed, dispensed, or administered along with the quantity and date provided;

(7) the work orders issued;

(8) the treatment plans for patients of record, except that treatment plans are not required for patients seen only on an emergency basis;

(9) the diagnostic radiographs, orthodontic study models, and other diagnostic aids, if taken;

(10) the patient's financial records and copies of all insurance claim forms;

(11) the rationale for prescribing each narcotic; and

(12) A written record that the patient gave informed consent consistent with Rule .0103 of this Section.

History

• Authority G.S. 90-28; 90-48
• Eff. October 1, 1996
• Amended Eff. May 1, 2016; July 1, 2015
• Readopted Eff. January 1, 2019.

21 NCAC 16T .0102 Transfer of Records Upon Request

A dentist shall, upon request by the patient of record, provide all information required by the Health Insurance Portability and Accountability Act (HIPAA) and this Rule, including original or diagnostic copies of radiographs and a legible copy of all treatment records to the patient or to a licensed dentist identified by the patient. The dentist may charge a fee not exceeding the actual cost of duplicating the records. The records shall be provided within 30 days of the request and production shall not be contingent upon current, past or future dental treatment or payment of services.

History

• Authority G.S. 90-28; 90-48
• Eff. October 1, 1996
• Amended Eff. July 1, 2015; April 1, 2014; November 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16T .0103 Informed Consent

(a) To obtain informed consent to a specific procedure or treatment to be provided, the dentist shall discuss with a patient or other person authorized by the patient or by law to give informed consent on behalf of the patient, prior to any treatment or procedure, information sufficient to permit the patient or authorized person to understand:

(1) the condition to be treated;

(2) the specific procedures and treatments to be provided;

(3) the anticipated results of the procedures and treatments to be provided;

(4) the risks and hazards of the procedures or treatments to be provided that are recognized by dentists engaged in the same field of practice;

(5) the risks of foregoing the proposed treatments or procedures; and

(6) alternative procedures or treatment options;

(b) A dentist is not required to obtain informed consent if:

(1) treatment is rendered on an emergency basis; and

(2) the patient is incapacitated.

History

• Authority G.S. 90-28; 90-48
• Eff. January 1, 2019.

Subchapter U

21 NCAC 16U .0101 Secretary-Treasurer

The Board's Secretary-Treasurer or another Board member appointed by the Secretary-Treasurer shall supervise and direct investigations of acts or practices that might violate the provisions of the Dental Practice Act, the Dental Hygiene Act or the Board's Rules. The Secretary-Treasurer or other Board member appointed by the Secretary-Treasurer in consultation with the Investigative Panel, shall determine whether cases involving licensees, interns or applicants for licenses or permits shall be set for hearing or settlement conference and recommend to the Board dispositions of cases that are not set for hearing or settlement conference.

History

• Authority G.S. 90-28; 90-41; 90-41.1; 90-48; 90-223; 90-231
• Eff. October 1, 1996
• Amended Eff. July 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16U .0102 Investigative Panel

The Secretary-Treasurer or another Board member appointed by the Secretary-Treasurer shall chair the Investigative Panel. The Board's Counsel, Director of Investigations, Investigators and other staff members appointed by the Secretary-Treasurer shall serve on the Panel. The Investigative Panel shall conduct investigations and prepare and present the Board's case in all reinstatement cases, and disciplinary proceedings and in civil actions to enjoin the unlawful practice of dentistry.

History

• Authority G.S. 90-28; 90-41; 90-41.1; 90-48; 90-223; 90-231; 150B-40
• Eff. October 1, 1996
• Amended Eff. July 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16U .0103 Reports from the Controlled Substances Reporting System

(a) Pursuant to G.S. 90-113.74(b1)(2), the Department of Health and Human Services (DHHS) may report to the Board information regarding the prescribing practices of those dentists who have issued:

(1) at least 10 prescriptions for an opioid with at least 75 morphine milligram equivalents per day;

(2) a benzodiazepine and an opioid to at least five patients where the patient's prescriptions overlap for at least two days; or

(3) at least five "atypical prescriptions," which is defined as either:

(A) medications classified as a stimulant, muscle relaxant, or hypnotic; or

(B) at least 120 doses of an opioid or benzodiazepine.

(b) Pursuant to G.S. 90-113.74(b1)(2), DHHS may report to the Board information regarding the prescribing practices of those dentists who have had a patient death due to opioid poisoning where the dentist prescribed 30 or more tablets of an opioid to the patient within 60 days of the patient's death.

(c) Pursuant to G.S. 90-113.74(c)(7), DHHS may submit reports to the Board upon the Board's request for information regarding the prescribing practices of specific dentists, containing the information described in G.S. 90-113.73(b).

(d) The reports and communications between DHHS and the Board shall remain confidential pursuant to G.S. 90-41 and G.S. 90-113.74.

History

• Authority G.S. 90-41; 90-48; 90-113.74
• Eff. July 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. March 1, 2022.

21 NCAC 16U .0104 cooperation with board inquiry

(a) A licensee shall cooperate with the Board in connection with any inquiry it shall make. Cooperation includes:

(1) acknowledging and responding in a timely manner to all inquiries from the Board or its representatives;

(2) claiming Board correspondence in a timely manner from the U. S. Postal Service or other delivery service, including correspondence by email;

(3) being available in a timely manner for investigative interviews with Board representatives; and

(4) providing accurate and complete information in response to all Board inquiries.

(b) For purposes of this Rule, an "inquiry" means any request from the Board or its representatives for information or documentation, including investigative subpoenas and interview requests. "Timely" means within the time specified by the Board for response to an inquiry or, if no time is specified, within five business days of receipt.

(c) A licensee shall notify the Board in writing within 10 business days of any change in the licensee's addresses or telephone numbers, and shall provide the Board with an email address through which the Board may communicate inquiries to the licensee.

History

• Authority G.S. 90-27; 90-28; 90-41; 90-48
• Eff. August 1, 2024.

21 NCAC 16U .0201 Processing

Licensees shall be notified of patient complaints against them and given an opportunity to respond except:

(1) In cases requiring emergency action for the protection of the public health, safety or welfare; or

(2) In cases where notification may jeopardize the preservation or procurement of relevant evidence.

History

• Authority G.S. 90-28; 90-41; 90-41.1; 90-48; 90-223; 90-231; 150B-41
• Eff. October 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16U .0202 Disposition

The Secretary-Treasurer or other Board member chairing the Investigative Panel shall direct one or more of the following dispositions of each complaint or other investigation:

(1) Submission to the Board with a recommendation to dismiss with no action;

(2) Submission to the Board with a recommendation to resolve by consent;

(3) Scheduling for pre-hearing conference with the Investigative Panel;

(4) Scheduling for settlement conference with the Board; or

(5) Scheduling, with appropriate notice, for contested case hearing.

History

• Authority G.S. 90-28; 90-41; 90-41.1; 90-48; 90-223; 90-229; 90-231; 150B-38; 150B-41
• Eff. October 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16U .0203 Pre-Hearing Conferences

(a) A pre-hearing conference shall not be conducted unless the Respondent agrees to participate.

(b) A pre-hearing conference shall be conducted before the Investigative Panel. At the pre-hearing conference, a Board investigator shall summarize the circumstances of the investigation. The Respondent shall have an opportunity to respond and to submit documentation. The pre-hearing conference shall not be recorded nor open to the public.

(c) Following the pre-hearing conference, the Respondent shall be advised in writing of the proposal for disposition of the matter by the Board member presiding over the pre-hearing conference. If the Board member presiding over the pre-hearing conference deems sanctions are appropriate, a Consent Order or letter of reprimand shall be proposed. Should the Respondent accept the terms, the proposed Consent Order or letter of reprimand must be approved by the full Board. Should the Respondent reject the terms of a proposed Consent Order or letter of reprimand, the Board member presiding over the pre-hearing conference shall direct disposition of the matter under Rule .0202 of this Subchapter.

History

• Authority G.S. 90-28; 90-41; 90-41.1; 90-48; 90-223; 90-229; 90-231; 150B-41
• Eff. October 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16U .0204 Settlement Conferences

(a) A settlement conference shall not be conducted unless the Respondent agrees to participate and to waive any objection to the Board members being provided a forecast of the evidence.

(b) A settlement conference shall be conducted before the Board or a panel of the Board appointed by the President. At the settlement conference, the Board's investigative panel shall summarize the information obtained during the course of the investigation and present a forecast of the Board's evidence. The Respondent shall have an opportunity to forecast his or her evidence. The settlement conference shall not be recorded nor open to the public.

(c) If the Board determines that sanctions, discipline, or other action is necessary, a Consent Order or other written disposition shall be prepared and proposed to Respondent. If the Respondent rejects the proposed Consent Order or other disposition, a contested case hearing shall be scheduled.

History

• Authority G.S. 90-28; 90-41; 90-41.1; 90-48; 90-223; 90-229; 90-231; 150B-41
• Eff. October 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. August 1, 2026.

Subchapter V

21 NCAC 16V .0101 DEFINITION: UNPROFESSIONAL CONDUCT BY A dentist

Unprofessional conduct by a dentist as set out in G.S. 90-41(a)(26) shall include the following:

(1) having professional discipline imposed, including the denial of licensure, by the dental licensing authority of another state, territory, or country. For purposes of this Rule, the surrender of a license under threat of disciplinary action shall be considered the same as if the licensee had been disciplined;

(2) presenting false or misleading testimony, statements, omissions, or records in any communication to the Board or the Board's investigators, employees, or agents regarding any matter subject to the provisions of the Dental Practice Act or Dental Hygiene Act;

(3) being convicted of or entering a plea of guilty or nolo contendere to any charge for a crime that is violent or sexual in nature;

(4) violating any order of the Board previously entered in a disciplinary hearing, or failing to comply with a subpoena of the Board;

(5) conspiring with any person to commit an act, or committing an act that would coerce, intimidate, or preclude any patient or witness from testifying against a licensee in any disciplinary hearing, or retaliating in any manner against any patient or other person who testifies or cooperates with the Board during any investigation under the Dental Practice or Dental Hygiene Acts;

(6) failing to identify to a patient, patient's guardian, or the Board the name of an employee, employer, contractor, or agent who renders dental treatment or services upon request;

(7) prescribing, procuring, dispensing, or administering any controlled substance for personal use, which does not include those prescribed, dispensed, or administered by a practitioner authorized to prescribe them;

(8) pre-signing blank prescription forms or using pre-printed or rubber stamped prescription forms containing the dentist's signature or the name of any controlled substance;

(9) forgiving the co-payment provisions of any insurance policy, insurance contract, health prepayment contract, health care plan, or nonprofit health service plan contract by accepting the payment received from a third party as full payment, unless the dentist discloses to the third party that the patient's payment portion will not be collected;

(10) failing to provide radiation safeguards required by the State Department of Health and Human Services, the federal Occupational and Safety Health Administration, the Food and Drug Administration, or the Environmental Protection Agency;

(11) having professional connection with or lending one's name to the unlawful practice of dentistry, including as set forth in G.S. 90-41(a)(9);

(12) using the name of any deceased or retired dentist on any office door, directory, stationery, bill heading, or any other means of communication any time after one year following the death or retirement from practice of said dentist;

(13) failing to comply with any provision of any contract or agreement with the Caring Dental Professionals Program;

(14) failing to submit a truthful response to a notice of complaint filed against the licensee with the Board, or to any related request, accompanied by a signed verification on a form provided by the Board with the notice or request, within the time allowed by the Board;

(15) failing to notify the Board of a change in current primary physical address, which shall be either a personal address or a business address at the licensee's election, within 10 business days;

(16) permitting more than two dental hygienists for each licensed dentist in the office to perform clinical hygiene tasks, as set forth in G.S. 90-233(b);

(17) failing to produce diagnostic radiographs or other treatment records on request of the Board or its investigator;

(18) soliciting employment of potential patients in person or by telephone or permitting or directing another to do so;

(19) giving or accepting anything of value in exchange for a promise to refer or referral of potential patients;

(20) failing to offer 30 days of emergency care upon dismissing a patient from a dental practice;

(21) withholding or refusing to complete a treatment procedure for an existing patient conditioned upon payment of an outstanding balance;

(22) using protected health information, as defined by 45 CFR 160.103, to solicit potential patients;

(23) making misleading or untruthful statements for the purpose of procuring potential patients, or directing or allowing an employee or agent to do so;

(24) committing any act that results in harm to a patient, employee, or independent contractor in connection with the provision of dental services and violates State or federal statutes, rules, or regulations, such as the Health Insurance Portability and Accountability Act;

(25) refusing to permit a Board agent or employee to conduct a sterilization inspection;

(26) acquiring any controlled substance from any source by fraud, deceit or misrepresentation;

(27) practicing outside the scope of dentistry, as set forth in G.S. 90-29;

(28) committing any act that violates State or federal statutes or regulations governing controlled substances; and

(29) committing any act that would constitute civil assault or civil battery in connection with the provision of dental services. The North Carolina Pattern Jury Instructions for Civil 800.50, Assault, and for Civil 800.51, Battery, are hereby incorporated by reference, including subsequent amendments and editions. These documents may be accessed at no cost at https://www.sog.unc.edu/resources/microsites/north-carolina-pattern-jury-instructions/north-carolina-pattern-jury-instructions-civil-cases.

History

• Authority G.S. 90-22(a); 90-28; 90-29; 90-40; 90-40.1; 90-41; 90-48; 90-223(b)
• Eff. August 1, 1998
• Amended Eff. August 1, 2016; July 1, 2015; October 1, 2001; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. July 1, 2022; November 1, 2019.

21 NCAC 16V .0102 Definition: Unprofessional Conduct by a Dental Hygienist

Unprofessional conduct by a dental hygienist as set out in G.S. 90-229(a)(12) shall include the following:

(1) having professional discipline imposed, including the denial of licensure, by the dental hygiene licensing authority of another state, territory, or country. For purposes of this Rule, the surrender of a license under threat of disciplinary action shall be considered the same as if the licensee had been disciplined;

(2) presenting false or misleading testimony, statements, omissions, or records in any communication to the Board or the Board's investigators, employees, or agents regarding any matter subject to the provisions of the Dental Practice Act or Dental Hygiene Act;

(3) being convicted of or entering a plea of guilty or nolo contendere to any charge for a crime that is violent or sexual in nature;

(4) violating an order of the Board previously entered in a disciplinary hearing or failing to comply with a subpoena of the Board;

(5) conspiring with any person to commit an act, or committing an act that would coerce, intimidate, or preclude any patient or witness from testifying against a licensee in any disciplinary hearing, or retaliating in any manner against any patient or other person who testifies or cooperates with the Board during any investigation under the Dental Practice or Dental Hygiene Acts;

(6) failing to identify to a patient, patient's guardian, an employer, or the Board the name of any person or agent who renders dental treatment or services upon request;

(7) procuring, dispensing, or administering any controlled substance for personal use except those prescribed, dispensed, or administered by a practitioner authorized to prescribe them;

(8) acquiring any controlled substance from any pharmacy or other source by misrepresentation, fraud or deception;

(9) having professional connection with or lending one's name to the illegal practice of dental hygiene, including as set forth in G.S. 90-229(a)(11);

(10) failing to comply with any provision of any contract or agreement with the Caring Dental Professionals Program;

(11) failing to submit a truthful response to a notice of complaint filed against the licensee with the Board, or to any related request, accompanied by a signed verification on a form provided by the Board, within the time allowed by the Board;

(12) failing to notify the Board of a change in current primary physical address, which shall be either a personal address or a business address at the licensee's election, within 10 business days;

(13) working in a clinical hygiene position if the ratio of hygienists to licensed dentists present in the office is greater than 2:1, as set forth in G.S. 90-233(b);

(14) soliciting employment of potential patients in person or by telephone or permitting or directing another to do so;

(15) giving or accepting anything of value in exchange for a promise to refer or referral of potential patients;

(16) using protected health information, as defined by 45 CFR 160.103, to solicit potential patients;

(17) making misleading or untruthful statements for the purpose of procuring potential patients or assisting another to do so;

(18) committing any act that results in harm to a patient in connection with the provision of dental services and violates State or federal statutes, rules, or regulations, such as the Health Insurance Portability and Accountability Act;

(19) practicing outside the scope of dental hygiene, as defined in G.S. 90-221(a);

(20) committing any act that violates State or federal statutes or regulations governing controlled substances; and

(21) committing any act that would constitute civil assault or civil battery in connection with the provision of dental hygiene services. The North Carolina Pattern Jury Instructions for Civil 800.50, Assault, and for Civil 800.51, Battery, are hereby incorporated by reference, including subsequent amendments and editions. These documents may be accessed at no cost at https://www.sog.unc.edu/resources/microsites/north-carolina-pattern-jury-instructions/north-carolina-pattern-jury-instructions-civil-cases.

History

• Authority G.S. 90-29; 90-221; 90-223; 90-229
• Eff. August 1, 1998
• Amended Eff. August 1, 2016; July 1, 2015; October 1, 2001; August 1, 2000; September 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. July 1, 2022; November 1, 2019.

Subchapter W

21 NCAC 16W .0101 Direction Defined

(a) A public health hygienist may perform clinical procedures under the direction of a licensed dentist, as defined by 21 NCAC 16A .0101(9), and in accordance with G.S. 90-233(a), provided the dentist ordering the procedure, or another dentist designated by the ordering dentist, is accessible, either in person or via teledentistry, for consultation while the hygienist is performing clinical procedures, and to provide any follow-up care the dentist determines to be clinically necessary.

(b) The specific clinical procedures delegated to the hygienist shall be completed, in accordance with a written order from the dentist, within 270 calendar days of the dentist's in-person evaluation of the patient.

(c) The dentist's evaluation of the patient shall include a comprehensive oral examination, medical and dental health history, and diagnosis of the patient's condition.

(d) A public health hygienist may provide educational information, such as instruction in brushing and flossing, without the direction of a licensed dentist.

History

• Authority G.S. 90-30.2; 90-223; 90-233(a)
• Temporary Adoption Eff. October 1, 1999
• Eff. April 1, 2001
• Amended Eff. April 1, 2016; July 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2025; February 1, 2020.

21 NCAC 16W .0102 Training for Public Health Hygienists

(a) Prior to performing clinical procedures pursuant to G.S. 90-233(a) under the direction of a licensed dentist, a public health hygienist shall have:

(1) five years of experience in clinical dental hygiene;

(2) unexpired CPR certification, taken in a live hands-on course;

(3) six hours of continuing education in medical emergencies each year in addition to the minimum continuing education required for license renewal; and

(4) other training as may be required by the Oral Health Section of the Department of Health and Human Services.

(b) For purposes of this Rule, a minimum of 4,000 hours, the majority of which must be spent performing prophylaxis or periodontal debridement under the supervision of a licensed dentist, shall be equivalent to five years experience in clinical dental hygiene.

(c) Notwithstanding Subparagraph (a)(1) and Paragraph (b) of this Rule, a public health hygienist may place sealants under the direction of a licensed dentist if the hygienist has a minimum of 2,000 hours of clinical experience assisting in the placement of sealants with the Oral Health Section of the Department of Health and Human Services.

History

• Authority G.S. 90-223; 90-233(a)
• Temporary Adoption Eff. October 1, 1999
• Eff. April 1, 2001
• Amended Eff. July 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. October 1, 2019.

21 NCAC 16W .0103 Training for Public Health Hygienists Performing Preventive Procedures

(a) Public health hygienists who provide only educational and preventive procedures such as application of fluorides, fluoride varnishes, and oral screenings, and not clinical procedures, shall be subject to the training provisions set out in Paragraph (b) of this Rule instead of the training provisions required by 21 NCAC 16W .0102.

(b) A public health hygienist may perform preventive procedures as set out in Paragraph (a) of this Rule under the direction of a duly licensed public health dentist if the hygienist:

(1) maintains CPR certification; and

(2) completes such other training as may be required by the Oral Health Section of the Department of Health and Human Services.

History

• Authority G.S. 90-223; 90-233(a)
• Temporary Adoption Eff. February 8, 2000
• Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16W .0104 Dental Access Shortage Areas

(a) Public health hygienists who are practicing under Rule .0101(a) of this Section and who perform procedures in public schools, nursing homes, rest homes, long-term care facilities, and rural and community clinics provided through federal, State, county, or local governments in areas identified by the Office of Rural Health in the Department of Health and Human Services as dental access shortage areas may:

(1) perform clinical hygiene procedures as described in G.S. 90-221 under the direction of a dentist based on a written standing order, rather than an in-person evaluation by the dentist as set forth in Rule .0101(c) of this Section; and

(2) supervise a Dental Assistant who assists the public health hygienists in the procedures described in Subparagraph (a)(1) of this Rule. For purposes of this Rule, Dental Assistant means any person classified as a Dental Assistant II or permitted to perform functions of a Dental Assistant II pursuant to 21 NCAC 16H .0104(a) or (b).

(b) Public health hygienists working under supervision of a dentist in accordance with G.S. 90-233(a) and providing services at facilities identified in Paragraph (a) of this Rule who are performing services pursuant to a written standing order from the dentist must complete the procedures ordered within 270 days.

(c) Dentists providing services at facilities pursuant to Paragraph (a) of this Rule are providing public health services and may supervise more than two public health hygienists at the same time who are performing dental hygiene functions.

History

• Authority G.S. 90-223; 90-233(a); 90-233(b)
• Eff. February 1, 2020.

Subchapter X

21 NCAC 16X .0101 Management Arrangements

(a) No dentist or professional entity shall enter into a management arrangement, contractual agreement, stipulation, or other legal binding instrument with a business entity, corporation, proprietorship, or other business entity, for the provision of defined business services, bundled business services, or other business services, the effect of which may provide control of business activities or clinical/professional services of that dentist or professional entity, unless such management arrangement meets the requirements of Paragraphs (b) and (c) of this Rule. This Rule shall not apply to agreements for the provision of legal, financial, or other services not related to the provision of management services for a fee or to employment arrangements between an employee and the dentist or professional entity.

(b) Any management arrangement, contractual agreement, stipulation, or other binding instrument shall:

(1) be in a writing that:

(A) is signed by all parties to the agreement;

(B) sets forth all material terms of the arrangement between or among the parties thereto;

(C) describes all of the types of services to be provided by the management company and the time periods during which those services will be provided; and

(D) sets forth the aggregate compensation to be paid under the management arrangement, contractual agreement, stipulation, or other legal binding instrument with a business entity or the precise methodology for calculating such compensation.

(2) be reviewed by the Board.

(c) No management arrangement shall provide for or permit any of the following:

(1) direct or indirect ownership of, or control over clinical aspects of, the dental business of a dentist or professional entity by a management company or the grant to the management company or another non-professional entity control over the distribution of a revenue stream or control over a line of business of the professional entity except for the sale of fixed assets of a dentist or professional entity permitted under the laws of the State of North Carolina;

(2) ownership or exclusive control of patient records by a management company;

(3) direct or indirect control over, or input into, the clinical practices of the professional entity or its dentists or ancillary personnel by a management company;

(4) direct or indirect control over the hiring and firing of clinical personnel or material terms of clinical personnel's relationship with the dentist or professional entity by a management company or a related person;

(5) authority in the management company to enter into or approve any contract or other arrangement, or material terms of such contract or arrangement, between the professional entity and a dentist for the provision of dental services or the requirement that the management company or related person approve or give input into such contract or arrangement;

(6) direct or indirect control over the transfer of ownership interests in the professional entity by a management company or other non-professional entity including, without limitation, any agreement or arrangement limiting or requiring in whole or in part the transfer of ownership interests in a professional entity;

(7) payment to the management company of anything of value based on a formula that will foreseeably increase or decrease because of the increase or decrease in profitability, gross revenues or net revenues of the dentist or professional entity; or

(8) payments to the management company that, at the time of execution of an agreement as required under Paragraph (b) of this Rule, are likely, foreseeably and purposely in excess of the likely profits of the professional entity not taking into account the compensation to be paid to the management company under the management arrangement.

(d) Notwithstanding Subparagraphs (c)(7) and (c)(8) of this Rule, a management arrangement may provide for the following:

(1) increased payments to the management company based upon the lowering of costs to the professional entity or dentist;

(2) decreased payments to the management company based upon increases in costs to the professional entity or dentist; or

(3) collection of monies, or payment of costs, of the professional entity or dentist by the management company so long as the amounts retained by the management company following payment of any costs of the professional entity or dentist comply with the provisions of this Rule relating to compensation to the management company and all sums collected or retained by the management company in excess of costs paid by the management company plus its compensation are paid at least monthly and at regular intervals to the professional entity.

(e) No dentist or professional entity shall enter into an oral or written arrangement or scheme that the dentist or professional entity knows or should know has a material purpose of creating an indirect arrangement that, if entered into directly, would violate this Rule.

(f) For purposes of this Rule, the following terms shall have the following meanings:

(1) "Ancillary personnel" shall mean any individual that regularly assists a dentist in the clinical aspects of the practice of dentistry;

(2) "Clinical" shall mean of or relating to the activities of a dentist as described in G.S. 90-29(b)(1)-(10);

(3) "Employment arrangement" shall mean an arrangement between a professional entity or dentist and an individual who is considered an employee of the professional entity or dentist under the common law test of an employer/employee relationship, or a leased employee working under a written employee leasing agreement which provides that:

(A) the individual, although employed by the leasing company, provides services as the leased employee of the dentist or professional entity; and

(B) the dentist or professional entity exercises control over all actions taken by the leased employee with regard to the rendering of services to the same extent as the dentist or professional entity would exercise such control if the leased employee were directly employed by the dentist or professional entity;

(4) "Management arrangement" shall mean any one or more agreements, understandings or arrangements, alone or together, whether written or oral, between a management company and a dentist or professional entity whereby:

(A) a management company regularly provides services for the clinical-related business of a dentist or professional entity; or

(B) a management company exerts control over the management or clinical aspects of the business of a dentist or professional entity or its or their employees or contractors; or

(C) a management company receives a percentage of the net or gross revenues or profits of a dentist or professional entity.

(5) "Management company" shall mean any individual, business corporation, nonprofit corporation, partnership, limited liability company, limited partnership or other legal entity that is not a professional entity or dentist;

(6) "Professional entity" shall mean a professional corporation, nonprofit corporation, partnership, professional limited liability company, professional limited partnership or other entity or aggregation of individuals that is licensed or certified or otherwise explicitly permitted to practice dentistry under North Carolina General Statutes; and

(7) "Related person" shall mean any person or entity, other than a dentist or professional entity, that owns, is employed by, or regularly receives consideration from, a management company or another related person.

History

• Authority G.S. 90-29(b)(11); 90-48
• Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

Subchapter Y

21 NCAC 16Y .0101 Eligibility Requirements

(a) Persons shall be eligible for an intern permit under the provisions of G.S. 90-29.4 if they are:

(1) not licensed to practice dentistry in North Carolina, but are a graduate of and have a DMD or DDS degree from a dental school or program accredited by the Commission on Dental Accreditation of the American Dental Association; or

(2) a graduate of a dental program other than a program accredited by the Commission on Dental Accreditation of the American Dental Association who has been accepted into a graduate, intern, fellowship, or residency program at a North Carolina Dental School or teaching hospital offering programs in dentistry.

(b) An intern permit shall not be granted to an individual who:

(1) lacks good moral character;

(2) has been disciplined by any dental board or other licensing body in another state or country.

History

• Authority G.S. 90-28; 90-29.4; 90-30
• Eff. August 1, 2002
• Amended Eff. July 1, 2015; August 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16Y .0102 APPLICATION for intern permit

(a) An applicant who is eligible for an intern permit pursuant to Rule .0101(a) of this Subchapter shall:

(1) submit to the Board a notarized application form provided by the Board at www.ncdentalboard.org that includes the information and materials required by 21 NCAC 16B .0301(a);

(2) submit the nonrefundable intern permit fee set forth in 21 NCAC 16M .0101;

(3) submit a letter from a prospective supervising dentist confirming he or she will supervise the intern; and

(4) satisfy the examination requirements in 21 NCAC 16B .0303(a).

(b) In addition to the requirements of Paragraph (a) of this Rule, an applicant for an intern permit pursuant to Rule .0101(a)(1) of this Subchapter shall request the information or documents as set out in 21 NCAC 16B .0301(c)(1) and (2).

(c) In addition to the requirements of Paragraph (a) of this Rule, an applicant for an intern permit pursuant to Rule .0101(a)(2) of this Subchapter shall submit written confirmation to the Board:

(1) that the applicant has graduated from a dental program other than one accredited by the Commission on Dental Accreditation (CODA) of the American Dental Association;

(2) that the applicant is enrolled as of the date of the application in a graduate, intern, fellowship, or residency program at a North Carolina dental school or teaching hospital offering programs in dentistry;

(3) that an ad hoc committee from the training facility in which the applicant is enrolled under Subparagraph (c)(2) of this Rule, consisting of three associate or full professors, only one of whom represents the department in question, has evaluated the applicant's didactic and clinical performance with the point of observation being not less than three months after the applicant's start of the program, and has determined the applicant is functioning at a professional standard consistent with a graduate from a dental school or program accredited by CODA;

(4) that the applicant has completed a program of study at the training facility in which the applicant is enrolled under Subparagraph (c)(2) of this Rule in:

(A) clinical pharmacology;

(B) prescription writing in compliance with federal and State laws; and

(C) relevant laws and federal regulations pertaining to the United States Drug Enforcement Administration; and

(5) the total time required to complete the graduate, intern, fellowship, or residency program, and the date the applicant is scheduled to complete the program.

(d) The Board shall receive all information and documentation required under Paragraphs (a) through (c) of this Rule for the application to be complete. Applications that are not completed within one year of being submitted to the Board shall be disregarded as expired without a refund of the application fee.

(e) Any applicant who changes his or her address shall notify the Board office in writing within 10 business days.

(f) Any permit obtained through fraud or by any false representation shall be revoked.

History

• Authority G.S. 90-28; 90-29.4
• Eff. August 1, 2002
• Temporary Amendment Eff. January 1, 2003
• Amended Eff. July 1, 2015; January 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. March 1, 2020.

21 NCAC 16Y .0103 Employment

(a) The practice of dentistry under an intern permit is limited to the confines and registered patients of the following employment sites:

(1) a nonprofit hospital, sanatorium, or a like institution;

(2) a nonprofit health care facility serving low-income populations; or

(3) a state or governmental facility or entity or any political subdivision of such.

Each facility or entity set out in Paragraph (a) of this Rule shall submit documentation to the Board evidencing that it meets the qualifications set out in G.S. 90-29.4(3) in order for the facility or site to be considered an approved employment site.

(b) A listing of approved sites is available on the Board's website: www.ncdentalboard.org.

(c) A request for change in practice location shall: be submitted in writing to the Board and is subject to the new practice location meeting the requirements of Paragraph (a) of this Rule.

(d) The holder of an intern permit shall not receive any compensation in excess of an allowance for salaries or other compensation for personal services provided.

History

• Authority G.S. 90-28; 90-29.4
• Eff. August 1, 2002
• Amended Eff. July 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16Y .0104 direction and supervision

(a) Holders of a valid intern permit who are currently licensed in Canada or a U.S. territory or state may practice under direction of one or more dentists with a current and valid North Carolina license. The directing dentist shall be responsible for all consequences or results arising from the permit holder's practice of dentistry.

(b) Holders of a valid intern permit who are not currently licensed in Canada or a U.S. territory or state may work only under supervision of one or more dentists with a current and valid North Carolina license. The supervising dentist shall be responsible for all consequences or results arising from the permit holder's practice of dentistry.

(c) Holders of any valid intern permit under this Rule who are required to be on-call, either in-person or by electronic means, in an emergency setting may practice under the direction or supervision of a dentist following the accrediting standard of the Commission on Dental Accreditation (CODA).

(d) For purposes of this Rule, the acts of a permit holder are deemed to be under the direction of a licensed dentist when performed in a locale where a licensed dentist is not always required to be physically present during the performance of the acts that are being performed pursuant to the dentist's order, control, and approval.

(e) For purposes of this Rule, the acts of a permit holder are deemed to be under the supervision of a licensed dentist when performed in a locale where a licensed dentist is physically present during the performance of the acts that are being performed pursuant to the dentist's order, control, and approval.

(f) The CODA accrediting standard and its subsequent amendments and editions, which are incorporated herein by reference, are published on the American Dental Association's website located at http://www.ada.org/en/coda/policies-and-guidelines/policy-and-procedure-manual, and are available at no cost.

History

• Authority G.S. 90-28; 90-29.4
• Eff. August 1, 2002
• Amended Eff. November 1, 2017; July 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16Y .0105 compliance

A permit holder shall comply with limitations delineated in this Subchapter and placed on the permit and shall comply with rules of the Board. Failure to comply with the provisions of this Subchapter may result in suspension or revocation of the intern permit to practice dentistry in accordance with G.S. 90-41.

History

• Authority G.S. 90-28; 90-29.4
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

Subchapter Z

21 NCAC 16Z .0101 Eligibility to Practice Hygiene Outside Direct Supervision

(a) To be eligible to perform the clinical hygiene procedures set out in G.S. 90-221(a) without the direct supervision of a dentist, a dental hygienist shall:

(1) maintain an active license to practice dental hygiene in this State;

(2) have no prior disciplinary history in any state;

(3) complete at least three years of experience in clinical dental hygiene or at least 2,000 hours of performing prophylaxis or periodontal debridement under the supervision of a dentist licensed in this State within the five calendar years immediately preceding initial approval to work without direct supervision;

(4) maintain current CPR certification; and

(5) complete at least six hours of Board approved continuing education in dental office medical emergencies, in addition to the minimum hours of continuing education required for license renewal. A list of Board-approved sponsors appears in 21 NCAC 16I .0202.

(b) To retain eligibility to perform the clinical hygiene procedures set out in G.S. 90-221(a) without direct supervision of a dentist, a dental hygienist shall:

(1) complete at least six hours of Board approved continuing education in dental office medical emergencies each year, in addition to the minimum hours of continuing education required for license renewal;

(2) maintain current CPR certification;

(3) comply with all provisions of the N.C. Dental Practice Act and all rules of the Dental Board applicable to dental hygienists; and

(4) cooperate with all Board inspections of any facility at which the hygienist provides dental hygiene services without direct supervision of a dentist.

(c) Nothing in this Rule shall be construed to permit a dental hygienist to administer local anesthetics as set out in G.S. 90-221(a) without the direct supervision of a North Carolina licensed dentist.

History

• Authority G.S. 90-221; 90-229; 90-233
• Eff. February 1, 2008
• Amended Eff. July 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. July 1, 2022.

21 NCAC 16Z .0102 Record Keeping

(a) A dentist who designates a dental hygienist employee as capable of providing clinical dental hygiene procedures without direct supervision of the dentist must keep and maintain the following records for at least ten years:

(1) names of all hygienists who provide clinical dental hygiene procedures without direct supervision;

(2) proof that each hygienist, at the time of initial approval, met the experience requirements set out in Rule .0101(a) of this Subchapter;

(3) names and locations of all facilities at which each hygienist has provided clinical dental hygiene procedures without direct supervision;

(4) work schedules reflecting all locations at which each hygienist is scheduled to provide clinical dental hygiene procedures without direct supervision in the next 30 days;

(5) work schedules of all hygienists indirectly supervised by the dentist, with sufficient detail to demonstrate that a single dentist does not supervise more than two hygienists employed in clinical dental hygiene positions at any given time;

(6) records reflecting the personal examination of the patient and the procedures directed by the dentist; and

(7) proof that the dentist and hygienist complied with the requirements of G.S. 90-233(a1)(1) – (3).

(b) The dentist shall produce all records required to be kept under this Rule to the Dental Board or its employees upon request and shall provide an annual report to the Board in compliance with G.S. 90-233(a4).

History

• Authority G.S. 90-221; 90-233
• Eff. February 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 16Z .0103 Inspections

All locations at which a hygienist performs clinical dental hygiene procedures without direct supervision of a dentist shall be subject to random, unannounced inspection by the Dental Board or its agents for the purpose of determining if services are provided in compliance with the Center for Disease Control and OSHA standards for infection control and patient treatment.

History

• Authority G.S. 90-221; 90-233
• Eff. February 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

Chapter 17 Dietetics, Nutrition

21 NCAC 17 .0101 Definitions, Acronyms, and Initialisms

(a) As used in this Chapter, the following terms shall mean:

(1) "Act" means Dietetics/Nutrition Practice Act in Article 25 of Chapter 90 of the General Statutes.

(2) "Applicant" means any person who has applied to the Board for a license to lawfully do any of the acts listed under G.S. 90-365(a).

(3) "Application" means a written request directed to and received by the Board, on forms supplied by the Board, for a license to lawfully do any of the acts listed under G.S. 90-365(a), together with all information, documents, and other materials necessary to demonstrate that the applicant has met the requirements for licensure as specified in the Act.

(4) "Degree" means a degree received from a college or university that was regionally accredited at the time the degree was conferred, or a validated foreign equivalent.

(5) "Dietitian/nutritionist" or "nutritionist" means one engaged in dietetics or nutrition practice.

(6) "Health care practitioner" includes any individual who is licensed under G.S. 90 and whose licensed scope of practice includes dietetics or nutrition.

(7) "Nutrition assessment" means:

(A) the initial and ongoing, dynamic, and systematic process of obtaining, verifying, and interpreting biochemical, anthropometric, physical, nutrigenomic, clinical, and dietary data to determine nutritional needs and order therapeutic diets, including enteral and parenteral nutrition;

(B) the ordering of laboratory tests related to the practice of nutrition and dietetics; and

(C) the conducting of a swallow screen.

(D) The collection of data does not, by itself, constitute nutrition assessment.

(8) "Nutrition counseling" means the advice and assistance provided to individuals or groups on nutrition intake by integrating information from the nutrition assessment with information on food and other sources of nutrient and meal preparation consistent with therapeutic needs and cultural background, which shall include ethnicity, race, language, religious and spiritual beliefs, education, and socioeconomic status.

(9) "Nutrition education" means a formal process to instruct or train a client, patient, or population group in a skill or to impart knowledge to help clients, patients, or population groups voluntarily manage or modify food, nutrition, and physical activity choices and behavior to maintain or improve health.

(10) "Nutrition intervention" means planned actions and nutrition counseling by a provider of nutrition care, intended to improve a nutrition-related behavior, risk factor, environmental condition, or aspect of the health status, consistent with therapeutic needs and cultural background.

(11) "Nutrition monitoring or evaluation" means regular re-evaluation of the nutrition care treatment and prevention plan, which may include review of clinical research and standards of care, to compare the outcomes with the patient's previous health status, intervention goals, or reference standards to determine the progress made in achieving desired outcomes of nutrition care and whether planned interventions should be continued or revised.

(12) "Nutrition services" for purposes of G.S. 90-357.5(c)(2) means the provision of nutrition assessments, nutrition intervention, education, counseling, or management, and nutrition monitoring or evaluation.

(13) "Swallow screen" means a minimally invasive evaluation procedure conducted by a licensed dietitian/nutritionist that provides for the determination of:

(A) the likelihood that dysphagia exists;

(B) whether the patient requires referral for further swallowing assessment;

(C) whether it is safe to feed the patient orally for the purposes of nutrition, hydration, and administration of medication; and

(D) whether the patient requires referral for nutritional or hydrational support.

(14) "Alternate supervised experiential learning" means observational hours that do not involve direct patient or client care or the discussion thereof. Such hours are limited to: observing videos of client and practitioner interactions; shadowing an experienced clinician; participating in simulation exercises or role playing; or utilizing case studies to prepare treatment plans.

(15) "Direct supervised experiential learning" means nutrition care services provided for the benefit of patients or clients. Such hours are limited to: counseling individuals and groups; researching and developing patient or client treatment plans for current patients or clients; researching, preparing, and presenting patient or client workshops; community education involving development and delivery of education to a specific population; supervisor grand rounds and one-on-one meetings with one's supervisor to discuss current patient or client care; or direct hours approved as part of a programmatically accredited supervised practice program.

(16) "Therapeutic diet" means a nutrition intervention prescribed by a physician or other authorized non-physician practitioner that provides food, fluid, or nutrients via oral, enteral, or parenteral routes as part of treatment of disease or clinical conditions to modify, eliminate, decrease, or increase identified micronutrients and macronutrients in the diet, or to provide mechanically altered food when indicated.

(17) "Weight control services" as used in G.S. 90-368(7) means a general program of instruction with food, supplements, food products, or a food plan designed for one or more healthy population groups in order to achieve or maintain a healthy weight. A weight control program is not individualized to provide medical nutrition therapy as defined in G.S. 90-352(3a) or nutrition care services as defined in G.S. 90-352(4) to manage or treat a medical condition for a specific person or group.

(b) As used in this Chapter, the following acronyms and initialisms shall mean:

(1) "ACBN" means the American Clinical Board of Nutrition, whose Diplomate of the American Clinical Board of Nutrition credential is accredited by the National Commission for Certifying Agencies.

(2) "ACEND" means the Accreditation Council for Education in Nutrition and Dietetics.

(3) "AND" means the Academy of Nutrition and Dietetics.

(4) "BCNS" means the Board for Certification of Nutrition Specialists, whose Certified Nutrition Specialist credential is accredited by the National Commission for Certifying Agencies.

(5) "CDR" means the Commission on Dietetic Registration, whose Registered Dietitian Nutritionist credential is accredited by the National Commission for Certifying Agencies.

(6) "LDN" means licensed dietitian/nutritionist.

(7) "LN" means licensed nutritionist.

(8) "PLDN" means provisionally licensed dietitian/nutritionist.

(9) "PLN" means provisionally licensed nutritionist.

History

• Authority G.S. 90-352; 90-356
• Temporary Adoption Eff. March 19, 1992 for a period of 180 days to expire on September 13, 1992
• Eff. June 1, 1992
• Recodified from 21 NCAC 17 .0001 Eff. February 1, 1995
• Amended Eff. December 1, 2011; April 1, 2010; July 18, 2002; March 1, 1996
• Readopted Eff. December 1, 2019
• Amended Eff. March 15, 2023.

21 NCAC 17 .0102 requirement of license

History

• Status: repealed
• Authority G.S. 90-352; 90-356
• Filed as a Temporary Adoption Eff. March 19, 1992 for a Period of 180 Days to Expire on September 13, 1992
• Eff. June 1, 1992
• Recodified from 21 NCAC 17 .0002 Eff. February 1, 1995
• Amended Eff. March 1, 1996
• Repealed Eff. July 18, 2002.

21 NCAC 17 .0103 Qualifications for Licensure

Each applicant for an initial license as a licensed dietitian/nutritionist shall meet the qualifications as set forth in G.S. 90-357.5(a) and the rules of this Chapter. Each applicant for an initial license as a licensed nutritionist shall meet the qualifications as set forth in G.S. 90-357.5(c) and the rules of this Chapter.

History

• Authority G.S. 90-356; 90-357
• Temporary Adoption Eff. March 19, 1992 for a Period of 180 Days to Expire on September 13, 1992
• Eff. June 1, 1992
• Recodified from 21 NCAC 17 .0003 Eff. February 1, 1995
• Amended Eff. December 1, 2011; July 18, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016
• Amended Eff. March 15, 2023.

21 NCAC 17 .0104 Applications

(a) Each applicant for initial licensure shall file a completed application with the Board. Application forms are available at www.ncbdn.org.

(b) A complete application shall be:

(1) typed;

(2) signed by the applicant affirming that the information on the application is true and releasing to the Board information pertaining to the application;

(3) accompanied by the application, issuance, and criminal history record check fees; and

(4) accompanied by evidence, statements, or documents demonstrating the applicant meets the applicable requirements specified in G.S. 90-357.5 and this Rule and the applicant is not in violation of G.S. 90-363.

(c) Applicants shall submit a completed application to the North Carolina Board of Dietetics/Nutrition via its website at www.ncbdn.org.

(d) The Board shall not review an application until the applicant pays the application fee. The fee may be paid online via credit card, or by check or money order mailed to: North Carolina Board of Dietetics/Nutrition, 1135 Kildaire Farm Road, Suite 200, Cary, NC 27511.

(e) Examination information for each of the examinations the Board recognizes may be found on the following websites:

(1) Information regarding the Registered Dietitian Nutritionist examination offered by the Commission on Dietetic Registration may be found at: https://www.cdrnet.org/program-director/student-instructions.

(2) Information regarding the Certified Nutrition Specialist examination offered by the Board for Certification of Nutrition Specialists may be found at: https://theana.org/certify/CNScandidate.

(3) Information regarding the Diplomate of the American Clinical Board of Nutrition examination offered by the American Clinical Board of Nutrition may be found at: https://www.acbn.org/apply.

(f) Before cancelling an application, the Executive Director shall send notice to an applicant who does not complete the application that lists the additional materials required. An incomplete application shall be valid for a period of four months from the date the application is filed with the Board. Four months after submission of an application, if the application and any required documentation has not been completed by the applicant, the application shall be considered cancelled due to failure to complete. Complete applications that the Board determines require additional evidence under Paragraph (m) of this Rule shall be eligible for consideration for the timeline set forth in that Paragraph.

(g) Applicants providing evidence of current registration as a Registered Dietitian Nutritionist by the CDR in G.S. 90-357.5(a)(2) shall submit a photocopy of the applicant's registration identification card, or a copy of a CDR Credential Verification certificate certifying that the applicant is a Registered Dietitian Nutritionist.

(h) Applicants providing evidence of completing academic requirements in G.S. 90-357.5(a)(1) shall either:

(1) Submit transcripts and a verification statement that includes the original signature of the Program Director of a college or university where the course of study was accredited by the ACEND as meeting the competency requirements of the most current edition of the Accreditation Standards for Nutrition and Dietetic Didactic Programs; or

(2) Submit documentation, including official transcripts, demonstrating the course of study met the competency requirements of the most current edition of the ACEND Accreditation Standards for Nutrition and Dietetic Didactic Programs, which is hereby incorporated by reference. Copies of these standards may be obtained at no charge from ACEND's website at: https://www.eatrightpro.org/acend/accreditation-standards-fees-and-policies/2022-standards-and-templates.

(i) Applicants providing evidence of completing academic requirements in G.S. 90-357.5(c) shall submit documentation, including official transcripts, demonstrating completion of the requirements stated in G.S. 90-357.5(c)(1).

(j) Applicants providing evidence of completing a Board-approved internship or documented, supervised practice experience in G.S. 90-357.5(a)(1)(b) shall either:

(1) Submit a verification statement that includes the original signature of the Program Director of a documented, supervised practice experience that has been accredited by the ACEND as meeting the competency requirements of the most current edition of the Accreditation Standards for Nutrition and Dietetics Internship Programs; or

(2) Submit documentation demonstrating at least 1000 hours of documented, supervised practice experience, meeting the competency requirements of the most current edition of the Accreditation Standards for Nutrition and Dietetics Internship Programs issued by ACEND. The scope of activities may include alternate supervised experiential learning such as simulation, case studies, and role playing, but must also include at least 750 hours of direct supervised experiential learning. The 1000 hours must be concurrent with or following completion of the academic requirements for licensure and need not be a paid experience.

(k) The following shall be necessary for applicant's submitting proof of completion of a Board-approved internship or a documented, supervised practice experience in nutrition services under Subparagraph (j)(2) of this Rule;

(1) If there shall be more than one supervisor or facility for different parts of the supervised practice experience, information and verification of each part, as provided in Subparagraphs (2) and (3) of this Paragraph, is required.

(2) The applicant shall provide to the Board for each supervisor/facility:

(A) the name and address of the facility providing the supervised practice experience;

(B) the name, address, phone, and title of the supervisor who supervised the supervised practice experience;

(C) a summary of nutrition services performed, along with dates and hours spent performing them;

(D) evidence that the supervisor met the requirements stated in G.S. 90-357.5(a)(1)(b) at the time of supervision; and

(E) an attestation that the supervisor is not related to, married to, or domestic partners with the supervisee.

(3) Each supervisor shall:

(A) regularly, commensurate with the care provided, observe the provision of nutrition care services by the student or trainee supervised, and evaluate, authorize, and approve all nutrition care services of the student or trainee supervised;

(B) maintain primary responsibility for and control over all nutrition care services performed by the student or trainee, including clinical record keeping;

(C) ensure the student or trainee is designated throughout the supervised practice experience by a title that indicates the individual's status as a student or trainee;

(D) verify that the applicant participated in nutrition services under his or her supervision, stating the total number of hours;

(E) provide a summary of the nutrition services completed under his or her supervision; and

(F) provide an evaluation of the applicant for the Board to be able to assess the applicant's performance in completion of the competencies required by ACEND.

(l) Applicants providing evidence of completing a Board-approved internship or documented, supervised practice experience in G.S. 90-357.5(c)(2) must submit documentation demonstrating at least 1000 hours of documented, supervised practice experience, meeting the requirements as stated in G.S. 90-357.5(c)(2). The scope of activities may include alternate supervised experiential learning such as simulation, case studies, and role playing, but must also include at least 750 hours of direct supervised experiential learning. The 1000 hours must be concurrent with or following completion of the academic requirements for licensure and need not be a paid experience. Learning experiences must prepare students to provide nutrition care services for various populations of diverse cultures, genders, and across the life cycle, which may include infants, children, adolescents, adults, pregnant/lactating females, and older adults and to be able to competently formulate actionable medical nutrition therapies and interventions, education, counseling, and ongoing care for the prevention, modulation, and management of a range of acute and chronic medical conditions, including:

(1) underweight, overweight, malnutrition, and obesity;

(2) cardiometabolic;

(3) endocrine;

(4) immune and autoimmune; and

(5) gastrointestinal disorders.

(m) The following shall be necessary for proof of completion of a Board-approved internship or a documented, supervised practice experience in nutrition services under Paragraph (l) of this Rule:

(1) If there shall be more than one supervisor or facility for different parts of the supervised practice experience, information and verification of each part, as provided in Subparagraphs (2) and (3) of this Paragraph, is required.

(2) The applicant shall provide to the Board for each supervisor/facility:

(A) the name and address of the facility providing the supervised practice experience;

(B) the name, address, phone, and title of the supervisor who supervised the supervised practice experience;

(C) a summary of nutrition services performed, along with dates, and hours spent performing them;

(D) evidence that the supervisor met the requirements as stated in G.S. 90-357.5(c)(2) at the time of supervision; and

(E) an attestation that the supervisor is not related to, married to, or domestic partners with the supervisee.

(3) Each supervisor shall:

(A) regularly, commensurate with the care provided, observe the provision of nutrition care services by the student or trainee supervised, and evaluate, authorize, and approve all nutrition care services of the student or trainee supervised;

(B) maintain primary responsibility for and control over all nutrition care services performed by the student or trainee, including clinical record keeping;

(C) ensure the student or trainee is designated throughout the supervised practice experience by a title that indicates the individual's status as a student or trainee;

(D) verify that the applicant participated in nutrition services under his or her supervision, stating the total number of hours;

(E) provide a summary of the nutrition services completed under his or her supervision; and

(F) provide an evaluation of the applicant for the Board to be able to assess the applicant's performance in the provision of nutrition services, as defined in 21 NCAC 17 .0101(12), to address, at a minimum, the acute and chronic medical conditions listed in Paragraph (l) of this Rule.

(n) Applicants who have obtained his or her education outside of the United States and its territories shall:

(1) Have his or her academic degrees evaluated by a Board-approved foreign credential evaluating service as equivalent to a baccalaureate or higher degree conferred by a U.S. college or university accredited by the regional accrediting agencies recognized by the Council on Higher Education Accreditation and the U.S. Department of Education; and

(2) All documents submitted in a language other than English shall be accompanied by a certified translation thereof in English from a Board-approved translation service.

(3) The following foreign credential evaluating and translation services are Board-approved:

(A) Academic and Professional International Evaluation, Inc., which may be found at: www.apie.org;

(B) Academic Credentials Evaluation Institute, Inc., which may be found at: https://www.acei-global.org/;

(C) American Education Research Corporation, Inc., which may be found at: http://www.aerc-eval.com/;

(D) Association of International Credential Evaluators, Inc., which may be found at: www.aice-eval.org;

(E) Bruscan Educational Information Services, which may be found at: http://www.bruscan.com/;

(F) Center for Educational Documentation, Inc., which may be found at: http://www.cedevaluations.com/;

(G) Education Credential Evaluators, Inc., which may be found at: www.ece.org;

(H) Educational Perspectives, which may be found at: https://www.edperspective.org/;

(I) Foundation for International Services, Inc., which may be found at: https://www.fis-web.com/;

(J) International Education Research Foundation, which may be found at: www.ierf.org;

(K) Josef Silny & Associates, which may be found at: http://www.jsilny.org/;

(L) SpanTran: The Evaluation Company, which may be found at: https://www.spantran.com/; or

(M) World Education Services, Inc., which may be found at: https://www.wes.org/.

(o) If the Board determines that the application does not demonstrate satisfaction of the requirements specified in G.S. 90-357.5 and this Rule, the Board shall notify the applicant in writing. The notification shall include what is required to demonstrate the applicant meets the statutory requirements, and the applicant shall be:

(1) offered the ability to place the application on hold for a time period of up to one year from the date of the letter providing the Board's determination, so long as such a request is made in writing within 30 days of the date of the letter. During this hold time, the applicant may provide other evidence demonstrating the applicant satisfied the requirements the Board determined were not met;

(2) offered the opportunity to appear for an interview before the Board. At any time during that interview, the applicant may stop the interview, and request to have all or any part of requested information provided in writing; and

(3) offered the ability to withdraw the application so long as such a request is made in writing within 30 days of the date of the letter. The applicant will be allowed to apply for licensure at a later time.

(p) If an applicant who received the notice specified in Paragraph (o) of this Rule does not provide a written response to the Board within 30 days of the date of the notification requesting that he or she be granted an interview or his or her application be placed on hold or withdrawn, or after the opportunity for an interview the Board determines the applicant has still not demonstrated satisfaction of the requirements specified in G.S. 90-357.5 and this Rule and the applicant has not requested his or her application be placed on hold or withdrawn, the Board shall issue the applicant an official rejection as provided in G.S. 90-358.

(q) A rejected applicant shall have 60 days from the date of official rejection to request a contested case hearing in accordance with the rules of this Chapter.

History

• Authority G.S. 90-356; 90-357.5; 90-357.6; 90-358
• Temporary Adoption Eff. March 19, 1992 for a Period of 180 Days to Expire on September 13, 1992
• Eff. June 1, 1992
• Recodified from 21 NCAC 17 .0004 Eff. February 1, 1995
• Amended Eff. December 1, 2011; July 18, 2002; March 1, 1996
• Readopted Eff. August 1, 2019
• Amended Eff. January 1, 2023.

21 NCAC 17 .0105 Examination for Licensure

The Board shall recognize the passing scores set by the testing agencies for the exams in G.S. 90-359 as "successful completion."

History

• Authority G.S. 90-356; 90-359
• Temporary Adoption Eff. March 19, 1992 for a Period of 180 Days to Expire on September 13, 1992
• Eff. June 1, 1992
• Recodified from 21 NCAC 17 .0005 Eff. February 1, 1995
• Amended Eff. July 18, 2002
• Readopted Eff. August 1, 2019.

21 NCAC 17 .0106 Granting License Without Examination

History

• Status: repealed
• Authority G.S. 90-356; 90-360
• Temporary Adoption Eff. March 19, 1992 for a Period of 180 Days to Expire on September 13, 1992
• Eff. June 1, 1992
• Recodified from 21 NCAC 17 .0006 Eff. February 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016
• Repealed Eff. March 15, 2023.

21 NCAC 17 .0107 Provisional License

(a) Applicants for a provisional license under G.S. 90-357.5(a) shall provide evidence of completing the educational and supervised practice experience requirements by submitting the information required by Rule 21 NCAC 17 .0104(h) and (j), and providing evidence of making application to take the Registered Dietitian Nutritionist examination. Applicants granted provisional licensure under G.S. 90-357.5(a) shall be given the credential "PLDN."

(b) Applicants for a provisional license under G.S. 90-357.5(c) shall provide evidence of completing the educational and supervised practice experience requirements by submitting the information required by Rule 21 NCAC 17.0104(i) and (k), and providing evidence of making application to take the Certified Nutrition Specialist examination or the Diplomate of the American Clinical Board of Nutrition examination. Applicants granted a provisional license under G.S. 90-357.5(c) shall be given the credential "PLN."

(c) Applications for a provisional license are available at www.ncbdn.org.

(d) A provisional license shall be issued for a period of 12 months upon the applicant completing the following:

(1) payment of application, issuance, and criminal history record check fees;

(2) submission of a completed, approved application as provided by the Board; and

(3) provision of evidence of being under the supervision of North Carolina licensed dietitian(s)/nutritionist(s) or licensed nutritionist(s).

(e) Following the successful completion, as defined in 21 NCAC 17 .0105, of one of the licensing examinations, the provisionally licensed dietitian/nutritionist or provisionally licensed nutritionist shall submit a completed application for licensure pursuant to G.S. 90-357.5, payment of fees, and evidence of passing one of the examinations referenced in G.S. 90-359. If the provisionally licensed dietitian/nutritionist or provisionally licensed nutritionist successfully completes one of the licensing examinations and submits an application for licensure pursuant to G.S. 90-357.5 within 12 months of the date that the provisional license became effective, the provisionally licensed dietitian/nutritionist or provisionally licensed nutritionist shall only be required to pay the balance of the issuance fee.

(f) If the provisionally licensed dietitian/nutritionist or provisionally licensed nutritionist does not successfully complete the licensing examination and apply for a license pursuant to G.S. 90-357.5 within 12 months of the date that the provisional license became effective, the provisionally licensed dietitian/nutritionist or provisionally licensed nutritionist must reapply and pay all applicable fees in order to obtain licensure under G.S. 90-357.5.

History

• Authority G.S. 90-356; 90-357.5; 90-361
• Temporary Adoption Eff. March 19, 1992 for a Period of 180 Days to Expire on September 13, 1992
• Eff. June 1, 1992
• Recodifed from 21 NCAC 17 .0007 Eff. February 1, 1995
• Amended Eff. December 1, 2011; July 18, 2002; March 1, 1996; February 1, 1995
• Readopted Eff. August 1, 2019.

21 NCAC 17 .0108 Disapproved Application

The Board shall not approve an applicant for licensure or renewal if the applicant:

(1) has not completed the requirements set by Article 25 of Chapter 90 of the General Statutes and the rules of this Chapter.

(2) has failed to remit any applicable fees; and

(3) has failed to comply with requests for supporting documentation.

History

• Authority G.S. 90-356; 90-358; 90-363
• Temporary Adoption Eff. March 19, 1992 for a Period of 180 Days to Expire on September 13, 1992
• Eff. June 1, 1992
• Recodified from 21 NCAC 17 .0008 Eff. February 1, 1995
• Amended Eff. July 18, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016
• Amended Eff. January 1, 2023.

21 NCAC 17 .0109 Issuance and Renewal of License

(a) An applicant shall be issued a license based on compliance with requirements stated in G.S. 90-357.5 and the rules in this Chapter.

(b) A licensee shall notify the Board of any change in the licensee's personal or professional mailing address within 30 days of that change.

(c) Licenses shall expire on March 31 of every year. A license for an LDN or LN shall be issued for a period of one year beginning April 1 and ending March 31. If an LDN or LN license is initially granted, reinstated, or reactivated between January 1 and March 31, the license shall be granted from the time of issuance through March 31 of the following year.

(d) At least 30 days prior to the expiration date of the license, the Board shall send the licensee written notice via USPS or electronic mail of the amount of renewal fee due, and instructions on how the licensee may renew online at www.ncbdn.org. Each applicant for renewal shall file a completed application with the Board.

(e) A licensee's renewal application must be submitted online prior to the expiration date. The licensee's renewal fee must also be received or postmarked prior to the expiration date in order to avoid the late renewal fee. If the fee is mailed, it must be sent to the mailing address provided in 21 NCAC 17 .0104(d). The licensee shall be responsible for filing any change of email or physical address where renewal notices are to be sent. Failure to receive renewal notice due to the licensee's failure to file change of addresses with the Board shall not be justification for late renewal.

(f) Renewal applications shall require licensees attest that the information on the application is true and complete. The applicant shall provide a written explanation and all available court documents evidencing the circumstances of any pending charge or conviction, not previously made known to the Board, if requested by the Board. The Board shall use these documents when determining if a license should be renewed under G.S. 90-363.

(g) Applicants for renewal of licenses shall provide documentation of having met continuing education requirements by submitting:

(1) Verification of current certification as a Registered Dietitian Nutritionist by the CDR, and verification of compliance with CDR's continuing education requirements. The continuing education standards required to maintain certification are contained in the "Professional Development Portfolio Guide," which is hereby incorporated by reference including subsequent amendments and editions of reference material. Copies of this standard may be obtained at no charge from CDR's website at: https://www.cdrnet.org/pdp/professional-development-portfolio-guide;

(2) A summary of continuing education on the form provided by the Board documenting completion of 75 hours of continuing education for a five year period. The continuing education hours must meet the standards contained in the "Professional Development Portfolio Guide." Documentary evidence for continuing education activities shall include the following for each activity:

(A) the name of provider/sponsor;

(B) the name of accrediting organization;

(C) the title of the activity;

(D) the date attended;

(E) the continuing education hours earned; and

(F) a record of attendance or participation;

(3) Verification of current certification as a Certified Nutrition Specialist by the BCNS, and verification of compliance with BCNS's continuing education requirements. The continuing education standards required to maintain certification are listed on the Board for Certification of Nutrition Specialists' website, which is hereby incorporated by reference including subsequent amendments or editions of reference material. Copies of this standard may be obtained at no charge from the BCNS's website at: https://theana.org/certify/currentCNS/recertification; or

(4) Verification of current certification as a Diplomate, American Clinical Board of Nutrition by the ACBN, and verification of compliance with ACBN's continuing education requirements. The continuing education standards required to maintain certification are listed on the American Clinical Board of Nutrition's website, which is hereby incorporated by reference including subsequent amendments or editions of reference material. Copies of this standard may be obtained at no charge from the ACBN's website at: https://www.acbn.org/policiesprocedures.pdf.

(h) The Board shall furnish a renewal license to each licensee who meets all renewal requirements by the expiration date.

(i) The Board shall renew a license upon the payment of a late fee within 60 days of the expiration date. If the license has been expired for 60 days or less, the license may be renewed by submitting the online license renewal form, the renewal and late fee, and verification of current certification as a Registered Dietitian Nutritionist, Certified Nutrition Specialist, Diplomate, American Clinical Board of Nutrition, or, if following the requirements of Subparagraph (g)(2) of this Rule, continuing education documentation to the Board, postmarked on or before the end of the 60-day grace period.

History

• Authority G.S. 90-356; 90-362; 90-363
• Temporary Adoption Eff. March 19, 1992 for a Period of 180 Days to Expire on September 13, 1992
• Eff. June 1, 1992
• Recodified from 21 NCAC 17 .0009 Eff. February 1, 1995
• Amended Eff. February 1, 2021; December 1, 2011; July 18, 2002; February 1, 1995
• Readopted Eff. August 1, 2019.

21 NCAC 17 .0110 Licensure Certificate

(a) The Board shall issue to each licensee an electronic license certificate and an electronic license identification card. The identification card shall contain the person's name, license number, and date of expiration.

(b) License certificates shall be signed by the Chair, Secretary, and Treasurer and be affixed with the seal of the Board. Identification cards shall bear the signature of the Chair.

(c) Any certificate or identification card issued by the Board shall remain the property of the Board and shall be surrendered to the Board upon demand.

(d) Licensees shall comply with G.S. 90-640, which specifies the wearing of a name badge.

(e) The license certificate must be displayed in a public manner as follows:

(1) The license certificate shall be displayed in the primary place of employment of the licensee; or

(2) In the absence of a primary place of employment or when the licensee is employed in multiple locations, the licensee shall print and carry a current, Board-issued license identification card.

(f) Neither the licensee nor anyone else shall make any alteration on a license certificate or license identification card issued by Board.

(g) The Board shall issue an official licensure certificate upon a written request from the licensee and payment of the Duplicate License Certificate Fee.

(h) Within 30 days of a name change, the licensee must submit a written request with government-issued documentation reflecting the name change to the Board. Upon receipt of the request and documentation the Board shall re-issue a license certificate and license identification card. If an official licensure certificate reflecting the name change is requested, the request shall be accompanied by a Duplicate License Certificate Fee.

History

• Authority G.S. 90-356; 90-362
• Temporary Adoption Eff. March 19, 1992 for a Period of 180 Days to Expire on September 13, 1992
• Eff. June 1, 1992
• Recodified from 21 NCAC 17 .0010 Eff. February 1, 1995
• Amended Eff. July 18, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016
• Amended Eff. January 1, 2023.

21 NCAC 17 .0111 Inactive Status

(a) A licensee may have a license placed in inactive status by written request to the Board, signed by the holder of the license or the holder's legal guardian.

(b) While a license is in an inactive status, the licensee shall meet the continuing education requirements each year as required by the Board's rules, but is not required to pay the renewal fee.

(c) A license may be withdrawn from inactive status by written request of the holder, completion of a renewal application, compliance with continuing education requirements and payment of the current licensing fee.

History

• Authority G.S. 90-356; 90-362
• Temporary Adoption Eff. March 19, 1992 for a Period of 180 Days to Expire on September 13, 1992
• Eff. June 1, 1992
• Recodified from 21 NCAC 17 .0011 Eff. February 1, 1995
• Amended Eff. July 18, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 17 .0112 Suspension, Revocation and Denial of License

(a) The Board may refuse to issue a license, or suspend, revoke, or impose probationary conditions and restrictions on the license of a person upon a finding of any of the causes provided in Article 25 of Chapter 90 of the General Statutes.

(b) When the Board has probable cause to believe that, an applicant or licensee has violated any part of G.S. 90-350 through 90-369 or the rules of this Chapter, the Board shall so advise the person in writing as referenced in Rule .0503 and .0504 of this Chapter and provide the person with the opportunity for a hearing as referenced in Rule .0504 of this Chapter. The Board's final decision or order shall be made in writing as referenced in Rule .0514 of this Chapter.

(c) A suspended license is subject to expiration and may be renewed as provided in this Section, but such renewal shall not entitle the licensee to engage in the licensed activity until he or she is reinstated. If a license revoked on disciplinary grounds is to be reinstated, the licensee must reapply and pay all applicable fees. The Board may deny or refuse to reinstate a license or may suspend or impose probationary conditions on a license if the licensee has engaged in conduct listed in G.S. 90-363.

History

• Authority G.S. 90-356; 90-363
• Temporary Adoption Eff. March 19, 1992 for a Period of 180 Days to Expire on September 13, 1992
• Eff. August 3, 1992
• Recodified from 21 NCAC 17 .0012 Eff. February 1, 1995
• Amended Eff. January 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016
• Amended Eff. January 1, 2023.

21 NCAC 17 .0113 Fees

The following fees, where applicable, are payable to the Board by credit card, check, or money order. Credit card payments are only accepted electronically via the Board's web-based licensure system. Payments by check or money order may be mailed to: North Carolina Board of Dietetics/Nutrition, 1135 Kildaire Farm Road, Suite 200, Cary, NC 27511. Fees are nonrefundable, except the Board may refund the Issuance Fee when an application is not approved.

Application Fee $60.00

Issuance Fee $150.00

License Renewal Fee $95.00

Late Renewal Fee $75.00

Examination Fee $200.00

Provisional License Fee $35.00

Duplicate License Certificate Fee $30.00

History

• Authority G.S. 90-356; 90-364
• Temporary Adoption Eff. March 19, 1992 for a Period of 180 Days to Expire on September 13, 1992
• Eff. June 1, 1992
• Recodified from 21 NCAC 17 .0013 Eff. February 1, 1995
• Amended Eff. July 1, 2003; July 18, 2002; March 1, 1996; February 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016
• Amended Eff. November 1, 2022.

21 NCAC 17 .0114 Code of Ethics for Professional Practice and Conduct

(a) Licensees, under the Act, shall comply with the following Code of Ethics in their professional practice and conduct. The Code reflects the ethical principles of the dietetic/nutrition professional and outlines obligations of the licensee to self, client or patient, society, and the profession and sets forth mandatory standards of conduct for all licensees.

(1) The licensee shall provide professional services with objectivity and with respect for the unique needs and values of individuals as determined through the nutritional assessment.

(2) The licensee shall conduct all practices of dietetics or nutrition with honesty.

(3) The licensee shall present substantiated information and assess the validity and applicability of scientific evidence without personal bias.

(4) The licensee shall practice evidence-based dietetics or nutrition.

(5) The licensee shall assume responsibility and accountability for personal competence in practice, continuously develop and enhance expertise through education, and recognize personal limitations.

(6) The licensee shall inform the public of his or her services by using accurate and truthful information.

(7) The licensee shall not exercise undue influence on a client or patient. This includes, not exercising excessive persuasion or improper influence on a client or patient in the promotion or the sale of services or products. The licensee shall be alert to any conflicts of interest and shall provide full disclosure when a real or potential conflict of interest arises.

(8) The licensee shall not reveal information about a client or patient obtained in a professional capacity, without prior consent of the client or patient, except as authorized or required by law, and shall make full disclosure about any limitations on his or her ability to guarantee this.

(9) The licensee shall safeguard client or patient confidentiality according to current regulations and laws, using appropriate technology, such as encryption.

(10) The licensee shall recognize and exercise professional judgment within the limits of the licensee's qualifications and shall not accept or perform professional responsibilities which the licensee knows or has reason to know that he or she is not qualified to perform.

(11) The licensee shall collaborate with others involved in the patient's care, obtain consultation from health care providers when appropriate, and make referrals to health care providers when the licensee cannot provide the client or patient the services he or she needs.

(12) The licensee shall take action, with prior consent of the client or patient, to inform a client or patient's physician or other health care practitioner in writing in cases where a client or patient's nutritional status indicates a change in health status impacting the disease or medical condition for which the physician or other health care practitioner is treating the client or patient.

(13) The licensee shall ensure that his or her client or patient has sufficient information to understand the nutrition diagnosis and the implications of nutrition intervention. The licensee shall not guarantee that nutrition care services will cause any certain outcome or particular result for the client or patient.

(14) The licensee shall permit use of that licensee's name for the purpose of certifying that dietetics or nutrition services have been rendered only if the licensee has provided or supervised those services.

(15) The licensee shall document, code, and bill nutrition services to most accurately reflect the character and extent of such delivered services.

(16) The licensee shall notify the Board in writing within 30 days of the occurrence of any of the following:

(A) the licensee seeks any medical care or professional treatment for the chronic or persistent use of intoxicants, drugs, or narcotics.

(B) the licensee is adjudicated to be mentally incompetent.

(C) the licensee has been convicted or entered into a plea of guilty or nolo contendere to any crime directly related to the duties and responsibilities of a dietitian or nutritionist or that was violent or sexual in nature; or

(D) the licensee has been disciplined by an agency of another state that regulates the practice of dietetics or nutrition.

(17) The licensee shall comply with all laws and rules concerning the profession.

(18) The licensee shall uphold the Code of Ethics for professional practice and conduct by reporting to the Board inappropriate behavior or treatment of a client or patient by the licensee or others in violation of the Code and the Act.

(19) The licensee shall not interfere with an investigation or disciplinary proceeding by willful misrepresentation of facts to the Board or its representative or by the use of threats or harassment against any person.

(20) The licensee shall not engage in kissing, fondling, touching, or in any activities, advances, or comments of a sexual nature with any client, patient, or, while under the licensee's supervision, any supervisee, student, or trainee.

(21) The licensee shall not invite, accept, or offer gifts, monetary incentives, or other considerations that affect or reasonably give an appearance of affecting the licensee's professional judgment.

(b) Conduct and circumstances which may result in disciplinary action by the Board include the following:

(1) The licensee is a chronic user of intoxicants, drugs, or narcotics to the extent that the same impairs his or her ability to practice dietetics or nutrition, as determined by a health care provider licensed to conduct such assessment.

(2) The licensee is mentally, emotionally, or physically unfit to practice dietetics or nutrition and is afflicted with such a mental, emotional, or physical disability as to be dangerous to the health and welfare of a client or patient, as determined by a health care provider licensed to conduct such assessment.

(3) The licensee has been disciplined by an agency of another state that regulates the practice of dietetics or nutrition and at least one of the grounds for the discipline is the same or substantially equivalent to the grounds for discipline in this state.

(4) The licensee has violated any provisions of the Act or any of the rules of this Chapter.

History

• Authority G.S. 90-356(3); 90-356(2)
• Temporary Adoption Eff. March 19, 1992 for a period of 180 days to expire on September 13, 1992
• Eff. July 1, 1992
• Recodified from 21 NCAC 17 .0014 Eff. February 1, 1995
• Amended Eff. April 1, 2010; July 1, 2004; July 18, 2002; March 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016
• Amended Eff. January 1, 2023.

21 NCAC 17 .0115 Exemptions

History

• Status: repealed
• Filed as a Temporary Adoption Eff. March 19, 1992 for a Period of 180 Days to Expire on September 13, 1992
• Authority G.S. 90-356; 90-368
• Eff. June 1, 1992
• Recodified from 21 NCAC 17 .0015 Eff. February 1, 1995
• Repealed Eff. July 18, 2002.

21 NCAC 17 .0116 Violations, Complaints, Subsequent Board Action, and Hearings

History

• Status: repealed
• Authority G.S. 90-356; 90-363; 90-370
• Temporary Adoption Eff. July 16, 1992 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. November 30, 1992
• Recodified from 21 NCAC 17 .0016 Eff. February 1, 1995
• Amended Eff. April 1, 2010; July 18, 2002; January 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016
• Repealed Eff. January 1, 2023.

21 NCAC 17 .0117 Suspension of Authority and Escrow of Funds

Not later than October 31 of each year, the Board shall file the reports required by G.S. 93B-2. In the event the reports required by G.S. 93B-2 are not timely filed and the Board's authority to expend any funds is therefore suspended, the Board shall deposit any fees or funds received during the period of suspension to an escrow account established by the Board solely for this purpose, and shall not expend such fees or funds until such time as the required reports are filed in accordance with G.S. 93B-2.

History

• Authority G.S. 90-356; 93B-2
• Eff. April 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 17 .0118 Armed Services Licensees

Upon receipt of a written request on or behalf of a licensee who is currently in good standing with the Board, is serving in the armed forces of the United States, and to whom G.S. 105-249 grants an extension of time to file a tax return, the Board shall waive or postpone renewal fees, renewal application deadlines, continuing education requirements and any other requirement or conditions related to the maintenance of the license issued by the Board or to the renewal thereof for a period of time not less than the extended period of time to file a tax return that is granted pursuant to G.S. 93B-15.

History

• Authority G.S. 90-356; 93B-15
• Eff. April 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 17 .0119 Declaratory Rulings

(a) A request for a declaratory ruling made pursuant to G.S. 150B-4 shall be in writing and addressed to the Board at the address provided in Rule .0104(c) of this Section. The request shall contain the following information:

(1) the name and address of the person requesting the ruling;

(2) the statute, rule, or order to which the request relates;

(3) a concise statement as to whether the request is for a ruling on the validity of a rule or on the applicability of a statute, rule, or order to a given factual situation; and

(4) a statement as to whether a hearing is desired, and if desired, the reason therefore.

(b) The Board shall refuse to issue a declaratory ruling under the following circumstances:

(1) when the Board determines it has already made a controlling decision on substantially similar facts in a contested case.

(2) when the facts underlying the request for a ruling on a rule were specifically considered at the time of the adoption of the rule in question; or

(3) when the subject matter of the request is involved in pending litigation to which the Board is a party.

History

• Authority G.S. 90-356(2); 150B-4
• Eff. June 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 17 .0120 Petitions for adoption, Amendment, or repeal of rules

(a) Rule-making petitions made pursuant to G.S. 150B-20 shall be sent to the Board. No special form is required, but the petitioner shall state his or her name and address. The petition shall include:

(1) the text of the proposed rule(s) for adoption or amendment;

(2) a statement of the reasons for the proposal;

(3) a statement of the effect of the proposal on existing rules or decisions;

(4) any data supporting the proposed rule change;

(5) if known, practices likely to be affected by the proposed rule change; and

(6) if known, persons likely to be affected by the proposed rule change.

(b) The Board shall make a decision to grant or deny the petition based upon a study of the facts stated in the petition, whether the public interest will be better served by granting or denying the petition, and any other relevant information, as determined by the Board.

History

• Authority G.S. 90-356(2); 150B-20
• Eff. June 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 17 .0121 Rule Making Notice

Persons or agencies desiring to receive notice of the Board's rule making shall file a written request with the Board at the address provided in Rule .0104 (c) of this Section, furnishing their name, mailing address, and electronic mailing address, if applicable.

History

• Authority G.S. 90-356(2); 150B-21.2(d)
• Eff. June 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 17 .0201 Definitions

History

• Status: repealed
• Authority G.S. 90-356; 90-368
• Eff. February 1, 1995
• Amended Eff. December 1, 2011; March 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016
• Repealed Eff. January 1, 2023.

21 NCAC 17 .0202 Requirement for Review

History

• Status: repealed
• Authority G.S. 90-356; 90-368
• Eff. February 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016
• Repealed Eff. January 1, 2023.

21 NCAC 17 .0203 Review and Board Action

History

• Status: repealed
• Authority G.S. 90-356; 90-368
• Eff. February 1, 1995
• Amended Eff. December 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016
• Repealed Eff. January 1, 2023.

21 NCAC 17 .0301 Definitions

History

• Status: repealed
• Authority G.S. 90-356(2); 90-368(2)
• Eff. March 1, 1996
• Repealed Eff. July 18, 2002.

21 NCAC 17 .0302 Requirements

A student or trainee under direct supervision is exempt pursuant to G.S. 90-368(2) when enrolled in a course of study or completing a documented, supervised practice experience as required under G.S. 90-357.5, not to exceed five years. The Board may approve or disapprove a request, submitted to the Board electronically or via postal mail, for an extension of the period of time if the delay is not the result of a willful or negligent act, error, or omission, or a failure to exercise reasonable diligence.

History

• Authority G.S. 90-356(2); 90-357.5; 90-368(2)
• Eff. March 1, 1996
• Amended Eff. July 18, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016
• Amended Eff. March 15, 2023.

21 NCAC 17 .0303 Supervision

For purposes of G.S. 90-368(2), "direct supervision" means the supervising practitioner:

(1) together with the supervisee, shall identify and document: competency goals for the supervised practice experience described in G.S. 90-357.5; the supervisee's scope of practice; the assignment of clinical tasks as appropriate to the supervisee's level of competence; the supervisee's relationship and access to the supervisor; and an evaluation process for the supervisee's performance.

(2) is physically onsite and available for physical intervention where the student or trainee is providing nutrition care that requires physically touching the patient and is either physically onsite and available for physical intervention or continuously available by means of two-way real-time audiovisual technology that allows for the direct, contemporaneous interaction by sight and sound between the qualified supervisor and the supervisee where the student or trainee is providing medical nutrition therapy not requiring touching of the patient;

(3) shall be available to render assistance during the provision of nutrition care when requested by the patient or client, or shall have arranged for another qualified practitioner lawfully able render nutrition care services, to be available in the absence of the supervising practitioner;

(4) regularly, commensurate with the care provided, observes the nutrition care services of the student or trainee supervised, and evaluates, authorizes, and approves all medical nutrition therapy provided by the student or trainee supervised;

(5) maintains primary responsibility for and control over all nutrition care services performed by the student or trainee, including countersigning all clinical encounter notes; and

(6) ensures the student or trainee is designated throughout the supervised practice experience by a title that indicates the individual's status as a student or trainee.

History

• Authority G.S. 90-356(2); 90-357.5; 90-368(2)
• Eff. March 1, 1996
• Amended Eff. December 1, 2011; July 18, 2002
• Readopted Eff. December 1, 2019
• Amended Eff. March 15, 2023.

21 NCAC 17 .0304 Records and Reports

(a) Permanent and current records from internships or documented, supervised practice experiences in nutrition services shall be available for review by representatives of the Board. The Board may use such records in determining compliance with G.S. 90-368(2) and in approving applications for a license.

(b) The Board may require such records for review throughout the period of completing an individual's internship or documented, supervised practice experience in nutrition services required under G.S. 90-357.5 and throughout the period of application review to provide evidence and substantiate compliance with Article 25 of Chapter 90 of the General Statutes and the rules of this Chapter.

History

• Authority G.S. 90-356(2); 90-368(2); 90-357
• Eff. March 1, 1996
• Amended Eff. July 18, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016
• Amended Eff. January 1, 2023.

21 NCAC 17 .0401 INDIVIDUALS AIDING THE PRACTICE OF Dietetics or nutrition

(a) As used in this Section, the following terms and phrases, which have not already been defined in Article 25 of Chapter 90 of the General Statutes shall have the meanings specified:

(1) "Direct supervision" as referenced in G.S. 90-368(4) means that a licensed dietitian/nutritionist, licensed nutritionist, or other licensed health care practitioner whose licensed scope of practice includes the practice of dietetics or nutrition shall:

(A) be available for consultation on delegated nutrition care activities being performed by the person being supervised, either through on-site or through electronic communication, and shall be available to render assistance when needed to the unlicensed personnel and patient or client, or shall have arranged for another licensee to be available in the absence of the licensed dietitian/nutritionist, licensed nutritionist, or other licensed health care practitioner whose licensed scope of practice includes the practice of dietetics or nutrition;

(B) directly and personally examine, evaluate, and approve the acts or functions of the person supervised; and

(C) provide sufficient guidance and direction as to enable the unlicensed personnel to perform the delegated activity or function.

(2) "Nutrition care activities" means activities performed by unlicensed personnel that are delegated by licensed dietitians/nutritionists, licensed nutritionists, or other licensed health care practitioners whose licensed scope of practice includes the practice of dietetics or nutrition in accordance with Paragraphs (b), (c), and (d) of this Rule and that support the provision of medical nutrition therapy as referenced in G.S. 90-352(3a).

(b) The licensed dietitian/nutritionist, licensed nutritionist, or other licensed health care practitioner whose licensed scope of practice includes the practice of dietetics or nutrition:

(1) may delegate nutrition care activities to unlicensed personnel that are appropriate to the level of knowledge and skill of the unlicensed personnel;

(2) shall be responsible for the initial and ongoing determination of the competence of the unlicensed personnel to perform any delegated acts or functions. Delegation of nutrition care activities shall be in writing and shall identify the patient or client and the act or function assigned to the unlicensed personnel;

(3) shall supervise the nutrition care activities of the unlicensed personnel and maintain responsibility for nutrition care activities performed by all personnel to whom the care is delegated;

(4) shall not delegate the entire spectrum of medical nutrition therapy but may delegate specific acts and functions which support the licensed professional's provision of medical nutrition therapy; and

(5) shall have the responsibility for clinical record documentation.

(c) The following variables shall be considered by the licensed dietitian/nutritionist, licensed nutritionist, or other licensed health care practitioner whose licensed scope of practice includes the practice of dietetics or nutrition in determining whether or not an activity or function may be delegated to unlicensed personnel:

(1) knowledge and skills of the unlicensed personnel which include both basic educational and experience preparation and continuing education and experience;

(2) the competence of the unlicensed personnel for the activity or function;

(3) the variables in each service setting which include:

(A) the complexity and frequency of nutrition care needed by a given client population;

(B) the acuity and stability of the client's condition; and

(C) established policies, procedures, practices, and channels of communication of the facilities where the delegated activities or functions are being performed which lend support to the types of nutrition care activities being delegated, or not delegated, to unlicensed personnel; and

(4) whether the licensed dietitian/nutritionist, licensed nutritionist, or other licensed health care practitioner whose licensed scope of practice includes the practice of dietetics or nutrition has the skills, experience, and ability to supervise the unlicensed personnel for the activity or function.

(d) Tasks, treatments, or interventions that may not be delegated include, but are not limited to:

(1) assessments of data, problem identification, and outcome evaluation;

(2) tasks, treatments, or intervention that require a license; and

(3) any and all aspects of care or activities that require independent clinical judgment or knowledge by a licensee.

History

• Authority G.S. 90-356(2); 90-368(4)
• Eff. March 1, 1996
• Amended Eff. May 1, 2010; July 18, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016
• Amended Eff March 15, 2023.

21 NCAC 17 .0402 Individuals Providing Nutrition Information

(a) The following terms and phrases shall have the meanings specified:

(1) "Nutrition information" means nutrition information related to food, food materials, or dietary supplements which is designed for one or more healthy population groups and is based on scientific evidence. Nutrition information is not individualized to provide nutrition care services for the purpose of managing or treating a medical condition for a specific person or group as referenced in G.S. 90-352(3a).

(2) "Reported or historical use" means information about food, food materials, or dietary supplements which is based on:

(A) historical or methodological studies or research conducted by experts in the field using sound scientific methods with randomized controlled clinical trials; or

(B) reports on scientific studies published in peer-reviewed medical or dietetics and nutrition journals or publications.

(b) The Board shall deem an individual who provides nutrition information or education to be in compliance with G.S. 90-368(9) when:

(1) The person does not hold himself or herself out to be a dietitian or nutritionist or imply orally or in writing or indicate in any way that he or she is a dietitian or nutritionist;

(2) The person does not provide medical nutrition therapy support activities which have not been delegated to him or her by a licensed dietitian/nutritionist, licensed nutritionist, or other licensed health care practitioner whose licensed scope of practice includes the practice of dietetics or nutrition;

(3) The person provides nutrition information on or about food, food materials, or dietary supplements, and does not provide nutrition information on the nutritional needs of the consumer as related to managing or treating a medical condition;

(4) The person provides nutrition information in connection with the marketing and distribution of the food, food materials, dietary supplements, or other goods to be provided or sold, and does not provide nutrition information in connection with the marketing and distribution of medical nutrition therapy services;

(5) The person provides the nutrition information on food, food materials, nutraceuticals, dietary supplements, or other goods in accordance with federal, State, and local laws, regulations, and ordinances, including but not limited to G.S. 90, Article 25.

History

• Authority G.S. 90-356(2); 90-368
• Eff. March 1, 1996
• Amended Eff. July 18, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016
• Amended Eff. January 1, 2023.

21 NCAC 17 .0403 Telepractice

Any person, whether residing in this State or not, who by use of electronic or other medium performs any of the acts described as the practice of medical nutrition therapy with a client or patient located in this State, but is not licensed pursuant to Article 25 of Chapter 90 of the General Statutes shall be deemed by the Board as being engaged in the practice of medical nutrition therapy and subject to the enforcement provisions available to the Board. Among other remedies, the Board shall report violations of this Rule to any occupational licensing board having issued an occupational license to a person who violates this Rule. This Rule does not apply to persons licensed pursuant to, or exempt from licensure pursuant to, Article 25 of G.S. 90.

History

• Authority G.S. 90-356
• Eff. February 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016
• Amended Eff. January 1, 2023.

21 NCAC 17 .0501 definitions

As used in this Section:

(1) "Good cause" related to motions or requests to continue or for additional time for responding includes:

(a) death or incapacitating illness of a party, or attorney of a party;

(b) a court order requiring a continuance;

(c) lack of proper notice of the hearing;

(d) a substitution of the representative or attorney of a party if the substitution is shown to be required;

(e) a change in the parties or pleadings requiring postponement; and agreement for a continuance by all parties if either more time is necessary to complete mandatory preparation for the case, such as authorized discovery, and the parties and the Board have agreed to new hearing date or parties have agreed to a settlement of the case that has been or is likely to be approved by the final decision maker; and

(f) where, for any other reason, either party has shown that the interests of justice require a continuance or additional time.

(2) "Good cause" related to motions or requests to continue or for additional time for responding shall not include:

(a) intentional delay;

(b) unavailability of a witness if the witness testimony can be taken by deposition; and

(c) failure of the attorney or representative to properly utilize the statutory notice period to prepare for the hearing.

(3) "Investigative Committee" means a Board committee composed of one licensed dietitian/nutritionist member of the Board, one licensed nutritionist member of the Board, and the public member of the Board. This Committee is charged with the duty of reviewing cases and complaints involving licensees, applicants for licensure, and all other allegations involving violations of the Dietetics/Nutrition Practice Act. The Investigative Committee shall be responsible for directing investigations and making recommendations to the Board regarding unresolved cases or complaints at regularly scheduled meetings.

(4) "Licensee" means all persons to whom the Board has issued a license under Article 25 of Chapter 90 of the General Statutes.

History

• Authority G.S. 90-356; 150B-38
• Eff. January 1, 2023.

21 NCAC 17 .0502 complaints

(a) Anyone may complain to the Board alleging that a person, applicant, or licensee has committed an action prohibited by Article 25 of Chapter 90 of the General Statutes or the rules of the Board.

(b) Complaints may be submitted to the Board by completing the Board's complaint form online at www.ncbdn.org/file-a-complaint or a paper form may be requested by contacting the Board office. Paper forms may be delivered to the Board by mail or hand-delivery at 1135 Kildaire Farm Road, Suite 200, Cary, NC 27511.

(c) Each complaint submitted shall set forth specific facts and circumstances known to the complainant relating to the Dietetics/Nutrition Practice Act or the Board's rules, and the conduct or competence of each person who is the subject of the complaint.

(d) Anonymous complaints are not investigated unless, if upon preliminary review of the contents of the complaint by Board staff, it appears the allegation(s) indicate a violation of the Dietetics/Nutrition Practice Act or the Board's rules, sufficient identification information for the person who is the subject of the complaint is provided, and there is sufficient information to substantiate allegation(s).

(e) Investigations may be conducted by the Board staff or by other persons authorized by the Board.

(f) Upon receipt of a complaint, the Board shall confirm receipt of the complaint to the complainant.

(g) The Board staff, or its authorized Investigator, shall assign a complaint number to the initial complaint, review the contents of the complaint, and conduct a preliminary review of information to determine whether an individual's conduct or competence relates to the Dietetics/Nutrition Practice Act or the Board's rules.

(h) If preliminary information in the complaint does not relate to an individual's conduct or competence under the authority of the Dietetics/Nutrition Practice Act or the Board's rules, the Board staff, or its authorized Investigator, shall close the complaint and send notice to the complainant. If applicable, the Board staff may refer the complainant to the appropriate governmental agency for handling such complaints. No further action shall be taken by the Board.

(i) If the information about an individual's conduct or competence appears to be under the authority of the Dietetics/Nutrition Practice Act or the Board's rules, Board staff, or its authorized Investigator, shall open an investigative case and begin an investigation of the matters described in the complaint.

History

• Authority G.S. 90-356; 90-363
• Eff. January 1, 2023.

21 NCAC 17 .0503 Investigations

(a) Once an investigative case is created, the Board staff, or its authorized Investigator, shall send each person who is the subject of an investigation, using the mail or electronic mail address of record in the Board's records for each person, or the mail or electronic mail address provided on the complaint form if the person is not in the Board's records, a summary of the complaint and a request for a written response.

(b) Licensees shall submit a written response to a complaint received by the Board within 45 days from the date the Board confirms the licensee's receipt of notice of the complaint. The Board shall grant up to an additional 30 days for the response where the licensee demonstrates good cause for the extension of time. The response shall contain accurate and complete information. Where a licensee fails to respond in the time and manner provided herein, the Board may proceed with making its decision in the absence of the licensee or information from the licensee, and the licensee may be held by the Board to be interfering with an investigation by willful misrepresentation of facts under 21 NCAC 17 .0114(19) in violation of G.S. 90-363(7).

(c) A summary of the complaint and a request for a written response sent to a person who is not an applicant for licensure or a licensee of the Board shall be accompanied by the following statement:

"You are hereby notified that the opinion expressed herein is not a legal determination. An occupational licensing board does not have the authority to order you to discontinue your current practices. Only a court may determine that you have violated or are violating any law and, if appropriate, impose a remedy or penalty for the violation. Further, pursuant to G.S. 150B-4, you may have the right, prior to initiation of any court action by the Board, to request a declaratory ruling regarding whether your particular conduct is lawful. You are further notified that any right to a declaratory ruling supplements any other legal rights that you may already have to establish the legality of your conduct with respect to the goods or services you offer or provide."

(d) The Board staff, or its authorized Investigator, shall investigate a complaint and shall provide the Board's Investigation Committee with an investigation report. The Investigative Committee shall review the report and shall determine to:

(1) request further investigation of particular aspects of the matter;

(2) request the individual who is the subject of the complaint meet with members of the Board to be interviewed if he or she is willing to be interviewed; or

(3) accept the report and make a recommendation to the Board.

(e) The Board shall authorize the Investigative Committee to make a recommendation to the Board if an investigation is complete and the complaint is unresolved.

(f) The Board shall consider the Investigative Committee's recommendation and shall determine whether to:

(1) conduct further investigation of particular aspects of the matter;

(2) close or dismiss the case or issue a non-disciplinary letter of caution;

(3) issue a consent order to the subject of an investigation, specifying any disciplinary sanctions to be applied and, if the consent order is not accepted, issue a notice of hearing;

(4) issue a notice of hearing to a subject, specifying any disciplinary sanctions; or

(5) apply to the courts for injunctive relief, refer a matter to a district attorney for prosecution, or take other actions, including reporting the matter to appropriate state or federal agencies.

(g) A copy of a notice of hearing shall be sent to the complainant.

(h) Whenever a complaint is dismissed or a complaint file is closed, notification of the Board's final decision shall be sent to the complainant, and the accused party.

History

• Authority G.S. 90-356; 90-363
• Eff. January 1, 2023.

21 NCAC 17 .0504 right to Hearing

When the Board acts or proposes to act, other than in rule-making or declaratory ruling proceedings, in a manner which will affect the rights, duties, or privileges of a specific, identifiable licensee or applicant for a license, such person has the right to an administrative hearing. When the Board proposes to act in such a manner, it shall give any such affected person notice of the right to a hearing by mailing to the person, by certified mail at the person's last known address, a notice of the proposed action and a notice of a right to a hearing. Notice of a right to a hearing may also be given by any method of service permitted in G.S. 150B-38(c), by a signed acceptance of service from such person, or by delivery to the person's attorney of record who accepts service on behalf of the person.

History

• Authority G.S. 90-356; 150B-38(h)
• Eff. January 1, 2023.

21 NCAC 17 .0505 request for hearing

(a) An individual who believes that individual's rights, duties, or privileges have been affected by the Board's administrative action, but who has not received notice of a right to an administrative hearing, may file a formal request for a hearing.

(b) The individual may submit a request to the Board's office, with the request bearing the notation: "REQUEST FOR ADMINISTRATIVE HEARING." The request shall contain the following information:

(1) name and address of the petitioner;

(2) a concise statement of the action taken by the Board which is challenged;

(3) a concise statement of the way in which the petitioner has been aggrieved; and

(4) a clear and specific statement of request for a hearing.

(c) In order to preserve a person's rights with respect to a Board action, the person shall file a request for hearing with the Board within 60 days after the person receives notice of the Board action that the person challenges.

History

• Authority G.S. 90-356; 150B-38
• Eff. January 1, 2023.

21 NCAC 17 .0506 granting or denying hearing request

(a) The Board shall grant a request for a hearing if it determines that the party requesting the hearing is a "person aggrieved" within the meaning of G.S. 150B-2(6). Whenever the Board proposes to deny, suspend, or revoke a license, or issue a letter of reprimand to a licensee, the licensee shall be deemed to be a person aggrieved.

(b) If the Board determines the petitioner is not a person aggrieved, the Board shall issue a denial that shall constitute a final agency decision.

(c) Approval of a request for a hearing shall be signified by issuing a notice as required by G.S. 150B-38(b) and explained in Rule .0507 of this Section.

History

• Authority G.S. 90-356; 150B-38; 150B-42
• Eff. January 1, 2023.

21 NCAC 17 .0507 notice of hearing

(a) The Board shall give the party or parties in a contested case a notice of hearing not less than 15 days before the hearing. Said notice shall contain the following information, in addition to the items specified in G.S. 150B-38(b):

(1) the name, position, address, and telephone number of a person from the Board to contact for further information or discussion;

(2) the date, time, and place for a pre-hearing conference, if any; and

(3) any other information deemed relevant to informing the parties as to the procedure of the hearing.

(b) A party who has been served with a notice of hearing may file a written response with the Board in accordance with G.S. 150B-38(d). If the party desires to submit a written response instead of personally appearing at the hearing, the party shall state that desire in the written response, and the Board shall consider the written response in lieu of a personal appearance.

(c) If the party who has been given proper notice in accordance with Paragraph (a) of this Rule neither appears pursuant to the notice nor files and serves a written response as set out in Paragraph (b) of this Rule, the Board shall find the allegations of the notice admitted. The Board may continue the hearing or proceed with the hearing and make its decision based on the evidence presented.

(d) If the Board determines that the public health, safety or welfare requires such action, it may issue an order summarily suspending a license pursuant to G.S. 150B-3. Upon service of the order, the licensee to whom the order is directed shall immediately cease the practice of medical nutrition therapy in North Carolina. The suspension shall remain in effect pending issuance by the Board of a final agency decision pursuant to G.S. 150B-42. However, pursuant to this Rule and Rule .0505 of this Section, a person subject to a summary suspension may request a hearing on whether the public health, safety, or welfare permits terminating or modifying the terms of the summary suspension pending a final agency decision. Neither an order of summary suspension nor a decision on whether the summary suspension order shall be terminated or modified is a final agency decision.

History

• Authority G.S. 90-356; 150B-3; 150B-38; 150B-40; 150B-42
• Eff. January 1, 2023.

21 NCAC 17 .0508 contested cases

All administrative hearings shall be conducted by a majority of the Board as set forth in G.S. 150B-40(b) or an administrative law judge designated to hear the case pursuant to G.S. 150B-40(e).

History

• Authority G.S. 90-356; 150B-38; 150B-40
• Eff. January 1, 2023.

21 NCAC 17 .0509 Informal procedures

(a) Before issuing a notice of hearing, the Board may designate one or more of its members, but in all cases less than a majority of the currently serving members of the Board, to meet informally via one or more conferences with the party or parties and attempt to reach an informal resolution of the dispute or any other matters as may aid in the disposition of the dispute. The designated Board member or members may direct one or more of the following dispositions:

(1) Submission to the Board with a recommendation to dismiss with no action;

(2) Submission to the Board with a recommendation that Board staff provide informal, non-disciplinary guidance to resolve the dispute;

(3) Submission to the Board with a recommendation to resolve the dispute or to expedite the hearing by consent order; or

(4) Scheduling, with appropriate notice, for contested case hearing.

The majority of the Board must approve all recommendations under Subparagraph (1), (2), and (3) of this Paragraph. Each Board member who is designated to serve in this capacity with regard to a party or parties' matter, whether the Board member actually meets with the individual or not, may participate in Board discussions concerning any recommendations made but may not vote upon the recommendation. The Board member or members who participated in the informal conferences shall be disqualified from hearing any contested case when the matter designated for informal resolution is any part of the subject matter of the contested case.

(b) The Board and the party or parties may agree to simplify the hearing by stipulation, or any other method provided by G.S. 150B-41(c).

History

• Authority G.S. 90-356; 150B-41
• Eff. January 1, 2023.

21 NCAC 17 .0510 informal resolution

(a) Informal disposition may be made of a dispute, contested case, or an issue in a contested case by any method specified in G.S. 150B-41(c) during the hearing of a contested case.

(b) All recommendations of dismissal must be approved by a majority of the Board.

(c) All matters contained in a consent order, which disposes of a dispute, must be agreed to by the party or parties, and approved by a majority of the Board.

History

• Authority G.S. 90-356; 150B-41
• Eff. January 1, 2023.

21 NCAC 17 .0511 disqualification of board members

(a) Self-disqualification. If for any reason a Board member determines that personal bias or other factors render that member unable to hear a contested case and perform all duties in an impartial manner, that Board member shall voluntarily decline to participate in the hearing or decision.

(b) Petition for Disqualification. If for any reason any party in a contested case believes that a Board member is personally biased or otherwise unable to hear a contested case and perform all duties in an impartial manner, the party may file a sworn, notarized affidavit with the Board. The title of such affidavit shall bear the notation: "AFFIDAVIT OF DISQUALIFICATION OF BOARD MEMBER IN THE CASE OF (name of case)."

(c) Contents of Affidavit. The affidavit must state all facts the party deems to be relevant to the disqualification of the Board member.

(d) Timeliness and Effect of Affidavit. An affidavit of disqualification shall be considered timely if filed 10 days before commencement of the hearing.

(e) A party may file and serve a motion for disqualification less than ten days before or during a hearing only when the motion is based on newly discovered evidence that by due diligence could not have been discovered in time to file a timely motion. Under these circumstances, the hearing shall continue with the challenged Board member sitting. Petitioner shall have the opportunity to present evidence supporting their petition, and the petition and any evidence relative thereto presented at the hearing shall be made a part of the record. The Board, before rendering its final decision, shall decide whether the evidence justifies disqualification. The decision about the disqualification of a Board member shall be made by the other Board members who are not the subject of the disqualification. The Board is not required to grant a new hearing if a Board member is disqualified during the course of a hearing.

(f) The presiding officer, in their discretion, may determine the method of resolving the motion for disqualification under G.S. 150B-40. This may include the authority to direct that the Board's Executive Director oversee an investigation of the allegations and report the findings to the Board.

(g) In the event of disqualification, the disqualified member shall not participate in further deliberation or decision of the case but may be called on to furnish information to the other members of the Board.

(h) If four or more members of the Board are disqualified pursuant to this Rule, the Board shall petition the Office of Administrative Hearings to appoint an administrative law judge to hear the contested case pursuant to G.S. 150B-40(e).

History

• Authority G.S. 90-356; 150B-40
• Eff. January 1, 2023.

21 NCAC 17 .0512 subpoenas

(a) A party shall file and serve a request for a subpoena, attaching a proposed subpoena. The Board may issue the subpoena in accordance with G.S. 150B-39(c). Issued subpoenas must be signed by the Presiding Officer, the Board's Executive Director, the Board's legal counsel, or a Board staff member designated by the Executive Director.

(b) Subpoenas shall be served as permitted by Rule 45 of the North Carolina Rules of Civil Procedure, as set forth in G.S. 1A-1.

(c) After service of the subpoena, the party serving the subpoena shall file and serve sworn proof of the method of service, demonstrating compliance with G.S. 150B-39(c).

(d) G.S. 150B-39(c) governs the recipients' duties in responding to subpoenas. A party to the case or person subject to the subpoena may object to a subpoena. Any objection to a subpoena shall be served on the party who requested the subpoena simultaneously with the filing of the objection with the Board. Motions to override an objection or quash or modify a subpoena shall be filed in accordance with G.S. 150B-39(c). The Board shall hear and rule on motions to override an objection or quash or modify a subpoena as provided in G.S. 150B-39(c).

History

• Authority G.S. 90-356; 150B-39
• Eff. January 1, 2023.

21 NCAC 17 .0513 witnesses

All testimony at the hearing shall be under oath or affirmation and shall be recorded. The presiding officer may exclude witnesses from the hearing room so that they cannot hear the testimony of other witnesses.

History

• Authority G.S. 90-356; 150B-42
• Eff. January 1, 2023.

21 NCAC 17 .0514 final decision

In a contested case, the Board shall issue a final agency decision in compliance with G.S. 150B-42. To obtain judicial review, the person seeking review must file a petition with the court in accordance with the provisions of G.S. 150B-45.

History

• Authority G.S. 90-356; 150B-42; 150B-45
• Eff. January 1, 2023.

21 NCAC 17 .0515 Proposals for decision

(a) When an administrative law judge conducts a hearing pursuant to G.S. 150B-40(e), a "proposal for decision" shall be rendered. The parties may file written exceptions to this "proposal for decision" and submit their own proposed findings of fact and conclusions of law. The exceptions and alternative proposals must be filed within 10 days after the party has received the "proposal for decision" as drafted by the administrative law judge.

(b) Any exceptions to the procedure during the hearing, the handling of the hearing by the administrative law judge, rulings on evidence, or any other matter must be written and refer specifically to pages of the record or otherwise precisely identify the occurrence to which exception is taken. The exceptions and alternative proposals must be filed with the Board within 10 days of the receipt of the proposal for decision. The written exceptions shall bear the notation: "EXCEPTIONS TO THE PROCEEDINGS IN THE CASE OF (name of case)."

(c) Any party may present oral argument to the Board upon request. The request must be included with the written exceptions.

(d) Upon receipt of request for further oral argument, notice shall be issued promptly to all parties designating the time and place for such oral argument.

(e) Giving due consideration to the proposal for decision and the exceptions and arguments of the parties, the Board may adopt the proposal for decision or may modify it as the Board deems necessary. The decision rendered shall be a part of the record and a copy thereof given to all parties. The decision as adopted or modified becomes the "final agency decision" for the right to judicial review. Said decision shall be rendered by the Board within 60 days of the next regularly scheduled meeting following the oral arguments, if any. If there are no oral arguments presented, the decision shall be rendered within 60 days of the next regularly scheduled Board meeting following receipt of the written exceptions and alternative proposals.

History

• Authority G.S. 90-356; 150B-40
• Eff. January 1, 2023.

21 NCAC 17 .0516 disciplinary costs

(a) The Board may recover against a licensee or license applicant, found to be in violation of the Act or rules adopted by the Board, the following costs of disciplinary actions incurred by the Board for the investigation, prosecution, hearing, or other administrative action:

(1) witness fees and statutorily-allowed expenses for witnesses;

(2) direct costs of the Board in taking or obtaining of depositions of witnesses;

(3) costs incurred by reason of administrative or staff time of employees of the Board directly attributable to the action leading to the final decision or order; and

(4) costs incurred by reason of legal fees charged to the Board directly attributable to the action leading to the final decision or order.

These costs may be assessed by the Board pursuant to final decisions or orders of the Board following an administrative hearing pursuant to Article 3A of Chapter 150B of the General Statutes. These costs may also be assessed against a licensee or license applicant for an investigation or action in the nature of disciplinary action, pursuant to the express consent by the person in a consent order approved by the Board.

History

• Authority G.S. 90-356; 90-370
• Eff. March 15, 2023.

21 NCAC 17 .0517 Drug testing and intervention

(a) When information of suspected impairment of a licensee is received by the Board, the Board shall conduct an investigation and routine inquiries to determine the validity of the report.

(b) Licensees suspected of impairment may be required to submit to personal interviews if the investigation and inquiries indicate the report may be valid.

(c) The Board shall have authority to compel a licensee to submit to a mental or physical examination, including drug and blood alcohol testing, by physicians designated by the Board, if there is a reasonable suspicion that the licensee is consuming drugs or alcohol to such an extent or with such frequency as to impair the licensee's ability to practice dietetics or nutrition. The cost of examination shall be borne by the licensee being examined. The failure of a dietitian/nutritionist or nutritionist to submit to such an examination when so directed constitutes an admission that the licensee is unable to deliver dietetics or nutrition services with reasonable skill and safety, upon which a default and a final order may be entered without the taking of testimony or presentation of evidence, unless the failure was due to circumstances beyond the licensee's control. A licensee affected under this Paragraph shall at reasonable intervals be afforded an opportunity to demonstrate that the licensee can resume the competent delivery of dietetics or nutrition services with reasonable skill and safety. Neither the record of the proceedings nor any order of the Board based solely on a licensee's failure to submit to an examination shall be deemed by the Board to constitute a conclusive determination that the licensee engaged in any particular conduct.

(d) Information received by the Board related to a mental or physical examination of a licensee conducted by a licensed health professional shall remain confidential as a medical record but shall be freely exchanged with the Board or its authorized agents, for the purposes of the investigation.

(e) Information gathered shall be used to determine whether the licensee is a chronic or persistent user of intoxicants, drugs, or narcotics to the extent that the same impairs their ability to practice dietetics or nutrition.

(f) The Board may make arrangements for a licensee with impairments to participate in intervention, treatment, and a monitoring program without disciplinary action.

History

• Authority G.S. 90-356
• Eff. January 1, 2023.

Chapter 18 Electrical Contractors

Subchapter A

21 NCAC 18A .0101 Authorized Licensing Agency

History

• Status: repealed
• Authority G.S. 87-39; 87-40; 87-42; 87-46; 87-47; 95-11(e); 143-138(a),(b)
• 143-142(b)
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0102 Purpose

History

• Status: repealed
• Authority G.S. 87-39; 87-40; 87-42; 87-46; 87-47; 95-11(e); 143-138(a),(b)
• 143-142(b)
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0103 Principal Office: Mailing Address: Office Hours

History

• Status: repealed
• Authority G.S. 87-39; 87-40; 87-42; 87-46; 87-47; 95-11(e); 143-138(a),(b)
• 143-142(b)
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0104 Organization

History

• Status: repealed
• Authority G.S. 87-39; 87-40; 87-42; 87-46; 87-47; 95-11(e); 143-138(a),(b)
• 143-142(b)
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0105 Reference to State Building and Elevator Code

History

• Status: repealed
• Authority G.S. 87-39; 87-40; 87-42; 87-46; 87-47; 95-11(e); 143-138(a),(b)
• 143-142(b)
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0201 License Classifications

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.3; 87-43.4; 87-44; 87-45; 87-46
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0202 Combined Application and Examination Fees

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.3; 87-43.4; 87-44; 87-45; 87-46
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0203 Annual License Fees

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.3; 87-43.4; 87-44; 87-45; 87-46
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0204 Variance in License and Examination Fees

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.3; 87-43.4; 87-44; 87-45; 87-46
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0205 Separate License Requirements

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.3; 87-43.4; 87-44; 87-45; 87-46
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0206 Numbering of Licenses

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.3; 87-43.4; 87-44; 87-45; 87-46
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0207 Expiration Date of Licenses

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.3; 87-43.4; 87-44; 87-45; 87-46
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0208 General Requirements for Applicants

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.3; 87-43.4; 87-44; 87-45; 87-46
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0209 Specific Requirements: Each Classification

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.3; 87-43.4; 87-44; 87-45; 87-46
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0210 Experience

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.3; 87-43.4; 87-44; 87-45; 87-46
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0211 License Name Requirements

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.3; 87-43.4; 87-44; 87-45; 87-46
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0301 Examination Dates

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0302 Policy for Conducting Area Examinations

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0303 Specially Arranged Examinations

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0304 Applications

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0305 Examination Scope

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0306 Minimum Passing Grade

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0307 Waiting Period Between Examinations

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0308 Denial of Examination or License

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0401 To Be Listed on Current License

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-47; 87-49
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0402 Change from One License to Another

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-47; 87-49
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0403 Qualified Individual: Never Listed Nor Obtained License

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-47; 87-49
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0404 Listed Qualified Individual Obtaining Own License

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-47; 87-49
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0405 Once Listed But Not Now Listed

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-47; 87-49
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0501 License Renewal Due Date

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-44; 87-49
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0502 Renewal After Expiration of Annual License

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-44; 87-49
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0601 Inactive Licenses Expired Prior to July 1, 1970

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-49
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0602 Qualified Individuals Listed Prior to July 1, 1970

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-49
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0603 Reclassification of Current Licenses

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-49
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0701 License Classification: Sp-Sfd

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.2 through 87-43.4; 87-44; 87-46; 87-48
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0702 Separate License and Qualified Person Required

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.2 through 87-43.4; 87-44; 87-46; 87-48
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0703 Single Family Detached Residential Dwelling

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.2 through 87-43.4; 87-44; 87-46; 87-48
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0704 Business Use Restrictions

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.2 through 87-43.4; 87-44; 87-46; 87-48
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0705 Other Electrical Contracting Work

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.2 through 87-43.4; 87-44; 87-46; 87-48
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0706 Qualifying Examinations: Fees: Applications

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.2 through 87-43.4; 87-44; 87-46; 87-48
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0707 Qualification Requirements for Applicants

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.2 through 87-43.4; 87-44; 87-46; 87-48
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0708 Examination: Scope: Grade: Re-Examination

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.2 through 87-43.4; 87-44; 87-46; 87-48
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0709 Application for License

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.2 through 87-43.4; 87-44; 87-46; 87-48
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0710 Duty and Responsibility of Licensee

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.2 through 87-43.4; 87-44; 87-46; 87-48
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0711 Penalty for Violation

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.2 through 87-43.4; 87-44; 87-46; 87-48
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0801 General Provisions

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-44; 87-48
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0802 Special Restricted Elevator License

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-44; 87-48
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0803 Special Restricted Plumbing and Heating License: Class I

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-44; 87-48
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0804 Special Restricted Plumbing and Heating License: Class Ii

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-44; 87-48
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0805 Special Restricted Groundwater Pump License

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-44; 87-48
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0806 Special Restricted Electric Sign License

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-44; 87-48
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0901 General Requirements

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-50
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .0902 Reciprocity: South Carolina

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-50
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1001 General Provisions

History

• Status: repealed
• Authority G.S. 87-39; 87-42
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1002 Joint Resolution: Refrigeration Board

History

• Status: repealed
• Authority G.S. 87-39; 87-42
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1101 Petition

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 150B-10; 150B-12; 150B-13; 50B-16; 150B-59
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1102 Procedures

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 150B-10; 150B-12; 150B-13; 50B-16; 150B-59
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1103 Adoption by Reference

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 150B-10; 150B-12; 150B-13; 50B-16; 150B-59
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1104 Emergency Rules

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 150B-10; 150B-12; 150B-13; 50B-16; 150B-59
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1105 Filing and Effective Date of Rules

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 150B-10; 150B-12; 150B-13; 50B-16; 150B-59
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1106 Exclusions

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 150B-10; 150B-12; 150B-13; 50B-16; 150B-59
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1201 Procedures Governing Hearings

History

• Status: repealed
• Authority G.S. 87-39; 87-42; Chapter 150B, Article 3
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1202 Board Decision

History

• Status: repealed
• Authority G.S. 87-39; 87-42; Chapter 150B, Article 3
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1203 Interpretation

History

• Status: repealed
• Authority G.S. 87-39; 87-42; Chapter 150B, Article 3
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1301 General Provisions

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 150B-10(6)
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1302 Interpretive Ruling: Rights of Property Owner

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 150B-10(6)
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1303 Interpretive Ruling: Low Voltage Systems

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 150B-10(6)
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1304 Interpretive Ruling: Qualified Person Employed by Others

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 150B-10(6)
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1305 Interpretive Ruling: Exemption of Manufacturers

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 150B-10(6)
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1306 Interpretive Ruling: Project Value: Limitation

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 150B-10(6)
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1307 Interpretive Ruling: Employee Exception

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 150B-10(6)
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1401 Request for Ruling

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 150B-17
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1402 Action on Request

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 150B-17
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1501 Forms Provided by the Board

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.1; 87-43.4; 87-44; 150B-11
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1502 Certificates Issued by the Board

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.1; 87-43.4; 87-44; 150B-11
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1503 Publications Available from the Board

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.1; 87-43.4; 87-44; 150B-11
• Eff. February 1, 1976
• Repealed Eff. August 1, 1982.

21 NCAC 18A .1601 Authorized Licensing Agency

History

• Status: repealed
• Authority G.S. 87-39; 87-40; 87-42; 87-44; 87-47; 150B-14(a)(4); 150B-38(h)
• 25-3-512
• Eff. August 1, 1982
• Amended Eff. April 1, 1988
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1602 Purpose

History

• Status: repealed
• Authority G.S. 87-39; 87-40; 87-42; 87-44; 87-47; 150B-14(a)(4); 150B-38(h)
• 25-3-512
• Eff. August 1, 1982
• Amended Eff. April 1, 1988
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1603 Principal Office: Mailing Address: Office Hours

History

• Status: repealed
• Authority G.S. 87-39; 87-40; 87-42; 87-44; 87-47; 150B-14(a)(4); 150B-38(h)
• 25-3-512
• Eff. August 1, 1982
• Amended Eff. April 1, 1988
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1604 Organization

History

• Status: repealed
• Authority G.S. 87-39; 87-40; 87-42; 87-44; 87-47; 150B-14(a)(4); 150B-38(h)
• 25-3-512
• Eff. August 1, 1982
• Amended Eff. April 1, 1988
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1605 Reference to State Building and Elevator Codes

History

• Status: repealed
• Authority G.S. 87-39; 87-40; 87-42; 87-44; 87-47; 150B-14(a)(4); 150B-38(h)
• 25-3-512
• Eff. August 1, 1982
• Amended Eff. April 1, 1988
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1606 Administrative Hearing Procedures

History

• Status: repealed
• Authority G.S. 87-39; 87-40; 87-42; 87-44; 87-47; 150B-14(a)(4); 150B-38(h)
• 25-3-512
• Eff. August 1, 1982
• Amended Eff. April 1, 1988
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1607 Penalty for Submittal of Bad Check

History

• Status: repealed
• Authority G.S. 87-39; 87-40; 87-42; 87-44; 87-47; 150B-14(a)(4); 150B-38(h)
• 25-3-512
• Eff. August 1, 1982
• Amended Eff. April 1, 1988
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1701 Preferring Charges

History

• Status: repealed
• Authority G.S. 87-39; 87-40; 87-42; 87-47; 150B-11; 150B, Article 3, 4
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1702 Preliminary Determination

History

• Status: repealed
• Authority G.S. 87-39; 87-40; 87-42; 87-47; 150B-11; 150B, Article 3, 4
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1703 Judicial Review

History

• Status: repealed
• Authority G.S. 87-39; 87-40; 87-42; 87-47; 150B-11; 150B, Article 3, 4
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1806 Requirements for Examination Applicants: Classification

21 NCAC 18A 1807 EXPERIENCE

21 NCAC 18A .1808 Examination Scope

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 150B-11(1)
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1809 Written Examinations

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 150B-11(1)
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1810 Minimum Passing Grade

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 150B-11(1)
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1811 Waiting Period Between Examinations

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 150B-11(1)
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1812 Denial of Examination or License

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 150B-11(1)
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1806 Requirements for Examination Applicants: Classification

21 NCAC 18A .1807 EXPERIENCE

21 NCAC 18A .1808 Examination Scope

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 150B-11(1)
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1809 Written Examinations

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 150B-11(1)
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1810 Minimum Passing Grade

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 150B-11(1)
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1811 Waiting Period Between Examinations

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 150B-11(1)
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1812 Denial of Examination or License

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 150B-11(1)
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1901 License Classifications

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.2; 87-43; 87-43.2; 87-43.3; 87-43.4; 87-44
• 87-45
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1902 Annual License Fees

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.2; 87-43; 87-43.2; 87-43.3; 87-43.4; 87-44
• 87-45
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1903 License Renewal Due Date

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.2; 87-43; 87-43.2; 87-43.3; 87-43.4; 87-44
• 87-45
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1904 Renewal After Expiration of Annual License

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.2; 87-43; 87-43.2; 87-43.3; 87-43.4; 87-44
• 87-45
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1905 Separate License Requirements

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.2; 87-43; 87-43.2; 87-43.3; 87-43.4; 87-44
• 87-45
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1906 Qualified Person

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.2; 87-43; 87-43.2; 87-43.3; 87-43.4; 87-44
• 87-45
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1907 Numbering of Licenses

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.2; 87-43; 87-43.2; 87-43.3; 87-43.4; 87-44
• 87-45
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1908 License Name Requirements

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.2; 87-43; 87-43.2; 87-43.3; 87-43.4; 87-44
• 87-45
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1909 Expiration Date of Licenses

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.2; 87-43; 87-43.2; 87-43.3; 87-43.4; 87-44
• 87-45
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .1910 License Applicants: Requirements Each Classification

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.2; 87-43; 87-43.2; 87-43.3; 87-43.4; 87-44
• 87-45
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2001 Change from One License to Another

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-49
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2002 Qualified Individual: Never Listed Nor Obtained License

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-49
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2003 Listed Qualified Individual Obtaining Own License

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-49
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2004 Once Listed But Not Now Listed

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-49
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2101 Inactive Licenses Expired Prior to July 1, 1970

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.3; 87-43.4; 87-44; 87-43.4
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2102 Qualified Individuals Listed Prior to July 1, 1970

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.3; 87-43.4; 87-44; 87-43.4
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2103 Reclassification of Current Licenses

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.3; 87-43.4; 87-44; 87-43.4
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2201 License Classification: Sp-Sfd

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.2; 87-43.3; 87-43.4; 87-44; 87-46; 87-48
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2202 Separate License and Qualified Person Required

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.2; 87-43.3; 87-43.4; 87-44; 87-46; 87-48
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2203 Single Family Detached Residential Dwelling

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.2; 87-43.3; 87-43.4; 87-44; 87-46; 87-48
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2204 Business Use Restrictions

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.2; 87-43.3; 87-43.4; 87-44; 87-46; 87-48
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2205 Other Electrical Contracting Work

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.2; 87-43.3; 87-43.4; 87-44; 87-46; 87-48
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2206 Qualifying Examinations: Fees: Applications

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.2; 87-43.3; 87-43.4; 87-44; 87-46; 87-48
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2207 Qualification Requirements for Applicants

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.2; 87-43.3; 87-43.4; 87-44; 87-46; 87-48
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2208 Examination: Scope: Grade: Re-Examination

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.2; 87-43.3; 87-43.4; 87-44; 87-46; 87-48
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2209 Application for License

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.2; 87-43.3; 87-43.4; 87-44; 87-46; 87-48
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2210 Duty and Responsibility of Licensee

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.2; 87-43.3; 87-43.4; 87-44; 87-46; 87-48
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2211 Penalty for Violation

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.2; 87-43.3; 87-43.4; 87-44; 87-46; 87-48
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2301 General Provisions

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 87-48
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2302 Special Restricted Elevator License

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 87-48
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2303 Special Restricted Plumbing and Heating License: Class I

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 87-48
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2304 Special Restricted Plumbing and Heating: Class Ii

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 87-48
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2305 Special Restricted Groundwater Pump License

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 87-48
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2306 Special Restricted Electric Sign License

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 87-48
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2307 Special Restricted Low Voltage License

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 87-48
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2308 Special Restricted Swimming Pool License

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.2; 87-43.3; 87-44; 87-48
• Eff. February 1, 1983
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2401 General Requirements

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-50
• Eff. August 1, 1982
• Amended Eff. March 1, 1983
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2402 Reciprocity: South Carolina

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-50
• Eff. August 1, 1982
• Amended Eff. March 1, 1983
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2403 Reciprocity: Virginia

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-50
• Eff. August 1, 1982
• Amended Eff. March 1, 1983
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2501 General Provisions

History

• Status: repealed
• Authority G.S. 87-39; 87-42
• Eff. August 1, 1982
• Amended Eff. March 1, 1983
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2502 Joint Resolution: Refrigeration Board

History

• Status: repealed
• Authority G.S. 87-39; 87-42
• Eff. August 1, 1982
• Amended Eff. March 1, 1983
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2601 General Provisions

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-47; 87-48; 150B-10(6)
• 150B-11; Chapter 132
• Eff. August 1, 1982
• Amended Eff. March 1, 1983
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2602 Interpretive Ruling: Low Voltage Systems

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-47; 87-48; 150B-10(6)
• 150B-11; Chapter 132
• Eff. August 1, 1982
• Amended Eff. March 1, 1983
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2603 Interpretive Ruling: Qualified Person Employed by Others

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-47; 87-48; 150B-10(6)
• 150B-11; Chapter 132
• Eff. August 1, 1982
• Amended Eff. March 1, 1983
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2604 Interpretive Ruling: Exemption of Manufacturers

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-47; 87-48; 150B-10(6)
• 150B-11; Chapter 132
• Eff. August 1, 1982
• Amended Eff. March 1, 1983
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2605 Interpretive Ruling: Electrical Installation: Project

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-47; 87-48; 150B-10(6)
• 150B-11; Chapter 132
• Eff. August 1, 1982
• Amended Eff. March 1, 1983
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2606 Interpretive Ruling: Joint Venture

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-47; 87-48; 150B-10(6)
• 150B-11; Chapter 132
• Eff. August 1, 1982
• Amended Eff. March 1, 1983
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2607 Interpretive Ruling: License Ineligibility After Violation

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-47; 87-48; 150B-10(6)
• 150B-11; Chapter 132
• Eff. August 1, 1982
• Amended Eff. March 1, 1983
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2608 Interpretive Ruling: Employee Exception

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-47; 87-48; 150B-10(6)
• 150B-11; Chapter 132
• Eff. August 1, 1982
• Amended Eff. March 1, 1983
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2609 Interpretive Ruling: Telephone/Telegraph/Signal Systems

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-47; 87-48; 150B-10(6)
• 150B-11; Chapter 132
• Eff. August 1, 1982
• Amended Eff. March 1, 1983
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2610 Interpretive Ruling: Authorized Legal Action by Staff

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-47; 87-48; 150B-10(6)
• 150B-11; Chapter 132
• Eff. August 1, 1982
• Amended Eff. March 1, 1983
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2611 Interpretive Ruling: Applicability of G.s. 87-43.1(8)

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-47; 87-48; 150B-10(6)
• 150B-11; Chapter 132
• Eff. August 1, 1982
• Amended Eff. March 1, 1983
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2612 Interpretive Ruling: Definitions: Delivery/Related Terms

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-47; 87-48; 150B-10(6)
• 150B-11; Chapter 132
• Eff. August 1, 1982
• Amended Eff. March 1, 1983
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2613 Interpretive Ruling: Classification of Board's Records

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-47; 87-48; 150B-10(6)
• 150B-11; Chapter 132
• Eff. August 1, 1982
• Amended Eff. March 1, 1983
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2701 Forms Provided by the Board

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.1; 87-43.2; 87-43.3; 87-43.4; 87-44
• 150B-11
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2702 Certificates Issued by the Board

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.1; 87-43.2; 87-43.3; 87-43.4; 87-44
• 150B-11
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2703 Publications Available from the Board

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.1; 87-43.2; 87-43.3; 87-43.4; 87-44
• 150B-11
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

21 NCAC 18A .2704 Other Publications

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.1; 87-43.2; 87-43.3; 87-43.4; 87-44
• 150B-11
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

Subchapter B

21 NCAC 18B .0101 Principal Office: Mailing Address: Office Hours

The principal office and mailing address of the North Carolina State Board of Examiners of Electrical Contractors is at 3101 Industrial Drive, Suite 206, Raleigh, North Carolina 27609. Office hours are posted on the Board website, www.ncbeec.org.

History

• Authority G.S. 87-39; 87-42
• Eff. October 1, 1988
• Amended Eff. February 1, 2016; January 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0102 Reference to State Building and Elevator Codes

(a) Pursuant to G.S. 150B-21.6, the North Carolina State Building Code, Volume IV Electrical, and the National Electrical Code, NFPA 70, are incorporated by reference. Whenever a reference is made in this Subchapter to one of these codes, it means the current edition and any amendments thereto. The term "National Electrical Code" when used in these Rules includes both codes incorporated in this Paragraph.

(b) Pursuant to G.S. 150B-21.6, the North Carolina codes and standards for elevators, dumbwaiters, escalators, moving walks and personnel hoists, administered by the North Carolina Department of Labor and codified as 13 NCAC 15 .0200, are incorporated by reference. Whenever a reference is made in this Subchapter to these codes and standards, it means the current edition and amendments thereto.

History

• Authority G.S. 87-39; 87-42; 143-138
• Eff. October 1, 1988
• Amended Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0103 Annual Reports

Annual Reports. The Board shall make timely filing of all reports required by G.S. 93B-2. In case of the untimely filing of a report, then pursuant to G.S. 93B-2(d), the Board shall hold in escrow any fees tendered between the filing deadline and the filing date. Issuance of licenses, renewals and application processing shall continue during any interval created by the untimely filing of a report required by G.S. 93B-2.

History

• Authority G.S. 87-39; 87-40; 87-42; 93B-2
• Eff. October 1, 1988
• Amended Eff. July 1, 2011; February 1, 1996; February 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0104 Authorized Legal Action by Staff

(a) The following members of the Board's staff are authorized to act on behalf of the Board in criminal and civil actions brought under the provisions of G.S. 87-48;

(1) the Board's executive director; and

(2) the Board's field representatives/investigators.

(b) The staff members set out in Paragraph (a) of this Rule are authorized to sign affidavits as to the content of Board records, execute or verify civil complaints in the name of the Board, sign criminal warrants with respect to violations of G.S. 87-48, testify in court or in other proceedings and to perform all other acts as may be required in criminal and civil actions related to G.S. 87-48.

History

• Authority G.S. 87-40; 87-42; 87-43
• Eff. October 1, 1988
• Amended Eff. February 1, 2006; April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0105 Board Records

The records of the Board shall be maintained at the Board office and shall be available for public inspection, in accordance with G.S. 132, during regular office business hours.

History

• Authority G.S. 87-42; 87-47; 132-1
• Eff. October 1, 1988
• Amended Eff. February 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0106 Joint Resolution and Agreements

History

• Status: repealed
• Authority G.S. 87-39; 87-42
• Eff. October 1, 1988
• Repealed Eff. July 1, 2011.

21 NCAC 18B .0107 Processing Fee for Submittal of Bad Check

(a) Any person, firm or corporation submitting to the Board a check which is subsequently returned to the Board because of insufficient funds in or no account at a bank shall be charged the maximum processing fee allowed by G.S. 25-3-506 for processing such check.

(b) Until such time as the payor of such bad check has made the check good and paid the prescribed processing fee, the payor shall not be eligible to take an examination, review an examination, obtain a license or have a license renewed.

(c) Any license which has been issued based on the payment of a check which is subsequently returned to the Board for reasons stated herein shall be declared invalid until such time as the payor has made the check good and paid the prescribed processing fee.

(d) Payment to the Board for making good such bad check and for the prescribed processing fee may be made in the form of cash, cashier's check or money order.

(e) All examination, examination review, license and license renewal applications provided by the Board shall contain information in a conspicuous place thereon clearly advising the applicant of the foregoing bad check processing fee.

History

• Authority G.S. 25-3-506; 87-42
• Eff. October 1, 1988
• Amended Eff. May 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0108 Petition for Rule-Making Procedures

(a) Any person wishing to request the Board to adopt, amend, or repeal a rule shall file a petition with the Board pursuant to G.S. 150B-20, by mail or personal delivery. The petition shall be signed by the petitioner and shall include the petitioner=s address.

(b) There is no form required for the petition.

(c) The Board shall grant the petition if it finds the requested rule change would comply with the requirements of law and, if so, it would likely serve the public interest. The Board may request additional information from the petitioner and may contact interested persons or persons likely to be affected by the proposal and request their comments in order to obtain information upon which to base the determination of public interest. Before granting or denying the petition, the Board shall consider the contents of the petition and any other information filed with or obtained by the Board.

History

• Authority G.S. 87-42; 150B-20
• Eff. October 1, 1988
• Amended Eff. March 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0109 Declaratory Ruling Procedures

(a) All requests for declaratory rulings shall be written and mailed to the Board at the Board's address.

(b) Each request for a declaratory ruling must include the following information:

(1) the name and address of the person requesting the ruling;

(2) the statute or rule to which the request relates;

(3) a concise statement of the manner in which the requesting person is aggrieved by the rule or statute or its potential application to him; and

(4) a statement whether an oral hearing is desired and, if so, the reason therefor.

(c) Upon receipt of a request for a declaratory ruling, the Board shall determine whether a ruling is appropriate under the facts stated.

(d) The Board shall proceed to issue a declaratory ruling when the person requesting the ruling shows that, with regard to the facts presented:

(1) the rule or statute in question is unclear on its face;

(2) circumstances are so changed since the adoption of a rule that a declaratory ruling is warranted;

(3) the factors specified in the request were not given appropriate consideration by the Board at the time the rule was adopted;

(4) the rule or statute is unclear in its application to the requesting person's facts; or

(5) a fair question exists regarding the validity of the rule because of:

(A) an absence of Authority for the Board's adoption of the rule; or

(B) irregularities in the Board's rule-making proceedings.

(e) When the Board determines for good cause that the issuance of a declaratory ruling is undesirable, the Board shall notify, in writing, the person requesting the ruling, stating the reasons for the denial of the request. The Board will ordinarily decline to issue a declaratory ruling when:

(1) there has been a similar controlling factual determination made by the Board;

(2) the rule-making record shows that the factual issues raised by the request were specifically considered prior to adoption of the rule; or

(3) the subject matter of the request is involved in pending litigation in any state or federal court in North Carolina.

(f) Prior to issuing a declaratory ruling, the Board may give notice of the declaratory proceedings to any persons it deems appropriate and may direct that fact-finding proceedings appropriate to the circumstances of the particular request be conducted by the Board. The proceedings may consist of written submissions, an oral hearing, or other appropriate procedures.

(g) If the Board finds evidence that the factors listed in Subdivisions (d)(1), (2), or (3) of this Rule exist or potentially exist beyond the specific facts presented in a particular petition for declaratory ruling, the Board shall consider rule-making proceedings on the rule.

(h) A record of each declaratory ruling and the procedures conducted therefor will be maintained by the Board at least until:

(1) the statute or rule interpreted by the declaratory ruling is amended, altered, or repealed;

(2) the Board prospectively changes the declaratory ruling for good reason;

(3) any court sets aside the ruling in litigation between the Board and the party requesting the ruling; or

(4) any court of the Appellate Division of the General Court of Justice construes the statute or rule which is the subject of the declaratory ruling in a manner plainly irreconcilable with the declaratory ruling.

(i) The record will contain:

(1) the request for a declaratory ruling;

(2) all written submissions filed in the request, whether filed by the person requesting the ruling or by any other person;

(3) a record or summary of oral presentations, if any; and

(4) a copy of the declaratory ruling.

History

• Authority G.S. 87-42; 150B-4
• Eff. October 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0110 Production of Public Records

(a) Records of current license status shall be available without charge on the Board website, www.ncbeec.org.

(b) Production of license history or verification of license of licensees or qualified individuals shall be available at a cost of twenty-five dollars ($25.00) for each report.

History

• Authority G.S. 87-42; 87-44; 93B-3; 132-6.2; 150B-19
• Eff. October 1, 2017.

21 NCAC 18B .0201 Requirements for All Examination Applicants

(a) To take an examination in any electrical contracting license classification, the applicant shall:

(1) be 18 years of age;

(2) submit the required duly filed application as defined in Rule .0210 of this Section;

(3) submit with the application written statements from two persons, attesting to the applicant's good character; and

(4) meet the requirements set out in Paragraph (b) of this Rule.

(b) Examination applicants shall meet the following requirements for the specified license classifications:

(1) Limited classification. An applicant shall have 3,000 hours of experience, as defined in Rule .0202 of this Section, of which 2,000 hours shall be primary experience. The balance of experience may be primary, secondary, or both.

(2) Intermediate classification. An applicant shall have 5,750 hours of experience, as defined in Rule .0202 of this Section, of which 5,000 hours shall be primary experience. The balance of experience may be primary, secondary, or both.

(3) Unlimited classification. An applicant shall:

(A) have 9,000 hours of experience, as defined in Rule .0202 of this Section, of which 8,000 hours shall be primary experience. The balance of experience may be primary, secondary, or both; and

(B) submit with the application written statements from two persons who are knowledgeable of the applicant's electrical experience, attesting to the applicant's ability to supervise and direct all electrical wiring or electrical installation work of an electrical contracting business in the unlimited classification.

(4) Single family detached residential dwelling (SP-SFD) classification. An applicant shall have 3,000 hours of experience, as defined in Rule .0202 of this Section, of which 2,000 hours shall be primary experience. The balance of experience may be primary, secondary, or both.

(5) Special restricted fire alarm/low voltage (SP-FA/LV) classification. An applicant shall have 3,000 hours of experience, as defined in Rule .0202 of this Section, of which one year 2,000 hours shall be primary experience. The balance of experience may be primary, secondary, or both. An applicant in this classification may also receive creditable experience for service in any of the capacities listed in Rule .0202 that the applicant gained in the low voltage field.

(6) Special restricted elevator (SP-EL) classification. An applicant shall:

(A) have 3,000 hours of experience, as defined in Rule .0202 of this Section, of which 2,000 hours shall be primary experience. The balance of experience may be primary, secondary, or both. An applicant in this classification shall also receive creditable experience for service in any of the capacities listed in Rule .0202 that the applicant gained in the elevator field; and

(B) include on the application information to establish that the applicant is regularly on active duty in, and will be the listed qualified individual for a firm that is primarily engaged in, a lawful elevator business in this State, consistent with G.S. 87-43 and 21 NCAC 18B .0301.

(7) Special restricted plumbing and heating (SP-PH) classification. An applicant shall:

(A) have 3,000 hours of experience, as defined in Rule .0202 of this Section, of which 2,000 hours shall be primary experience. The balance of experience may be primary, secondary, or both. An applicant in this classification shall also receive creditable experience for service in any of the capacities listed in Rule .0202 that the applicant gained in the plumbing, heating, or air conditioning field; and

(B) include on the application information verifying that the applicant is regularly on active duty in, and will be the listed qualified individual for a firm that is primarily engaged in, a lawful plumbing, heating, or air conditioning business in this State consistent with G.S. 87-43 and 21 NCAC 18B .0301.

(8) Special restricted ground water pump (SP-WP) classification. An applicant shall:

(A) have 3,000 hours of experience, as defined in Rule .0202 of this Section, of which 2,000 hours shall be primary experience. The balance of experience may be primary, secondary, or both. An applicant in this classification shall also receive creditable experience for service in any of the capacities listed in Rule .0202 that the applicant gained in the ground water pump field; and

(B) include on the application information to establish that the applicant is regularly on active duty in, and will be the listed qualified individual for a firm that is primarily engaged in, a lawful ground water pump business in this State, consistent with G.S. 87-43 and 21 NCAC 18B .0301.

(9) Special restricted electric sign (SP-ES) classification. An applicant shall:

(A) have 3,000 hours of experience, as defined in Rule .0202 of this Section, of which 2,000 hours shall be primary experience. The balance of experience be primary, secondary, or both. An applicant in this classification shall also receive creditable experience in any of the capacities listed in Rule .0202 that the applicant gained in the electric sign field; and

(B) include on the application information to establish that the applicant is regularly on active duty in, and will be the listed qualified individual for a firm that is primarily engaged in, a lawful electric sign business in this State.

(10) Special restricted swimming pool (SP-SP) classification. An applicant shall:

(A) have 3,000 hours of experience, as defined in Rule .0202 of this Section, of which 2,000 hours shall be primary experience. The balance of experience may be primary, secondary, or both. An applicant in this classification shall also receive creditable experience for service in any of the capacities listed in Rule .0202 that the applicant gained in the swimming pool field; and

(B) include on the application information verifying that the applicant is regularly on active duty in, and will be the listed qualified individual for a firm that is primarily engaged in, a lawful swimming pool business in this State, consistent with G.S. 87-43 and 21 NCAC 18B .0301.

History

• Authority S.L. 2022-11; G.S. 87-42; 87-43.3; 87-43.4; 87-44
• Eff. October 1, 1988
• Amended Eff. January 1, 2010; March 1, 1999; February 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Amended Eff. March 1, 2023; February 1, 2019; October 1, 2017.

21 NCAC 18B .0202 Experience

(a) Primary. As used in this Chapter, primary experience means working experience gained by the applicant while engaged in the installation of electrical wiring and equipment governed by the National Electrical Code or work activities related thereto. Examples of the capacity in which a person may work in gaining primary experience and the percentages for creditable primary experience are as follows:

Percentage

(1) journeyman electrician or electrician mechanic; 100

(2) electrical foreman; 100

(3) electrical general foreman; 100

(4) electrical superintendent; 100

(5) electrical general superintendent; 100

(6) estimator for licensed electrical contractor; 100

(7) electrical inspector recognized as such by the State Department of Insurance; 100

(8) time spent by a professional engineer who is responsible for follow-up

project supervision, beyond the point of delivery, in electrical engineering,

design, or consulting; 100

(9) full-time instructor teaching National Electrical Code, NFPA 72, and related electrical

courses at a college, university, community college, technical institute,

high school, or vocational school; 80

(10) maintenance journeyman electrician or electrician mechanic employed in a

full-time electrical maintenance department; 100

(11) time spent in electrical maintenance by a maintenance journeyman

electrician or electrician mechanic employed in other than a

full-time electrical maintenance department; 100

(12) military person holding an electrician rating or rank of at least E-4 who is

engaged in land-based electrical installations similar or equivalent to work

performed by an electrical contractor; 100

(13) electrical installations similar or equivalent to work performed by

an electrical contractor; 100

(14) time spent in part-time or incidental work in any primary experience category; 100

(15) time spent installing or maintaining fire alarm or low voltage systems; 100

(16) time as a holder of NICET (National Institute for Certification in

Engineering Technologies) certification on NFPA 72 Level I, II, III or IV

applicable to Fire Alarm-Low Voltage license only. 100

In calculating accumulative primary experience, a total of 2,000 hours shall equal one creditable year. For example, an applicant who has worked in a primary capacity for a total of 7,200 hours has 3.6 years of creditable primary work experience.

(b) Secondary. As used in this Chapter, secondary experience means working experience gained while engaged in work or training that is related to the installation of electrical wiring and equipment governed by the National Electrical Code. Examples of the type of work or training in which a person may engage to gain creditable secondary experience and the percentages for creditable secondary experience are as follows:

Percentage

(1) apprentice electrician training in an apprentice program approved by the North

Carolina Department of Labor; 100

(2) time spent as an apprentice electrician or helper other than as described in

Subparagraph (1) and (3) of this Paragraph; 80

(3) time spent in electrical maintenance by a maintenance apprentice or

electrician helper employed in other than a full-time electrical maintenance

department; 80

(4) student satisfactorily completing National Electrical Code and related electrical

courses at a college, university, community college, technical institute, high school,

or vocational school; 50

(5) time spent by a professional engineer who is not responsible for follow-up project

supervision, beyond the point of delivery, in electrical engineering, design, or

consulting; 50

(6) electrical construction design under the supervision of a professional engineer; 50

(7) sales representative for an electrical wholesaler, distributor, or manufacturer; 20

(8) appliance service and repair; 20

(9) electric utility lineman; and 10

(10) electric utility serviceman. 20

In calculating cumulative secondary experience, a total of 2,000 hours shall equal one creditable year. The total number of creditable years shall be calculated by applying the percentage for creditable secondary experience and dividing the remainder hours by 2,000. For example, an Applicant who has 1,000 hours of work experience as a helper or regular apprentice and 2,200 hours of experience while enrolled in an approved apprentice training program has 1.5 years of creditable secondary experience.

(c) Other Experience. The Board shall approve other experience that is equivalent or similar to the primary or secondary experience defined in this Rule.

History

• Authority G.S. 87-42; 87-43.2; 87-43.3; 87-43.4
• Eff. October 1, 1988
• Amended Eff. January 1, 2010; March 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Amended Eff. October 1, 2017.

21 NCAC 18B .0203 Examination Scope

(a) General. In addition to the examination subjects specified in G.S. 87-42, qualifying examinations for each license classification shall include permit and inspection requirements, business practices and the North Carolina statutes and rules applicable to electrical contracting.

(b) Variation in Scope. The examinations for each license classification shall be based on a level of technical and practical knowledge concerning the safe and proper installation of electrical work and equipment that corresponds to the electrical contracting work authorized under each license classification.

History

• Authority G.S. 87-42; 87-43.3; 87-43.4
• Eff. October 1, 1988
• Amended Eff. March 1, 1999; April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0204 Examinations

(a) All qualifying examinations administered by the Board for each license classification shall be written or computer-based examinations and shall be taken personally by the applicant after the applicant has met the requirements for examination contained in the rules in this Subchapter.

(b) Upon approval of an application pursuant to these Rules, the Board shall provide the applicant a notice of examination eligibility that is valid for a period of three months and for a single administration of the qualifying examination. Upon receipt of a notice of examination eligibility from the Board, the applicant may schedule the examination by contacting the Board or the authorized testing service. The applicant shall be scheduled for the examination by the Board and the Board or authorized testing service shall confirm the date, time, and place.

(c) A minimum grade of 70 out of a possible score of 100 shall be required in order to pass any qualifying examination administered by the Board.

History

• Authority G.S. 87-42; 87-43.3; 87-43.4; 93B-8
• Eff. October 31, 1988
• Temporary Amendment Eff. August 31, 2001
• Amended Eff. July 1, 2011; January 1, 2006; July 18, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Amended Eff. October 1, 2017.

21 NCAC 18B .0205 Minimum Passing Grade

History

• Status: repealed
• Authority G.S. 87-42; 87-43.3; 87-43.4; 87-44
• Eff. October 1, 1988
• Amended Eff. August 1, 1999 (Rule .0208); February 1, 1996 (Rule .0207); April 1, 1993 (Rule .0206); February 1, 1990 (Rule .0208)
• Temporary Amendment Eff. August 31, 2001
• Repealed Eff. July 1, 2011.

21 NCAC 18B .0206 Regular Examinations

History

• Status: repealed
• Authority G.S. 87-42; 87-43.3; 87-43.4; 87-44
• Eff. October 1, 1988
• Amended Eff. August 1, 1999 (Rule .0208); February 1, 1996 (Rule .0207); April 1, 1993 (Rule .0206); February 1, 1990 (Rule .0208)
• Temporary Amendment Eff. August 31, 2001
• Repealed Eff. July 1, 2011.

21 NCAC 18B .0207 Application for Regular Examinations

History

• Status: repealed
• Authority G.S. 87-42; 87-43.3; 87-43.4; 87-44
• Eff. October 1, 1988
• Amended Eff. August 1, 1999 (Rule .0208); February 1, 1996 (Rule .0207); April 1, 1993 (Rule .0206); February 1, 1990 (Rule .0208)
• Temporary Amendment Eff. August 31, 2001
• Repealed Eff. July 1, 2011.

21 NCAC 18B .0208 Specially Arranged Examinations

History

• Status: repealed
• Authority G.S. 87-42; 87-43.3; 87-43.4; 87-44
• Eff. October 1, 1988
• Amended Eff. August 1, 1999 (Rule .0208); February 1, 1996 (Rule .0207); April 1, 1993 (Rule .0206); February 1, 1990 (Rule .0208)
• Temporary Amendment Eff. August 31, 2001
• Repealed Eff. July 1, 2011.

21 NCAC 18B .0209 Fees

(a) The fees for qualifying applicants for examination shall be one hundred and twenty-five ($125.00) for all classifications.

(b) The fee for review of a failed examination is twenty-five dollars ($25.00). All reviews shall be supervised by the Board or staff.

(c) The fees for applicants for examination and the fees for examination reviews shall be in the form of cash, check, money order, Visa, or Mastercard made payable to the Board and shall accompany the respective applications when filed with the Board.

(d) The fees for applicants for examination received with applications filed for qualifying examinations shall be nonrefundable unless:

(1) an application is not filed as prescribed in Rule .0210 of this Section, in which case sixty dollars ($60.00) of the fees for applicants for examination shall be returned and the application shall be returned; or

(2) the applicant does not take the examination during the period for which application was made, files a written request for a refund setting out extenuating circumstance, and the Board finds extenuating circumstances.

(e) Examination review fees are non-refundable unless the applicant does not take the review, files a written request for a refund, setting out extenuating circumstance, and the Board finds extenuating circumstances.

(f) Any fee retained by the Board shall not be creditable toward any future examination fee or examination review.

(g) Extenuating circumstances for the purposes of Subparagraph (d)(2) and Paragraph (e) of this Rule are the applicant's illness, bodily injury or death, or death of the applicant's spouse, child, parent, or sibling, or a breakdown of the applicant's transportation to the designated site of the examination or examination review.

History

• Authority G.S. 87-42; 87-44
• Eff. October 1, 1988
• Amended Eff. May 1, 1998; July 1, 1989
• Temporary Amendment Eff. June 30, 2000
• Temporary Amendment Eff. August 31, 2001
• Amended Eff. July 1, 2011; January 1, 2008; December 4, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Amended Eff. July 1, 2023; July 1, 2016.

21 NCAC 18B .0210 Applications Duly Filed

Examinations applications are considered as duly filed when the applicant has filed an application with the Board, on a form provided by the Board, together with the examination fee as prescribed in Rule .0209 of this Section and information sufficient to meet the minimum examination requirements applicable to the classification involved. By filing an application with the Board, an applicant authorizes the Board or the Board's staff to verify, in any manner the Board or staff deems necessary and appropriate, the information submitted on or in support of the application. The Board or staff shall determine whether applications are duly filed, process all applications, and return all applications not duly filed.

History

• Authority G.S. 87-42; 87-43.3; 87-43.4; 87-44
• Eff. October 1, 1988
• Temporary Amendment Eff. August 31, 2001
• Amended Eff. July 1, 2011; July 18, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0211 Waiting Period Between Examinations

(a) A person who fails a qualifying examination shall not be eligible to take another examination in the same classification until three months after the date of the failed examination.

(b) A person shall be considered a new applicant each time he or she applies to take an examination, and he or she shall file an application setting forth the information specified in G.S. 87-42 and Rules .0201 and .0202 of this Subchapter and pay the required application and examination fee. Application forms may be found on the Board's website at www.ncbeec.org/need-a-form/.

History

• Authority G.S. 87-42; 87-43.3; 87-43.4; 87-44
• Eff. October 1, 1988
• Amended Eff. July 1, 2011; January 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Amended Eff. July 1, 2016.

21 NCAC 18B .0212 APPrentice training

Applicants for examination or license based upon apprentice training pursuant to G.S. 93B-8.6 shall receive credit for the apprenticeship experience consistent with all applicants as set forth in Rule 21 NCAC 18B. 0202(b)(1) or 21 NCAC 18B .0202(b)(2).

History

• Authority G.S. 87-42; 87-44; 93B-8.6
• Eff. July 1, 2020.

21 NCAC 18B .0213 Alternative examination

(a) In the alternative to the qualifying examinations administered by the Board for any license classification, an applicant may submit an Alternative Test Application form from the Board's website. The alternative application submission form must document a passing score from the computer-based examination entitled "Electrical Contractor" certified by the National Association State Contractor Licensing Agencies (NASCLA).

(b) In addition to passing the qualifying examinations set forth in Paragraph (a) of this Rule, applicant must satisfy all experience requirements, age and character requirements set forth in Rules 21 NCAC 18B .0201 and 21 NCAC 18B .0203.

(c) An applicant under this rule shall further be required to obtain a passing score of at least 18 of the 25 questions answered correctly on the North Carolina Laws, Rules and Business Practices test. The questions for the North Carolina Laws, Rules and Business Practices test are set forth on the NASCLA alternative application. Applicants under this rule shall complete the North Carolina Laws, Rules and Business Practices test remotely and are permitted to use information from the Board's website during the test.

History

• Authority G.S. 87-42
• Eff. March 1, 2023.

21 NCAC 18B .0301 Listed Qualified Individual

A listed qualified individual cannot be "regularly on active duty", as the term is used in G.S. 87-43, during the hours when he has committed himself to work for an employer other than the employers on whose license he is the listed qualified individual. Therefore, no electrical contracting work can be done under a license during the hours its listed qualified individual has committed himself to duty as an employee in other employment.

History

• Authority G.S. 87-42; 87-43
• Eff. October 1, 1988
• Amended Eff. February 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0302 Drawings

Pursuant to an agreement between the Board and the North Carolina State Board for Professional Engineers and Land Surveyors, the following definitions and procedures shall apply to drawings:

(1) Design Drawing. A design drawing indicates the total result to be achieved by an assembly of various systems. It is the creative work of a design professional, prepared with the use of special knowledge of the mathematical, physical and engineering sciences in order to accomplish a specific function and bears the seal of the preparing design professional.

(2) Shop Drawing. A shop drawing indicates the fabrication, assembly, installation or erection of a system's components. It is usually prepared by the manufacturer or installing contractor for the purpose of conveying to the mechanic the materials and construction sequencing procedures to be used in achieving the total result called for by the design drawings.

(3) Drawings by Contractor. If design drawings are not required by any statute, the installing contractor may prepare preliminary drawings to illustrate his proposed installation. If design drawings are required by a statute for an installation, the contractor may prepare preliminary drawings to illustrate his proposed installation; provided his proposal contains specific provisions to assure the awarding authority that, if awarded the project, the services of a duly registered professional will be employed to prepare the required final design drawings for the installation proposed and that the installation will be constructed in accordance with such design drawings.

History

• Authority G.S. 87-39; 87-42
• Eff. October 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0303 Electrical Installation: Project: Project Value-Limitation

For the purpose of implementing G.S. 87-43.3 pertaining to the limited and intermediate electrical contracting license classifications, the following provisions shall apply:

(1) Electrical Installation. Electrical work shall be construed by the Board to be an electrical installation when the work is made or is to be made:

(a) in or on a new building or structure;

(b) in or on an addition to an existing building or structure;

(c) in or on an existing building or structure, including electrical work in connection with lighting or power rewiring or with the addition or replacement of machines, equipment, or fixtures; or

(d) in an area outside of buildings or structures, either overhead or underground or both.

(2) Project. An electrical installation shall be construed by the Board to be a separate electrical contracting project if all the following conditions are met:

(a) the installation is, or will be, separate and independently supplied by a separate service, feeder, or feeder system;

(b) the installation is for:

(i) an individual building or structure that is separated from other buildings or structures by a lot line or, if located on the same lot with other buildings or structures, is physically separated from such other buildings or structures by an open space or an area separation fire wall;

(ii) an individual townhouse single-family dwelling unit constructed in a series or group of attached units with property lines separating such units;

(iii) an individual tenant space in a mall-type shopping center;

(iv) an addition to an existing building or structure;

(v) an existing building or structure, including electrical work in connection with lighting or power rewiring or with the addition or replacement of machines, equipment, or fixtures; or

(vi) an outdoor area either overhead or underground or both;

(c) the negotiations or bidding procedures for the installation are carried out in a manner separate and apart from the negotiations or bidding procedures of any other electrical installation or part thereof;

(d) except for additions, alterations, repairs, or changes to a pre-existing electrical installation, no electrical interconnection or relationship exists between the installation and any other electrical installation or part thereof; and

(e) a separate permit is required to be obtained for each individual building structure or outdoor area involved from the governmental agency having jurisdiction.

If a question is raised by a party at interest or if requested by the Board or Board's staff for any reason, the owner or the awarding authority or an agent of either shall furnish to the Board, and to the inspections department having jurisdiction, a sworn affidavit confirming that the conditions set forth in Sub-Items (2)(a) through (e) of this Rule are satisfied or the project will be treated as a single project.

(3) Relationship of Plans and Specifications to Definition of Project. Even though the electrical work may not fully comply with each condition set out in Item (2) of this Rule, the entire electrical work, wiring, devices, appliances or equipment covered by one set of plans or specifications shall be construed as a single electrical contracting project by the Board.

(4) Project Value Limitation. In determining the value of a given electrical contracting project, the total known or reasonable estimated costs as determined by the Board of all electrical wiring materials, equipment, fixtures, devices, and installation shall be included in arriving at this value, regardless whether a third party such as an owner or general contractor furnishes all or part of same, and regardless of the form or type of contract or subcontract involved.

(a) if the total cost of the wiring, materials, etc., including that furnished by others, plus the total cost of the installation involved, will be more than sixty thousand dollars ($60,000) but not more than one hundred fifty thousand dollars ($150,000), then only an electrical contractor holding either an intermediate or unlimited license shall be eligible to submit a proposal or engage in the project.

(b) if the total cost of the wiring, materials, etc., including that furnished by others, plus the total cost of the installation involved, will exceed one hundred fifty thousand dollars ($150,000), then only an electrical contractor holding an unlimited license shall be eligible to submit a proposal or engage in the project.

If a given electrical contracting project is subdivided into two or more contracts or subcontracts for any reason, then the total value of the combined contracts or subcontracts that may be awarded to or accepted by any one licensee of the Board must be within the total project value in accordance with this Rule.

The Board's staff shall make a determination of what constitutes a project in any given situation, and any party at interest may appeal any staff determination to the Board for a final binding decision.

History

• Authority G.S. 87-42; 87-43; 87-43.3
• Eff. October 1, 1988
• Amended Eff. September 1, 2014; January 1, 2008; February 1, 1996; February 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Amended Eff. July 1, 2020.

21 NCAC 18B .0304 Point of Delivery and Related Terms

(a) "Point of delivery" and other terms related thereto are defined as follows:

(1) Consumer's Premises. A "consumer's premises" is any publicly or privately owned building, structure, land or facility to which electric energy is being furnished.

(2) Consumer's Wiring. A "consumer's wiring" is the portion of a wiring system that is located at or on the consumer's premises and for which the consumer has full responsibility for ownership, operation and maintenance. This wiring is considered to be beyond the point of delivery.

(3) Electric Power Supplier. An "electric power supplier" is a public utility company, a private utility company, an electric membership co-op, a municipal utility or any other entity that furnishes electric energy for private or public use.

(4) Electric Power Supplier's Wiring. An "electric power supplier's wiring" is the portion of a wiring system that is located either off, at, or on the consumer's premises and for which the electric supplier has full responsibility for ownership, operation and maintenance. This wiring is considered to be ahead of the point of delivery.

(5) Point of Delivery. The "point of delivery," as used in G.S. 87-43.1(1), is the point where an electric power supplier's wiring terminates in the supplier's delivery of electrical energy to a consumer's wiring at or on the consumer's premises.

(6) Service Point. The "service point" in a wiring system, defined in the National Electrical Code as the point of connection between the facilities of the serving utility and the premises wiring, is construed to be the same as the point of delivery.

(b) Special Conditions. Where conditions of service or other circumstances require that a portion of an electric power supplier's owned, operated and maintained equipment, such as metering and load control equipment, be installed within the consumer's wiring, such installation shall be construed to be beyond the point of delivery, and the installation of such equipment is required to be made by a licensee of the Board. This provision does not prohibit an electric power supplier from installing its metering and load control equipment in the enclosures for such equipment or removing same from such enclosures.

(c) Rulings. Where conditions of service or other circumstances are such that the definition of point of delivery and the related terms in this Rule are not strictly applicable, either in whole or in part, a special limited ruling will be issued by the Board on request of any part of interest.

(d) Illustration. The point of delivery and service point in a wiring system and the application of the North Carolina Electrical Contracting Licensing Act are further defined in the following illustration:

POINT OF DELIVERY

G.S. CH. 87, ART. 4

SERVICE POINT

NEC, NFPA 70

<-------------------AHEAD----------------------------------------------BEYOND------------------->

Wiring on this side is that Wiring on this side is that

portion of a wiring system portion of a wiring system

for which the electric power for which the consumer has

supplier has the responsibility the responsibility for

for ownership, operation and ownership, operation and

maintenance, including any maintenance, including any

overhead, underground, overhead, underground,

inside or outside wiring. inside or outside wiring.

---

LICENSE REQUIREMENTS LICENSE REQUIREMENTS

Wiring installations on this Wiring installations on this

side are exempted from the side are covered by the

North Carolina Electrical North Carolina Electrical

Contracting Licensing Act. Contracting Licensing Act

Parties of interest are and, pursuant to the

referred to the North provisions of said act,

Carolina Licensing Board persons, firms or corporations

for General Contractors for installing, maintaining,

applicable licensing altering or repairing such

requirements. wiring are required to

hold an appropriate

license issued by the

State Board of Examiners of

Electrical Contractors.

---

History

• Authority G.S. 87-39; 87-42; 87-43.1(1)
• Eff. October 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0305 License requirements and exemptions

(a) Pursuant to G.S. 87-43.1(7), an electrical contractor's license is not required for:

(1) the installation and servicing of electrical appliances or equipment which is being supplied through a cord connected by means of an attachment plug-in device to a suitable permanently installed receptacle; and

(2) the servicing of electrical appliances or equipment being supplied through wiring connected to a permanently installed junction box.

(b) Unless exempted by a statute other than G.S. 87-43.1(7), an electrical contractor's license is required for:

(1) the installation of the permanently installed receptacles to which cord-supplied electrical appliances or equipment are connected;

(2) the installation of the permanently installed junction boxes to which electrical appliances or equipment are connected; and

(3) any wiring connected to and supplied from the out-put side of any electrical appliances or equipment regardless of whether such appliances or equipment are supplied through a cord connected by means of an attachment plug-in device to a suitable permanently installed receptacle or are supplied through wiring connected to a permanently installed junction box.

History

• Authority G.S. 87-42; 87-43.1
• Eff. October 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0306 Bona Fide Employee

(a) For the exemption for electrical work done as a bona fide employee of a licensee under G.S. 87-43.1(3), the following conditions must be met:

(1) The restrictions of the employing licensee's license apply to any employee of the licensee.

(2) The employing licensee shall have control and direction of the details, methods, and manner of performing the electrical work being done by the employee.

(3) The electrical work shall be performed under the supervision and direction of a listed qualified individual who is the employing licensee, or under the supervision and direction of a listed qualified individual, as defined by G.S. 87-41.1, regularly employed by the employing licensee, and issued a W-2 by the employing licensee.

(4) Persons acting as independent contractors, consultants, or subcontractors, or paid in cash without tax withholding, or issued a 1099 form, are not bona fide employees.

(5) Licensed contractors may utilize employees shared with a labor supplier but only under a written contract. That written contract must allocate payroll or tax withholding obligations to the labor supplier while also placing the responsibilities of control and supervision of all electrical work upon the listed qualified individual and licensed firm. The listed qualified individual and licensed firm shall remain obligated to the owner or general contractor for all electrical installations, and the listed qualified individual must be a bona fide employee of the licensed firm.

(b) Every listed qualified individual and all employees of the licensed firm shall furnish any information the Board may require, including affidavits, to evaluate and determine a claim of employee exemption.

(c) When the information furnished to the Board does not substantiate compliance with this Rule, the individual shall be deemed to be an independent contractor rather than an employee and shall be subject to Article 4 of Chapter 87 of the General Statutes.

History

• Authority G.S. 87-42;87-43.1(3)
• Eff. October 1, 1988
• Amended Eff. April 1, 1993; February 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest
• Eff. February 2, 2026
• Amended Eff. August 1, 2026.

21 NCAC 18B .0307 Certain Electrical Work/Manufacturer/Prefabricated Units

(a) A manufacturer of prefabricated units is not required to be licensed by the Board to engage in installing, altering or repairing the electric work, wiring, devices, appliances or equipment in or on its prefabricated units under either of the following conditions:

(1) during the time the prefabricated units are physically located at the actual place of manufacture; or

(2) after the prefabricated units have been removed from the actual place of manufacture if all of the following conditions are met:

(A) the prefabricated units have been factory inspected, approved and duly labeled by an independent certifying agency approved by the North Carolina Building Code Council; and

(B) the work is specifically restricted to that part of the electrical installation covered under the approved independent certifying agency's initial label and such work is performed by the manufacturer's bona fide employees under the onsite direct personal supervision of the independent certifying agency's official inspector and in cooperation with and approval by the local governmental inspection authority.

(b) Except as specified in this Rule, this exemption from the North Carolina Electrical Contracting Licensing Act does not apply once a unit has been removed from the manufacturing facility and placed anywhere within the State of North Carolina, including sales lots, the property of purchasers and lessees, or any other place for any reason, either temporarily or permanently.

(c) In order for a manufacturer to engage or offer to engage in the installation, alteration, maintenance or repair of any electric work, wiring, devices, appliances or equipment in connection with any unit, except as permitted in this Rule, the manufacturer must hold an active electrical contracting license issued by the Board.

(d) Nothing in this Rule shall be construed to exempt any electrical work on any property from the North Carolina State Building Code requirements or from any local special construction rules or permit or inspection requirements.

History

• Authority G.S. 87-42; 87-43
• Eff. October 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0308 Bidding Projects Pursuant to G.s. 87-1.1

For a Contractor licensed by the State Board of Examiners of Electrical Contractors to qualify to bid either plumbing, heating, fire sprinkler or general contracting projects pursuant to G.S. 87-1.1, the building project must be bid and performed subject to the following conditions:

(1) the total amount of work to be performed by all licensed general contractors shall not exceed 25 percent of the total bid price;

(2) the total amount of work to be performed by all licensed contractors issued by a license by the State Board of Examiners of Plumbing, Heating and Fire Sprinkler Contractors under Article 2 of Chapter 87 of the North Carolina General Statutes shall not exceed 25 percent of the total bid price.

History

• Authority G.S. 87-1.1; 87-42; S.L. 2021-122; 2022-6
• Eff. March 1, 2023.

21 NCAC 18B .0401 License Applicants: Requirements for Each Classification

(a) An applicant for an electrical contracting license in each of the license classifications shall:

(1) submit a completed application to the Board on a form provided by the Board for the license classification involved;

(2) submit the annual license fee for the license classification involved as prescribed in Rule .0404 of this Section; and

(3) furnish the name, signature and social security number of at least one person to serve as the listed qualified individual for the applicant's license.

(b) Corporation, Partnership or Limited Liability Company. If the license applicant is a corporation, partnership or limited liability company, the application shall contain the names and titles of the officers, names of the partners or names of the members of the limited liability company, whichever is applicable.

(c) Intermediate and Unlimited Classifications. License applicants in the intermediate and unlimited classifications shall also furnish a bonding ability statement or a line of credit letter issued by a bank, savings bank, or savings and loan association pursuant to G.S. 87-43.2(a)(4).

(d) Special Classifications. A license applicant in the SP-EL, SP-PH, SP-WP, SP-ES or SP-SP classification must also include on the license application information verifying that the applicant is conducting a lawful business in the State of North Carolina in the license classification involved.

History

• Authority G.S. 87-42; 87-43.2; 87-43.3; 87-43.4
• Eff. November 1, 1988
• Amended Eff. February 1, 1995; April 1, 1993; February 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0402 License Name Requirements

(a) Issuance of License. The name in which a license is issued must be distinguishable upon the records of the Board from the name in which a license has already been issued. If the name requested, after deleting all spaces, punctuation marks, articles, prepositions, conjunctions and, whether abbreviated or not, "corporation," "incorporated," "company," or "limited," is not identical to the name in which a license has already been issued, it shall be distinguishable. The substitution of a numeral for a word that represents the same numeral shall not make the name distinguishable.

(b) Name In Which Business Must Be Conducted. All electrical contracting business, including all business advertising and the submission of all documents and papers, conducted in the state of North Carolina by a licensee of the Board shall be conducted in the exact name in which the electrical contracting license is issued.

(c) Notification of Address, Telephone Change and email address. All licensees shall notify the Board in writing within 30 days of any change in location, mailing address, telephone number or email address.

History

• Authority G.S. 87-42
• Eff. October 1, 1988
• Amended Eff. July 1, 2011; March 1, 1999; February 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0403 Separate License Requirements

(a) A separate license certificate and license fee shall be required for each separate place of business with at least one listed qualified individual indicated thereon. No listed qualified individual shall be indicated on more than one license certificate at the same time except where a place of business has one listed qualified individual with licenses issued in different classifications.

(b) As used in G.S. 87-43, the term "each separate place of business" means:

(1) the one place of business of a firm in the case where an electrical contracting firm conducts its business from only one place; and

(2) the principal place of business and each of the other places of business of a firm in the case where an electrical contracting firm is conducting its business from more than one place.

History

• Authority G.S. 87-42; 87-43; 87-43.2
• Eff. October 1, 1988
• Amended Eff. April 1, 1993; February 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0404 Annual License Fees

(a) The fee for issuance of license, reissuance of license, or license renewal in the various license classifications shall be as follows:

CLASSIFICATION LICENSE FEE

Limited $100.00

Intermediate $150.00

Unlimited $200.00

SP-SFD $100.00

Special Restricted $100.00

(b) License fees shall be made payable to the Board. Payment shall accompany any license or license renewal application filed with the Board.

History

• Authority G.S. 87-42; 87-44
• Eff. October 1, 1988
• Amended Eff. May 1, 1998; July 1, 1989
• Temporary Amendment Eff. June 30, 2000
• Temporary Amendment Eff. August 31, 2001
• Amended Eff. July 1, 2015; January 1, 2008; December 4, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Amended Eff. July 1, 2023; July 1, 2020; October 1, 2017.

21 NCAC 18B .0405 License Renewal Due Date

(a) License renewal applications and fees are due 30 days prior to the license expiration date. An administrative fee of twenty-five dollars ($25.00) shall be imposed upon applications received after the expiration date. Applications filed with the Board by mail shall be considered filed on the date such mail is postmarked.

(b) The Board will implement a system of staggered license renewals beginning July 1, 2002. Renewal applications for the year beginning July 1, 2002 will be mailed in the spring of 2002. Some licenses will be renewed for a 13-month period and the fee for such licenses will be the license fee set forth in Rule .0404 of this Section together with a one-twelfth (1/12) pro rata part of the license fee. Other renewals will be for varying monthly terms up to 23 months and pro rata portions of the license fee for that classification will be added. Beginning July 1, 2003 all licenses will be renewed for 12 month periods as the renewal date is reached.

History

• Authority G.S. 87-42; 87-44
• Eff. October 1, 1988
• Amended Eff. February 1, 1990
• Temporary Amendment Eff. August 31, 2001
• Amended Eff. July 18, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0406 Renewal After Expiration of Annual License

(a) Subject to Rule .0906 of this Subchapter, any licensee whose license has expired or been revoked solely because of failure to apply for renewal may apply and have the license renewed without further examination, and in compliance with the provisions contained in G.S. 87-44, if the applicant makes application within a period of 12 months immediately following the date the license expired.

(b) If the renewal application is filed more than 12 months immediately following the date the license expired, the applicant may have the license renewed if, during the 12 month period immediately preceding the date the application is filed with the Board, the applicant's listed qualified individual has obtained at least 500 hours of primary experience as defined in Rule .0202 of this Subchapter within the most recent 12 months, is current on the fee requirements set forth in Rule .0404 of this Section, pays the late fee set forth in Rule .0405 of this Section, and meets the continuing education requirements set forth in Rule .1101 of this Subchapter.

(c) An applicant failing to meet the requirements of Paragraphs (a) or (b) of this Rule may obtain a new license in accordance with Section .0200 of this Subchapter and Rule .0401 of this Section.

(d) The provisions of Section .0600 of this Subchapter apply to applicants whose last license expired on or before June 30, 1970.

History

• Authority G.S. 87-44; 87-44.1
• Eff. October 1, 1988
• Amended Eff. March 1, 1999; February 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Amended Eff. July 1, 2016.

21 NCAC 18B .0407 Numbering of Licenses

(a) License numbers will not be related in any way to license classifications. However, each license number shall have a letter suffix added and shown on the license certificate to designate the classification of the license as follows:

Limited Classifications (License No.) - L

Intermediate Classification (License No.) - I

Unlimited Classification (License No.) - U

Single Family Detached

Residential Dwelling

Classification (License No.) - SP-SFD

Special Restricted

Classification (License No.) - SP-

With additional suffix letters denoting

limitation of each such classification

established by the Board.

(b) Numbers for new licenses will be assigned in numerical order following the number of the last license previously issued.

(c) A re-classified license will carry the same number as the old license which it replaces.

(d) The person who is the initial qualified individual listed on a given license shall become the permanent possessor of the license number under which that license is issued, unless such person, his legal agent, personal representative, heirs or assigns furnished to the Board specific written authorization to assign his number to another, who then will become the possessor of that number. Each successive assignee, his legal agent, personal representative, heirs or assigns shall have the right to make such assignments.

History

• Authority G.S. 87-42; 87-43.3; 87-43.4
• Eff. October 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0408 School, Hospital and Nonprofit Electrical Contractors and separate Employment

Consistent with the provisions of G.S. 87-43.2(c), the provisions of Rules .0402(b) and .0403(b) of this Section do not apply to an individual who is employed full-time by a local board of education, hospital, or nonprofit organization, while the individual is obligated to be regularly on active duty, as defined by 21 NCAC 18B .0301 at the place of employment and complies with the supervision requirements of 21 NCAC 18B .0907(c). The provisions of Rules .0907 through .0909 of this Subchapter shall apply.

History

• Authority G.S. 87-42; 87-43.1(5a); 87-44
• Eff. July 1, 2020.

21 NCAC 18B .0501 Reclassification of Current License

(a) A licensee may have the license classification lowered from unlimited to intermediate or limited, or from intermediate to limited, by:

(1) filing with the Board, in writing, a request for the lowering of the license classification; and

(2) surrendering the current license certificate to the Board for replacement as requested.

(b) A licensee may have a license that was lowered pursuant to Paragraph (a) of this Rule raised to a classification up to and including that classification from which it was lowered by:

(1) filing with the Board, in writing, a request for the raising of the license classification;

(2) surrendering the current license certificate to the Board for replacement as requested; and

(3) paying the applicable license fee.

(c) A limited or intermediate licensee whose license has not been lowered pursuant to Paragraph (a) of this Rule may have the license classification raised to intermediate or unlimited by:

(1) submitting an application on a form available on the Board website indicating the classification of the license desired;

(2) meeting all the requirements for the classification in effect when the application is submitted, including taking and passing the examination; and

(3) paying the applicable license fee.

(d) Licenses in the single family detached residential dwelling classification and in any special restricted classification shall not be subject to reclassification. A change in these classifications may be effected only on the basis of a new application subject to all applicable processing and examination requirements.

History

• Authority G.S. 87-42; 87-43.3; 87-43.4
• Eff. October 1, 1988
• Amended Eff. March 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Amended Eff. October 1, 2017.

21 NCAC 18B .0502 Listed Qualified Individual Changing from One License to Another

A listed qualified individual indicated on a current active license may have his name removed from that license and added to another current active license by submitting to the Board:

(1) his written request to remove his name from the license on which he is currently listed;

(2) the license certificate on which he is currently listed;

(3) a written request from the licensee on whose license the listed qualified individual is to be indicated, co-signed by the listed qualified individual being added; and

(4) the current license certificate on which the listed qualified individual is to be indicated.

History

• Authority G.S. 87-42; 87-43
• Eff. October 1, 1988
• Amended Eff. February 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0503 Listed Qualified Individual Obtaining Own License

Any listed qualified individual on any license may have his name removed from this license and obtain his own license upon meeting any current licensing requirements he has not previously met and submitting to the Board:

(1) his written request to remove his name from the license on which he is currently listed;

(2) the license certificate on which he is currently listed;

(3) his license application on a form furnished by the Board; and

(4) payment of the appropriate license fee.

History

• Authority G.S. 87-42; 87-43
• Eff. October 1, 1988
• Amended Eff. February 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0504 qualified individual – listing options after expiration

(a) A qualified individual who was formerly but is not now listed on any license may apply for and obtain a license upon meeting all current licensing requirements not previously met and by submitting to the Board:

(1) a license application on a form available on the Board website;

(2) payment of the appropriate license fee; and

(3) if more than 12 months has elapsed since the qualified individual was listed on an active license, information to establish that, during the 12 month period immediately preceding the date the application is filed with the Board, the qualified individual has obtained at least 500 hours of primary experience as defined in Rule .0202 of this Subchapter within the most recent 12 months, has met the fee requirements set forth in Rule .0404 of this Subchapter, pays the late fee set forth in Rule .0405 of this Subchapter, and meets the continuing education requirements set forth in Rule .1101 of this Subchapter.

(b) A qualified individual who was formerly but is not now listed on any license may be listed on a current active license in the same or a lower classification as the classification of examination that he or she has passed by submitting to the Board:

(1) a written request from the licensee, co-signed by the qualified individual, requesting the Board to list the qualified individual on the license;

(2) a copy of the licensee's current license certificate; and

(3) if more than 12 months has elapsed since the qualified individual was listed on an active license, information to establish that, during the 12 month period immediately preceding the date the application is filed with the Board, the qualified individual has obtained at least 500 hours of primary experience as defined in Rule .0202 of this Subchapter within the most recent 12 months, has met the fee requirements set forth in Rule .0404 of this Subchapter, pays the late fee set forth in Rule .0405 of this Subchapter, and meets the continuing education requirements set forth in Rule .1101 of this Subchapter.

History

• Authority G.S. 87-42; 87-43
• Eff. October 1, 1988
• Amended Eff. March 1, 1999; February 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Amended Eff October 1, 2017.

21 NCAC 18B .0505 Qualified INDIVIDUAL – initial listing options

A qualified individual who has passed the qualifying examination for a license but has never obtained a license nor been a listed qualified individual on any license shall:

(1) be eligible to obtain a license in the same or lower classification as the classification of examination that he or she has passed upon meeting all current licensing requirements not previously met and by submitting to the Board:

(a) a license application on a form available on the Board website;

(b) payment of the appropriate license fee; and

(c) if more than 12 months has elapsed since the qualified individual passed the qualifying examination for a license, information to establish that, during the 12 month period immediately preceding the date the application is filed with the Board, the qualified individual has obtained at least 500 hours of primary experience as defined in Rule .0202 of this Subchapter within the most recent 12 months, has met the fee requirements set forth in 4 Rule .0404 of this Subchapter, pays the late fee set forth in Rule .0405 of this Subchapter, and meets the continuing education requirements set forth in Rule .1101 of this Subchapter.

(2) be eligible to be included as a listed qualified individual on a current active license in the same or a lower classification as the classification of examination he or she has passed upon submitting to the Board:

(a) a written request from the licensee, co-signed by the qualified individual, requesting the Board to list the qualified individual on the license;

(b) a copy of the licensee's current license certificate; and

(c) if more than 12 months has elapsed since the individual passed the qualifying examination for a license, information to establish that, during the 12 month period immediately preceding the date the application is filed with the Board, the qualified individual has obtained at least 500 hours of primary experience as defined in Rule .0202 of this Subchapter within the most recent 12 months, has met the fee requirements set forth in Rule .0404 of this Subchapter, pays the late fee set forth in Rule .0405 of this Subchapter, and meets the continuing education requirements set forth in Rule .1101 of this Subchapter.

History

• Authority G.S. 87-42; 87-43
• Eff. October 1, 1988
• Amended Eff. March 1, 1999; February 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Amended Eff October 1, 2017.

21 NCAC 18B .0601 Licenses Expiring and Individuals Qualified/July 1, 1970

History

• Status: repealed
• Authority G.S. 87-42; 87-49
• Eff. October 1, 1988
• Amended Eff. February 1, 1996; February 1, 1990
• Repealed Eff. July 1, 2011.

21 NCAC 18B .0602 Qualified Individuals Listed Prior to July 1, 1970

History

• Status: repealed
• Authority G.S. 87-42; 87-49
• Eff. October 1, 1988
• Amended Eff. February 1, 1996; February 1, 1990
• Repealed Eff. July 1, 2011.

21 NCAC 18B .0701 license by reciprocity

(a) The Board has entered into reciprocal licensing agreements with contractor licensing boards of several states whereby electrical contractors licensed by the other state boards may obtain a North Carolina electrical contracting license without written examinations provided:

(1) the applicant furnishes to the Board a written statement from the state licensing board certifying that the applicant holds a current electrical contracting license issued by that board;

(2) the proposed qualified individual for the applicant is the same individual who is duly qualified for the license currently issued to the applicant by the state licensing board;

(3) the applicant files an application on a form provided by the Board requesting a license under the licensing reciprocity agreement currently in effect between the Board and the applicant's state licensing board;

(4) except for the written examination requirement, the applicant furnishes to the Board information satisfactorily verifying to the Board that he meets all of the requirements in Sections .0200, .0300 and .0400 of this Subchapter applicable to the specific license classification requested;

(5) the applicant pays to the Board the annual license fee as required in Rule .0404 of this Subchapter for the specific license classification; and

(6) the license classification for which application is made is a classification for which the license from the other state is treated as equivalent under the agreement with that state.

(b) The expiration date for each license issued under a reciprocal agreement shall be as prescribed in G.S. 87-44.

(c) The renewal application due date and late filing penalty for a license issued under a reciprocal agreement shall be as prescribed in Rule .0405 of this Subchapter.

(d) Copies of all reciprocity agreements and applications are available from the Board.

(e) In the absence of a current reciprocity agreement in force between the contractor licensing board of a particular state and this Board, there is no waiver of examination.

History

• Authority G.S. 87-42; 87-50
• Eff. October 1, 1988
• Amended Eff. April 15, 2003; March 1, 1999; June 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0702 Reciprocity: South Carolina

History

• Status: repealed
• Authority G.S. 87-42; 87-50
• Eff. October 1, 1988
• Amended Eff. March 1, 1999; February 1, 1995; February 1, 1990; July 1, 1989
• Repealed Eff. April 15, 2003.

21 NCAC 18B .0703 Reciprocity: Virginia

History

• Status: repealed
• Authority G.S. 87-42; 87-50
• Eff. October 1, 1988
• Amended Eff. March 1, 1999; February 1, 1995; February 1, 1990; July 1, 1989
• Repealed Eff. April 15, 2003.

21 NCAC 18B .0704 Reciprocity: Alabama

History

• Status: repealed
• Authority G.S. 87-42; 87-50
• Eff. October 1, 1988
• Amended Eff. March 1, 1999; February 1, 1995; February 1, 1990; July 1, 1989
• Repealed Eff. April 15, 2003.

21 NCAC 18B .0705 Reciprocity: Georgia

History

• Status: repealed
• Authority G.S. 87-42; 87-50
• Eff. October 1, 1988
• Repealed Eff. February 1, 1995.

21 NCAC 18B .0706 Reciprocity: Florida

History

• Status: repealed
• Authority G.S. 87-42; 87-50
• Eff. March 1, 1999
• Repealed Eff. April 15, 2003.

21 NCAC 18B .0801 General Provisions

(a) Types. A special restricted electrical contracting license classification is a classification established pursuant to G.S. 87-43.3 or by G.S. 87-43.4. Its purpose is to license persons, partnerships, firms, or corporations to engage or offer to engage in only a limited phase of electrical contracting work. Each special restricted license classification is separate from all other special restricted and regular license classifications. The General Assembly created the special restricted single family dwelling electrical contractor license in G.S. 87-43.4. Pursuant to G.S. 87-43.3, the Board has established the following special restricted electrical contracting licenses:

(1) fire alarm/low voltage wiring license (SP-FA/LV);

(2) elevator license (SP-EL);

(3) plumbing, heating, and air conditioning license (SP-PH);

(4) groundwater pump license (SP-WP);

(5) electric sign license (SP-ES); and

(6) swimming pool license (SP-SP).

(b) Limited Scope. A special restricted contracting license does not authorize the licensee to engage or offer to engage in the business of electrical contracting in general. It authorizes the licensee to engage or offer to engage only in the limited phase of electrical contracting described in the Rule in this Section that specifies the scope of the applicable special restricted license.

(c) No Project Value Limit. The limitations concerning the dollar value of projects that may be undertaken by a limited or an intermediate licensee do not apply to special restricted licensees. Thus, the holder of a special restricted license may engage or offer to engage in any project authorized by the license regardless of the dollar value of the project.

(d) Effect of Regular License. A licensee in the regular license classifications, whether limited, intermediate or unlimited, is qualified to engage or offer to engage in any activity authorized by a special restricted license, subject to the project value limitations contained in G.S. 87-43.3, and does not have to obtain a special restricted license.

History

• Authority G.S. 87-42; 87-43.3; 87-43.4
• Eff. October 1, 1988
• Amended Eff. January 1, 2010; February 1, 1995; February 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0802 Establishing a Special Restricted Classification

(a) The Board shall establish a special restricted license classification pursuant to G.S. 87-43.3 when it finds that:

(1) the licensees who hold regular electrical contracting licenses are not meeting the need for the proposed electrical work to be authorized by the special restricted license; and

(2) establishing the special restricted license classification serves the public interest.

(b) The Board shall establish special restricted license classifications by rule-making conducted pursuant to the requirements of G.S. 150B, Article 2A.

History

• Authority G.S. 87-42; 87-43.3
• Eff. October 1, 1988
• Amended Eff. May 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0803 Scope of Sp-Sfd License

(a) The following definitions apply in determination of the scope of work available to the holder of a SP-SFD license:

(1) "Ancillary" with reference to the scope of a single family residential dwelling license, is an appurtenance or out-building or similar structure associated with the single family dwelling such as a detached residential garage or carport, a farm or household equipment storage shed, a barn, a pump house, an electric fence, or yard lighting.

(2) "Habitation" means the occupancy of dwelling primarily or exclusively for residential purposes and includes the incidental use of the dwelling or its ancillaries for a business, commercial, or professional activity, such as providing hair dressing, medical, legal, consulting, or tax services, if:

(A) the activity is incidental to the primary use of the dwelling as a residence;

(B) no stock-in-trade is either displayed or sold on the premises; and

(C) the full-time or part-time services of no more than one person who does not live at the dwelling are used in the activity.

(3) A "single family residential dwelling" is a building or a manufactured home that is designed and used only for habitation by one family and is not physically attached to any other building or structure. Cabanas, porches, room additions, and ancillary structures are considered part of a single family dwelling if they are designed for and used only for residential purposes by the occupants of the dwelling.

(b) A special restricted single family residential dwelling electrical contracting license (SP-SFD) authorizes the licensee to install, maintain, or repair only electrical wiring and devices that are in or on a single family residential dwelling or are ancillary to a single family residential dwelling. Electrical work within the scope of another special restricted license may be performed by a SP-SFD licensee without obtaining the other special restricted license as long as it is in or on a single family residential dwelling or is ancillary to a single family residential dwelling.

History

• Authority G.S. 87-42; 87-43.4
• Eff. October 1, 1988
• Amended Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0804 Scope of Sp-Fa/Lv License

(a) Definition. As used in this Chapter, fire alarm, burglar alarm and low voltage wiring systems are defined as:

(1) wiring systems of 50 volts or less and control circuits directly associated therewith;

(2) wiring systems that have a voltage in excess of 50 volts and consist solely of power limited circuits meeting the definition of a Class II or Class III wiring system in the National Electrical Code or paging systems not in excess of 70 volts;

(3) line voltage wiring that has a voltage not in excess of 300 volts to ground and is installed from the load-side terminals of a disconnecting means or from a junction box, either of which has been installed by others, for the specific purpose of supplying the low voltage wiring system involved. Some low voltage wiring systems that meet this definition are exempt under Rule .0805;

(4) interconnected components wired to a common control panel either as a standalone fire alarm system or as part of a combination burglar/fire system to monitor and annunciate the status of evidence of flame, heat, smoke or water flow within a building or structure in accordance with the requirements of the N.C. State Building Code and NFPA 72; or

(5) alarm systems or devices used to detect burglary or theft as defined in G.S. 74D-2(a).

(b) Scope. A special restricted fire alarm/low voltage electrical contracting license authorizes the licensee to install, maintain, or repair only low voltage wiring and directly related wiring. Wiring is directed related if it:

(1) originates at the load-side terminals of a disconnecting means or junction box that:

(A) has been installed, complete with line-side connections, by others for the purpose of supplying the low voltage wiring system involved; and

(B) is permanently and legibly marked to identify the low voltage wiring system supplied; and

(2) is not installed in a location considered as hazardous under the National Electrical Code.

History

• Authority G.S. 87-42; 87-43.3
• Eff. October 1, 1988
• Amended Eff. July 1, 2011; January 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0805 Exemption of Certain Low Voltage Wiring Systems

Exemption. Except a fire alarm, burglar alarm or low voltage wiring system as defined in Rule .0804, the installation, maintenance, or repair of low voltage wiring systems may be performed by those not licensed by the Board if all of the following conditions are met:

(1) the system is not required by the N.C. State Building Code;

(2) the low voltage control circuit and power supply is a Class II or Class III system as defined in the National Electrical Code other than that described in Rule .0804;

(3) the system operates at a voltage not in excess of 50 volts or meets the provisions for sound-recording and similar equipment in the National Electrical Code;

(4) no part of the system is installed in an area considered as hazardous under the National Electrical Code;

(5) the system is current limited or protected by a circuit breaker, fuse, or other current limiting device; and

(6) a failure in the system would not, in the opinion of the electrical inspector having jurisdiction, create a shock or fire hazard to persons or property.

History

• Authority G.S. 87-42; 87-43.3
• Eff. October 1, 1988
• Amended Eff. January 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0806 Scope of Sp-El License

A special restricted elevator electrical contracting license (SP-EL) authorizes the licensee to install, maintain, or repair electrical wiring only as an incident to the licensee's elevator, dumbwaiter, escalator, moving walk, or personnel hoist business. Furthermore, the license authorizes the licensee to install, maintain, or repair only electric wiring that:

(1) is an integral part of an elevator, dumbwaiter, escalator, moving walk, or personnel hoist;

(2) is electrically isolated from the building wiring such as a safety switch or circuit breaker, that has been installed, complete with line-side connections, by others; and

(3) originates at the load-side terminals of the protective isolating device, referred to as "beyond the disconnection means."

History

• Authority G. S. 87-42; 87-43.3
• Eff. October 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0807 Scope of Sp-Ph License

A special restricting plumbing, heating, and air conditioning electrical contracting license (SP-PH) authorizes the licensee to install, maintain, or repair electric wiring or devices only as an incident to the licensee's plumbing, heating, or air conditioning business. Furthermore, the license authorizes the licensee to install, maintain, or repair only wiring that is directly related to plumbing, heating, or air conditioning equipment and that:

(1) is restricted to circuits or parts of circuits that operate at voltages not exceeding 600 volts, phase-to-phase;

(2) is electrically isolated from the building wiring system by an overcurrent protective isolating device, such as a fused switch or circuit breaker, that:

(a) has been installed, complete with line-side connections, by others;

(b) is permanently and legibly marked to identify the equipment served by the device; and

(c) is located within an enclosure intended solely for, and limited to, serving the specific plumbing, heating, or air conditioning equipment involved, or is located within a panelboard that serves the building wiring system and is likewise permanently and legibly marked to identify the equipment served by the device, provided wiring is installed by others from the load-side terminals of the device to a junction box, auxiliary gutter, or similar disconnecting means located outside the panelboard, but in sight of and within 50 feet of, the plumbing, heating, or air conditioning equipment served;

(3) originates at the load-side terminals of the protective isolating device;

(4) except for control wiring, is physically adjacent to the plumbing, heating, or air conditioning equipment from the equipment. Control wiring that receives its control power from the plumbing, heating, or air conditioning equipment involved may extend beyond these limits if the control voltage does not exceed 120 volts to ground and the wiring is protected from overcurrent; and

(5) is not installed in a location considered as hazardous under the National Electrical Code.

History

• Authority G.S. 87-42; 87-43.3
• Eff. October 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0808 Scope of Sp-Wp License

A special restricted groundwater pump electrical contracting license (SP-WP) authorizes the licensee to install, maintain, or repair electric wiring only as an incident to the licensee's groundwater pump business. Furthermore, the license authorizes the licensee to install, maintain, or repair only wiring that is directly related to a groundwater pump and that:

(1) is restricted to circuits or parts of circuits that operate at voltages not exceeding 600 volts, phase-to-phase;

(2) is electrically isolated from the building wiring system by an overcurrent protective isolating device that:

(a) has been installed, complete with line-side connections, by others;

(b) is permanently and legibly marked to identify the equipment served by the device; and

(c) is located adjacent to the controller for the specific groundwater pump equipment involved and within an enclosure intended solely for, and limited to, serving that equipment;

(3) originates at the load-side terminals of the protective isolating device; and

(4) is not installed in a location considered as hazardous under the National Electrical Code.

History

• Authority G.S. 87-42; 87-43.3
• Eff. October 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0809 Scope of Sp-Es License

(a) Definitions. As used in this Rule:

(1) "Electric sign" means fixed, stationary, or portable self-contained, electrically illuminated utilization equipment that has words or symbols designed to convey information or attract attention. The term includes outline lighting.

(2) "Outline lighting" means an arrangement of incandescent lamps or electric discharge tubing that outlines or otherwise calls attention to certain features, such as the shape of a building or the decoration of a window.

(b) Scope of License. A special restricted electric sign electrical contracting license (SP-ES) authorizes the licensee to install, maintain, or repair electric wiring or devices only as an incident to the licensee's electric sign business. Furthermore, the license authorizes the licensee to install, maintain, or repair only wiring that is directly related to electric signs and is electrically isolated from the building wiring system. Wiring that is directly related differs depending on the type sign involved:

(1) Except for electric signs described in Paragraphs (2), (3), and (4) of this Rule, related wiring is the portion of the electric sign wiring that originates at the load-side terminals of a disconnecting means located immediately adjacent to the electric sign involved, or originates within a junction box so located. Related wiring does not include the installation of the disconnecting means, complete with line-side connections, or the installation of the junction box, complete with free-length circuit conductors to accommodate the connection of the related wiring in the box.

(2) For electric sign installations having sign transformers installed physically apart from the sign, related wiring is the portion of the electric sign wiring that originates at the load-side terminals of a disconnecting means located immediately adjacent to the sign transformer supplying the electric sign involved, or originates within a junction box so located. Related wiring does not include the installation of the disconnecting means, complete with line-side connections, or the installation of the junction box, complete with free-length circuit conductors to accommodate the connection of the related wiring in the box.

(3) For free-standing electric sign installions supplied through underground circuit conductors, related wiring is the portion of the electric sign wiring that originates at a wiring termination point located at, within, or immediately above the permanent base for the sign structure. Related wiring does not include the installation of:

(A) a junction box, located at, within or immediately above the permanent base for the sign, complete with free-length circuit conductors to accommodate the connection of the related wiring; or

(B) if the base of the structure is suitable for use as a raceway, the installation of bushing, complete with free-length circuit conductors extending through to accommodate the connection of the related wiring within the sign structure raceway.

(4) For electric signs specifically designed to be connected directly to the building wiring raceway or cable supply, related wiring is the portion of the electric sign wiring that originates at the point where the free-length circuit conductors extend through the building wiring raceway or cable at the specifically designed supply location for the electric sign involved. Related wiring does not include the installation of the building wiring raceway or cable system to the specifically designated point of supply for the electric sign involved, complete with free-length circuit conductors extending through the building wiring raceway or cable to accommodate the connection of the related wiring.

(5) Except for the related wiring on the secondary side of sign transformers, related wiring is restricted to circuits or parts of circuits that operate at voltages not exceeding 600 volts, phase-to-phase.

(6) No related wiring, or any part thereof, may be installed in a location considered as hazardous under the National Electrical Code.

History

• Authority G.S. 87-42; 87-43.3
• Eff. October 1, 1988
• Amended Eff. February 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0810 Scope of Sp-Sp License

A special restricted swimming pool electrical contracting license (SP-SP) authorizes the licensee to install, maintain, or repair swimming pool bonding work only as an incident to the licensee's business of installing, maintaining, or repairing swimming pools. Furthermore, the license authorizes the licensee to perform only the:

(1) Bonding together of all of the following metal parts on or near a swimming pool installation:

(a) all metal parts of the pool structure, including the reinforcing metal of the pool shell, coping stones, and deck;

(b) all forming shells;

(c) all metal fittings within or attached to the pool structure; and

(d) all metal conduit, metal piping, fixed metal parts.

(2) Installation of a common bonding grid, bonding together all parts listed in Subdivision (1);

(3) Installation of the forming shells for lighting fixtures and underwater audio equipment;

(4) Installation of the conduits extending from the lighting fixture and audio equipment forming shells to deck or junction boxes and the installation of the deck or junction boxes;

(5) Installation of the lighting fixtures and audio equipment in their respective forming shells from the forming shells to the deck or junction boxes, leaving appropriate leads in the deck or junction boxes to which the circuit conductors can be connected by others; and

(6) Installation of a bonding conductor and from the point of its connection to the common bonding grid to a readily accessible point at the circulating pump location.

History

• Authority G.S. 87-42; 87-43.3
• Eff. October 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0901 Applicants Convicted of Crimes

History

• Status: repealed
• Authority G.S. 87-42; 87-43.3; 87-43.4; 87-47(a1)(4)
• Eff. October 1, 1988
• Amended Eff. January 1, 2010; April 1, 1995; February 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Repealed Eff. July 1, 2020.

21 NCAC 18B .0902 Charges and Preliminary Procedures

(a) The authority given to the Board's executive director in this Rule shall include the executive director's authority to delegate to other members of the Board's staff.

(b) Charges filed pursuant to G.S. 87-47(a4) shall be handled according to the progressive steps set out in Paragraphs (c) through (f) of this Rule.

(c) A charge shall be handled initially by the executive director. The executive director may recommend to the Board that the charge be dismissed as unfounded or trivial, without a hearing. Unless so recommended, the executive director shall:

(1) issue and cause to be served on the accused a written notice of violation, including a proposed sanction pursuant to G.S. 87-47(a2) or civil penalty pursuant to G.S. 87-47(a3), or both, or

(2) give the accused written notice of the charge, including a request that the accused respond to it in writing within 20 days.

(d) The executive director may, upon receipt and evaluation of the response, recommend to the Board that the charge be dismissed as unfounded or trivial, without a hearing, or the executive director may issue and cause to be served on the accused a written notice of violation, including a proposed sanction pursuant to G.S. 87-47(a2) or civil penalty pursuant to G.S. 87-47(a3), or both, or may turn the matter over to the Board's Disciplinary Review Committee.

(e) The Disciplinary Review Committee will review regularly the actions of staff, and as to any particular matter, may take the actions outlined in Paragraph (c) of this Rule or may schedule a conference before the Committee with the accused. If a conference is held, the Committee shall issue its findings in the form of a Recommended Order that shall be provided to the accused and proposed for adoption by the full board as a Final Order in the absence of objection by the accused in 20 days.

(f) The Board shall review the report and recommendations of the Disciplinary Review Committee and as to any matter may, without a hearing, dismiss the charge as unfounded or trivial, adopt the unopposed recommendations of the Committee, schedule a hearing on matters not resolved, or

set an administrative hearing on the charge, notice of which may include a statement that the Board shall accept an offer in compromise pursuant to G.S. 87-47(e).

(g) Before an administrative hearing is held, the Board may direct the disciplinary review committee to meet with the accused and the complainant in a final effort to effect a settlement.

(h) Each notice of violation or Recommended Order shall include a statement of the right to request a hearing, pursuant to G.S. 87-47(a4).

History

• Authority G.S. 87-42; 87-47
• Eff. October 1, 1988
• Amended Eff. April 15, 2003; February 1, 1996; February 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0903 Preliminary Determination

History

• Status: repealed
• Authority G.S. 87-42; 87-47; 150B, Article 3A
• Eff. October 1, 1988
• Amended Eff. February 1, 1990
• Repealed Eff. February 1, 1996.

21 NCAC 18B .0904 Administrative Hearing Procedures

The rules establishing procedures for contested cases adopted by the Office of Administrative Hearings as contained in Title 26, Chapter 3 of the North Carolina Administrative Code are hereby incorporated by reference, including subsequent amendments and editions, for contested cases for which the Board has authority to adopt rules under G.S. 150B-38(h). Provided, however, that if the case is conducted under G.S. 150B-40(b), the presiding officer shall have the powers and duties given to the Chief Administrative Law Judge or the presiding administrative law judge in Title 26, Chapter 3 of the North Carolina Administrative Code and that 26 NCAC 3 .0101(2), .0102(a)(2), .0103, .0126 and .0128 shall not apply. Copies of Title 26, Chapter 3 of the North Carolina Administrative Code are on file in the Board's office and may be obtained therefrom at the Board's actual cost of copying and mailing.

History

• Authority G.S. 87-42; 87-47; 150B-21.6; 150B-38(h)
• Eff. October 1, 1988
• Amended Eff. May 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0905 Judicial Review

History

• Status: repealed
• Authority G. S. 87-47; 150B-43
• Eff. October 1, 1988
• Amended Eff. February 1, 1990
• Repealed Eff. February 1, 1996.

21 NCAC 18B .0906 License Ineligibility After Violation

(a) Non-licensee. Any person, partnership, firm or corporation not duly licensed by the Board and found to be engaging or offering to engage in a given electrical contracting project in North Carolina shall be subject to the provisions of G.S. 87-48. Furthermore, such person, partnership, firm or corporation shall not be eligible for a qualifying examination or to obtain a license until the Board has found that any commitment to the project involving the person, partnership, firm or corporation has been voided and that the project, if continued, has been awarded to a person, partnership, firm or corporation duly licensed by the Board to engage or offer to engage in the project.

(b) Licensee. Any licensee of the Board found to be engaging or offering to engage in a given electrical contracting project in North Carolina exceeding the project limitations or scope of the licensee's current license shall be subject to the provisions of G.S. 87-47 and 87-48. Furthermore, the licensee shall not be eligible to upgrade its license to a higher or general classification, or for a qualifying examination therefor, until the Board has found that any commitment to the project involving the licensee has been voided and that the project, if continued, has been awarded to a person, partnership, firm or corporation duly licensed by the Board to engage or offer to engage in the project.

History

• Authority G.S. 87-42; 87-43; 87-47; 87-48
• Eff. October 1, 1988
• Amended Eff. February 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0907 Responsibility of Licensees and Qualified Individuals

(a) "Gross negligence" within the meaning of G.S. 87-47 means such lack of due care as evidences reckless disregard of human life or the safety of the person exposed to its dangerous effects, or creating a clear and present danger of personal injury, illness or property damage, or that entire want of care as would raise the presumption of a conscious indifference to the rights of others, which is equivalent to an intentional violation of the law.

(b) "Gross incompetence" refers to such lack of knowledge, supervision or technical competence as to correspond or create risk similar to the consequences of gross negligence.

(c) "Supervision" within the meaning of G.S. 87-43 refers to that degree of attendance, participation and oversight which is necessary and sufficient to ensure that the project is carried out in a workmanlike manner, with the requisite skill and that the installation is made properly, safely and in accordance with applicable codes and rules. Supervision means active onsite review of the work by a qualified individual while the work is in progress.

History

• Authority G.S. 87-42; 87-50
• Eff. April 15, 2003
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0908 Malpractice

(a) The provisions of the North Carolina Building Code, including the provisions of the National Electrical Code as modified and adopted by the Building Code Council of North Carolina from time to time, is a minimum standard of competence applicable to contractors licensed by the Board. Malpractice consists in failure to design and install systems that meet or exceed the minimum standards of the North Carolina State Building Code, Manufacturer's specifications and installation instructions and standards prevailing in the industry.

(b) Malpractice may consist in lack of knowledge of Code, Manufacturer's specifications and industry standards, in a failure to apply such technical knowledge, in undertaking a project that is not planned and supervised, or in undertaking a project that the licensee may not reasonably expect to complete timely and in accordance with codes, specifications, and industry standards.

(c) Where work is carried out by employees of the licensee, failure to provide supervision of such employees, whether by consistent absence from the workplace or jobsite, or as demonstrated by the failure of the work to comply with this rule, also constitutes malpractice on the part of the licensee.

(d) Where more than one qualified individual, as defined in G.S. 87-41.1(1) is employed at a firm, each such person is responsible for the work of the firm.

History

• Authority G.S. 87-42; 87-47; 87-50
• Eff. April 15, 2003
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .0909 Malpractice Further Defined

(a) A licensee of the Board shall ensure that a permit is obtained from the local Code Enforcement official before commencing any work for which a license is required by the Board and ensure that a request for final inspection is made by him, the general contractor or the owner within 10 days of completion of the work for which a license is required, absent agreement with both the owner and the local Code Enforcement official. Absent agreement with the local Code Enforcement official, the licensee is not relieved by the Board of responsibility to arrange inspection until a certificate of compliance or the equivalent is obtained from the local Code Enforcement official or the licensee has clear and convincing evidence of his effort to obtain same.

(b) A licensed contractor shall not allow a permit to be obtained or his license number to appear upon a permit except for work which he or his employees perform, over which he will provide general supervision until the completion of the work, for which he holds an executed contract with the licensed general contractor or property owner and for which he receives all contractual payments.

(c) The failure of a licensee or qualified individual to comply with the permit and inspection obligations outlined in this rule is considered by the Board as evidence of malpractice, gross incompetence or gross misconduct, in the use of license or qualification from the Board.

History

• Authority G.S. 87-42; 87-43; 87-46; 153A-357; 160A-417
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .1001 Forms Provided by the Board

History

• Status: repealed
• Authority G.S. 87-42
• Eff. November 1, 1988
• Amended Eff. February 1, 1995; April 1, 1993; February 1, 1990
• Repealed Eff. March 1, 1999.

21 NCAC 18B .1002 Certificates

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43; 87-43.1; 87-43.3; 87-43.4; 87-44
• Eff. October 1, 1988
• Amended Eff. February 1, 1990
• Repealed Eff. March 1, 1999.

21 NCAC 18B .1003 Publications Available from the Board

History

• Status: repealed
• Authority G.S. 87-42
• Eff. October 1, 1988
• Amended Eff. April 1, 1993
• Repealed Eff. March 1, 1999.

21 NCAC 18B .1004 Other Publications

History

• Status: repealed
• Authority G.S. 87-42
• Eff. October 1, 1988
• Repealed Eff. March 1, 1999.

21 NCAC 18B .1101 Continuing Education Requirements: Listed Qualified Individuals

(a) Upon becoming a qualified individual, as defined in G.S. 87-41.1, all qualifiers shall complete a free, four-hour Laws and Rules Course conducted by Board staff within 12 months after becoming a qualified individual or 90 days prior to becoming a qualified individual. Completion of the Laws and Rules Course pursuant to this requirement, shall satisfy 4 of the required contact hours of continuing education for the initial renewal of the individual's qualification.

(b) Every listed qualified individual, as defined in G.S. 41.1(2), including listed qualified individuals pursuant to G.S. 87-50, shall complete continuing education prior to each annual license period to renew the license on which the qualified individual is currently listed, for the next annual license period, except as follows:

(1) qualified individuals unable to fulfill the required number of hours as the result of illness as certified in writing by the attending physician; or

(2) persons presenting approved courses of continuing education.

(c) The number of required contact hours for every listed qualified individual shall be determined by the classification of license on which the qualified individual is currently listed or is eligible to be listed as follows:

(1) qualified individuals currently listed on a license in the limited, intermediate, unlimited and special restricted single family dwelling classifications shall complete at least eight hours of approved continuing education for license renewal, and

(2) qualified individuals currently listed on a license in the special restricted fire alarm/low voltage (SP-FA/LV), special restricted elevator (SP-EL), special restricted plumbing and heating (SP-PH), special restricted ground water pump (SP-WP), special restricted electric sign (SP-ES) and special restricted swimming pool (SP-SP) classifications shall complete at least four hours of approved continuing education for license renewal.

(d) The Board, pursuant to Rules .1102 and .1103 of the Section, approves courses. Because of differences in the electrical contracting industry and individual needs of listed qualified individuals, each qualified individual must exercise judgment in selecting courses for which continuing education is claimed and in choosing only those courses that will advance the individual's knowledge.

(e) Course sponsors may be colleges or universities, community colleges, trade associations, providers of self-study programs, employers, third party professional examination companies, private instructors and the like.

(f) North Carolina listed qualified individuals residing within the state must obtain the required continuing education hours by taking a course provided by an approved sponsor.

(g) North Carolina listed qualified individuals residing outside of North Carolina, including listed qualified individuals pursuant to G.S. 87-50, may obtain credit for courses offered in North Carolina. They may also obtain credit for courses offered in their state, province or country of residence provided the Board subsequently approves the courses taken, pursuant to Rule .1102(b) of this Section.

(h) Effective for renewals on or after July 1, 2008, all persons seeking to renew qualification must demonstrate that a minimum of one-half the continuing education hours for each annual license period were obtained by in-person classroom or seminar attendance.

History

• Authority G.S. 87-41.1; 87-42; 87-44.1
• Eff. October 1, 1990
• Amended Eff. January 1, 2010; January 1, 2006; March 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Amended Eff. January 1, 2025

21 NCAC 18B .1102 Minimum Requirements for Course Sponsor Approval

(a) Each course sponsor shall submit an application for continuing education course sponsor approval to the Board on a form provided by the Board by March 1 prior to the fiscal year (July 1 to June 30) in which the course will be offered. The application shall include:

(1) the name of the sponsor;

(2) sponsor contact person, address, telephone number and email address;

(3) course title and outline;

(4) course contact hours;

(5) schedule of courses, if established, including dates, time and locations;

(6) course fee; and

(7) names and credentials of each instructor.

(b) To qualify as an approved continuing education course sponsor:

(1) all courses offered by the sponsor shall last no fewer than two contact hours required for the license classification pursuant to Rule .1101(b) of this Section; and

(2) all courses offered by the sponsor shall cover articles of the current National Electrical Code; NFPA 72 and reference materials for Fire Alarm Systems; G.S. 87, Article 4; 21 NCAC 18B; or other subject matter satisfying the requirements in G.S. 87-44.1 as approved by the Board.

(c) The course sponsor or instructor shall provide the Board with a certified class roster of all attending qualified individuals within 10 days after the completion of each course.

(d) The course sponsor or instructor shall provide each attending qualified individual with a certificate of completion within 10 days after completion of each course.

(e) The Board shall approve or deny applications at its regularly scheduled meetings.

(f) Upon approval of the application, each approved sponsor shall agree to conduct courses in accordance with this Section and the application and shall indicate its agreement by signing a continuing education sponsor agreement form provided by the Board.

History

• Authority G.S. 87-42; 87-44.1
• Eff. October 1, 1990
• Amended Eff. July 1, 2011; January 1, 2010; January 1, 2006; March 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .1103 Minimum Requirements for Course Approval

(a) Each course sponsor shall submit an application for continuing education course approval to the Board on a form provided by the Board by March 1 prior to the fiscal year (July 1 to June 30) in which the course will be offered. The application shall include:

(1) The name of the instructor;

(2) Instructor's address, telephone number and email address;

(3) The name of the course sponsor;

(4) Course title and outline;

(5) Course contact hours; and

(6) Qualifications of instructor.

(b) The Board shall approve courses when:

(1) The proposed course outline demonstrates content related to the technical, practical and business aspects of electrical contracting so as to have educational value consistent with the number of hours credit sought and the class is to be offered at a location conducive to learning; and

(2) The course is to be taught by qualified individuals as defined in G.S. 87-41.1, by persons who have demonstrated subject matter knowledge on a test administered by the Board, by persons holding qualifications as a code enforcement official issued by the Code Official Qualification Board or by persons who otherwise establish knowledge of the material in the course outline.

(c) The Board may deny an application for course approval if it finds that the sponsor or proposed instructor has previously failed to comply with the terms of any agreement as provided in Paragraph (g) of this Rule or the rules of the Board.

(d) The application for course approval shall be submitted together with the application for continuing education course sponsor approval as prescribed in Rule .1102 of this Section.

(e) The Board shall approve or deny applications at a regular meeting.

(f) Appeals from denial of course approval will be heard at the next regular meeting of the Board.

(g) Upon approval of a course, the sponsor and the instructor teaching the approved courses shall agree to conduct courses in accordance with this Section and the information represented on the application, and shall indicate agreement by signing a continuing education agreement form provided by the Board.

History

• Authority G.S. 87-42; 87-44.1
• Eff. October 1, 1990
• Amended Eff. July 1, 2011; January 1, 2006; April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .1104 Contact Hours

(a) Approved courses must be offered for no fewer than two contact hours.

(b) Credit shall be granted to the qualified individual only upon completion of an entire course.

(c) When a qualified individual has completed more than the required number of hours of continuing education in any one license period, the extra hours shall be carried forward in multiples of two hours and treated as hours earned in the following one or two additional license periods. Extra hours are subject to the provisions of Rule .1101(g) of this Section.

(d) No credit shall be granted for courses attended prior to being qualified by examination.

History

• Authority G.S. 87-42; 87-44.1
• Eff. October 1, 1990
• Amended Eff. February 1, 2006; March 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .1105 Computation of Continuing Education Hours

(a) Group Courses: Non-college. Continuing education credit for a group course that is not part of a college curriculum is given based on contact hours. A contact hour is 50 minutes of instruction. Credit is granted only for full contact hours.

(b) College Courses. Continuing education credit for a college course in the college curriculum is given based on college credit hours. One semester hour of college credit is 16 contact hours; and one continuing education unit is 10 contact hours.

(c) Self-Study Courses. Continuing education credit for a self-study course is given based on the average number of contact hours needed to complete the course. The course shall include study text and a written examination having a minimum of 25 questions for each two contact hours course credit and a minimum passing grade of 70. A sponsor must determine the average number of contact hours it takes to complete the self-study course and submit this information with its application for continuing education course sponsor approval.

(d) Examination. Continuing education credit for an examination is given based on the type of examination, number of questions, number of hours permitted to take the examination, and passing grade. The examination shall include a minimum of 25 questions for each two contact hours course credit and a minimum passing grade of 70. A sponsor must set the number of hours permitted to take the examination and submit this information with its application for continuing education course sponsor approval.

(e) Totaling Annual Hours. No credit shall be allowed for a course having fewer than two contact hours required for the license classification pursuant to Rule .1101(b) of this Section. Credit hours for more than one year are subject to the provisions of Rule .1104(c) of this Section.

History

• Authority G.S. 87-42; 87-44.1
• Eff. October 1, 1990
• Amended Eff. January 1, 2006; March 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .1106 List of Approved Course Sponsors and Instructors

In July of each year the Board shall post a link on the Board website that shall include:

(1) All approved course sponsors and instructors for that fiscal year; and

(2) Contact information for all approved course sponsors and instructors.

History

• Authority G.S. 87-42; 87-44.1
• Eff. October 1, 1990
• Amended Eff. January 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .1107 Advertisements by Approved Course Sponsors and Instructors

Approved course sponsors and instructors who state in their advertisements, brochures or other course descriptions that a particular course meets the requirement of the North Carolina State Board of Examiners of Electrical Contractors for continuing education shall so state exactly as follows:

This course, when offered during fiscal year _____, meets the requirements of the North Carolina State Board of Examiners of Electrical Contractors for ____ contact hours of continuing education credit. This course is not sponsored by the Board.

History

• Authority G.S. 87-42; 87-44.1
• Eff. October 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .1108 Revocation of Course Sponsor or Instructor Approval

(a) The Board may revoke, suspend or terminate the agreement with any approved continuing education course sponsor and/or instructor if the Board determines that either has failed to comply with the terms of the agreement or the Rules of the Board.

(b) The Board shall have the authority to monitor courses to determine whether the course sponsor and instructor are complying with the terms of the agreement and the rules of the Board.

History

• Authority G.S. 87-42; 87-44.1
• Eff. October 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 18B .1109 Emergency Waiver of Continuing Education Requirements: Listed Qualified Individuals

History

• Status: expired
• Authority G.S. 87-42; 87-44.1
• Emergency Adoption Eff. March 30, 2020 to expire pursuant to S.L. 2020-3, s. 4.38.(e)
• Emergency Adoption Expired Eff. August 1, 2020 pursuant to S.L.2020-3, s. 4.38.(e).

Chapter 19 Electrolysis Examiners

21 NCAC 19 .0101 Address

(a) The Board's mailing address is 2 Centerview Drive, Pinehurst Building, Suite 60, Greensboro, NC 27407.

(b) The Board's email address is ncbeexam@att.net.

(c) The Board's website address is www.ncbee.com.

(d) The Board's phone number is (336) 856-1010.

History

• Authority G.S. 88A-6
• Eff. January 1, 1992
• Amended Eff. September 1, 2010; December 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. June 1, 2022.

21 NCAC 19 .0102 Meetings

(a) The Board shall hold two regular meetings each year in the months of January and July on call of the Chairman, or, if the Chairman is unable for any reason to call the meeting, the Vice-chairman or the Treasurer in that order. Special meetings of the Board may be called at any time by the Chairman or any two board members.

(b) The Chairman shall conduct all meetings; in the absence of the Chairman, the Vice-chairman or the Treasurer in that order shall conduct the meeting.

(c) The officer who is scheduled to conduct the meeting shall prepare an agenda for the meeting.

(d) The Board shall set aside time at its regular meetings to hear members of the public who wish to speak to the Board. If time permits, the Board may also allow members of the public to speak at special meetings. Anyone who wishes to speak concerning an item on the agenda shall notify the presiding officer before the meeting is called to order. Anyone who wishes to speak concerning an item that is not otherwise scheduled to be on the agenda shall, at least 72 hours before the meeting, contact the scheduled presiding officer to request that the item be included. The request must include the identity of the maker and the nature of the item and must be in writing unless the maker can show to the satisfaction of the scheduled presiding officer that it was not reasonably possible to provide a written request. Anyone who speaks to the Board at a regular meeting under the provisions of this Paragraph shall be allowed a time period of five minutes, except that the presiding officer may further limit time if several persons have asked to speak. The presiding officer may limit time as needed at special meetings. At any meeting, the presiding officer may require groups to appoint a representative to speak for members of the group on an issue. Although members of the Board may ask specific questions of those speaking, the time allotted pursuant to this Paragraph shall not be used either to debate the relative merits of any proposal or to examine members of the Board.

History

• Authority G.S. 88A-5
• Eff. December 1, 1992
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 19 .0103 Definitions

History

• Status: repealed
• Authority G.S. 88A-6; 88A-12; 88A-13; 88A-18
• Eff. March 1, 1995
• Amended Eff. September 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Repealed Eff. November 1, 2022.

21 NCAC 19 .0301 Petitions for Rulemaking Hearings

(a) Any person may petition the Board to adopt a new rule or to amend or repeal an existing rule by sending a written petition for rulemaking to the Board at the Board's mailing address. The petition must be entitled "Petition for Rulemaking" and must include the following information:

(1) the name and address of the person submitting the petition;

(2) a citation to any rule for which an amendment or repeal is requested;

(3) a draft of any proposed new rule or amended rule;

(4) an explanation for the request, with any supporting information the petitioner believes is relevant and wishes the Board to consider; and

(5) an identification of the persons or class of persons most likely to be affected by the proposed action.

(b) The Board shall decide whether to grant or deny the petition and may request additional information. When the Board denies a petition, the notice of denial shall state the reason.

History

• Authority G.S. 88A-6; 150B-20
• Eff. August 3, 1992
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 19 .0302 Declaratory Rulings

(a) All petitions for declaratory rulings shall be in writing and shall be sent to the Board at its mailing address. Each petition shall be entitled "Petition for Declaratory Ruling" and shall include the following information:

(1) the name and address of the petitioner;

(2) the statute or rule to which the petition relates;

(3) a concise statement of the manner in which the petitioner has been or will be injured or adversely affected by the statute or rule;

(4) if the petitioner wishes to make an oral presentation to the Board on the petition, a statement clearly requesting an opportunity to appear and be heard.

(b) The Board may refuse to issue a declaratory ruling when:

(1) the petition does not comply with this Rule;

(2) the Board has previously issued a declaratory ruling on substantially similar facts;

(3) the Board has previously issued a final agency decision in a contested case on substantially similar facts;

(4) the facts underlying the request for a declaratory ruling were specifically considered at the time the rule was adopted;

(5) the subject matter of the petition is involved in pending litigation;

(6) the Board determines for good cause not listed in this Paragraph that issuance of a declaratory ruling is undesirable.

History

• Authority G.S. 88A-6; 150B-4
• Eff. August 3, 1992
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 19 .0303 Contested Cases

(a) The following rules establishing procedures for contested cases, adopted by the Office of Administrative Hearings and contained in Title 26, Chapter 3 of the North Carolina Administrative Code, are hereby incorporated by reference for contested cases for which the Board has authority to adopt rules under G.S. 150B-38: 26 NCAC 3 .0001(1), .0005, .0006, .0013, .0014, .0015, .0016, .0018, .0019, .0020, .0021. This adoption applies to the listed rules as amended as of November 1, 1991 and does not include subsequent amendments. Copies of these Rules will be made available for inspection by arrangement; anyone wanting to inspect these Rules shall write the Board at its mailing address. Copies of the listed rules may be obtained from the Board at a charge of two dollars and fifty cents ($2.50) by writing the Board at its mailing address.

(b) For the purposes of this Rule, references in the rules listed in Paragraph (a) of this Rule to the Office of Administrative Hearings shall be deemed to be references to the Board, references to the administrative law judge shall be deemed to be references to the presiding officer for board hearings, reference in 26 NCAC 3 .0005 to G.S. 150B-33 shall be deemed a reference to G.S. 150B-40, and the words "enter a show cause order returnable in Superior Court for contempt proceedings in accordance with G.S. 150B-33(b)(8)" in 26 NCAC 3 .0014 shall be deemed to read, "apply to the Superior Court for an order to show cause in accordance with G.S. 150B-40(c)(6)".

(c) Any person who believes that his or her rights, duties, or privileges have been affected by the Board's administrative action but who has not received a notice of hearing pursuant to G.S. 150B-38 may file a written request for a hearing. The request must be entitled "Request for Administrative Hearing" and must contain the following:

(1) the name and address of the petitioner;

(2) a concise statement of the action taken by the Board which is challenged;

(3) a concise statement of the way in which the petitioner has been aggrieved; and

(4) a clear and specific statement of request for a hearing.

Without waiving any right to a formal hearing, an individual may first seek to resolve the issue informally with the Board.

(d) The Board may elect either to conduct a hearing itself or to request the designation of an administrative law judge from the Office of Administrative Hearings to preside.

History

• Authority G.S. 88A-6; 150B-38
• Eff. August 3, 1992
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 19 .0401 Infection control standards

History

• Status: repealed
• Authority G.S. 88A-16
• Eff. June 1, 1993
• Repealed Eff. December 1, 2010.

21 NCAC 19 .0402 Sterilization and Disinfection

History

• Status: repealed
• Authority G.S. 88A-16
• Eff. June 1, 1993
• Repealed Eff. December 1, 2010.

21 NCAC 19 .0606 School Lockers

History

• Status: expired
• Authority G.S. 88A-6; 88A-19
• Eff. November 1, 1993
• Expired Eff. June 1, 2018 pursuant to G.S. 150B-21.3A.

21 NCAC 19 .0607 School Buildings

History

• Status: expired
• Authority G.S. 88A-6; 88A-19
• Eff. November 1, 1993
• Expired Eff. June 1, 2018 pursuant to G.S. 150B-21.3A.

21 NCAC 19 .0611 Identification of Students

History

• Status: expired
• Authority G.S. 88A-6; 88A-19; 88A-20
• Eff. November 1, 1993
• Expired Eff. June 1, 2018 pursuant to G.S. 150B-21.3A.

21 NCAC 19 .0614 School Hours and Schedule

History

• Status: expired
• Authority G.S. 88A-6; 88A-19; 88A-19.1; 88A-20
• Eff. November 1, 1993
• Amended Eff. December 1, 2010
• Expired Eff. June 1, 2018 pursuant to G.S. 150B-21.3A.

21 NCAC 19 .0615 Notice to Public

History

• Status: expired
• Authority G.S. 88A-6; 88A-19; 88A-19.1; 88A-20
• Eff. November 1, 1993
• Amended Eff. December 1, 2010
• Expired Eff. June 1, 2018 pursuant to G.S. 150B-21.3A.

21 NCAC 19 .0616 Remuneration Prohibited

History

• Status: repealed
• Authority G.S. 88A-6; 88A-19; 88A-20
• Eff. November 1, 1993
• Repealed Eff. December 1, 1995.

21 NCAC 19 .0617 School Advertisements

History

• Status: expired
• Authority G.S. 88A-6; 88A-16; 88A-19; 88A-19.1; 88A-20
• Eff. November 1, 1993
• Amended Eff. December 1, 2010
• Expired Eff. June 1, 2018 pursuant to G.S. 150B-21.3A.

21 NCAC 19 .0618 Private Practice in a School Building

History

• Status: expired
• Authority G.S. 88A-6; 88A-16; 88A-19; 88A-19.1; 88A-20
• Eff. November 1, 1993
• Amended Eff. December 1, 2010
• Expired Eff. June 1, 2018 pursuant to G.S. 150B-21.3A.

21 NCAC 19 .0620 Report of Student Leaving

History

• Status: expired
• Authority G.S. 88A-6; 88A-19; 88A-20
• Eff. November 1, 1993
• Expired Eff. June 1, 2018 pursuant to G.S. 150B-21.3A.

21 NCAC 19 .0621 Transfer Credit

History

• Status: expired
• Authority G.S. 88A-6; 88A-19; 88A-20
• Eff. November 1, 1993
• Expired Eff. June 1, 2018 pursuant to G.S. 150B-21.3A.

Chapter 20 Foresters

21 NCAC 20 .0101 Purpose of Program

The rules in this Chapter shall govern the registration program for foresters.

History

• Authority G.S. 89B-6
• Eff. February 1, 1976
• Temporary Amendment Eff. March 1, 1999
• Amended Eff. August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 20 .0102 Contacting the Board

All communications with the Board shall be through the secretary of the Board at the following address:

Secretary of the State Board of Registration for Foresters

P. O. Box 27393

Raleigh, North Carolina 27611.

History

• Authority G.S. 89B-6
• Eff. February 1, 1976
• Amended Eff. February 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 20 .0103 Qualifications for Registration

(a) An application may be obtained from the Board's website at www.ncbrf.org.

(b) An applicant shall submit an application to the Board that shall include:

(1) Official college transcripts, if applicable;

(2) Five references as required in Rule .0105 of this Section;

(3) Proof of professional work experience in forestry; and

(4) Payment of the application fee as set out in Rule .0106 of this Section.

(c) For purposes of G.S. 89B-9(a)(1), a forestry curriculum is a curriculum that satisfies the education requirements used by the Society of American Foresters (SAF) to become a Certified Forester. The education requirements of the SAF are hereby incorporated by reference, including subsequent amendments and editions, and may be accessed at no cost at www.safnet.org.

(d) An applicant who holds a forestry or related natural resources degree from a program that is not SAF-accredited shall submit their transcript to SAF for review prior to applying to the Board. SAF shall determine if the applicant's education meets the SAF education requirements to be qualified to take the SAF Certified Forester exam. If SAF determines that the applicant's education meets the requirements to be qualified to take the SAF Certified Forester exam, SAF will issue a letter stating this determination. The applicant shall submit this letter as part of his or her application to the Board. An applicant whose education satisfies the education requirements to be qualified to take the SAF Certified Forester exam shall be deemed to have met the education requirements to take the North Carolina Registered Forester exam.

(e) Forester-in-training certificates issued pursuant to G.S. 89B-9(b1) shall be valid for four years.

History

• Authority G.S. 89B-6; 89B-9
• Eff. February 1, 1976
• Amended Eff. May 1, 1989; February 1, 1985
• Temporary Amendment Eff. March 1, 1999
• Amended Eff. August 1, 2010; August 1, 2000
• Readopted Eff. December 1, 2018.

21 NCAC 20 .0104 Examinations

(a) Applicants meeting the requirements of G.S. 89B-9(a)(1) shall take the Level 2 examination that focuses on the practice of forestry in North Carolina.

(b) Applicants not meeting the education requirements of G.S. 89B-9(a)(1) shall take the Level 1 examination that tests the applicants' knowledge of forestry approximating that obtained through graduation from a four-year curriculum in forestry and focuses on the practice of forestry in North Carolina.

(c) The Board shall offer both the Level 1 and Level 2 examination twice annually.

(d) The Board shall notify applicants of the date, location, and time that the exam is scheduled, not less than 60 days before each scheduled examination. . Applicants must notify the Board at least 30 days prior to the exam date of his or her intent to take the exam.

(e) The passing grade for registration shall be 70 percent on any exam. The determination by the Board as to the score on each exam shall be final.

(f) There is no limit to the number of times that an applicant may attempt the exam. Re-examination fees shall be forty dollars ($40.00) per examination.

History

• Authority G.S. 89B-6; 89B-9; 89B-12
• Eff. February 1, 1976
• Amended Eff. May 1, 1989; February 1, 1985
• Temporary Amendment Eff. March 1, 1999
• Amended Eff. August 1, 2010; August 1, 2000
• Readopted Eff. December 1, 2018.

21 NCAC 20 .0105 References

(a) Five references are required to satisfy the Board of an applicant's professional experience and moral character. Three or more shall be practicing, registered foresters in North Carolina. No more than one of the practicing forester references shall be an employee of the same firm or agency as the applicant. No member of the Board shall act as a reference for any applicant for registration.

(b) If a majority of the references do not recommend approval, the Board shall reject the applicant.

(c) If two of the references do not recommend approval, the Board shall request more detailed input from all references to use in evaluating the applicant.

History

• Authority G.S. 89B-6; 89B-9
• Eff. February 1, 1976
• Amended Eff. May 1, 1989; February 1, 1985
• Temporary Amendment Eff. March 1, 1999
• Amended Eff. August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 20 .0106 Registration Fees

Fees sent to the Board for any segment of the registration process shall be payable to the Secretary, Board of Registration for Foresters. The application fee for registration is fifty dollars ($50.00), which shall be submitted by the applicant at the time of application. An approved applicant shall submit an additional fee of forty dollars ($40.00) to receive a certificate of registration. Annual renewal fee is fifty dollars ($50.00). The Board shall waive renewal fees for Registered Foresters for hardship circumstances, such as military deployment, extended illness, or other similar circumstances, upon written petition by the Registered Forester or Registered Forester's agent for this exemption.

History

• Authority G.S. 89B-6; 89B-10; 89B-11; 93B-15(b)
• Eff. February 1, 1976
• Amended Eff. February 1, 1990; May 1, 1985
• Temporary Amendment Eff. March 1, 1999
• Amended Eff. August 1, 2010; January 1, 2005; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. July 21, 2024.

21 NCAC 20 .0107 Incomplete Applications

Any application for registration which is not complete within 12 months of the date of application shall be declared null and void and the application fee retained.

History

• Authority G.S. 89B-6
• Eff. February 1, 1976
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 20 .0108 Delinquent Fees

The Board shall notify by mail or email all foresters registered by the Board for the previous year when they become 30 days in arrears in payment of renewal fees for the ensuing year. The notifications shall remind the delinquents of the required penalty fees.

History

• Authority G.S. 89B-6
• Eff. February 1, 1976
• Amended Eff. August 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 20 .0109 Registration Card

History

• Status: expired
• Authority G.S. 89B-6
• Eff. February 1, 1976
• Amended Eff. August 1, 2010; May 1, 1989; February 1, 1985
• Pursuant to G.S. 150B-21.3A, rules Expired January 1, 2015.

21 NCAC 20 .0110 Registration Seal

History

• Status: expired
• Authority G.S. 89B-6
• Eff. February 1, 1976
• Amended Eff. August 1, 2010; May 1, 1989; February 1, 1985
• Pursuant to G.S. 150B-21.3A, rules Expired January 1, 2015.

21 NCAC 20 .0111 Registration Certificate

(a) Registrations issued to successful applicants will be given consecutive individual numbers. Once issued to a registrant, a number will not be assigned again.

(b) A revoked, expired or invalid registration shall not be displayed in any public office or place of business by any registrant in connection with the practice of forestry.

(c) Any violation of this Rule may be cause for the Board to require the custodian of said registration to surrender it to the Board.

History

• Authority G.S. 89B-6; 89B-13
• Eff. February 1, 1976
• Amended Eff. February 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 20 .0112 Registration Replacements

History

• Status: expired
• Authority G.S. 89B-6; 89B-11
• Eff. February 1, 1976
• Pursuant to G.S. 150B-21.3A, rule Expired January 1, 2015.

21 NCAC 20 .0113 Rejections

A person whose application for registration has been rejected shall be notified of the fact and of the basis for rejection. The applicant will be provided every opportunity to submit additional evidence and references for further consideration by the Board. Requests for reconsideration of the Board's action shall be made in writing to the Board. Failure to comply with a written request of the Board to appear for an interview or to appear for examination shall be considered as proper grounds for rejection of registration.

History

• Authority G.S. 89B-6; 89B-9
• Eff. February 1, 1976
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 20 .0114 Re-Registration

Re-registration and renewals, including late renewals, shall be handled by the Board in accordance with G.S. 89B-11.

History

• Authority G.S. 89B-6; 89B-10; 89B-11
• Eff. February 1, 1976
• Amended Eff. November 1, 1993; February 1, 1990; May 1, 1989; February 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 20 .0115 Code of Ethics

In their signed affidavits, all applicants shall indicate their agreement to adhere to the following Code of Ethics. The code shall be used by the Board to help govern its decisions in adjudicating flagrant misconduct in the practice of forestry under G.S. 89B-13.

Code of Ethics

(1) A Registered Forester shall practice forestry consistent with ecologically sound principles and all applicable laws.

(2) A Registered Forester shall not engage in unlawful acts or business practices.

(3) A Registered Forester shall present truthful, accurate, and complete information while practicing forestry.

(4) A Registered Forester shall practice forest management in accordance with landowner objectives and Forestry Best Management Practices as described in the "North Carolina Forestry Best Management Practices Manual to Protect Water Quality" published by the Department of Environment and Natural Resources, or will advise landowners of the consequences of deviating from Forestry Best Management Practices.

(5) A Registered Forester shall advertise and perform only those services for which the Registered Forester is qualified.

(6) A Registered Forester shall indicate on whose behalf any public statements are made, and keep proprietary information confidential unless the appropriate person authorizes its disclosure.

(7) A Registered Forester must avoid conflicts of interest or even the appearance of such conflicts. If, despite such precaution, a conflict of interest is discovered, it must be disclosed to the Registered Forester's employer or client, and the Registered Forester must attempt to resolve the conflict.

(8) A Registered Forester shall: act in a civil and professional manner; respect the needs, contributions, and viewpoints of others, and; give credit to others for their methods, ideas, or assistance.

(9) A Registered Forester shall not accept compensation or expenses from more than one employer for the same service, unless the parties involved are informed and consent.

(10) A Registered Forester having evidence of violation of this code by another Registered Forester shall present the information and charges to the State Board of Registration for Foresters.

History

• Authority G.S. 89B-6; 89B-9; 89B-13
• Eff. February 1, 1976
• Amended Eff. May 1, 1989; February 1, 1985
• Temporary Amendment Eff. June 1, 2001
• Amended Eff. September 1, 2010; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 20 .0116 Revocation or Suspension

(a) The registration of any registered forester may be revoked or suspended by the Board for conduct found to violate the code of ethics adopted under Rule .0115 of this Chapter or G.S. 89B-13.

(b) Before any such Board action, the registrant shall have an opportunity for a full hearing in front of the Board. The hearing shall be held in accordance with procedures found in Article 3A of G.S. 150B.

History

• Authority G.S. 89B-6; 89B-13; 150B-3; 150B-38
• Eff. February 1, 1976
• Amended Eff. May 1, 1989; February 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 20 .0117 Reciprocity

(a) For residents of North Carolina, within one year of establishing residency for voting purposes in North Carolina, individuals who are legally registered or licensed as foresters in another state, shall submit evidence of such registration or licensing to the Board. A statement from the Board of registration or licensing in the state in which they are legally registered or licensed attesting that they are legally registered or licensed to practice forestry in that state, and indicating the final date on which their registration or license remains valid, shall be accepted by the Board as adequate evidence. This provision does not apply unless the state in which the applicant is registered or licensed observes similar rules of reciprocity in regard to persons registered under the provisions of G.S. 89B.

(b) If the Board determines that the reciprocity applicant is qualified to practice as a registered forester in North Carolina, the Board shall issue a letter conveying this approval.

(c) The fee for obtaining such reciprocity is the same as is charged a North Carolina resident seeking to obtain registration in the state of North Carolina. (See Rule .0106 of this Section.)

History

• Authority G.S. 89B-6; 89B-9
• Eff. February 1, 1976
• Amended Eff. May 1, 1989; February 1, 1985
• Temporary Amendment Eff. March 1, 1999
• Amended Eff. August 1, 2010; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 20 .0118 Registered Foresters

(a) Persons registered as foresters under G.S. 89B are encouraged to insert the abbreviation R.F. (meaning registered forester) after their signatures.

(b) The authorized forms are:

(1) for signatures only:

(Name) R.F.

official title

(2) for certifications only:

(Name) R.F.

title or designation

N. C. Registration No.

History

• Authority G.S. 89B-6
• Eff. February 1, 1976
• Amended Eff. May 1, 1989; February 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 20 .0119 Amendments

History

• Status: repealed
• Authority G.S. 89B-6; 150A-5
• Eff. February 1, 1976
• Amended Eff. February 1, 1985
• Repealed Eff. May 1, 1989.

21 NCAC 20 .0120 Certification of Consulting Foresters

Each registered forester who practices as a consulting forester shall file an affidavit with the Board each year by June 30, utilizing the proper form supplied by the Board.

History

• Authority G.S. 89B-2; 89B-6
• Eff. November 1, 1993
• Temporary Amendment Eff. March 1, 1999
• Amended Eff. August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 20 .0121 Rejection of Consultant Affidavit

Any applicant whose application to be certified as a consulting forester is rejected by the Board shall be notified of the rejection and the basis for it. The applicant may request reconsideration by the Board and submit additional information. Requests for reconsideration of the Board's decision must be made in writing to the Board. The reconsidered decision shall be the Board's final agency decision.

History

• Authority G.S. 89B-2; 89B-6
• Eff. November 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 20 .0122 Handling of Complaints

(a) The Board, upon receipt of a notarized letter identifying specific complaints of gross negligence, fraud, deceit or flagrant misconduct in the practice of forestry or incompetence by a registered forester, shall follow-up by written correspondence to the accused requesting a response to the accusation. The Board may request the complainant, the accused registrant, or both to personally appear before the Board.

(b) Following a review of the facts and verification of the violation, the Board may choose appropriate action, which may include revocation or suspension of the registered forester status of the individual as outlined in Rule .0106 of this Section.

History

• Authority G.S. 89B-2; 89B-6; 89B-13; 89B-15; 150B-3; 150B-38
• Eff. November 1, 1993
• Temporary Amendment Eff. March 1, 1999
• Amended Eff. August 1, 2010; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 20 .0123 Continuing Education

(a) All registered foresters shall attend continuing education courses annually to maintain their registration. Ten CFE (Continuing Forestry Education) credits approved by the Society of American Foresters are required each year, except as outlined in this Rule. CFE's must be SAF category 1, 2, or 3, with at least six being from category 1.

(b) Registered foresters shall verify CFE compliance to the Board with each annual renewal.

(c) Those registered foresters who provide information to the Board that verifies that they are retired from a career in forestry may qualify to continue their registration by earning a minimum of three category 1, 2, or 3 CFE's annually.

(d) The Board shall approve hardship cases, such as military deployment, extended illness or other circumstances that prevent the Registered Forester from obtaining the required CFE's upon request.

History

• Authority G.S. 89B-6; 89B-11
• Temporary Adoption Eff. March 1, 1999
• Eff. August 1, 2000
• Amended Eff. August 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 20 .0124 COMPLIANCE WITH ANNUAL REPORTS REQUIReMENTS

In the event the board's authority to expend funds is suspended pursuant to G.S. 93B-2, the board shall continue to issue and re-new licenses and all fees tendered shall be placed in the escrow account maintained by the board for this purpose.

History

• Authority G.S. 93B-2
• Eff. August 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 20 .0125 Petition for Rule-Making

(a) Any person may petition the State Board of Registration for Foresters (NCBRF) to adopt a new rule, or amend or repeal an existing rule by submitting a rule-making petition to NCBRF. The petition must be titled "Petition for Rulemaking" and must include the following information:

(1) the name and address of the person submitting the petition;

(2) a citation to any rule for which an amendment or repeal is requested;

(3) a draft of any proposed rule or amended rule;

(4) an explanation of why the new rule or amendment or repeal of an existing rule is requested and the effect of the new rule, amendment, or repeal on the procedures of NCBRF; and

(5) any other information the person submitting the petition considers relevant.

(b) In making the decision to grant or deny the petition, the Board shall consider the information submitted with the petition and any other relevant information.

History

• Authority G.S. 150B-20
• Eff. September 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 20 .0126 Declaratory Rulings: Availability

Declaratory rulings pursuant to G.S. 150B-4 shall be issued by the State Board of Registration for Foresters (NCBRF) upon request only on the validity of a rule of the State NCBRF or on the applicability of a rule or order of the NCBRF to stipulated facts. A declaratory ruling will not be issued on a matter requiring an evidentiary proceeding.

History

• Authority G.S. 150B-4
• Eff. August 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

Chapter 21 Geologists

21 NCAC 21 .0101 Authority, Name and Location of Board

The North Carolina Board for Licensing of Geologists (the "Board") is governed by Chapter 89E of the General Statutes of North Carolina. Unless otherwise directed, all communications shall be addressed to the Board at Post Office Box 41225, Raleigh, North Carolina 27629.

History

• Authority G.S. 89E-4
• Eff. February 1, 1986
• Amended Eff. April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. June 1, 2017.

21 NCAC 21 .0102 Purpose of the Act

History

• Status: repealed
• Authority G.S. 89E-2
• Eff. February 1, 1986
• Repealed Eff. April 1, 1989.

21 NCAC 21 .0103 Organization of the Board

(a) Meetings shall be open and public except that the Board may meet in closed sessions to prepare, approve, administer, or grade examinations; to deliberate the qualifications of an applicant for license; or to deliberate on the disposition of a proceeding to discipline a licensed geologist.

(b) The Board shall have power to compel the attendance of witnesses, to administer oaths, and to take testimony and proofs of all matters within its jurisdiction as allowed by Article 3A of G.S. 150B.

(c) The Chair and ex-officio member shall be full voting members of the Board.

History

• Authority G.S. 89E-4; 89E-5; 143-318.18(6); 150B-39; 150B-40
• Eff. February 1, 1986
• Amended Eff. April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. June 1, 2017.

21 NCAC 21 .0104 Duties of Officers

(a) Board Chair:

(1) The Chair shall preside at all meetings when present, appoint all committees, sign all certificates issued, and perform all other duties pertaining to his office.

(2) The Chair, together with the Board Counsel and Board Executive Director, shall determine if a complaint submitted to the Board is complete pursuant to the requirements of G.S. 89-17 and Rules .0501 and .0514 of this Chapter and, if so, shall forward it to an investigator. In addition, the Chair shall be responsible for evaluating the investigative report and proposing further action as authorized by Rule .0515 of this Chapter. If the Chair identifies a conflict of interest as defined by G.S.138A-36(a) or Rule .0513 of this Chapter, the Vice-Chair shall review the Complaint. If both Chair and Vice-Chair have a conflict of interest, the Secretary-Treasurer shall review the Complaint. If none of these persons can serve, then the Chair shall designate another Board member to review the Complaint.

(b) Board Vice-Chair. The Vice-Chair, in the absence of the Chair, shall perform all of the duties of the Chair. The Vice-Chair shall sign all certificates issued.

(c) Secretary- Treasurer:

(1) The Secretary-Treasurer, with the assistance of an Executive Director or such other officers or employees as may be approved by the Board, shall conduct and care for all the correspondence of the Board, keep the minutes of all the meetings, keep all books and records, and sign all certificates issued. The Secretary-Treasurer shall have charge, care and custody of the official documents of the Board. The Secretary-Treasurer shall provide due notice of the time and place of all meetings of the Board to each member of the Board.

(2) The Secretary-Treasurer, with the assistance of an Executive Director or such other officers or employees as may be approved by the Board, shall receive all moneys from applicants for annual renewal or other fees and deposit them in an authorized depository of the Board. The Secretary-Treasurer shall give bond to be conditioned on the faithful performance of the duties of this office and on the faithful accounting of all monies and other property as shall come into this officer's hands.

(3) The Secretary-Treasurer, with the assistance of an Executive Director or such other officers or employees as may be approved by the Board, shall provide to each applicant for a license or registration a current copy of G.S. 89E and the rules of this Chapter. Copies of the Geologists Licensing Act and the rules of this Chapter shall be provided by mail with the application packet or in electronic format on the Board's Internet website (www.ncblg.org) with the on-line application packet.

History

• Authority G.S. 89E-4; 89E-5; 89-17
• Eff. February 1, 1986
• Amended Eff. April 1, 2003; April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. June 1, 2017.

21 NCAC 21 .0105 Seal of Board

The seal shall have the words "North Carolina Board for Licensing of Geologists" and the secretary-treasurer shall have charge, care and custody thereof.

History

• Authority G.S. 89E-5
• Eff. February 1, 1986
• Amended Eff. April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 21 .0106 Forms

History

• Status: repealed
• Authority G.S. 55B-2(6); 55B-10; 89E-8; 89E-10; 89E-11; 89E-12
• Eff. February 1, 1986
• Amended Eff. January 1, 1992; April 1, 1989; March 1, 1988
• Repealed Eff. May 1, 2003.

21 NCAC 21 .0107 Fees

(a) Completed application forms must be accompanied by the prescribed fee. Application fees shall not be refunded regardless of Board approval or disapproval of the application. Fees shall be:

(1) Application for license $ 55.00

(2) Application for registration $ 50.00

(3) Examination per part: cost plus $ 30.00

(4) Annual renewal of license $ 85.00

(5) Annual renewal of certificate of registration for corporation or limited

liability company $ 25.00

(6) Application for reinstatement of license $150.00

(7) Application for reinstatement of registration $ 10.00

(8) Replacement of license or registration certificate $ 10.00

(9) Licensed geologist stamp or seal: cost plus $ 7.50

(10) Registered geological corporation or limited liability company stamp or seal:

cost plus $ 7.50

(b) All licenses shall expire on July 1. Annual license renewal fees received after July 1 and before August 1 of the year due shall be accompanied by a late payment penalty of fifty dollars ($50.00).

(c) Licenses that have not been renewed by August 1 may only be renewed by:

(1) filing a reinstatement application, demonstrating that the applicant is otherwise qualified and entitled to license renewal, in accordance with Rule .0302 of this Chapter;

(2) payment of any delinquent annual fees having accrued since the last timely renewal of the license; and

(3) payment of the reinstatement fee specified in Subparagraph (a)(6) of this Rule.

(d) All registrations shall expire on July 1. If a corporation or limited liability company fails to apply for renewal of its certificate of registration by August 1 of the year due, the registration may only be renewed by:

(1) filing a reinstatement application, demonstrating that the firm is otherwise qualified and entitled to a renewal of its certificate of registration, in accordance with Rule .0302 of this Chapter;

(2) payment of the required renewal fee; and

(3) payment of the reinstatement fee specified in Subparagraph (a)(7) of this Rule.

(e) Licenses and registrations that have been revoked under G.S. 89E-19 may be reinstated by filing a reinstatement application in accordance with Rule .0302 of this Chapter and paying the reinstatement fee specified in Subparagraph (a)(6) or (a)(7) of this Rule, as applicable.

(f) Extensions for certain members of armed forces. Individuals who are serving in the armed forces of the United States to whom an extension of time to file a tax return has been granted by G.S. 105-249.2 shall be granted the same extension of time to pay their annual license fee. Such individuals shall provide to the Board documentation to support their request for extension.

History

• Authority G.S. 55B-2(6); 55B-10; 55B-11; 89E-5; 89E-8; 89E-10; 89E-12; 89E- 13; 89E-19; 93B-15; 105-249.2
• Eff. February 1, 1986
• Amended Eff. April 1, 2003; May 1, 1994; April 1, 1993; January 1, 1992; April 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 21 .0201 Records of Board Proceedings

History

• Status: repealed
• Authority G.S. 89E-14(a)
• Eff. February 1, 1986
• Repealed Eff. April 1, 1989.

21 NCAC 21 .0202 Records of Applications

All records of applications for registration shall be retained by the Board.

History

• Authority G.S. 89E-14
• Eff. February 1, 1986
• Amended Eff. April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 21 .0203 Roster of Licensed Geologists

Every individual licensee has the continuing responsibility of keeping the Board currently advised of the licensee's proper and current mailing address and the name or names under which the licensee is practicing. Each licensee shall immediately notify the Board of any and all changes of association or address.

History

• Authority G.S. 89E-15
• Eff. February 1, 1986
• Amended Eff. April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 21 .0204 Applicability of Board Rules

History

• Status: repealed
• Authority G.S. 89E-5(h)
• Eff. February 1, 1986
• Repealed Eff. April 1, 1989.

21 NCAC 21 .0301 Requirements for Licensing

(a) Education. In determining whether an applicant meets the education requirements of the Geologists Licensing Act, the Board shall accept transcripts from colleges and universities that are accredited by a national or regional accrediting organization such as the Southern Association of Colleges and Schools. An applicant shall have:

(1) graduated from an accredited college or university and have a degree with a major in geology, engineering geology or geological engineering, or related geological science; or

(2) completed 30 hours of geological study or the equivalent in geological science courses leading to a major in geology, of which at least 24 hours of the equivalent shall have been upper-level undergraduate courses or graduate courses in areas such as geology, geophysics, geochemistry, oceanography, paleontology, hydrology, soil science, economic geology, and engineering geology.

(b) References. Five letters of reference submitted to the Board which shall satisfy the Board as to the character, reputation, responsibility, integrity and competence of the applicant. These letters of reference must be submitted by licensed geologists or engineers. No member of the Board shall act as a reference for any applicant for licensing. At least two of the five letters of reference must be submitted by licensed geologists who are familiar with the applicant's work in the field of geology.

(c) Written Examination. Except as provided in Paragraph (e) of this Rule, applicants shall pass the written examination administered by the Board in conjunction with the National Association of State Boards of Geology (A.S.B.O.G.). The applicant shall be notified, not less than 30 days before the examination, of the time and place of the examination. An applicant having a record of three failures shall not be allowed to take that examination again until the applicant makes a written appeal to the Board and the Board confirms the applicant is qualified for examination pursuant to the rules in this Section. The applicant shall demonstrate to the Board that actions have been taken to improve the applicant's possibility of passing the exam, such as taking additional classes or gaining additional experience in the field.

(d) Experience. In determining whether an applicant meets the experience requirements of the Geologists Licensing Act, the Board shall consider the total work experience record of the applicant. The Board shall look for the applicant's ability to conduct geological work in a satisfactory manner with little or no supervision.

(e) Certificate by comity. The Board shall grant a license without further examination to a person who has been licensed by another jurisdiction to engage in the practice of geology when the applicant meets the following conditions:

(1) the applicant has filed an application for license and paid the fee required by Rule .0107 of this Chapter;

(2) the applicant has provided evidence of education and experience equal to the requirements of Paragraphs (a), (b), and (d) of this Rule as indicated in Rule .0302 of this Section;

(3) the applicant is in good standing with the agency regulating the practice of geology in any jurisdiction in which the applicant holds a license to practice geology; and

(4) the applicant has successfully passed a written examination equivalent to the examination required by the Board pursuant to G.S. 89E-9 and Paragraph (c) of this Rule.

History

• Authority G.S. 89E-7; 89E-8; 89E-9; 89E-11
• Eff. February 1, 1986
• Amended Eff. April 1, 2003; April 1, 1990; April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. June 1, 2017.

21 NCAC 21 .0302 Application Procedure

(a) All applicants for licensing shall furnish the following with their applications:

(1) an official copy of their college transcript and verification of graduation sent directly from the institution to the Board;

(2) verification of experience in the practice of geology on forms provided by the Board and available on the Board's website, stating:

(A) the dates of employment;

(B) the name and contact information for the applicant's supervisor at each place of employment;

(C) a brief description of the applicant's duties and responsibilities at each place of employment; and

(D) each employer's opinion of the applicant's competency;

(3) five references as defined in Rule .0301(b) of this Section;

(4) a notarized copy of a completed application form as prescribed by the Board and available on the Board's website, stating:

(A) the applicant's name and contact information, birth date, and social security number;

(B) professional experience and education;

(C) information as to whether the applicant has ever been convicted of a felony or misdemeanor;

(D) a list of references,

(E) list of other licenses or registrations held by the applicant;

(F) the applicant's professional affiliations; and

(G) whether the applicant has been denied a license or certification or been subject to a disciplinary action; and

(5) the application fee as prescribed in Rule .0107 of this Chapter.

(b) Applicants for reinstatement of an expired, suspended, or inactive license or registration shall submit a reinstatement application and shall submit the fee as provided by Rule .0107 of this Chapter.

(c) Applicants for reinstatement of a revoked license or registration shall submit such information as is required by the Board to determine eligibility for reinstatement pursuant to G.S. 89E-21, such as an explanation of why the license was revoked and information showing the applicant has cured the situation that resulted in the revocation of the license or registration, and shall submit the fee as provided by Rule .0107 of this Chapter.

(d) Additional information required by the Board to approve or deny approval on any application shall be filed with the Board within 60 days of the applicant's receipt of notice to provide such information. This may include any of the applicant's written reports, maps, published articles, or other materials the Board determines are appropriate to document the applicant's experience as a geologist. Failure to submit the supplemental information requested within the time specified by this Rule may result in the Board's rejection of the application without further notice prior to such rejection. Examples of factors that may result in the rejection of an application include information that another state has revoked applicant's license to practice geology or information that an applicant by comity is unable to show that the exam taken was equivalent to that required by the Board.

History

• Authority G.S. 89E-7; 89E-8; 89E-9; 89E-11; 89E-12; 89E-21
• Eff. February 1, 1986
• Amended Eff. April 1, 2003; April 1, 1990; April 1, 1989; March 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. June 1, 2017.

21 NCAC 21 .0303 Inactive Status

(a) The board shall grant inactive status to a licensee if:

(1) the licensee submits a letter in writing to the Board before the current license has expired, requesting inactive status; and

(2) at the time the letter request is submitted, the licensee's license has not been suspended, surrendered, or revoked.

The Board shall notify the licensee that he or she has been granted inactive status or the reason the request was not granted.

(b) If the licensee seeking inactive status be the person identified as the North Carolina licensed geologist for a corporation registered with the Board, another licensee who meets the statutory requirements shall be identified in order to maintain the professional corporation's registration with the Board. If this is not done before the licensee is granted inactive status, the Board shall suspend the professional corporation's registration and shall send notification of this suspension to the professional corporation by certified mail the same day the licensee is notified that the request for inactive status was granted.

(c) A geologist or registered corporation with an inactive or suspended license shall not engage in the public practice of geology in North Carolina.

(d) A geologist with an inactive license shall no longer seal and certify documents with his or her seal.

(e) The Board shall maintain a list of all inactive licensees.

(f) Any reference to an inactive geologist on a letter, title, sign, card, or devise shall list such geologist as "Retired Geologist" or "N.C. Geology License No. __ (inactive)."

(g) An individual who wishes to convert their license from inactive to active status shall submit an application for reinstatement, proof of 12 hours of continuing education taken in the 12 months prior to the reinstatement request, and payment of the reinstatement fee set forth in Rule .0107 of this Chapter.

(h) In no case shall an individual remain on inactive status for more than five years without permission of the Board. If an individual has been on inactive status for five years and does not request additional time to hold an inactive license, the license shall expire.

(i) A geologist who has been granted inactive status is not required to fulfill continuing education requirements.

History

• Authority G.S. 89E-4; 89E-5
• Eff. June 1, 2017.

21 NCAC 21 .0401 Certificate

History

• Status: repealed
• Authority G.S. 89E-5(d); 89E-18(d)
• Eff. February 1, 1986
• Repealed Eff. April 1, 1989.

21 NCAC 21 .0402 Seal

History

• Status: repealed
• Authority G.S. 89E-5(d); 89E-18(d)
• Eff. February 1, 1986
• Repealed Eff. April 1, 1989.

21 NCAC 21 .0403 Introduction

Beginning July 1, 2017 and before July 1, 2018, each person holding an active geology license shall complete 12 hours of continuing professional education relating to geology as a condition for licensure renewal.

History

• Authority G.S. 89E-4; 89E-5
• Eff. June 1, 2017.

21 NCAC 21 .0404 Requirements

(a) Each application for renewal shall include information, attested to by the licensee under penalty of perjury on a form provided by the Board and available on the Board's website, establishing that the licensee has completed the minimum required contact hours of approved continuing education, and shall state the following information:

(1) the licensee's name;

(2) the licensee number;

(3) the licensee contact information;

(4) the name of entity providing continuing education;

(5) a description of continuing education taken;

(6) the dates and hours the licensee participated in continuing education; and

(7) the amount of continuing education credit claimed.

(b) Each licensee shall obtain 12 contact hours of continuing education during each renewal period. If a licensee exceeds the annual requirement in any renewal period, a maximum of 12 hours may be carried forward to the next renewal period.

(c) A contact hour is defined as actual instruction time (credited to the nearest one-quarter of an hour) received in-person or through an online class that includes interaction between the teacher and student or through any other similar format.

(d) In order to meet the requirements of this Section, courses and activities shall be in accordance with the continuing education Guidelines approved by the Board. The Board will provide a list posted on the Board's website of the professional societies whose courses have been preapproved for continuing education credit. Continuing education credit may be earned through any of the following activities:

(1) teaching or completing for-credit courses at any accredited university or college;

(2) teaching or completing continuing education courses, seminars, field trips, or workshops sponsored by a professional geological society or an accredited university or college;

(3) teaching or completing course work sponsored by other professional or educational organizations approved by the Board;

(4) presenting or attending seminars, workshops, or professional or technical presentations made at conventions, conferences of professional organizations, or at accredited universities or colleges;

(5) presenting or attending seminars, workshops, or professional or technical presentations made by or sponsored by employers who apply geoscience skills to accomplish their organizational missions;

(6) a licensee may receive double credits for each hour he or she teaches or presents. Teaching credit is valid for teaching a course or seminar for the first time only; and

(7) a licensee may receive a maximum of six hours continuing education credit for a published peer reviewed book or article.

(e) Courses offered by professional societies that have not been pre-approved by the Board may be submitted, by either the licensee or course provider, for review and approval within 90 days before or 180 days after the licensee takes the course.

History

• Authority G.S. 89E-4; 89E-5
• Eff. June 1, 2017.

21 NCAC 21 .0405 Determination of Credit

(a) The Board shall review all information provided by the licensee on the form required by Rule .0404(a) of this Section as part of the annual license renewal. The Board may request additional information from the licensee as required to verify the continuing education earned.

(b) The Board shall determine the amount of continuing education credit earned by each licensee, based on materials submitted. The Board determination of credit shall consider the following factors:

(1) the relevance of course material to the practice of geology, and

(2) the number of credit hours requested.

History

• Authority G.S. 89E-4; 89E-5
• Eff. June 1, 2017.

21 NCAC 21 .0406 Recordkeeping

(a) Records substantiating Board-approved continuing education activities shall include the following:

(1) a log that shows the type of activity claimed; title or specific subject; the name of the organization that provided the continuing education; the location, duration, date, and instructor's or speaker's name; credit hours earned; and other information on a form as prescribed by the Board;

(2) copies of registration receipts and brochures identifying the continuing-education activities attended by the licensee;

(3) attendance verification records in the form of completion certificates; and

(4) other documents that support evidence of attendance.

(b) The licensee shall maintain records that support the claimed credit hours for Board-approved continuing education activities. These records shall be maintained for a period of three years and copies may be requested by the Board for audit verification purposes.

(c) The licensee shall provide to the Board's Executive Director electronic copies of the records substantiating the continuing education activities for which he or she is claiming credit.

History

• Authority G.S. 89E-4; 89E-5
• Eff. June 1, 2017.

21 NCAC 21 .0407 Exemptions

A licensee is exempt from the annual continuing education requirements as long as any of the following exceptions apply:

(1) New licensees by way of examination shall be required to show proof of 12 hours of continuing education when his or her geology license is renewed for the second time.

(2) New licensees by way of comity shall show proof of 12 hours of continuing education the first time his or her North Carolina license is renewed.

(3) If currently licensed by and in good standing (license is not surrendered, suspended, or revoked) with the Board, a licensee who is serving on active duty as a member of the armed forces of the United States and who is eligible for an extension of time to file a tax return pursuant to G.S. 105-249.2 may request a waiver of the mandatory continuing education requirements for the time period disregarded pursuant to the Internal Revenue Code, 26 U.S.C. 7508, as follows:

(a) The licensee shall notify the Board of eligibility before the current license expires. Upon such notification, the Board shall maintain the license in active status through the extension period.

(b) If the licensee fails to notify the Board of eligibility for the extension period before the current license expires, upon receipt and acceptance of a renewal application within the extension period and presentation of proof that the licensee was eligible on the date that is the deadline for renewal, the expired license or registration shall be deemed retroactively to have not expired.

(c) The licensee who submits a renewal application within the extension period shall not be deemed to hold a lapsed license subject to reinstatement fees.

(d) The licensee may renew the license within the extension period despite failing to complete the specified continuing education requirements.

(e) A licensee shall provide proof of eligibility for the extension period when the licensee or registrant submits the renewal application, which shall include:

(i) a copy of military orders denoting the respective active duty period; or

(ii) a copy of form DD-214 denoting each respective active duty period.

(4) If currently licensed by and in good standing (license is not surrendered, suspended, or revoked) with the Board, a licensee who is serving in a reserve component of the armed forces of the United States and completes an aggregate of 90 days active duty in a given calendar year in accordance with 10 U.S.C. 12301(a); 10 U.S.C. 12302; 10 U.S.C. 12304; or 14 U.S.C. 712 may request a waiver of the mandatory continuing education requirements during the year in which the 90-day aggregate active duty occurred, as follows:

(a) The licensee shall notify the Board of eligibility before the current license expires. Upon such notification, the Board shall maintain the license in active status through the extension period.

(b) If the licensee fails to notify the Board of eligibility for the extension period before the current license expires, upon receipt and acceptance of a renewal application within the extension period and presentation of proof that the licensee was eligible on the date that is the deadline for renewal, the expired license or registration shall be deemed retroactively to have not expired.

(c) The licensee who submits a renewal application within the extension period shall not be deemed to hold a lapsed license subject to reinstatement fees.

(d) The licensee may renew the license within the extension period despite failing to complete the specified continuing education requirements.

(e) A licensee shall provide proof of eligibility for the extension period when the licensee or registrant submits the renewal application, which shall include:

(i) a copy of military orders denoting the respective active duty period; or

(ii) a copy of form DD-214 denoting the respective active duty period.

(5) The Board may grant an exemption at a licensee's request if the Board determines that the licensee is experiencing physical disability, illness, or other extenuating circumstances that prevent the licensee from obtaining continuing education hours. Supporting documentation shall be furnished to the Board along with a written request.

(6) Licensees who list their occupation as "Inactive" on the Board-approved renewal form and who are no longer providing geological services are not required to earn continuing education credits. In the event such a person elects to return to active practice of geology, 12 hours of continuing education shall be earned in the year prior to the licensee's return to active practice.

History

• Authority G.S. 89E-4; 89E-5
• Eff. June 1, 2017.

21 NCAC 21 .0501 Filing of Charges and Disciplinary Actions

(a) Any person may file a complaint with the Board against a geologist for disciplinary action based on a violation of G.S. 89E or of these Rules on a form provided by the Board. This form is on the Board's website at www.ncblg.org and may be requested from the Board. The complainant shall provide the following information:

(1) the name and contact information of the person making the complaint;

(2) the name and contact information of persons with information about the incident leading to the complaint;

(3) information regarding the complaint, such as the address where work was performed, a description of the work performed, and the specific plan, survey, or report documenting the work performed; and

(4) the statute or rule which was allegedly violated.

(b) The complaint shall set forth the facts upon which the complaint is based. The complainant shall swear or affirm that the facts stated in the complaint are true.

(c) Upon receipt of a complaint or upon the Board's own initiative, the Board's Executive Director, Board Chair, and counsel to the Board shall meet to determine whether the Board has jurisdiction over the complaint and whether there is good cause to proceed with an investigation.

(d) If it is determined there are grounds to proceed, the Board's professional staff shall open a case file, notify the complainant that the complaint has been received and a file opened, notify and provide a copy of the complaint to the respondent-licensee named in the complaint and request a response, and initiate an investigation of the allegations in the complaint.

(e) Based upon a review of the complaint or the results of the investigation, and consistent with procedures required by G.S. 150B, the Board may suspend or revoke the license or certificate of registration, may issue a reprimand as provided in Rule .0502 of this Section, or may, upon a statement of the reasons therefore, dismiss the charge as unfounded or trivial, which statement shall be mailed to the geologist and the complainant. If the Board determines that a licensee is professionally incompetent, the Board may require the licensee to demonstrate fitness to practice as allowed in G.S. 89E-19(b). In making this determination, the Board shall consider whether the licensee acted in conformance with the requirements of G.S. 89E and this Chapter. In addition to issuing a reprimand or suspending or revoking a license or certificate of registration, the Board, may impose a civil penalty pursuant to the requirements set forth in G.S. 89-19E.

(f) The Board shall notify the complainant and the respondent-licensee in any complaint filed with the Board of the disposition of the case and may publish in the Board's newsletter or other public media any disciplinary action taken against a licensee or registrant or any legal action taken against any person found to be in violation of G.S. 89E or these Rules after all rights to appeal have been exhausted.

History

• Authority G.S. 89E-5; 89E-17; 89E-19; 89E-20
• Eff. February 1, 1986
• Amended Eff. April 1, 1989
• Temporary Amendment Eff. November 24, 1999
• Amended Eff. April 1, 2003; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. June 1, 2017.

21 NCAC 21 .0502 Reprimand

(a) If evidence of a violation is found, but it is determined that a disciplinary hearing is not warranted, the Board may issue a reprimand to the accused party. A record of such reprimand shall be mailed to the accused party, and within 15 days after receipt of the reprimand the accused party may refuse the reprimand and request that a hearing be held pursuant to G.S. 150B. Such refusal and request shall be addressed to the Board and filed with the Executive Director of the Board.

(b) Upon timely filing of a notice refusing the reprimand and requesting a hearing, the Board shall determine whether the Board shall conduct the evidentiary hearing or whether it shall refer the matter to the Office of Administrative Hearings for designation of an administrative law judge to conduct the hearing. If the Board elects to conduct the hearing, the legal counsel for the Board shall prepare and file a Notice of Hearing.

(c) If the Letter of Reprimand is accepted, a copy of the reprimand shall be maintained in the office of the Board. If a party receiving a reprimand wishes to file a letter rebutting his or her reprimand, he or she may in writing waive his or her right to hearing and submit a letter of rebuttal to be placed in his or her file.

History

• Authority G.S. 89E-5; 89E-19; 89E-20
• Eff. February 1, 1986
• Amended Eff April 1, 1989
• Temporary Amendment Eff. November 24, 1999
• Amended Eff. April 1, 2003; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. June 1, 2017.

21 NCAC 21 .0503 Applicable Hearing Rules

History

• Status: repealed
• Authority G.S. 89E-5; 89E-20; 150B-38
• Eff. February 1, 1986
• Amended Eff. April 1, 1989
• Repealed Eff. April 1, 2003.

21 NCAC 21 .0504 caution

History

• Status: repealed
• Authority G.S. 89E-5; 89E-20; 150B-38
• Eff. February 1, 1986
• Amended Eff. April 1, 1989
• Repealed Eff. April 1, 2003.

21 NCAC 21 .0505 Right to Hearing

When the Board initiates a disciplinary action that affects or may affect a licensee pursuant to Sections .0500 and .0600 of this Chapter, the Board shall give, by certified mail to each affected licensee at his or her last known address, a notice of the proposed action and of his or her right to a hearing.

History

• Authority G.S. 89E-20; 150B-11; 150B-38
• Eff. February 1, 1986
• Amended Eff. April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. June 1, 2017.

21 NCAC 21 .0506 Request for Hearing

(a) When an individual believes his or her rights, duties, or privileges have been or may be affected by the Board's administrative action, but has not received notice of a right to an administrative hearing, he or she may file a request for a hearing.

(b) The request shall bear the notation: RE: REQUEST FOR ADMINISTRATIVE HEARING. That request shall contain the following information:

(1) name and address of the petitioner;

(2) a concise statement of the action taken by the Board which is challenged;

(3) a concise statement of the way in which the petitioner has been aggrieved; and

(4) a clear and specific request for a hearing.

(c) Such a request shall be acknowledged and, if deemed appropriate under Rule 21 NCAC 21 .0507, a hearing shall be scheduled.

History

• Authority G.S. 89E-20; 150B-11; 150B-38
• Eff. February 1, 1986
• Amended Eff. April 1, 1989
• Pursuant to G.S. 150B 21.3A, rule is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. June 1, 2017.

21 NCAC 21 .0507 Granting or Denying Hearing Requests

(a) The Board will grant a request for a hearing if it determines that the party requesting the hearing is a "person aggrieved" within the meaning of G.S. 150B-2(6).

(b) The denial of a request for a hearing will be issued immediately upon decision, and in no case later than 60 days after the submission of the request. Such denial shall contain a statement of the reasons leading the Board to deny the request.

(c) Approval of a request for a hearing will be signified by issuing a notice as required by G.S. 150B-38(b).

History

• Authority G.S. 89E-20; 150B-11; 150B-38
• Eff. February 1, 1986
• Amended Eff. April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 21 .0508 Notice of Hearing

(a) In addition to the items specified in General Statutes 150B-38(b) to be included in the notice, notices of administrative hearings of the Board:

(1) shall give the name, position, address and telephone number of a person in the Board office to contact for further information or discussion;

(2) may give notice of the date, time, and place for a prehearing conference, if any; and

(3) may include any other information deemed relevant to informing the party or parties as to the procedure of the hearing.

(b) If the Board determines that the public health, safety or welfare requires such action, it may issue an order summarily suspending a license. Upon service of the order, the licensee to whom the order is directed shall immediately cease the practice of geology in North Carolina. The Board shall promptly give notice of hearing pursuant to G.S. 150B-38 following service of the order. The suspension shall remain in effect pending issuance by the Board of a final agency decision pursuant to G.S. 150B-42.

History

• Authority G.S. 89E-19; 89E-20; 150B-3; 150B-11; 150B-38
• Eff. February 1, 1986
• Amended Eff. April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 21 .0509 No Ex Parte Communications

History

• Status: repealed
• Authority G.S. 89E-20; 150B-35
• Eff. February 1, 1986
• Repealed Eff. April 1, 1989.

21 NCAC 21 .0510 Petition for Intervention

(a) A person desiring to intervene in a contested case must file a written petition with the Board. The request should bear the notation: RE PETITION TO INTERVENE IN THE CASE OF (name of case).

(b) The petition must contain the information specified in Rule 24 of the North Carolina Rules of Civil Procedure.

(c) If the Board determines to allow intervention, notice of that decision will be issued promptly to all parties and to the petitioner.

(d) If the Board denies intervention, the petitioner will be notified promptly. Such notice will be in writing, will state the reasons for the decision, and will be issued to the petitioner and all parties.

History

• Authority G.S. 89E-20; 150B-38
• Eff. February 1, 1986
• Amended Eff. April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 21 .0511 Types of Intervention

The Board shall allow intervention as provided by Rule 24 of the North Carolina Rules of Civil Procedure.

History

• Authority G.S. 89E-20; 150B-38
• Eff. February 1, 1986
• Amended Eff. April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. June 1, 2017.

21 NCAC 21 .0512 Hearing Officers: Designation: Powers

History

• Status: repealed
• Authority G.S. 89E-20; 150B-32; 150B-33
• Eff. February 1, 1986
• Repealed Eff. April 1, 1989.

21 NCAC 21 .0513 Disqualification of Board Members

(a) Self-disqualification. If for any reason a Board member determines that personal bias or other factors render him or her unable to participate in a contested case hearing and perform all duties in an impartial manner, he or she shall submit, in writing, to the Board, his or her disqualification and the reasons.

(b) Petition for Disqualification. If for any reason any party in a contested case believes that a Board member is personally biased or otherwise unable to participate in a contested case hearing and perform all duties in an impartial manner, the party may file a sworn, notarized affidavit with the Board. The title of such affidavit shall bear the notation: AFFIDAVIT OF DISQUALIFICATION OF BOARD MEMBER IN THE CASE OF [name of case].

(c) Contents of Affidavit. The affidavit shall state all facts the party deems relevant to the disqualification of the Board member.

(d) Timeliness and Effect of Affidavit. An affidavit of disqualification shall be considered timely if filed ten days before the commencement of the hearing or at the first opportunity after the party becomes aware of facts set forth in the affidavit. Where a petition for disqualification is filed less than ten days before or during the course of a hearing, the hearing shall continue with the challenged Board member sitting. Petitioner shall have the opportunity to present evidence supporting his or her petition, and the petition and any evidence relative thereto presented at the hearing shall be made a part of the record. The Board, before rendering its decision, shall decide whether the evidence justifies disqualification. In the event of disqualification, the disqualified member shall not participate in further deliberation or decision of the case.

(e) Procedure for Determining Disqualification:

(1) the Board shall appoint a Board member to investigate the allegations of the affidavit;

(2) the investigator shall report to the Board the findings of the investigation;

(3) the Board shall decide whether to disqualify the challenged individual;

(4) the person whose disqualification is to be determined shall not participate in the decision but may be called upon to furnish information to the other members of the Board;

(5) when a Board member is disqualified prior to the commencement of the hearing or after the hearing has begun, such hearing shall continue with the remaining members sitting provided that the remaining members still constitute a majority of the Board; and

(6) if three or more members of the Board are disqualified pursuant to this Rule, the Board shall petition the Office of Administrative Hearings to appoint an administrative law judge to hear the contested case pursuant to G.S. 150B-40(e).

History

• Authority G.S. 89E-20; 150B-11; 150B-38; 150B-40
• Eff. February 1, 1986
• Amended Eff. April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. June 1, 2017.

21 NCAC 21 .0514 Investigation

(a) Complaints received by the Board which are determined to be within the jurisdiction of the Board following review by the Board Chair, the Executive Director, and the Board's Counsel and to provide the information required by Rule .0501 of this Section shall be forwarded to an investigator for further inquiry as to whether the acts or omissions alleged violate the provisions of G.S. 89E, the Board's Rules of Professional Conduct, or any other rules of this Chapter. The Board's Executive Director shall notify the licensee or corporate registrant of the complaint that:

(1) the licensee or corporate registrant has a duty to cooperate fully with the investigation by the Board; and

(2) the licensee or corporate registrant may submit a written response to the complaint.

(b) The investigator shall collect all information needed to determine whether a violation has occurred and the nature and severity of the violation. Information gathered during the course of an investigation shall be treated by the Board as confidential information in accordance with G.S. 89E-17(c) until the Board takes disciplinary action against the licensee or registered corporation.

(c) After collecting information relevant to the complaint, the investigator shall submit a report that consists of the complaint, information gathered in the course of investigation, and the investigator's conclusion to a peer-review committee for evaluation. The peer-review committee shall consist of at least two licensed geologists. The peer reviewers and investigator may consult to discuss the investigation into the complaint and their conclusions regarding the complaint. The peer reviewers shall prepare a written evaluation that documents whether any violation of the provisions of G.S. 89E, the Board's Rules of Professional Conduct, or any other rules of this Chapter has occurred.

(d) The investigation report (including the supporting information relevant to the complaint) and the written evaluation of the peer-review committee shall be submitted to the Executive Director of the Board to be added to the licensee's written response to the complaint, if any, for further proceedings in accordance with Rule .0515 of this Section.

History

• Authority G.S. 89E-5; 89E-17; 89E-20
• Temporary Adoption Eff. November 24, 1999
• Eff. August 1, 2000
• Amended Eff. April 1, 2003
• Pursuant to G.S. 150B 21.3A, rule is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. June 1, 2017.

21 NCAC 21 .0515 Disciplinary Procedure

(a) Upon receipt of an investigation report and evaluation from the Board's investigator and peer review committee in accordance with Rule .0514 of this Section, the Board's Executive Director shall forward to the Chair of the Board (or to a member of the Board designated by the Chair) and the Board's counsel the investigation report, evaluation, and the supporting documentation along with the licensee's or registrant's written response to the complaint, if any.

(b) The Chair or his or her designee, in consultation with the Board's counsel, shall propose the disciplinary action for the violation revealed by the investigation, consistent with the provisions of G.S. 89E-19. The Chair (or a member of the Board designated by the Chair) may issue a summary suspension pursuant to G.S. 150B-3(c). The Chair or his or her designee, may also propose dismissal of the complaint.

(c) After review of the investigation report, evaluation, and supporting documentation, the Chair shall notify the licensee or registrant of the proposed disciplinary action by certified mail sent to the last known address of the licensee or registrant as indicated in the Board's official roster. This notification shall contain a summary of the alleged facts or conduct upon which the proposed disciplinary action is based, the effective date of the proposed disciplinary action, and an explanation of the licensee's or registrant's hearing rights pursuant to G.S. 150B, Article 3A. Notification for summary suspensions shall meet the requirements of G.S. 150B-3(c).

(d) Requests for hearing shall be submitted, in writing, at the Board's office no later than 5:00 p.m. on the 15th day after receipt of notification of proposed disciplinary action. If the licensee or registrant does not file a written request for hearing with the Board, the Board shall receive the Chair's recommendation on disciplinary action at its next meeting. If, after review of a summary of the facts of the case that does not include identifying information such as the licensee's name or license number, a majority of the Board agrees with the Chair's recommendation, the proposed disciplinary action shall become a final agency decision. If a majority of the Board does not agree with the Chair's recommendation, the Board shall review of the investigator's report without supporting documentation for the purpose of proposing an appropriate disciplinary action or dismissal. The Chair shall not participate in the deliberations or the voting with regard to either his or her recommendation or the Board's decision regarding a substitute disciplinary action. A new notice of proposed disciplinary action shall be sent to the licensee or registrant, if necessary, in accordance with the procedure set out in Paragraph (c) of this Rule, and the licensee or registrant may file a request for hearing, in writing, at the Board's office no later than 5:00 p.m. on the 15th day after receipt of the new notice of proposed disciplinary action.

(e) The licensee or registrant may request a settlement conference; however, neither the request for settlement conference nor the Board's agreement to enter into settlement negotiations shall extend the 15-day deadline for requesting an opportunity for a hearing or any other deadlines in the hearing process. The Chair or his or her designee Chair is delegated authority to negotiate a settlement; however, the settlement agreement shall be approved by a majority of the members of the Board before the proposed disciplinary action will be rescinded.

(f) Upon receipt of written request for hearing, the Board may conduct an administrative hearing as authorized by G.S. 150B-38 or the Board may request the Office of Administrative Hearings to conduct the hearing as authorized by G.S. 150B-40. Hearings shall be conducted in accordance with the rules of this Chapter.

(g) A majority of the members of the Board other than the Chair or his or her designee shall render the final agency decision, in accordance with G.S. 150B-42, after a hearing on the proposed disciplinary action. The Chair or his or her designee who proposed the disciplinary action after a full review of the facts available to the investigator and peer review committee shall not participate in the discussion of the contested case and shall not vote on the final decision for disciplinary action. Nothing in this Rule shall prevent members of the Board from participating in the discussion and vote on a final agency decision with regard to proposed disciplinary action if they have reviewed the investigator's report without supporting documentation solely for the purpose of determining whether probable cause existed to support the allegations of violation and for the purpose of proposing an appropriate disciplinary action.

History

• Authority G.S. 89E-5; 89E-19; 89E-20; 150B-3; 150B-38 through 150B-42
• Temporary Adoption Eff. November 24, 1999
• Eff. August 1, 2000
• Amended Eff. April 1, 2003
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. June 1, 2017.

21 NCAC 21 .0601 Witnesses

Any party may be a witness and may present witnesses on the party's behalf at the hearing. All oral testimony at the hearing shall be under oath or affirmation and shall be recorded. At the request of a party or upon the Board's own motion, the presiding officer may exclude witnesses from the hearing room so that they cannot hear the testimony of other witnesses.

History

• Authority G.S. 89E-20; 150B-11; 150B-25(a); 150B-38; 150B-40
• Eff. February 1, 1986
• Amended Eff. April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 21 .0602 Simplification of Issues

The parties to a contested case, specifically including the Board, may agree in advance to simplify the hearing by: decreasing the number of the issues to be contested at the hearing; accepting the validity of certain proposed evidence; accepting the findings in some other case with relevance to the case at hand; or agreeing to such other matters as may expedite the hearing.

History

• Authority G.S. 89E-20; 150B-11; 150B-41
• Eff. February 1, 1986
• Amended Eff. April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 21 .0603 Subpoenas

(a) The Board shall use the following procedure to issue a subpoena pursuant to the authority granted the Board by G.S. 150B-39:

(1) Subpoenas shall be issued in duplicate, with a "Return of Service" form attached to each copy. The person serving the subpoena shall fill out the "Return of Service" form for each copy and promptly return one copy of the subpoena, with the attached "Return of Service" form completed to the Board;

(2) Subpoenas shall be served by the sheriff of the county in which the person subpoenaed resides, when the party requesting such subpoena prepays the Sheriff's service fee;

(3) In accordance with G.S. 150B-39, the Board may quash any subpoena issued in a case for which the Board is conducting a hearing. Any person receiving a subpoena in such case may object thereto by filing a written objection to the subpoena with the Board by mailing same to the Board office;

(4) Such objection shall include a concise, but complete, statement of reasons why the subpoena should be revoked or modified. These reasons may include lack of relevancy of the evidence sought, lack of particularity in the description of the evidence sought, or any other reason sufficient in law for holding the subpoena invalid, such as that the evidence is privileged, that appearance or production would be so disruptive as to be unreasonable in light of the significance of the evidence sought, or other undue hardship.

(5) Any such objection to a subpoena must be served on the party who requested the subpoena simultaneously with the filing of the objection with the Board.

(6) The party who requested the subpoena, in such time as may be granted by the Board, may file a written response to the objection. The written response shall be served by the requesting party on the objecting witness simultaneously with filing the response with the Board.

(7) After receipt of the objection and response thereto, if any, the Board shall issue a notice to the party who requested the subpoena and the party who is challenging it, and may notify all other parties of an open hearing, to be scheduled as soon as practicable, at which time evidence and testimony may be presented, limited to the narrow questions raised by the objection and response, if any.

(8) Promptly after the close of such hearing, the Board shall rule on the challenge and issue a written decision. A copy of the decision shall be issued to all parties and made a part of the record.

(9) Subpoenas shall contain the following:

(A) the caption of the case;

(B) the name and address of the person subpoenaed;

(C) the date, hour and location of the hearing in which the witness is commanded to appear;

(D) a particularized description of the books, papers, records or objects the witness is directed to bring with him to the hearing, if any;

(E) the identity of the party on whose application the subpoena was issued, and the date of issue;

(F) the signature of the person issuing the subpoena; and

(G) a return of service form, fully executed, which shows the name and capacity of the person serving the subpoena, the date on which the subpoena was delivered to the person directed to make service, the date on which service was made, the person on whom service was made, the location and manner in which service was made, and the signature of the person making service.

(b) Where the Board grants a request for hearing and elects to conduct the evidentiary hearing without referral, subpoenas may be issued by the attorney for any party in accordance with the provisions of G.S. 1A-1, Rule 45. Upon objection by any person receiving a subpoena in such case, the Board may quash the subpoena after following the procedure specified in Part (A) of this Rule.

(c) Where the Board grants a request for hearing and elects to refer the contested case to the Office of Administrative Hearings for the designation of an administrative law judge to preside at the hearing, the issuance or quashing of subpoenas will be governed by G.S. 150B-27 or other applicable rules of the Office of Administrative Hearings.

History

• Authority G.S. 89E-5; 89E-20; 150B-38; 150B-39; 150B-40
• Eff. February 1, 1986
• Amended Eff. April 1, 2003; April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 21 .0604 Final Decisions in Administrative Hearings

(a) In all cases heard by the Board, the Board shall issue its decision after its next regularly scheduled meeting following the close of the hearing, but no later than 120 days after the close of the hearing as required by G.S. 150B-44.

(b) In all cases where a request for hearing is granted by the Board, but the case has been referred to the Office of Administrative Hearings for designation of an administrative law judge to conduct the hearing, the Board will issue its decision within 60 days after its next regularly scheduled meeting following receipt of the proposal for decision, hearing transcript, and other evidence submitted or offered as proof at the hearing conducted by the administrative law judge.

(c) The time for issuing a final agency decision may be extended by agreement of the parties.

History

• Authority G.S. 89-5; 89E-20; 150B-38; 150B-40; 150B-42; 150B-44
• Eff. February 1, 1986
• Amended Eff. April 1, 2003; April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 21 .0605 Exceptions and Proposed Decisions

(a) When a request for hearing has been granted and the case referred to the Office of Administrative Hearings and the administrative law judge has made a proposal for decision, each party shall do the following:

(1) file written exceptions to the proposal for decision, unless the party accepts the decision in its entirety. Any party may choose to submit alternative findings of fact and conclusions of law. Where a party excepts to a finding, conclusion, or recommendation and requests its deletion or amendment, an alternative finding, conclusion or recommendation shall be proposed. Exceptions and alternative findings of fact and conclusions of law shall be received by the Board no later than 30 calendar days after the receipt of the proposal for decision and accompanying evidentiary materials by the Board. Each exception and proposed alternative finding or conclusion shall specifically, separately, and in detail, set forth how the finding or conclusion is clearly contrary to the preponderance of the admissible evidence, and the specific reason(s) the Board should not adopt the administrative law judge's finding of fact or conclusion of law. Each exception and proposed alternative finding or conclusion shall also reference the specific evidence in the record which supports the rejection of the administrative law judge's finding of fact or conclusion of law, including but not limited to references to the testimony of witnesses and any evidentiary exhibits. Any new findings of fact proposed to the Board must be supported by a preponderance of the admissible evidence in the record. Reference must be made to the transcript of the hearing;

(2) file a Proposed Decision and Order for consideration by the Board to accompany the party's written exceptions. The proposed Decision and Order shall be received by the Board no later than 30 calendar days after the receipt of the administrative law judge's proposal for decision and evidentiary materials by the Board. The Proposed Decision and Order shall indicate separately and in detail, for each finding of fact to be rejected by the Board and for each alternative finding of fact, the reasons therefore and the supporting evidence in the record. The Proposed Decision and Order shall demonstrate that the decision of the Administrative Law Judge is clearly contrary to the preponderance of the admissible evidence in the record, and shall set forth its reasoning, which shall also describe the exercise of discretion by the Board, if any; and

(3) file a brief, if any, to accompany any filed exceptions and Proposed Decision and Order. Responsive briefs are not encouraged, but shall be considered if received by the Board no later than five days after a party's receipt of the other party's brief, exceptions or proposed final agency decision. Briefs shall be limited to 15 pages in length, unless prior approval is obtained.

(b) When a request for hearing has been granted and the Board elects to conduct the evidentiary hearing, the parties may file a hearing brief outlining the issues of law to be determined by the Board as a result of the evidentiary hearing. These briefs must be filed with the Board no later than 30 days prior to the date of hearing. Response briefs are not encouraged, but shall be accepted if filed with the Board no later than five days after receipt of the other party's brief. The parties also may file a proposed decision with findings of fact and conclusions of law. Proposed decisions must be filed with the Board within 15 days of the conclusion of the hearing or within 15 days of the Boards' receipt of the transcript of the hearing, if any, whichever is later. The findings of fact and conclusions of law in the proposed decision must make specific reference to the evidence admitted at the hearing and to the transcript.

(c) Unless otherwise directed, parties shall file these documents at the Board’s office by 5:00 p.m. on the date due. Parties shall submit eight copies of each set of written exceptions, proposed decision, and any brief. Copies of parts of the record which may be useful to the Board may be included in an appendix to pleadings, document or other papers. A copy of any document filed with the Board shall be served on all parties.

(d) Upon receipt of request for further oral argument, notice shall be issued promptly to all parties designating time and place for such oral argument.

(e) Giving due consideration to the proposal for decision and the exceptions and arguments of the parties, the Board may adopt the proposal for decision or may modify it as the Board deems necessary. The decision rendered shall be a part of the record and a copy thereof given to all parties. The decision as adopted or modified becomes the "final agency decision" for the right to judicial review. Said decision shall be rendered by the Board within 60 days of the next regularly scheduled meeting following the oral arguments, if any. If there are no oral arguments presented, the decision shall be rendered within 60 days of the next regularly scheduled Board meeting following receipt of the written exceptions.

History

• Authority G.S. 89E-5; 89E-20; 150B-38; 150B-40; 150B-42
• Eff. February 1, 1986
• Amended Eff. April 1, 2003; April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 21 .0606 Oral Argument

(a) The parties shall be notified of the date, time and place of oral argument before the Board (if held separately from an evidentiary hearing). Oral argument in all cases shall be limited to 15 minutes per presentation, unless prior approval is obtained. Such arguments shall be based solely on the information contained in the record as compiled by the Board or as submitted to the Board by the Office of Administrative Hearings. If a party fails to appear after receiving notice of the time for oral argument, the Board may proceed to issue a decision in the absence of the party.

(b) If the evidentiary hearing was conducted by an administrative law judge, the party which did not prevail before the administrative law judge is entitled to make the first oral argument and to present a rebuttal. If both parties are seeking changes in the administrative law judge's recommended decision, both parties may present a rebuttal and the party with the burden of proof shall make the first oral argument and the first rebuttal.

(c) If the oral argument is part of an evidentiary hearing conducted by the Board, the attorney representing the Board may make the first oral argument and present a rebuttal.

History

• Authority G.S. 89E-5; 89E-20; 150B-38; 150B-40
• Eff. April 1, 2003
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 21 .0607 Extension of Time; Notification of Final Decision

(a) An extension of time to take any action required by these Rules may be granted by the Board after considering the following circumstances:

(1) the age of the case;

(2) whether the circumstances necessitating the extension are outside of the control of the moving parties;

(3) whether the moving parties have previously received an extension of time;

(4) the potential prejudice, inconvenience, or other harm to any party; and

(5) the likelihood that an extension will delay the ultimate resolution of the matter.

(b) A final agency decision shall be made within the time limits of G.S. 150B-44, and the parties may receive notice of the decision by telephone, electronic mail, facsimile, or any other method deemed by the Board to be helpful in assuring prompt notification of the parties. The written final decision shall be filed at the Board's office and served on all parties by certified mail, return receipt requested at the last address given by the party. Service on other persons receiving notice of the final decision shall be made by first class mail. The Board shall maintain the records of all contested cases in accordance with its records disposition schedule.

History

• Authority G.S. 89E-5; 89E-20; 150B-38; 150B-40; 150B-44
• Eff. April 1, 2003
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 21 .0701 Right to Judicial Review

History

• Status: repealed
• Authority G.S. 83-4; 89E-20; 150B-43; 150B-45
• Eff. February 1, 1986
• Repealed Eff. April 1, 1989.

21 NCAC 21 .0702 Manner of Seeking Review

History

• Status: repealed
• Authority G.S. 83-4; 89E-20; 150B-43; 150B-45
• Eff. February 1, 1986
• Repealed Eff. April 1, 1989.

21 NCAC 21 .0801 General Purpose

History

• Status: repealed
• Authority G.S. 150B, Article 2
• Eff. February 1, 1986
• Repealed Eff. April 1, 1989.

21 NCAC 21 .0802 Copies of Rules: Inspection

(a) Anyone desiring to obtain a copy of the rules of the Board may do so by requesting such from the Board. The Board shall charge twenty-five cents ($0.25) per page and actual postage costs.

(b) The rules of the Board and other public documents maintained by the Board are available for public inspection at the office of the Board (3733 Benson Drive, Raleigh, N.C. 27609) during regular office hours.

History

• Authority G.S. 89E-5; 89E-14; 89E-17; 132-1; 132-2; 132-6.
• Eff. February 1, 1986
• Amended Eff. April 1, 2003; April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 21 .0803 Petition for Rulemaking Hearings

(a) Any person wishing to submit a petition requesting the adoption, amendment, or repeal of a rule (the "proposed rule") by the Board shall file the petition with the Board. The first page of the petition shall clearly bear the notation: RULEMAKING PETITION RE and then [state the subject area]. The Petition shall contain the following information:

(1) the text of the proposed rule for adoption or amendment;

(2) a statement of the reasons for adoption or amendment of the proposed rule or the repeal of an existing rule;

(3) a statement of the proposed rule's effect on existing rules or orders;

(4) the name and address of the petitioner; and

(5) a request to present the petition to the Board, if desired.

(b) In its review of the proposed rule, the Board shall consider whether it has authority to adopt the rule; the effect of the proposed rule on existing rules, programs, and practices; probable costs and cost factors of the proposed rule; and the impact of the rule on the public and licensees. The petitioner may include the following information with the request:

(1) the statutory authority for the agency to promulgate the rule;

(2) a statement of the effect of the proposed rule(s) on existing practices in the area involved, including the cost for persons affected by the proposed rule;

(3) a statement explaining the computation of the cost;

(4) a description, including the names and addresses, if known, of those most likely to be affected by the proposed rule; and

(5) documents and data supporting the proposed rule.

(c) An original and eight copies of the petition and supporting documents shall be filed with the Board.

(d) Filings that do not contain the information required by this Rule shall not be accepted and shall be returned by the Chair to the person making the filing.

History

• Authority G.S. 89E-5; 150B-20
• Eff. February 1, 1986
• Amended Eff. April 1, 2003.
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. June 1, 2017.

21 NCAC 21 .0804 Disposition of Petitions for Rulemaking

(a) The Chair may request additional information from the petitioner, may contact any interested person or persons likely to be affected by the proposed rule and request comments, and may use any other appropriate method to obtain additional information.

(b) When deemed complete by the Chair, petitions for rulemaking shall be presented to the Board for its consideration and determination at a regularly-scheduled meeting of the Board within 120 days following submission of the complete petition. The Chair shall determine the order and duration of discussion regarding the petition, including discussion by members of the public if any.

(c) Within 120 days following submission of the complete petition requesting rulemaking, unless the parties have agreed to an extension of time, the Board shall:

(1) initiate rulemaking proceedings in accordance with G.S. 150B-20 and notify the petitioner in writing; or

(2) deny the petition in writing with the reason for the denial and send the written denial to the petitioner.

History

• Authority G.S. 89E-5; 150B-20
• Eff. February 1, 1986
• Amended Eff. April 1, 2003; April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. June 1, 2017.

21 NCAC 21 .0805 Written Submissions

History

• Status: repealed
• Authority G.S. 150B-12(e)
• Eff. February 1, 1986
• Repealed Eff. April 1, 1989.

21 NCAC 21 .0806 Statement of Reasons for Decision

History

• Status: repealed
• Authority G.S. 150B-12(e)
• Eff. February 1, 1986
• Repealed Eff. April 1, 1989.

21 NCAC 21 .0807 Record Proceedings

A record of all rulemaking proceedings will be maintained by the Board for as long as the rule is in effect, and for five years thereafter, following filing with the Office of Administrative Hearings. This record will contain: the original petition, if any, the notice, and all written memoranda and presentations. Records of rulemaking proceedings will be available for public inspection at the office of the Board during regular office hours.

History

• Authority G.S. 150B-12
• Eff. February 1, 1986
• Amended Eff. April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 21 .0901 Subjects of Declaratory Rulings

History

• Status: repealed
• Authority G.S. 150B-17
• Eff. February 1, 1986
• Repealed Eff. April 1, 1989.

21 NCAC 21 .0902 Submission of Request for Declaratory Ruling

(a) All requests for declaratory rulings shall be written and filed with the Board. The first page of the request shall bear the notation: REQUEST FOR DECLARATORY RULING. The request must include the following information:

(1) name and address of petitioner;

(2) statute or rule or order of the Board on which a ruling is desired;

(3) concise statement of the manner in which petitioner is aggrieved by the rule or statute or its potential application to him;

(4) a concise statement as to whether the request is for a ruling on the validity of a rule, statute or order or on the applicability of a rule, statute or order to a given factual situation;

(5) arguments or data which demonstrate that the petitioner is aggrieved by the rule, statute or order or by the potential application to him;

(6) a statement of the consequences of a failure to issue a declaratory ruling in favor of petitioner; and

(7) a statement of whether an oral argument is desired and, if so, the reason(s) for requesting such an oral argument.

(b) A request for a ruling on the applicability of a rule, order, or statute must include a description of the specific factual situation on which the ruling is to be based. A request for a ruling on the validity of a Board rule must state the aggrieved person's reasons for questioning the validity of the rule. A person may ask for both types of rulings in a single request. A request for a ruling must include or be accompanied by:

(1) a statement of the specific statement of facts proposed for adoption by the Board; and

(2) a draft of the proposed ruling.

History

• Authority G.S. 89E-5; 89E-20; 150B-4
• Eff. February 1, 1986
• Amended Eff. April 1, 2003
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 21 .0903 Disposition of Requests

(a) The Board's Chair shall make a determination on the completeness of the request for declaratory ruling based on the requirements of Rule .0902 of this Section, and he or she shall make a recommendation to the Board on whether to issue or decline to issue a declaratory ruling.

(b) Before deciding the merits of the request, the Board may:

(1) request additional written submissions from petitioner(s);

(2) request a written response from any other person; or

(3) hear oral argument upon written request from the petitioner or other persons on the issues raised by the request if the Board determines oral argument would be helpful to its consideration of the request.

(c) No party shall offer testimony or conduct cross-examination before the Board in a declaratory ruling proceeding.

(d) Whenever the Board determines for good cause that the issuance of a declaratory ruling is undesirable, the Board may refuse to issue such ruling. The Board shall notify in writing the person that requested the ruling of the reasons for the refusal to issue a ruling on the request.

(e) For purposes of Paragraph (d) of this Rule, the Board shall determine whether good cause exists by considering factors such as the following:

(1) whether the facts are in dispute;

(2) whether there has been a similar determination in a previous contested case or declaratory ruling;

(3) whether the matter is the subject of a pending contested case hearing or litigation in any North Carolina or federal court;

(4) whether the factual context put forward as the subject of the declaratory ruling was specifically considered upon the adoption of the rule being questioned, as evidenced by the rulemaking record; and

(5) whether no genuine controversy exists as to the application of a statute or rule to the specific factual situation presented.

(f) The requesting party may agree to allow the Board to extend the time by which to issue a ruling on the merits of the request pursuant to G.S. 150B-4.

History

• Authority G.S. 89E-5; 89E-20; 150B-4
• Eff. February 1, 1986
• Amended Eff. April 1, 2003; April 1, 1989
• Pursuant to G.S. 105B 21.3A, rules is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. June 1, 2017.

21 NCAC 21 .0904 Record of Decision

A record of all declaratory ruling proceedings will be maintained in the Board's office for as long as the ruling is in effect and for five years thereafter. This record will contain: the petition, the notice, all written submissions filed in the request, whether filed by the petitioner or any other person, and a record or summary of oral presentations, if any. Records of declaratory ruling proceedings will be available for public inspection during regular office hours.

History

• Authority G.S. 150B-11
• Eff. February 1, 1986
• Amended Eff. April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 21 .1001 Practice of Geology by Corporations and Limited Liability Companies

(a) Application. Application for a Certificate of Registration for corporations and limited liability companies to practice geology within the State of North Carolina shall be made upon forms provided by the Board. Completed applications must conform to the requirements of Rule .0302 of this Chapter and be accompanied by the fee prescribed in Rule .0107 of this Chapter. Certificates of Registration shall be issued only to corporations meeting the provisions of the Professional Corporation Act, G.S. 55B, and companies meeting the provisions of the Limited Liability Company Act, G.S. 57C, except as provided in Paragraph (b) of this Rule.

(b) Corporations and Limited Liability Companies Exempt from G.S. 55B. Applications for a Certificate of Registration as exempt from the Professional Corporation Act or the Limited Liability Company Act under the provisions of G.S. 55B-15 or G.S. 57C-2-01 shall be made upon forms provided by the Board. To be eligible as an exempt corporation under the provisions of G.S. 55B-15 the following conditions must exist:

(1) The corporation or limited liability company shall have been incorporated or organized prior to June 5, 1969 and permitted by law to render professional services or must be a corporate successor to such a corporation or limited liability company as defined by G.S. 55B-15; or

(2) The corporation or limited liability company must have been incorporated or organized prior to September 1, 1991, and before and after September 1, 1991 the corporation or limited liability company must have been a bonafide firm engaged in the practice of geology and such services as may be ancillary thereto within the State of North Carolina.

(c) Renewal of Certificate. The renewal of Certificates of registration for corporations and limited liability companies shall follow the requirements as set out in Rule .0107 of this Chapter.

(d) Seal. Each registered corporation or limited liability company shall obtain from the Board a seal approved by the Board. Such seal shall contain the name of the corporation or limited liability company, its North Carolina registration number and the words "registered geological corporation" or "registered geological limited liability company" as applicable.

(e) Approval of Name. The name used by a geological corporation or limited liability company shall be approved by the Board before being used. Names shall be approved by the Board pursuant to the requirements and limitations of G.S. 55, 55B and G.S. 57C unless the name has been registered previously by another geological corporation or limited liability company. This Rule shall not prohibit the continued use of any corporate name adopted in conformity with the General Statutes of North Carolina and board rules in effect at the date of such adoption.

History

• Authority G.S. 55B-5; 55B-10; 55B-11; 55B-14; 55B-15; 57C-2-01; 89E- 5; 89E-12; 89E-13
• Eff. January 1, 1992
• Amended Eff. April 1, 2003
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 21 .1002 Foreign Corporations and Limited Liability Companies

(a) Formation in Other States. Corporations and Limited Liability Companies formed in other states may be granted Certificates of Registration for the practice of geology in this State on the receipt by the Board of a completed application as specified in Rules .0301 and .0302 of this Chapter and the payment of the appropriate application fee indicated in Rule .0107 of this Chapter. In addition to the other requirements as set out in G.S. 89E-12, foreign corporations and limited liability companies must, prior to registration, receive from the Secretary of State of North Carolina a Certificate of Authority to transact business within the State.

(b) Designated Individuals. Foreign corporations and limited liability companies shall be permitted to practice geology within the State of North Carolina provided that the corporation or limited liability company must designate at least one geologist who is licensed by the State of North Carolina to be in responsible charge for the firm's practice of geology within the State of North Carolina.

History

• Authority G.S.; 55B-16; 57C-2-01; 89E-5; 89E-12
• Eff. January 1, 1992
• Amended Eff. April 1, 2003
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 21 .1101 Rules of Professional Conduct

(a) Each geologist licensed by the Board and each partnership, corporation, or other legal entity authorized to offer or perform geological services in this State shall comply with these Rules of Professional Conduct.

(b) The geologist shall conduct his or her practice in order to protect the public health, safety, and welfare:

(1) The geologist shall at all times recognize his or her primary obligation to protect the safety, health, and welfare of the public in the performance of his or her professional duties. If his or her geologic judgment is overruled under circumstances where the safety, health, and welfare of the public are endangered, he or she shall inform his or her employer of the possible consequences and notify other proper authority of the situation.

(2) The geologist shall protect the public health, safety, and welfare by maintaining sufficient personal on-site involvement and continual direction and review of the activities of subordinates that constitute public practice of geology while such activities are in progress. The licensee shall provide such supervision and have sufficient knowledge of the project and site conditions necessary to assure accuracy and compliance with all applicable laws and regulations, including G.S. 89E and the rules of this Chapter.

(c) The geologist shall perform his or her services only in areas of his or her competence:

(1) The geologist shall undertake to perform geologic assignments only when qualified by education or experience in the specific technical field of geology involved.

(2) The geologist may accept an assignment requiring education or experience outside of his or her own field of competence, but only to the extent that his or her services are restricted to those phases of the project in which he or she is qualified. All other phases of such project shall be performed by qualified associates, consultants, or employees.

(3) The geologist shall not affix his or her signature and seal to any document dealing with subject matter for which he or she lacks competence by virtue of education or experience or to any such plan or document not prepared under his or her direct supervisory control, except that the geologist may affix his or her seal and signature to drawings and documents depicting the work of two or more professionals provided he or she designates by note under his or her seal the specific subject matter for which he or she is responsible.

(d) The geologist shall issue public statements only in an objective and truthful manner:

(1) The geologist shall be completely objective and truthful in all professional reports, statements, or testimony. He or she shall include all relevant and pertinent information in such reports, statements, or testimony.

(2) The geologist when serving as an expert or technical witness before any court, commission, or other tribunal shall express an opinion only when it is founded upon adequate knowledge of the facts in issue, upon a background of technical competence in the subject matter, and upon honest conviction of the accuracy of his or her testimony.

(3) The geologist shall issue no statements, criticisms, or arguments on geologic matters connected with public policy that are inspired or paid for by an interested party or parties unless he or she has prefaced his or her comments by explicitly identifying himself, by disclosing the identities of the party or parties on whose behalf he or she is speaking, and by revealing the existence of any pecuniary interest he or she may have in the instant matters.

(4) The geologist shall not attempt to injure, maliciously or falsely, directly or indirectly, the professional reputation, prospects, practice, or employment of another geologist, nor shall he or she maliciously criticize another geologist's work in public. If he or she believes that another geologist is guilty of misconduct or illegal practice, he or she shall present such information to the Board.

(e) The geologist shall not attempt to supplant another geologist in a particular employment after becoming aware that the other has been selected for the employment.

(f) The geologist shall avoid conflicts of interest:

(1) The geologist shall conscientiously avoid conflicts of interest with his or her employer or client but, when unavoidable, the geologist shall disclose the circumstances to his or her employer or client.

(2) The geologist shall avoid all known conflicts of interest with his or her employer or client and shall promptly inform his or her employer or client of any business association, interest, or circumstances which could influence his or her judgment or the quality of his or her services.

(3) The geologist shall not accept compensation, financial or otherwise, from more than one party for services on the same project or for services pertaining to the same project, unless the circumstances are fully disclosed and agreed to by all those parties.

(4) The geologist shall not solicit or accept financial or other valuable consideration from material or equipment suppliers for specifying their products.

(5) The geologist shall not solicit or accept any gratuities, directly or indirectly, from contractors, their agents, or other parties dealing with his or her client or employer in connection with work for which he or she is responsible.

(6) When in public service as a member, advisor, or employee of a governmental body or department, the geologist shall not participate in considerations or actions with respect to services provided by him or his or her organization in private geological practices.

(7) The geologist shall not solicit or accept a contract for geological services from a governmental body on which a principal or officer of his or her business serves as a member.

(g) The geologist shall solicit or accept work only on the basis of his or her qualifications:

(1) The geologist shall not offer to pay, either directly or indirectly, any commission, political contribution, gift, or other consideration in order to secure work, exclusive of securing salaried positions through employment agencies.

(2) The geologist shall compete for professional employment on the basis of qualification and competence for proper accomplishment of the work. He or she shall not solicit or submit proposals for professional services that contain a false, fraudulent, misleading, deceptive, or unfair statement or claim regarding the cost, quality, or extent of services to be rendered.

(3) The geologist shall not falsify or permit misrepresentation of his or her academic or professional qualifications nor of the qualifications of his or her associates. He or she shall not misrepresent or exaggerate his or her degree of responsibility for the subject matter of prior assignments. Brochures or other presentations incident to the solicitation of employment shall not misrepresent pertinent facts concerning employers, employees, joint ventures, or their past accomplishments with the intent and purpose of enhancing his or her qualifications and those of his or her work associates.

(h) The geologist shall associate only with reputable persons or organizations:

(1) The geologist shall not knowingly associate with or permit the use of his or her name or firm name in a business venture by any person or firm which he or she knows, or has reason to believe, is engaging in business or professional practices of a fraudulent or dishonest nature.

(2) If the geologist has knowledge or reason to believe that another person or firm may be in violation of any of these provisions or of the North Carolina Geologist Licensing Act, he or she shall present such information to the Board and furnish such further information or assistance as may be required by the Board.

(i) Conviction of a felony without restoration of civil rights or the revocation or suspension of the license of a geologist by another jurisdiction, if for a cause which in the State of North Carolina would constitute a violation of G.S. 89E or of these rules, shall be grounds for a charge of violation of these Rules, for revocation of the certificate of licensure or corporate registration issued by this Board, and for the imposition of a civil penalty not to exceed five thousand dollars ($5,000).

History

• Authority G.S. 89E-5; 89E-16
• Temporary Adoption Eff. November 24, 1999
• Eff. August 1, 2000
• Pursuant to G.S. 150B 21.3A, rule is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. June 1, 2017.

21 NCAC 21 .1102 Rules of Conduct of Advertising

(a) The geologist shall not make exaggerated, misleading, `deceptive, or false statements or claims about his or her professional qualifications, experience, or performance in his or her brochures, correspondence, listing, or other public communications.

(b) The prohibitions listed in this Rule include the use of statements that contain a material misrepresentation of fact or omitting a material fact necessary to keep the statement from being misleading; statements intended or likely to create an unjustified expectation, statements containing prediction of future success, or statements containing an opinion as to the quality of services.

(c) Consistent with the foregoing, the geologist may advertise for the recruitment of personnel.

(d) Consistent with the foregoing, the geologist may prepare articles for the lay or technical press. Such articles shall not imply credit to the author for work performed by others.

History

• Authority G.S. 89E-5; 89E-16
• Temporary Adoption Eff. November 24, 1999
• Eff. August 1, 2000
• Pursuant to G.S. 21.3A, rule is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. June 1, 2017.

Chapter 22 Hearing Aid Dealers and Fitters

Subchapter A

21 NCAC 22A .0101 Formal Name

History

• Status: repealed
• Authority G.S. 93D-3; 150B-10; 150B-11
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22A .0102 Physical Address

History

• Status: repealed
• Authority G.S. 93D-3; 150B-10; 150B-11
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22A .0103 Office Hours

History

• Status: repealed
• Authority G.S. 93D-3; 150B-10; 150B-11
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22A .0104 Mailing Address

History

• Status: repealed
• Authority G.S. 93D-3; 150B-10; 150B-11
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22A .0105 Purposes and Responsibilities

History

• Status: repealed
• Authority G.S. 93D-3; 150B-10; 150B-11
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22A .0201 Composition

History

• Status: repealed
• Authority G.S. 93D-3
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22A .0202 Quorum

History

• Status: repealed
• Authority G.S. 93D-3
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22A .0203 Meetings of the Board

History

• Status: repealed
• Authority G.S. 93D-3(b)
• Eff. April 23, 1976
• Amended Eff. February 1, 1996; May 1, 1988
• Repealed Eff. March 1, 2013.

21 NCAC 22A .0204 Appointments

History

• Status: repealed
• Authority G.S. 93D-3(b)
• Eff. April 23, 1976
• Amended Eff. February 1, 1996; May 1, 1988
• Repealed Eff. March 1, 2013.

21 NCAC 22A .0205 Qualifications

History

• Status: repealed
• Authority G.S. 93D-3
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22A .0206 Annual Report

History

• Status: repealed
• Authority G.S. 93D-3
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22A .0301 Definitions and Interpretations

History

• Status: repealed
• Authority G.S. 93D-3(c); 150B-14
• Eff. April 23, 1976
• Amended Eff. May 1, 1988
• Repealed Eff. September 1, 2013.

21 NCAC 22A .0302 Board

History

• Status: repealed
• Authority G.S. 93D-1
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22A .0303 License

History

• Status: repealed
• Authority G.S. 93D-3(c); 93D-5
• Eff. April 23, 1976
• Amended Eff. May 1, 1988
• Repealed Eff. September 1, 2013.

21 NCAC 22A .0304 Hearing Aid

History

• Status: repealed
• Authority G.S. 93D-1; 93D-3
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22A .0305 Practice of Selling and Fitting Hearing Aids

History

• Status: repealed
• Authority G.S. 93D-1; 93D-3
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22A .0306 Disorders of Hearing

History

• Status: repealed
• Authority G.S. 93D-1; 93D-3
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22A .0307 Registered Apprentice

History

• Status: repealed
• Authority G.S. 93D-3(c); 93D-9
• Eff. May 1, 1988
• Amended Eff. February 1, 1996
• Repealed Eff. September 1, 2013.

21 NCAC 22A .0308 Registered Applicant

History

• Status: repealed
• Authority G.S. 93D-3(c); 93D-9
• Eff. May 1, 1988
• Amended Eff. February 1, 1996
• Repealed Eff. September 1, 2013.

21 NCAC 22A .0309 Duly Made Application

History

• Status: repealed
• Authority G.S. 93D-3(c); 93D-9
• Eff. May 1, 1988
• Amended Eff. February 1, 1996
• Repealed Eff. September 1, 2013.

21 NCAC 22A .0310 One Full Year of Apprenticeship

History

• Status: repealed
• Authority G.S. 93D-3(c); 93D-9
• Eff. May 1, 1988
• Amended Eff. February 1, 1996
• Repealed Eff. September 1, 2013.

21 NCAC 22A .0311 Direct Supervision

History

• Status: repealed
• Authority G.S. 93D-3(c); 93D-9
• Eff. May 1, 1988
• Amended Eff. February 1, 1996
• Repealed Eff. September 1, 2013.

21 NCAC 22A .0312 Audiometer

History

• Status: repealed
• Authority G.S. 93D-3(c); 93D-9
• Eff. May 1, 1988
• Amended Eff. February 1, 1996
• Repealed Eff. September 1, 2013.

21 NCAC 22A .0401 Definitions and Interpretations

(a) The rules of statutory construction concerning number and gender as contained in G.S. 12-3(1) shall be applied in the construction of these Rules.

(b) The definitions contained in the Food and Drug Administration Standards concerning Hearing Aid Devices, Title 21 of the Code of Federal Regulations Part 801.420, as published in the 42nd Volume of the Federal Register (February 15, 1977) page 9294 are incorporated herein by reference, not including subsequent amendments or editions of the referenced materials, with the following additions and amendments:

(1) "Reconditioned" shall mean that the condition of the hearing aid is the same as a used hearing aid.

(2) "Audiologist" shall mean any individual holding a valid non-temporary license as an audiologist issued by the North Carolina Board of Examiners for Speech and Language Pathologists and Audiologists.

(c) The definitions cited in this Section shall serve as interpretations for terms appearing in Chapter 93D of the General Statutes of North Carolina and in these Rules.

(1) "Advertising" means a written or oral communication that is published, disseminated, circulated, or placed before the public for the purpose of attracting public attention to a product, business, or service.

(2) "Apprentice" means an individual who holds a valid Board-issued apprentice registration certificate to fit and sell hearing aids under the supervision of a Registered Sponsor.

(3) "Audiometer" means an electronic device used for air conduction testing, bone conduction testing and obtaining speech audiometry results that contains a masking circuit, at least one VU meter, and capability of sound field output.

(4) "Direct supervision" means the Registered Sponsor shall be present in the office suite and immediately available to furnish assistance and direction to the Apprentice. It does not mean that the Registered Sponsor must be present in the room with the Apprentice when the Apprentice is fitting and selling hearing aids or completing associated contracts or other paperwork.

(5) "Duly made application" means a completed application received in the office of the Board, including all required documents, photographs, fees, and supplemental information requested in the application.

(6) "General supervision" means the Apprentice is under the Registered Sponsor's overall direction and control, but the Registered Sponsor's presence is not required when the Apprentice is fitting and selling hearing aids or completing associated contracts or other paperwork. Under general supervision, the training of the Apprentice, including instruction, consultation and on-site inspection and evaluation of the Apprentice's work, and the maintenance of the necessary equipment and supplies are the continuing responsibility of the Registered Sponsor.

(7) "One full year of apprenticeship" means that an apprentice satisfies each of the following requirements within 24 consecutive months from the date of issuance of the initial apprentice registration certificate:

(A) works under the supervision of a Registered Sponsor for a minimum of 27 clock hours per week for a period of 50 weeks; and

(B) holds a valid apprentice registration certificate for a period of 365 calendar days.

(8) "Personal supervision" means the Apprentice is under the Registered Sponsor's specific direction and control for training and instruction, and the Registered Sponsor shall be in attendance in the room with the Apprentice during:

(A) the evaluation or measurement of the powers or range of human hearing by means of an audiometer or by other means;

(B) the consequent selection, adaptation, sale, or rental of hearing aids intended to compensate for hearing loss;

(C) the making of an impression of the ear; and

(D) the completion of any associated contracts and other paperwork.

(9) "Registered Applicant" means any individual, including an apprentice, approved and registered to sit for the next scheduled licensing exam.

(10) "Registered Sponsor" means a person with a permanent license as an audiologist under Article 22 of Chapter 90 of the General Statutes who is registered in accordance with G.S. 93D-3(c)(16), or a licensee of the Board who has been approved as a sponsor of an apprentice.

History

• Authority G.S. 93D-1.1; 93D-3(c); 93D-9; 93D-13
• Eff. September 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
• Amended Eff. March 1, 2022.

21 NCAC 22A .0402 Abbreviations

The following abbreviations shall apply throughout this Chapter:

(1) IHS - International Hearing Society.

(2) ILE - International Licensing Examination for Hearing Healthcare Professionals.

History

• Authority G.S. 93D-3
• Eff. March 1, 2018.

21 NCAC 22A .0403 Forms

(a) F1 Form – Apprentice Registration Application. An individual who seeks licensure from the Board and who is required to complete one full year of apprenticeship shall submit a F1 form when submitting an apprentice registration electronic application for a new apprenticeship or to renew or replace an apprenticeship certificate. It requires the following:

(1) the sponsor last name;

(2) the reason for application by applicant;

(3) the sponsor license number and first and last name;

(4) the applicant first and last name, email address, and name to be printed on certificate;

(5) the apprentice business location, including business name, address, city, state zip code, county, and phone number;

(6) the apprentice mailing address;

(7) the education information including high school/GED school name, city, county, state, and year completed;

(8) acknowledgement of audiometer calibration certificate;

(9) acknowledgement of passport photo requirement;

(10) answering questions regarding the plan of supervision;

(11) acknowledgement of F1 Affidavit;

(12) acknowledgement of background check;

(13) answering the following yes or no questions:

(A) are you now or have you ever been apprenticed or licensed to fit and dispense hearing aids in any other state;

(B) have you ever made an application for apprenticeship or for a license to fit and dispense hearing aids that was denied;

(C) have you ever taken and failed to pass an examination for issuance of a license to fit and dispense hearing aids in any other state;

(D) has your apprenticeship or license to fit and dispense hearing aids in any other state ever been revoked or suspended;

(E) have you ever been convicted of or forfeited bond in connection with a criminal offense (i.e. misdemeanor or a felony)? Include DUIs and DWIs;

(F) have you ever been treated for alcoholism or narcotic abuse;

(G) have you ever filed for bankruptcy;

(H) have you ever been named as a party in a civil action (legal proceeding);

(I) to your knowledge, has a complaint ever been filed against you (or a company owned by you) with a hearing aid related board or organization, the Federal Trade Commission, or any consumer protection agency;

(J) to your knowledge, is there anything that would impair your ability to perform the functions for which you are licensed (such as a physical or mental disability);

(K) will you be working under the supervision of a Registered Sponsor for less than 27 hours per week; and

(14) selection of payment options.

(b) F4 Form – Application for License and Exam Registration. An apprentice or out of state applicant shall submit a F4 form when submitting an application for licensure and exam registration. It requires the following:

(1) the email address, first, and last name of applicant;

(2) the reason for application by applicant;

(3) the name as applicant wishes to have it printed on license;

(4) selection of exam part, exam period, and exam time preference;

(5) acknowledgement of exam reminders;

(6) acknowledgement of additional required documents;

(7) selection of payment options;

(8) the education information including high school/GED school name, city, county, state, and year completed;

(9) acknowledgement of background check;

(10) answering the following yes or no questions:

(A) are you now or have you ever been apprenticed or licensed to fit and dispense hearing aids in any other state;

(B) have you ever made an application for apprenticeship or for a license to fit and dispense hearing aids that was denied;

(C) have you ever taken and failed to pass an examination for issuance of a license to fit and dispense hearing aids in any other state;

(D) has your apprenticeship or license to fit and dispense hearing aids in any other state ever been revoked or suspended;

(E) have you ever been convicted of or forfeited bond in connection with a criminal offense (i.e. misdemeanor or a felony)? include DUIs and DWIs;

(F) have you ever been treated for alcoholism or narcotic abuse;

(G) have you ever filed for bankruptcy;

(H) have you ever been named as a party in a civil action (legal proceeding);

(I) to your knowledge, is there anything that would impair your ability to perform the functions for which you are licensed (such as a physical or mental disability);

(J) will you be engaged in fitting and selling hearing aids for less than 27 clock hours per week;

(11) the business address information of applicant; and

(12) attestation of duly made application.

(c) F7 Form – Verification of License. An out of state or military spouse applicant shall submit a F7 verification of license form when submitting an application for licensure and exam registration. It requires the following:

(1) authorization from the applicant for a state board, other than N.C., having control of any documents, records and other information pertaining to the applicant to furnish to the Board information, including documents, records regarding charges or complaints filed against me, formal or informal, pending or closed, or any other pertinent information;

(2) license verification by providing: the applicant first and last name, the board and State, the licensure status, the license number, the issue and expiration date of license;

(3) education verification if applicant has an audiology degree on file;

(4) discipline information by answering the following yes or no questions:

(A) has the applicant ever been the subject of complaints or charges received by your board;

(B) has the applicant ever been warned, censured or disciplined in any manner by your board;

(C) has any application by the above applicant for initial licensure or reinstatement ever been denied; and

(5) board seal, signature and title of person filling out information, and date.

(d) F10 Form - Application for License and Exam Registration for Military-Trained applicant or Military Spouse applicant. An applicant for apprentice registration shall submit a F10 form when submitting an application for licensure and exam registration. It requires the following:

(1) indication of whether the applicant is new or returning;

(2) the applicant first and last name, and email address;

(3) the applicant business location, including business name, address, city, state zip code, county, and phone number;

(4) the applicant mailing address;

(5) the reason for application;

(6) selection of exam part, exam period, and exam time preference;

(7) selection of option to mail or electronically submit required documentation;

(8) the education information including high school/GED school name, city, county, state, and year completed;

(9) the military program of training (if applying as military-trained applicant);

(10) the experience in fitting and selling hearing aids;

(11) acknowledgement of background check; and

(12) answering the following yes or no questions:

(A) are you now or have you ever been apprenticed or licensed to fit and dispense hearing aids in any other state;

(B) have you ever made an application for apprenticeship or for a license to fit and dispense hearing aids that was denied;

(C) have you ever taken and failed to pass an examination for issuance of a license to fit and dispense hearing aids in any other state;

(D) has your apprenticeship or license to fit and dispense hearing aids in any other state ever been revoked or suspended;

(E) have you ever been convicted of or forfeited bond in connection with a criminal offense (i.e. misdemeanor or a felony)? Include DUIs and DWIs;

(F) have you ever been treated for alcoholism or narcotic abuse;

(G) have you ever filed for bankruptcy;

(H) have you ever been named as a party in a civil action (legal proceeding);

(I) to your knowledge, has a complaint ever been filed against you (or a company owned by you) with a hearing aid related board or organization, the Federal Trade Commission, or any consumer protection agency;

(J) to your knowledge, is there anything that would impair your ability to perform the functions for which you are licensed (such as a physical or mental disability); and

(K) will you be working under the supervision of a registered sponsor for less than 27 hours per week?

History

• Authority G.S. 93B-8.1; 93B-15.1; 93D-3; 93D-5; 93D-6; 93D-8; 93D-9; 93D-11; 93D-13
• Eff. March 1, 2018.

21 NCAC 22A .0404 Affidavits

(a) F1 Apprentice Registration Affidavit. An individual who seeks licensure from the Board and who is required to complete one full year of apprenticeship shall submit an F1 affidavit when submitting an apprentice registration electronic application. It requires the following:

(1) the date of electronic application;

(2) the sponsor first and last name, license number or registered sponsor certificate number;

(3) the apprentice applicant first and last name, social security number, and date of birth of applicant;

(4) attestation by the applicant and sponsor of the following: I hereby affirm that I have completed the Apprentice Registration Application ("Application"); that I have read and understand the complete Application; and that I declare under penalty of perjury, that all of the information, documents, and materials submitted in response thereto are true, correct, and complete. I understand that falsification or misrepresentation of any item or response in this duly-made application (see 21 NCAC 22A) shall constitute a sufficient basis for the Board to deny the Application, revoke my license or initiate and pursue any other disciplinary action including revoking my license after issuance. I attest that I have read and understand the rules promulgated by the NC State Hearing Aid Dealers and Fitters Board, codified as Title 21, Chapter 22 of the North Carolina Administrative Code and North Carolina General Statute Chapter 93D, and I agree to abide by the same;

(5) applicant's and sponsor's signatures; and

(6) notarization.

(b) F4 Application for License and Exam Registration Affidavit. An apprentice or out of state applicant shall submit an F4 affidavit when submitting an application for licensure and exam registration. It requires the following:

(1) the date of electronic application;

(2) the first and last name, social security number, and date of birth of applicant;

(3) attestation by the applicant of the following: I hereby affirm that I have completed the Application for License/Exam Registration ("Application"); that I have read and understand the complete Application; and that I declare under penalty of perjury, that all of the information, documents, and materials submitted in response thereto are true, correct, and complete. I understand that falsification or misrepresentation of any item or response in this duly-made application (as defined in 21 NCAC 22A) shall constitute a sufficient basis for the Board to deny the Application, revoke my license or initiate and pursue any other disciplinary action including revoking my license after issuance. I attest that I have read and understand the rules promulgated by the NC State Hearing Aid Dealers and Fitters Board, codified as Title 21, Chapter 22 of the North Carolina Administrative Code and North Carolina General Statute Chapter 93D, and I agree to abide by the same;

(4) applicant's signature; and

(5) notarization.

(b) F6 Waiver of Apprenticeship Requirement Affidavit. An out of state applicant or military spouse applicant shall submit an F6 affidavit when submitting an application for licensure and exam registration. It requires the following:

(1) the date of electronic application;

(2) the first and last name of applicant;

(3) attestation by the authorized board representative of the following: I hereby affirm that I am an authorized representative of the Board shown below; that I have reviewed the Board's official records regarding the above-named applicant; that applicant is currently licensed and has been continuously licensed in the state or jurisdiction of (insert jurisdiction) for the past three consecutive years immediately preceding this affidavit; and that a Verification of Licensure form (F7-VOL) has been completed to supplement this affidavit.; and

(4) the date when giving attestation, first and last name of authorized board representative, title of representative, name of board, and board seal.

History

• Authority G.S. 93B-14; 93B-15.1; 93D-3; 93D-5; 93D-8; 93D-9; 93D-13
• Eff. March 1, 2018.

21 NCAC 22A .0501 Fee Schedule

The Board hereby establishes the following fees:

(1) Application for registration as an apprentice $100.00

(2) Renewal of apprentice registration $150.00

(3) Application for registration of a Registered Sponsor not otherwise

licensed by the Board $150.00

(4) Application for a license fee $425.00

(5) Examination fee $75.00

(6) Issuance of certificate of license after successfully passing

examination $ 25.00

(7) To reissue a suspended license more than 90 days after but not

more than two years after license suspended $200.00

(8) Annual license renewal $250.00

(a) Late fee: 60 days or fewer after license expiration

(in addition to renewal fee) $ 25.00

(b) Late fee: more than 60 days after license expiration

(in addition to renewal fee) $ 50.00

(9) Approval of a continuing education program provider $ 40.00

(10) Verifying and recording attendance at a continuing education

program (per program, per person) $ 15.00

(11) A continuing education make-up class provided by the Board

(per person, per day) $ 50.00

(12) A voluntary apprentice training workshop (per person, per day) $ 50.00

(13) A license examination preparation course provided by the

Board (per person, per day) $ 50.00

(14) Processing fee for a check on which payment has been refused by

the payor bank because of insufficient funds or because the drawer

did not have an account at that bank $ 25.00

History

• Authority G.S. 12-3.1; 25-3-506; 93D-3; 93D-5; 93D-8; 93D-9; 93D-11; 93D-13
• Temporary Adoption Eff. July 11, 1991, For a Period of 180 Days to Expire on January 7, 1992
• Eff. January 1, 1992
• Amended Eff. March 1, 2009; March 1, 2007
• Recodified from 21 NCAC 22B .0603 Eff. May 1, 2013
• Amended Eff. September 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
• Amended Eff. May 22, 2018.

21 NCAC 22A .0502 refunds

Application fees shall not be refunded for any reason.

History

• Authority G.S. 93D-3(c)
• Eff. April 23, 1976
• Amended Eff. May 1, 1988
• Recodified from 21 NCAC 22F .0110 Eff. May 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22A .0503 Submission of Applications and Fees

(a) Each applicant for a license shall submit an electronic application for licensure and exam registration located on the Board's website, www.nchalb.org, each time the applicant applies to take any portion of the exam. The application shall be considered a duly made application upon submission and receipt of the following:

(1) for an out of state applicant: F4 form, F4 affidavit, audiometer calibration, passport style photograph, background check, F6 affidavit, F7 form, ILE score transfer letter from IHS (if applicable), and necessary fees.

(2) for an apprentice: F4 form, F4 affidavit, audiometer calibration, passport style photograph, background check, and necessary fees.

(3) for a military trained applicant: F10 form, F4 affidavit, audiometer calibration, passport style photograph, background check, proof of military training, ILE score transfer letter from IHS (if applicable), and necessary fees.

(4) for a military spouse applicant: F10 form, F4 affidavit, audiometer calibration, passport style photograph, background check, F6 affidavit, F7 form, ILE score transfer letter from IHS (if applicable), and necessary fees.

(b) The Board shall accept a digital image of a signed affidavit or other document required as part of an application as the original when submitted electronically in conjunction with the electronic application.

(c) If an applicant submits an incomplete application, the Board office shall notify the applicant of the documents or any material otherwise needed in order for the application to be considered a duly made application. The application shall be classified as "abandoned by the applicant" if a duly made application is not submitted to and received by the Board office by the exam registration deadline. The Board shall not apply any fee paid or document submitted for the abandoned application to any other application. It is the responsibility of the applicant and the sponsor, if any, to ensure that all supplemental documents requested in the application are submitted by the exam registration deadline. This Rule shall not extend an application deadline set forth in any other rule of this Chapter.

(d) The exam registration deadline shall be 45 days prior to the examination date. An applicant may be denied admission to an exam if an application is submitted after the registration deadline, based on proximity to examination date, availability of space in the examination, and the applicant or the applicant's sponsor's past history of compliance with the Board's rules. An applicant denied admission to an examination due to late registration shall be registered for the next scheduled examination, if otherwise eligible.

(e) Part D will be the ILE as administered by the IHS. For applicants registering to take Part D of the Board's licensing exam, the applicant will receive electronic notification from the IHS with further instructions on how to register for Part D of the exam, and instructions on how to pay the ILE examination fee. The ILE examination fee shall be paid directly to the IHS.

(f) An applicant shall submit a new application for license and exam registration and pay the fees set forth in 21 NCAC 22A .0501 each time the applicant registers for Parts A, B, C, and D of the licensing exam. However, the Board shall waive the application for license fee and the exam registration fee but not the ILE examination fee for any applicant that is only taking Part D.

(g) All applicants shall reapply for a license by examination within the time prescribed in Paragraph (d) of this Rule each time they take and fail to pass the licensing examination.

(h) The Board shall deny a late duly made application, except as set forth in Paragraph (d) of this Rule.

(i) In computing the time stated in the rules of this Chapter, the day of the act or event shall not be included. The last day of the period shall be included, unless it is a Saturday, Sunday, or a legal holiday, in which event the period runs until the end of the next day that is not a Saturday, Sunday, or a legal holiday.

History

• Authority G.S. 25-3-506; 93D-3(c); 93D-5; 93D-9
• Eff. April 23, 1976
• Amended Eff. August 1, 2012; February 1, 1996; January 1, 1992; May 1, 1988
• Recodified from 21 NCAC 22F .0103 Eff. May 1, 2013
• Amended Eff. December 1, 2014; September 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
• Amended Eff. March 1, 2018.

Subchapter B

21 NCAC 22B .0101 Petitions

In accordance with G.S. 150B-16, any person desiring the adoption, amendment or repeal of a rule by the Board shall submit a petition to the Board containing the following information:

(1) Name of board;

(2) A draft of the proposed rule;

(3) Reasons for the adoption, amendment or repeal;

(4) Data supporting the proposed rule;

(5) The effect of the proposal on existing rules;

(6) Effects of the proposed rule on persons licensed under Chapter 93D of the General Statutes of North Carolina;

(7) Names (including addresses if known) of those most likely to be affected by the rule; and

(8) Name(s) and address(es) of petitioner(s).

History

• Authority G.S. 93D-3(c); 150B-12; 150B-16
• Eff. April 23, 1976
• Amended Eff. May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22B .0102 Contents of Petitions

History

• Status: repealed
• Authority G.S. 93D-3; 150B-16
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0103 Amendment or Repeal

History

• Status: repealed
• Authority G.S. 93D-3; 150B-16
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0104 Contents of Petitions

History

• Status: repealed
• Authority G.S. 93D-3; 150B-16
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0105 Granting or Denying Petitions

History

• Status: repealed
• Authority G.S. 93D-3; 150B-16
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0106 Recommendation

History

• Status: repealed
• Authority G.S. 93D-3; 150B-16
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0107 Final Decision

History

• Status: repealed
• Authority G.S. 93D-3; 150B-16
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0201 Notice to Parties

History

• Status: repealed
• Authority G.S. 93D-3; 150B-12; 150B-16
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0202 Mailing List

History

• Status: repealed
• Authority G.S. 93D-3; 150B-12; 150B-16
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0203 Public Notice

History

• Status: repealed
• Authority G.S. 93D-3; 150B-12; 150B-16
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0204 Information Requests

History

• Status: repealed
• Authority G.S. 93D-3; 150B-12; 150B-16
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0301 Location of Hearings

History

• Status: repealed
• Authority G.S. 93D-3; 150B-12
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0302 Comments

In accordance with G.S. 150B-12 and 150B-16, the record of hearing will be open for receipt of written comments for 30 consecutive days prior to the date of the public rule making hearing. Any interested person may present written or oral comments relevant to the actions proposed at the public rule making hearing or may deliver written comments to the Board office no later than 10:00 a.m. on the day of the hearing. Any person planning to make oral comments is encouraged to submit a written copy of the presentation at or before the time of the public hearing.

History

• Authority G.S. 93D-3(c); 150B-12; 150B-16
• Eff. April 23, 1976
• Amended Eff. May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22B .0303 Request for Oral Presentations

History

• Status: repealed
• Authority G.S. 93D-3; 150B-11; 150B-12; 150B-16
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0304 Oral Presentation

History

• Status: repealed
• Authority G.S. 93D-3; 150B-11; 150B-12; 150B-16
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0305 Written Statement

History

• Status: repealed
• Authority G.S. 93D-3; 150B-11; 150B-12; 150B-16
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0306 Acknowledgment

History

• Status: repealed
• Authority G.S. 93D-3; 150B-11; 150B-12; 150B-16
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0307 Control of Hearings

The presiding officer at the hearing shall have complete control of the proceedings including the allotment of time for oral presentations.

History

• Authority G.S. 93D-3(c); 150B-12
• Eff. April 23, 1976
• Amended Eff. May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22B .0308 Request for Statement on Final Decision

History

• Status: repealed
• Authority G.S. 93D-3; 150B-11; 150B-12; 150B-16
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0309 Records

History

• Status: repealed
• Authority G.S. 93D-3; 150B-11; 150B-12; 150B-16
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0401 Power to Issue

History

• Status: repealed
• Authority G.S. 93D-3; 150B-13
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0402 Length of Effectiveness

History

• Status: repealed
• Authority G.S. 93D-3; 150B-13
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0501 Request for Declaratory Ruling

Any person affected by a statute administered by the Board or by a rule promulgated by the Board may request a declaratory ruling as to the validity of a rule or as to the applicability of a statute or rule to a given state of facts. All requests for declaratory rulings shall be in writing and shall contain the following information:

(1) Name(s) and address(es) of petitioner(s);

(2) Statute and/or rule to which the petition relates; and

(3) Concise statement of facts and explanation of the manner in which the petitioner is injured, or thinks he may be injured, by the statute or rule as applied to him.

History

• Authority G.S. 93D-3(c); 150B-17
• Eff. April 23, 1976
• Amended Eff. April 1, 1989; May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22B .0502 Contents of Request

History

• Status: repealed
• Authority G.S. 93D-3; 150B-17
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0503 Refusal to Issue Declaratory Ruling

In accordance with G.S. 150B-17, the Board may decline to issue a declaratory ruling if any of the following circumstances exist:

(1) A declaratory ruling would be futile because circumstances have so changed since the promulgation of the rule that the rule no longer serves its original purpose;

(2) A similar factual situation has been the basis of a contested case;

(3) The factual situation at issue was specifically considered upon the adoption of the rule being questioned, as evidenced by the rule making record;

(4) The subject matter of the requested declaratory ruling is involved in a lawsuit pending in a court of this state or a federal court; or

(5) Failure to comply with the requirements contained in Rule .0501 of this Section.

History

• Authority G.S. 93D-3(c); 150B-17
• Eff. April 23, 1976
• Amended Eff. May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22B .0504 Issuance of Declaratory Ruling

History

• Status: repealed
• Authority G.S. 93D-3; 150B-17
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0505 Procedure

History

• Status: repealed
• Authority G.S. 93D-3; 150B-17
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0506 Validity of Rule

History

• Status: repealed
• Authority G.S. 93D-3; 150B-17
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0507 Circumstances

History

• Status: repealed
• Authority G.S. 93D-3; 150B-17
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0601 Fee Schedule

History

• Status: repealed
• Authority G.S. 12-3.1; 93D-3
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22B .0602 Amount

History

• Status: repealed
• Authority G.S. 12-3.1; 93D-3
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

Subchapter C

21 NCAC 22C .0101 Administrative Hearing Procedures

History

• Status: repealed
• Authority G.S. 93D-3(c); 150B-14; 150B-38(h)
• Eff. April 23, 1976
• Amended Eff. May 1, 1988
• Repealed Eff. January 1, 1992.

21 NCAC 22C .0102 Hearings

History

• Status: repealed
• Authority G.S. 93D-3; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0201 Request

History

• Status: repealed
• Authority G.S. 93D-3; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0202 Prerequisites

History

• Status: repealed
• Authority G.S. 93D-3; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0203 Written Request

History

• Status: repealed
• Authority G.S. 93D-3; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0204 Contents of Request

History

• Status: repealed
• Authority G.S. 93D-3; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0205 Acknowledgment

History

• Status: repealed
• Authority G.S. 93D-3; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0301 Granting a Hearing

History

• Status: repealed
• Authority G.S. 93D-3; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0302 Criteria

History

• Status: repealed
• Authority G.S. 93D-3; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0303 Issuance

History

• Status: repealed
• Authority G.S. 93D-3; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0304 Approval of Request

History

• Status: repealed
• Authority G.S. 93D-3; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0401 Failure to Notify

History

• Status: repealed
• Authority G.S. 93D-3; 150B-38; 150B-40
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0402 Failure to Appear

History

• Status: repealed
• Authority G.S. 93D-3; 150B-38; 150B-40
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0501 Reasonable Notice

History

• Status: repealed
• Authority G.S. 93D-3; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0502 Notice and Hearing

History

• Status: repealed
• Authority G.S. 93D-3; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0503 Additional Information on Notices and Hearings

History

• Status: repealed
• Authority G.S. 93D-3; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0504 Written Answers to Notice

History

• Status: repealed
• Authority G.S. 93D-3; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0601 Hearing Officers

History

• Status: repealed
• Authority G.S. 93D-3; 150B-40
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0602 Appointment

History

• Status: repealed
• Authority G.S. 93D-3; 150B-40
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0701 Location

History

• Status: repealed
• Authority G.S. 93D-3; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0702 Alternative Locations

History

• Status: repealed
• Authority G.S. 93D-3; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0801 Requirements

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0802 Permissive Intervention

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0803 Discretionary Intervention

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0804 Advisability

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0805 Written Petition

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0806 Petition for Intervention

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0807 Allowance

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0808 Denial

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0901 Hearing Officer

History

• Status: repealed
• Authority G.S. 93D-3; 150B-40
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0902 Conduct

History

• Status: repealed
• Authority G.S. 93D-3; 150B-40
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0903 Alleged Bias of Board Member

History

• Status: repealed
• Authority G.S. 93D-3(c); 150B-38(h)
• Eff. April 23, 1976
• Amended Eff. May 1, 1988
• Repealed Eff. January 1, 1992.

21 NCAC 22C .0904 Bias Claimed by Party

History

• Status: repealed
• Authority G.S. 93D-3; 150B-40
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0905 Affidavit of Disqualification

History

• Status: repealed
• Authority G.S. 93D-3; 150B-40
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0906 Filing Affidavit

History

• Status: repealed
• Authority G.S. 93D-3; 150B-40
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0907 Disqualification

History

• Status: repealed
• Authority G.S. 93D-3; 150B-40
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0908 New Hearing

History

• Status: repealed
• Authority G.S. 93D-3; 150B-40
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0909 Disqualification of Entire Board

History

• Status: repealed
• Authority G.S. 93D-3; 150B-40
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0910 Determination to Continue

History

• Status: repealed
• Authority G.S. 93D-3; 150B-40
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22C .0911 Records

History

• Status: repealed
• Authority G.S. 93D-3; 150B-40
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

Subchapter D

21 NCAC 22D .0101 Proceeding Without Party

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0102 Alternatives of Hearing Officer

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0103 Continuances

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0104 Petition to Reopen

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0105 Criteria for Reopening a Case

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0201 Discretion to Hold Prehearing Conference

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0202 Purposes

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0203 Nature of Prehearing Conference

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0204 Notice of Prehearing Conference

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0205 Simplification of Issues

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0301 Authority to Issue

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-39
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0302 Issuance

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-39
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0303 Service of Subpoenas

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-39
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0304 Unreasonable Subpoenas

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-39
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0305 Objections

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-39
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0306 Statement of Reasons

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-39
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0307 Service of Objections

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-39
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0308 Responses to Objections

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-39
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0309 Hearings on Subpoena Challenges

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-39
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0310 Rulings

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-39
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0401 Discovery of Information

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-39
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0402 Failure to Submit to Discovery

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-39
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0501 Use of Depositions

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-39
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0502 Procedure for Taking a Deposition

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-39
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22D .0503 Rulings on Depositions

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-39
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

Subchapter E

21 NCAC 22E .0101 Hearing Officers

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22E .0102 Proposal for Decision

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22E .0103 Exceptions

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22E .0201 Form

History

• Status: repealed
• Authority G.S. 12-3.1; 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22E .0202 Records

History

• Status: repealed
• Authority G.S. 12-3.1; 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22E .0203 Substantial Prejudice

History

• Status: repealed
• Authority G.S. 12-3.1; 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22E .0204 Oral Arguments

History

• Status: repealed
• Authority G.S. 12-3.1; 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22E .0205 Notice

History

• Status: repealed
• Authority G.S. 12-3.1; 93D-3; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

Subchapter F

21 NCAC 22F .0101 Time and Place of Examinations

The Board shall publicize the time and place of each qualifying examination given pursuant to G.S. 93D-8 on the Board's website at least 90 days in advance of the examination.

History

• Authority G.S. 93D-3(c); 93D-8
• Eff. April 23, 1976
• Amended Eff. March 1, 2013; June 1, 2012; January 1, 1992; May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22F .0102 Place of Examinations

History

• Status: repealed
• Authority G.S. 93D-3; 93D-8
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22F .0104 QUALIFICATIONS for licensure

In order to be issued a license by the Board:

(1) Each applicant for licensure shall submit an application for licensure and exam registration as set forth in 21 NCAC 22A .0503;

(2) Each applicant for licensure shall show to the Board the requirements in G.S. 93D-5(a). The Board may require supplemental information for applications to determine the qualifications of each licensee, registered applicant, and registered apprentice, as set forth in these Rules and in Chapter 93D of the General Statutes of North Carolina. The Board will require supplemental information on a case-by-case basis including issues raised on the applicant's criminal background check or discrepancies in the application. Supplemental information may include letters of recommendation, affidavits, official transcripts, and personal appearances before the Board;

(3) The applicant shall pass all parts of the Board's licensing exam as set forth in 21 NCAC 22F .0105. In the event an out of state applicant, military trained applicant, or military spouse applicant has previously taken and passed Part D of the Board's licensing exam, this applicant shall submit an ILE score transfer letter from the IHS so as not to re-take Part D; and

(4) Each applicant shall complete one full year of apprenticeship, with exception to those eligible for waiver under G.S. 93D-5(c) or those applying for licensure pursuant to 21 NCAC 22F .0123.

History

• Authority G.S. 93D-3(c); 93D-5; 93D-6; 93D-9
• Eff. April 23, 1976
• Amended Eff. February 1, 1996; April 1, 1989; May 1, 1988
• Paragraph (d) recodified to 21 NCAC 22F .0122 Eff. May 1, 2013
• Temporary Amendment Eff. February 10, 2014
• Amended Eff. April 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
• Amended Eff. March 1, 2018.

21 NCAC 22F .0105 Examination

The exam consists of four parts:

(1) Part A. This part shall assess applicant's knowledge of hearing testing through a computer simulation program;

(2) Part B. This part shall assess applicant's practical knowledge and ability to make an ear impression;

(3) Part C. This part shall assess the applicant's knowledge of relevant laws, rules, and regulations governing hearing aid specialists; and

(4) Part D. Part D will be the ILE as administered by the IHS. This part shall assess the applicant's knowledge of the following:

(A) patient assessment;

(B) interpretation and application of assessment results;

(C) hearing devices;

(D) the scope of practice of hearing aid specialists; and

(E) ability to provide continuing care.

History

• Authority G.S. 93B-8; 93D-1.1; 93D-3(c); 93D-8
• Eff. April 23, 1976
• Amended Eff. May 1, 1988
• Temporary Amendment Eff. February 10, 2014
• Amended Eff. February 1, 2015; April 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
• Amended Eff. March 1, 2018.

21 NCAC 22F .0106 Grading

History

• Status: repealed
• Authority G.S. 93D-3
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22F .0107 Examination RESULTS

(a) The Board office shall communicate the examination results as follows:

(1) issue a written notification concerning the applicant's performance on the qualifying examination to each registered applicant by mailing exam results to the mailing address provided by the applicant; and

(2) if applicable, mail a copy of the applicant's exam results to the applicant's Registered Sponsor at the mailing address on file with the Board at the same time the results are mailed to the applicant.

(b) The Board shall mail exam results within 30 days after the examination.

(c) The written notification shall be titled "Official Notice of Examination Results" with the date of the notice printed below the title.

(d) For a registered applicant who completes one full year of apprenticeship, all exam results shall expire 31 months after the date of initial issuance of the apprentice certificate.

(e) If a registered applicant is exempt from the apprenticeship requirement, or takes an exam more than 31 months after the date of initial issuance of the apprentice certificate, the exam results shall expire 19 months after the date of the exam.

(f) Notwithstanding Paragraphs (d) and (e) of this Rule, the exam results for Part D shall not expire.

History

• Authority G.S. 93B-8; 93D-3(c)
• Eff. April 23, 1976
• Amended Eff. December 1, 2014; September 1, 2013; June 1, 2012; February 1, 1996; May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
• Amended Eff. March 1, 2018.

21 NCAC 22F .0108 Review of Examination

(a) As set forth in G.S. 93B-8(c), each registered applicant who takes and does not pass the qualifying examination shall be granted an opportunity to review the failed portion of the examination that is in the custody and control of the Board in the presence of a representative of the Board, upon written request from the applicant.

(b) An applicant shall make a written request by completing the electronic form available on the Board website. The written request shall include the applicant's name and Exam ID number, contact phone number, e-mail address, and dates available for a review appointment.

(c) The deadline to request an exam review shall be 20 days after the date printed on the Official Notice of Examination Results.

(d) The Board shall conduct exam reviews at the Board's office by appointment.

(e) Pursuant to G.S. 93B-8(d), an applicant shall not have the privilege to review Part D of the licensing exam.

History

• Authority G.S. 93B-8; 93D-3(c)
• Eff. April 23, 1976
• Amended Eff. December 1, 2014; October 1, 2013; February 1, 1996; January 1, 1992; May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
• Amended Eff. March 1, 2018.

21 NCAC 22F .0109 Fees

History

• Status: repealed
• Authority G.S. 12-3.1; 93D-3
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22F .0111 Reciprocity

History

• Status: repealed
• Authority G.S. 93D-3; 93D-5; 93D-6
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22F .0112 Licenses

History

• Status: repealed
• Authority G.S. 93D-3; 93D-5; 93D-6
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22F .0113 Apprenticeship Requirements

History

• Status: repealed
• Authority G.S. 93D-3(c); 93D-5; 93D-9; 93D-9(e)
• Eff. April 23, 1976
• Amended Eff. August 1, 2012; February 1, 1996; January 1, 1992; April 1, 1989; May 1, 1988; November 4, 1980
• Repealed Eff. April 1, 2014.

21 NCAC 22F .0114 Training and Supervision

History

• Status: repealed
• Authority G.S. 93D-3(c); 93D-5; 93D-9; 93D-9(e)
• Eff. April 23, 1976
• Amended Eff. August 1, 2012; February 1, 1996; January 1, 1992; April 1, 1989; May 1, 1988; November 4, 1980
• Repealed Eff. April 1, 2014.

21 NCAC 22F .0115 Sponsors' Duties

History

• Status: repealed
• Authority G.S. 93D-3(c); 93D-5; 93D-9; 93D-9(e)
• Eff. April 23, 1976
• Amended Eff. August 1, 2012; February 1, 1996; January 1, 1992; April 1, 1989; May 1, 1988; November 4, 1980
• Repealed Eff. April 1, 2014.

21 NCAC 22F .0116 Separation of Apprentice and Sponsor

History

• Status: repealed
• Authority G.S. 93D-3(c); 93D-5; 93D-9; 93D-9(e)
• Eff. April 23, 1976
• Amended Eff. August 1, 2012; February 1, 1996; January 1, 1992; April 1, 1989; May 1, 1988; November 4, 1980
• Repealed Eff. April 1, 2014.

21 NCAC 22F .0117 Apprentice Termination

History

• Status: repealed
• Authority G.S. 93D-3; 150B-9(c)
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22F .0119 Sponsors' Residence

History

• Status: repealed
• Authority G.S. 93D-3
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22F .0120 Continuing Education

History

• Status: repealed
• Authority G.S. 93D-3(c); 93D-11
• Eff. April 23, 1976
• Amended Eff. March 1, 1996; May 1, 1988
• Repealed Eff. September 1, 2013.

21 NCAC 22F .0121 Reinstatement of an Expired License

(a) For those applicants seeking reinstatement of a license that has been expired for more than 60 days but less than five years, the applicant may satisfy the Board's requirement for annual continuing education as a condition for license renewal by taking and passing the Board's qualifying examination.

(b) For those applicants seeking reinstatement of a license that has been expired for five or more years, evidence of satisfactory completion of the Board's annual continuing education requirement shall consist of the applicant taking and passing the Board's qualifying examination.

(c) If the applicant cited in Paragraph (b) of this Rule has continuously held a valid license to fit and sell hearing aids in another State or jurisdiction for the five consecutive years prior to seeking North Carolina license reinstatement, that individual shall be required to take and pass only the portion of the Board's qualifying examination that addresses regulatory issues.

History

• Authority G.S. 93D-3(c); 93D-11
• Eff. February 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22F .0122 reciprocity

History

• Status: repealed
• Authority G.S. 93D-3(c); 93D-5; 93D-6; 93D-9
• Recodified from 21 NCAC 22F .0104(d) Eff. May 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
• Repealed Eff. March 1, 2018.

21 NCAC 22F .0123 Military Licensure

(a) The Board shall issue a license to a military-trained applicant seeking licensure as a hearing aid specialist in North Carolina upon the applicant demonstrating the qualifications as prescribed by the provisions of G.S. 93B-15.1(a).

(b) The Board shall issue a license to a military-trained applicant seeking licensure as a hearing aid specialist in North Carolina upon the applicant demonstrating the qualifications as prescribed by the provisions of G.S. 93B-15.1(a2).

(c) The Board shall issue a license to a military spouse applicant seeking licensure as a hearing aid specialist in North Carolina upon the applicant demonstrating the qualifications as prescribed by the provisions of G.S. 93B-15.1(b).

(d) The Board shall issue a "temporary practice permit" to a military-trained applicant or military spouse applicant while the military-trained applicant or military spouse is satisfying the requirements for licensure. The following provisions apply:

(1) the applicant may perform duties within the scope of practice for a Hearing Aid Specialist only upon issuance of a temporary practice permit by the Board; and

(2) the temporary practice permit shall remain valid for the later of one year or the renewal date for Hearing Aid Specialists or until a license is granted.

(e) No later than 30 days following receipt of a duly made application for licensure and exam registration under Paragraph (a) and (b), the Board shall notify a military-trained applicant when the applicant's military training or experience does not satisfy the requirements for licensure, and shall specify the criteria or requirements that the Board determined that the applicant failed to meet and the basis for that determination.

(f) Notwithstanding any other rule in this Chapter, the Board shall not charge a military-trained applicant or a military spouse an initial application fee for a license, registration, or temporary practice permit issued pursuant to this Section. Pursuant to G.S. 93B-15.1, nothing in this Paragraph shall be construed to prohibit the Board from charging its ordinary fee for a renewal application or prohibit a third party from charging actual costs for a service such as a background check.

(g) The Board shall waive the license renewal fee and continuing education reporting fees and shall grant an extension of time for up to one year for completing and reporting continuing education credits for those licensees currently licensed and in good standing with the Board who are serving in the Armed Forces of the United States, and to whom G.S. 105-249-2 grants an extension of time to file a tax return.

History

• Authority G.S. 93B-15; 93B-15.1; 93D-1.1; 93D-2; 93D-3(c); 93D-5; 93D-8; 93D-9
• Eff. March 1, 2018.

21 NCAC 22F .0201 Continuing education definitions

The following definitions apply to the Rules contained in this Section:

(1) "CE Program" means a continuing education presentation where attendance is monitored and the participants are required to be present at one or more designated physical locations. The CE Program shall consist of sessions that may be eligible for Board-approved CEU credit. A CE Program may be televised or conducted via the internet only if participants must be at a designated location where attendance is monitored by the CE Program provider.

(2) "CEU accrual period" means the calendar year (January 1 through December 31) immediately preceding the March license renewal deadline.

(3) "CEU reporting deadline" means the tenth day of January that immediately follows the CEU Accrual Period.

(4) "CEU Verification Report" means the electronic form available on the Board website (www.nchalb.org) for recording CEU credits earned to satisfy the license renewal requirement.

(5) "Continuing Education Unit" (CEU) means the reporting unit used in calculating approved continuing education hours. One-tenth of a CEU (0.10) equals one hour of approved instruction. Ten hours of approved instruction equals 1.00 CEU credit. The Board-approved CEU credits are recorded to two decimal points (for example, a session conducted for two hours would be recorded as 0.20 CEU).

(6) "Educational objective" means a statement of the working knowledge or understanding of presented content that a participant is expected to attain upon completion of the session.

(7) "Hour" means a full clock hour (60 minutes) of instruction and learning, excluding any time allowed for any other activity such as meals, breaks, or business or committee meetings.

(8) "Program application" means the Board's official application for the purpose of program review for Board-approved CEU credit, which is available on the Board website.

(9) "Presentation format" means the teaching method utilized to impart information to the participants (for example, lecture, panel discussion, demonstration, practicum, or debate).

(10) "Report of Attendance" means the official attendance verification form entitled "Continuing Education Report of Program Attendance," which is available on the website in generic form and in specific form for approved programs and self-study.

(11) "Self-study" means independently completed internet-based activities or events provided by the Board, or approved by the International Institute for Hearing Instruments Studies (IIHIS), American Speech-Language-Hearing Association (ASHA), or American Academy of Audiology (AAA), for at least one hour of credit that includes an internet-presented examination addressing the content of the self-study session. Self-study may be:

(a) live, online presentations;

(b) prerecorded, downloaded presentations; or

(c) text-based, downloaded readings.

(12) "Session" means an instructional or learning event, with at least two primary educational objectives addressing a single Board topic content category, and a specific amount of time allotted for accomplishing the specified objectives.

(13) "Topic Content Categories" means a system to separate Board-approved sessions by content. "Category 1" is for amplification, hearing rehabilitation, hearing loss, regulations, and consumer-related issues.

History

• Authority G.S. 93D-3(c); 93D-11
• Eff. September 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
• Amended Eff. March 1, 2018.

21 NCAC 22F .0202 Annual Continuing education requirements

(a) A licensee shall complete and record with the Board 10 hours (1.00 CEU credit) of Board-approved continuing education annually, from sessions assigned to Category 1 in accordance with Rule .0203 of this Section.

(b) The CEU Accrual Period for each license renewal shall be the calendar year preceding license renewal. CEU credit cannot be carried over from one CEU Accrual Period to the next, even if the CEU credit earned exceeds the license renewal requirement.

(c) An individual who passes the licensing exam during a CEU Accrual Period shall have satisfied the continuing education requirement for the corresponding license renewal.

History

• Authority G.S. 93D-3(c); 93D-11
• Eff. September 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
• Amended Eff. March 1, 2018; October 1, 2016.

21 NCAC 22F .0203 Content Categories

(a) Sessions assigned to Category 1, as described in this Rule, shall satisfy the continuing education requirement for license renewal. Any session not assigned to Category 1 shall not be approved to satisfy the continuing education requirement for license renewal.

(b) Category 1 is for amplification, hearing rehabilitation, hearing loss, regulations, and consumer-related issues, and shall be assigned to continuing education sessions that are comprised of the following topics:

(1) hearing aid technology: instrument circuitry and acoustic performance data;

(2) earmold or shell coupling systems: design, selection, modifications, and ear impressions;

(3) hearing aid selection procedures, verification, fitting and adjustment techniques, and servicing or repairs;

(4) aural rehabilitation using amplification: auditory training, hearing aid orientation and counseling techniques, and hearing aid validation techniques;

(5) biological, physical, and behavioral bases underlying normal and pathological hearing processes;

(6) detection, assessment, or monitoring of hearing impairment (such as measurement techniques and test interpretation), including intraoperative monitoring;

(7) cochlear implants or implantable hearing devices;

(8) central auditory processing;

(9) assistive listening devices, including FM Systems and ancillary wireless devices;

(10) techniques for development of speech and language in children with hearing loss, or augmentative and alternative communication strategies for children or adults with hearing loss;

(11) cerumen management, dizziness, or tinnitus as it pertains to persons with hearing loss;

(12) hearing impaired consumers' views of the hearing health care industry and consumer complaints;

(13) infection control issues for the hearing health care profession;

(14) professional conduct and regulatory issues pertaining to the fitting and selling of hearing aids; and

(15) hearing aid business practices, such as hearing aid office management, sales contracts, and hearing aid marketing or industry trends.

History

• Authority G.S. 93D-3(c); 93D-11
• Eff. September 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
• Amended Eff. March 1, 2018.

21 NCAC 22F .0204 Ce Program Application

(a) Any individual or program sponsor shall submit a program application to the Board to request Board-approved CEU credit for a CE program. The person designated on the Board's program application as the program's applicant shall receive all Board communication related to program submission and approval.

(b) The applicant shall complete and submit a duly made application prior to the Board's evaluation of the program for approval. A duly made application shall consist of responses to all information requested on the application form, the required application fee in accordance with Rule 21 NCAC 22A .0501, a copy of the published program announcement and the published time-ordered program agenda listing the exact time that each session begins and ends, which sessions are divided into parts, and scheduled breaks.

(c) The Board shall use the initial duly made application to determine Board-approved CEU credit for the program. The initial program applicant shall be responsible for the accuracy of the submitted information. If a subsequent application for the same CE program is received by the Board from another applicant, the Board shall respond by providing either a copy of the Board's written notification of approval or denial of the initial application, or written notice of the status of the initial application.

(d) A program sponsor may seek prior approval for a CE Program or submit a program application after the CE program date. CE Program sessions shall not be advertised as "approved by the Board" until Board approval is granted. Prior to Board approval, published announcements shall state that "sessions have been submitted for approval."

(e) The Board will accept one program application for a series of CE Programs if:

(1) the initial program starting date is more than 30 days after the Board receives submission of the duly made application;

(2) identical content will be presented at each program on different dates or at different locations during the same calendar year; and

(3) all program dates and locations are listed on the application.

(f) The Board shall not accept a program application for a series of identical CE Programs submitted after the starting date of a program in the series pending approval. A separate program application is required for each program that has already occurred. Future program dates in the series may be combined on one application as set forth in Paragraph (e) of this Rule.

(g) A licensee shall submit to the Board a signed Report of Attendance with the program application when seeking Board approval for a program after the program date.

(h) The program sponsor shall submit to the Board a program application with a roster of licensees who attended a CE Program when seeking Board approval for a program after the program date.

(i) The deadline to submit a program application shall be the 10th day of January following the calendar year in which the program was offered.

History

• Authority G.S. 93D-3(c); 93D-11
• Eff. September 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22F .0205 Content Approval Process

(a) The Board shall use the start date of a program to determine the CEU Accrual Period assigned to Board-approved CEU credit. The Board shall deny CEU credit for a program when the program application does not list the date and location of the program.

(b) In order for the Board to assign CEU credit, each program application received by the Board shall subdivide the CE Program into sessions classified according to the Topic Content Categories set forth in Rule .0203 of this Section. The Board shall evaluate sessions for approval using the following criteria:

(1) the content of a session;

(A) educational objectives clearly demonstrate relevance to the fitting and selling of hearing aids;

(B) presentation enhances a practitioner's knowledge of issues relating to the fitting and selling of hearing aids; and

(C) format includes time for questions and answers;

(2) the length of each session and published breaks;

(A) no credit shall be offered for any session less than one full hour;

(B) for sessions lasting longer than one hour, 0.05 CEU credit shall be issued for each additional full half-hour increment (a session lasting one hour and 45 minutes shall be issued 0.15 CEU);

(C) any session lasting more than three hours shall include a published break, lasting at least 15 minutes, or the session shall be eligible for a maximum of 0.30 CEU credit;

(D) for every three hours of continuous presentation time (regardless of the number of sessions presented during that time interval), a published break must be provided in order for any additional program sessions to be eligible for CEU credit; and

(E) if a session is divided into parts, all such parts must pertain to the same Board topic content category. No single part may be of a duration of less than one hour. The session shall be clearly listed in the published program agenda as being divided into parts with attendance required at all parts in order to receive CEU credit. A session is considered to be divided into parts if there is a published break scheduled to interrupt the session during the CE Program; and

(3) the way in which attendance is monitored;

(A) the program provider shall have a program representative verify attendance at each session of a CE Program;

(B) a speaker or facilitator shall be present to actively interact with the participants and monitor attendance for sessions relying primarily on prerecorded (audio or video) materials or computer-generated presentations;

(C) there shall be an announced means for participants to ask questions during each session for all televised or telephone distance learning presentations; and

(D) the published program announcement shall state that a program representative will be present at each distance learning site to monitor attendance.

(c) The Board shall post the processing and approval status of an application on the Board website in addition to posting a CE Program Report of Attendance for each approved CE Program which shows the Board-approved CEU credit for each session of the program.

History

• Authority G.S. 93D-3(c); 93D-11
• Eff. September 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22F .0206 APPEALS AND CE PROGRAM modification

(a) Only the initial applicant shall possess the right to appeal the decision of the Board. The applicant's appeal shall include a written statement and any supplemental documentation to support the appeal. The appeal shall be submitted prior to the end of the CEU Accrual Period for the program. The Board shall review the appeal using Rule 21 NCAC 22F .0205 to determine program approval. The Board shall respond in writing to the applicant within 30 days. An applicant who is not satisfied with the Board decision after the appeal may request an administrative hearing in accordance with 21 NCAC 22L .0103.

(b) The program sponsor shall submit documentation to the Board within 30 days after the CE completion date regarding any modifications to a program approved by the Board, and shall notify program participants that approved CEU credit is subject to change due to modifications in the agenda.

(c) The program sponsor shall write all program modifications in the appropriate section on the Report of Attendance and sign the form in the area designated for CE Program modifications if any session of an approved CE program is modified after publication of the program announcement or after submission of the program application to the Board.

(d) The Board may modify its approval of sessions and the CEU credit allowed when a program is changed after receiving Board approval. The Board shall update the program status on the website to reflect CEU credit changes.

(e) The program applicant shall submit a new program application if:

(1) the Board approved a CE Program for multiple dates and the content or duration of the CE Program changes after one or more of the approved program dates have occurred. The remaining program dates shall constitute a new CE Program; or

(2) the program sponsor offers a pre-approved CE Program on additional dates. The additional date(s) shall constitute a new CE Program, unless the program sponsor notifies the Board within 20 days of the canceled CE Program's date that a different date has been substituted.

History

• Authority G.S. 93D-3(c); 93D-11
• Eff. September 1, 2013
• Amended Eff. December 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22F .0207 Recording Ceu Credit

(a) A licensee shall have proof of attendance in order to record CEU credit with the Board:

(1) For pre-approved CE Programs, the program sponsor shall provide each licensee in attendance with the approved CE Program Report of Attendance. At the conclusion of each session, the program sponsor's representative or the session speaker shall sign the CE Program Report of Attendance of each licensee in attendance in the space provided for attendance verification. Alternatively, a program sponsor may initial or rubberstamp the space for session attendance verification after each session and then sign the bottom of each page of the Report of Attendance at the end of the program; or

(2) If the CE Program is not pre-approved, the licensee shall print a generic CE Program Report of Attendance from the Board website and take it to the program to complete the session titles as listed on the program sponsor’s agenda presented to participants on the day of the continuing education event. The licensee shall obtain the hand-written signature of the program sponsor's representative or the session speaker on the Report of Attendance at the end of each session.

(b) The program applicant shall submit a roster of licensees who attended a CE Program no later than 30 days following completion of a pre-approved CE Program:

(1) If the program applicant is recording CEU credit with the Board on behalf of licensees, the payment of the recording fee as set forth in Rule 21 NCAC 22A .0501 and an original Report of Attendance for each licensee shall accompany the submission of the roster; or

(2) If licensees are responsible for recording CEU credit with the Board, including paying the recording fee, the program applicant shall provide the original signed Report of Attendance form to each licensee at the end of the program, and shall submit only the roster.

(c) The Board shall accept the Board form entitled "Continuing Education Report of Program Attendance" for attendance verification when recording CEU credit. The Board shall reject certificates of attendance issued by any entity other than the Board as proof of attendance or as verification of CEU credit earned.

(d) A licensee shall record CE Program CEU credit with the Board by submitting all of the following:

(1) an electronic CEU Verification Report;

(2) an original Report of Attendance; and

(3) a recording fee for each CE Program as set forth in Rule 21 NCAC 22A .0501.

(e) A licensee shall record self-study CEU credit with the Board as set forth in Rule .0208 of this Section.

(f) The Board shall accept an electronic image of the Report of Attendance as the original Report of Attendance when submitted electronically in conjunction with a CEU Verification Report or a roster.

(g) A licensee shall record sufficient Board-approved CEU credit to satisfy the continuing education requirement for license renewal by the CEU reporting deadline, which is the 10th day of January immediately following the CEU Accrual Period.

(h) A licensee's failure to record sufficient CEU credit with the Board by the CEU reporting deadline shall be grounds for disciplinary action.

History

• Authority G.S. 93D-3(c); 93D-11; 93D-13
• Eff. September 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22F .0208 Self-Study

(a) Self-study may be completed to satisfy all 10 hours of the continuing education requirement during each CEU Accrual Period.

(b) Each self-study event of one session and up to 10 sessions completed in the same CEU Accrual Period may be reported on one self-study Report of Attendance as a self-study program.

(c) A licensee shall record self-study CEU credit with the Board by submitting all of the following:

(1) an electronic CEU Verification Report;

(2) a completed self-study Report of Attendance;

(3) an official transcript listing the licensee's score of 80 percent or greater on an Internet-presented examination pertaining to the content of the self-study activity; and

(4) the recording fee as set forth in Rule 21 NCAC 22A .0501 for each self-study program.

(d) The Board shall accept electronic images of the self-study Report of Attendance and official transcripts when submitted electronically in conjunction with the CEU Verification Report.

History

• Authority G.S. 93D-3(c); 93D-11
• Eff. September 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
• Amended Eff. March 1, 2018; January 1, 2017.

21 NCAC 22F .0209 Continuing Education Records

(a) The Board shall maintain a cumulative record of the CEU credit recorded for each licensee during the three most recent CEU Accrual Periods.

(b) A summary of recorded CEU credits may be viewed on the Board website. A request for a full copy of a licensee's CEU record, including copies of the original forms submitted for the three most recent CEU Accrual Periods, is subject to the provisions of G.S. 132-6.

(c) The Board shall destroy all records of program applications and CEU credits reported to the Board no sooner than five years after such records are received by the Board.

History

• Authority G.S. 93D-3(c); 93D-11; 93D-13
• Eff. September 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22F .0301 Apprenticeship Requirements

(a) Pursuant to G.S. 93D-5 and G.S. 93D-9, an individual who seeks licensure from the Board shall first complete one full year of apprenticeship, with exception of those applicants eligible for waiver pursuant to G.S. 93D-5(c) or applying for licensure pursuant to 21 NCAC 22F .0123.

(b) In order to complete the one full year of apprenticeship, the applicant shall:

(1) be sponsored by a Registered Sponsor; and

(2) register with the Board by submitting a complete apprentice registration electronic application. The application shall be considered complete upon submission and receipt of the following:

(A) F1 form;

(B) F1 affidavit;

(C) audiometer calibration;

(D) passport style photograph;

(E) background check; and

(F) the application for registration as an apprentice fee as set forth in 21 NCAC 22A .0501(1).

(c) The Board shall accept a digital image of a signed affidavit or other document required as part of an application as the original when submitted electronically in conjunction with the electronic application.

(d) The Board may require supplemental information for applications to determine the qualifications of each applicant for apprenticeship, as set forth in these Rules and in Chapter 93D of the General Statutes of North Carolina. The Board will require supplemental information on a case-by-case basis including issues raised on the applicant's criminal background check or discrepancies in the application. Supplemental information may include letters of recommendation, affidavits, official transcripts, and personal appearances before the Board.

(e) Once an apprentice registration application is complete and approved, the Board shall issue the applicant an initial apprentice registration certificate that allows him or her to perform duties within the scope of practice for a Hearing Aid Specialist under the Registered Sponsor's supervision. The Board shall post all active apprentice information on the Board's website, www.nchalb.org.

(f) An apprentice may elect to take any part of the licensing exam at any time during the apprenticeship by submitting an application for licensure and exam registration as set forth in 21 NCAC 22A .0503 prior to the registration deadline.

(g) An apprentice is under Personal supervision unless and until an apprentice takes and passes Parts A, B, and C of the Board's licensing exam, at which point the apprentice will be under General supervision.

History

• Authority G.S. 93D-1.1; 93D-3(c); 93D-5; 93D-9
• Eff. April 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
• Amended Eff. March 1, 2018.

21 NCAC 22F .0302 Sponsor's Duties

(a) The registered sponsor shall obtain a Registered Sponsor Certificate from the Board before accepting any apprentice. The Board shall issue a Registered Sponsor Certificate to a licensee of this Board who has held a permanent license for a minimum of two years prior to becoming a registered sponsor. The Certificate requires the registered sponsor to perform all the duties within the scope of the role of registered sponsor outlined in this Subchapter. The registered sponsor shall assist the apprentice in submitting all required applications and reports of the apprenticeship experience and shall act as a liaison between the Board and the apprentice.

(b) In accepting an apprentice, the registered sponsor shall be responsible for the conduct of the apprentice in his or her performance of his or her duties as an apprentice.

(c) The registered sponsor shall provide an apprentice personal supervision until receiving an Official Notice of Examination Results as provided in Rule .0107 of this Subchapter confirming that the apprentice passed Part A, Part B, and Part C of the licensing exam. Upon receipt the registered sponsor shall provide an apprentice general supervision for the remainder of the apprenticeship. A registered sponsor providing general supervision may incorporate direct or personal supervision at the discretion of the registered sponsor. General, direct, and personal supervision are defined in 21 NCAC 22A .0401.

(d) The registered sponsor shall provide the apprentice training in the following areas:

(1) anatomy, physiology, and pathology of the auditory mechanism;

(2) measurement techniques and test interpretation for assessment of hearing impairment and hearing handicap;

(3) hearing aid technology including instrument circuitry and acoustic performance data;

(4) design, selection, and modification of ear mold or shell coupling systems;

(5) hearing aid selection procedures and fitting, verification, and adjustment techniques;

(6) post-delivery care, including hearing aid orientation, counseling techniques, and hearing aid servicing;

(7) ethical conduct as set forth in 21 NCAC 22J and regulatory issues concerning the fitting and selling of hearing aids; and

(8) all areas within the scope of practice as defined in G.S. 93D-1.1.

(e) A registered sponsor may only supervise one apprentice under personal supervision and one apprentice under general supervision at any given time. Failure by a registered sponsor to properly train or supervise an apprentice shall be grounds for disciplinary action and revocation of the Registered Sponsor Certificate after notice and hearing as set forth in Subchapter 22L. If the Sponsorship Certificate is revoked by the Board, the licensee shall be no longer eligible to act as a registered sponsor until or unless the Board reinstates the Sponsorship Certificate.

History

• Authority G.S. 93D-1.1; 93D-3(c); 93D-9; 93D-13
• Eff. April 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
• Amended Eff. March 1, 2022.

21 NCAC 22F .0303 Certificate Expiration and Renewal

(a) The initial apprentice registration certificate, and any subsequently issued replacement certificates issued within the first year of apprenticeship, shall expire after the apprentice has held a valid certificate for a total of 365 days.

(b) Within 14 days after the expiration of the initial apprentice registration certification, in order to continue performing duties within the scope of practice for a Hearing Aid Specialist under a Registered Sponsor's supervision, the apprentice shall renew the apprentice registration certificate by submitting an application for licensure and exam registration as set forth in 21 NCAC 22A .0503(a)(2) to take the next scheduled licensing exam.

(c) Within 20 days after the date on the Official Notice of Examination Results, if an apprentice who renewed by following Paragraph (b) of this Rule failed to pass all parts of the Board's licensing exam, then in order to continue performing duties within the scope of practice for a Hearing Aid Specialist under a Registered Sponsor's supervision, the apprentice shall renew the apprentice registration certificate by doing the following:

(1) submitting a complete apprentice registration electronic application consisting of:

(A) F1 form;

(B) F1 affidavit;

(C) audiometer calibration;

(D) passport style photograph;

(E) background check; and

(F) the renewal of apprentice registration fee as set forth in 21 NCAC 22A .0501(2); and

(2) submitting an application for licensure and exam registration as set forth in 21 NCAC 22A .0503(a)(2) to take the next scheduled licensing exam.

(d) Any subsequent renewal of an apprentice registration certificate after Paragraph (b) or (c) of this Rule by an apprentice who failed to pass all parts of the Board's licensing exam shall be done by following Paragraph (c) of this Rule.

(e) An apprentice registration certificate obtained by renewal in accordance with Paragraph (b), (c), or (d) of this Rule shall expire 30 days after the date on the latest Official Notice of Examination Results for the apprentice.

(f) A sponsor who no longer wishes to supervise an apprentice shall submit written notice to the Board that the apprenticeship is being terminated at the current expiration date of the certificate.

History

• Authority G.S. 93D-3(c); 93D-5; 93D-9
• Eff. April 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
• Amended Eff. March 1, 2018.

21 NCAC 22F .0304 Early Termination of Apprenticeship

(a) If the apprentice or registered sponsor terminates the apprenticeship for any reason, the apprentice certificate shall be invalid and the apprentice shall cease to perform duties within the scope of practice for a Hearing Aid Specialist until a valid certificate is issued by the Board.

(b) If the apprentice fails to work at least 27 hours per week for two consecutive weeks during the apprenticeship period, the registered sponsor shall terminate the apprenticeship and notify the Board as provided in Paragraph (c) of this Rule.

(c) No later than 14 days after termination of the apprenticeship the following shall occur:

(1) the apprentice and registered sponsor shall return all copies of the apprentice certificate to the office of the Board;

(2) the registered sponsor shall notify the Board in writing of the termination of the apprenticeship; and

(3) the registered sponsor and apprentice shall submit a Report of Apprenticeship Experience in accordance with Rule .0305 of this Subchapter.

History

• Authority G.S. 93D-1.1; 93D-3(c); 93D-5; 93D-9
• Eff. April 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22F .0305 report of apprenticeship experience

(a) The Report of Apprenticeship Experience form shall be available on the Board's website (www.nchalb.org) to report supervised training and one full year of apprenticeship as defined in 21 NCAC 22A .0401 including:

(1) contact information for apprentice and registered sponsor;

(2) verification of training;

(3) verification of at least 27 hours of work per week; and

(4) a sworn statement of both the apprentice and sponsor that information submitted to the Board is true and accurate.

(b) The registered sponsor and the apprentice shall jointly submit a Report of Apprenticeship Experience no later than 14 days following the date that any of the following conditions exist:

(1) the apprentice held a valid apprentice registration certificate for 365 days;

(2) the apprentice or registered sponsor terminates the apprenticeship for any reason; or

(3) the Board issues a written request for the submission of a Report of Apprenticeship Experience to the registered sponsor or apprentice.

(c) If an apprentice or sponsor is not cooperative in completing the joint report, the other party shall submit a report with an explanation by the submission deadline.

(d) Failure to submit a Report of Apprenticeship Experience as required in this Rule shall be grounds for disciplinary action after proper notice and hearing.

History

• Authority G.S. 93D-1.1; 93D-3; 93D-9; 93D-13
• Eff. April 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22F .0306 Apprentice Discipline

(a) Apprentices shall comply with the Rules set forth in this Chapter, including the code of ethics as set forth in Subchapter 22J, and with the provisions set forth in Chapter 93D of the General Statutes of North Carolina.

(b) The Board shall refer all matters on noncompliance to the Committee on Investigations as set forth in Subchapter 22L. The Committee on Investigations shall determine whether sufficient grounds exist to:

(1) invalidate an apprentice registration certificate;

(2) deny future applications for issuance or renewal of an apprentice registration certificate; or

(3) deny, suspend or revoke a license or registration of the Registered Sponsor after proper notice and hearing.

History

• Authority G.S. 93D-1.1; 93D-3; 93D-9; 93D-13
• Eff. April 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

Subchapter G

21 NCAC 22G .0101 Annual Renewal of Certificates

History

• Status: repealed
• Authority G.S. 93D-3; 93D-11
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22G .0102 Forfeiture

History

• Status: repealed
• Authority G.S. 93D-3; 93D-11
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

Subchapter H

21 NCAC 22H .0101 Petition and Board Procedures

History

• Status: repealed
• Authority G.S. 93D-3; 93D-13; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22H .0102 Procedure Where Member of Board Involved

History

• Status: repealed
• Authority G.S. 93D-3; 93D-13; 150B-14; 150B-38
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

Subchapter I

21 NCAC 22I .0101 Clients' Interest

In order to serve the best interest of the client, all licensees and registered apprentices shall advise their clients to take the recommended actions as prescribed in 21 CFR 801 (effective August 15, 1977), Subparts 801.420 and 801.421, which are herein adopted by reference in accordance with G.S. 150B-14 (b).

History

• Authority G.S. 93D-3(c); 150B-14
• Eff. April 23, 1976
• Amended Eff. May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22I .0102 Proficiency

History

• Status: repealed
• Authority G.S. 93D-3
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22I .0103 Visual Inspection and Hearing Test

(a) All licensees and registered apprentices shall make a visual inspection of the external auditory canal and the tympanic membrane, using a device having its own light source in order to fulfill the requirements of 21 CFR 801.420 concerning the warning to hearing aid dispensers.

(b) All licensees and registered apprentices shall conduct a hearing test using an audiometer, the calibration for which is on file at the Board office, or equivalent physiologic testing.

(c) A hearing test shall be conducted within six months prior to the dispensing of a hearing aid and a copy of the hearing test shall be maintained for a period of at least three years.

(d) The hearing test shall be conducted in an environment conducive to obtaining accurate results and shall include the following, unless physiologic testing is utilized:

(1) live voice or recorded voice speech audiometry, including speech reception threshold testing and speech discrimination testing; and

(2) pure tone audiometry, including air conduction testing and bone conduction testing as follows:

(A) air conduction testing at least at the following frequencies: 500 Hz, 1000 Hz, 2000 Hz, 3000Hz, and 4000 Hz;

(B) mid-octave air conduction testing performed when there is a 20 dB or greater difference between any adjacent octaves;

(C) bone conduction testing at least at the following frequencies: 500 Hz, 1000 Hz, 2000 Hz, and 4000 Hz; and

(D) effective masking, if audiometric testing reveals a difference between the ears at any one frequency equal to or greater than 40 decibels or if there is audiometric air-bone gap of 15 dB or greater.

(e) All licensees and registered apprentices shall evaluate dispensed products to determine effectiveness and shall maintain documentation of the verification for a period of at least three years. Measures of evaluation shall include at least one of the following:

(1) sound field measurements;

(2) real ear measurements; or

(3) client evaluation sheets.

History

• Authority G.S. 93D-1.1; 93D-3(c)
• Eff. April 23, 1976
• Amended Eff. January 1, 2015; November 1, 2013; April 1, 2013; April 1, 1989; May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22I .0104 Medical Referral

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22I .0105 Medical Referral of Other Hearing Problems

History

• Status: repealed
• Authority G.S. 93D-3; 150B-14
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22I .0106 Disclosure

(a) In addition to the information required by G.S. 93D-7, all licensees and registered apprentices shall, by the time of delivery of the hearing aid(s), complete one or more written statements of sale containing the following:

(1) The business name and street address, within the State of North Carolina, of at least one place of business of the seller;

(2) The name of the person delivering the hearing aid(s) and the name of the person who sold the hearing aid(s);

(3) The name of the purchasing party, if different from the name of the consumer;

(4) The date of sale, if different from the date of delivery;

(5) The model of the hearing aid(s);

(6) The total cost to the purchaser for all products and services; and

(7) The serial number of the hearing aid(s).

(b) A copy of all statements of sales shall be retained for a period of three calendar years from the date of delivery of the hearing aid(s).

History

• Authority G.S. 93D-3(c)
• Eff. April 23, 1976
• Amended Eff. January 1, 1992; May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22I .0107 Audiometers

History

• Status: repealed
• Authority G.S. 93D-3
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22I .0108 Calibration Check for Audiometers

(a) All audiometers used in the fitting and selling of hearing aids shall have an annual calibration check and be recalibrated, if necessary, in accordance with the standards cited in Rule .0010 of this Subchapter.

(b) Whenever any individual applies for issuance or renewal of a license or an apprentice registration certificate, the Board shall require proof of audiometer calibration within the 12 consecutive months preceding such application.

(c) If any individual applying for annual renewal of a license provides the Board with an affidavit from the applicant that the applicant is not engaged in or being compensated for any activity requiring a North Carolina license to fit and sell hearing aids, the Board shall waive the annual renewal requirement cited in Paragraph (b), for up to three consecutive renewal years. If granted this waiver, the individual shall not engage in or be compensated for any activity requiring a North Carolina license to fit and sell hearing aids until the individual has furnished the Board with proof of audiometer calibration occurring within the preceding 12 consecutive months.

History

• Authority G.S. 93D-3(c)
• Eff. April 23, 1976
• Amended Eff. March 1, 1996; April 1, 1989; May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22I .0109 Approval of Calibraters

The Board shall not accept calibration records from any individual or calibration center unless such individual or center is registered with the Board and has performed the calibration in accordance with Rule .0010 of this Subchapter. Manufacturers of audiometers may calibrate without registering with the Board. A list of registered individuals and centers, as well as the form used to apply to become a registered calibrater, may be obtained from the office of the Board.

History

• Authority G.S. 93D-3(c)
• Eff. April 23, 1976
• Amended Eff. March 1, 1996; May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22I .0110 Standards for Audiometers

All audiometers used for fitting and selling hearing aids shall be in calibration according to the standards contained in the ANSI S3.6-1969 specifications for audiometers which are herein adopted by reference, in accordance with G.S. 150B-14 (b).

History

• Authority G.S. 93D-3(c); 150B-14
• Eff. April 23, 1976
• Amended Eff. May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22I .0111 Symbols for Audiograms

(a) The Board recommends that the following standard symbols be used in recording hearing thresholds:

(1) Right ear unmasked will be denoted as follows:

(A) air -- a small circle;

(B) bone -- a 45 degree angle pointing left.

(2) Left ear unmasked will be denoted as follows:

(A) air -- a small "x";

(B) bone -- a 45 degree angle pointing right.

(3) Right ear masked will be denoted as follows:

(A) air -- a small triangle;

(B) bone -- a single bracket open on the right.

(4) Left ear masked will be denoted as follows:

(A) air -- a small square;

(B) bone -- a single bracket open on the left.

(5) No response for the right ear at the maximum output of the audiometer will be denoted by a small arrow pointing southwest which is attached to the corresponding unmasked and masked symbols.

(6) No response for the left ear at the maximum output of the audiometer will be denoted by a small arrow pointing southeast which is attached to the corresponding unmasked and masked symbols.

(7) An asterisk will denote the contralateral ear masked.

(8) A capital "S" will denote sound field responses.

(b) In all cases where the symbols listed in this Rule are not used, a symbol key shall be included on the audiogram form.

History

• Authority G.S. 93D-3(c)
• Eff. April 23, 1976
• Amended Eff. May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22I .0112 Display of Printed Certificates

Pursuant to G.S. 93D-12, all licensees and registered apprentices shall have a street address, located within the State of North Carolina, at which they display their license or apprentice registration certificate. In addition, all licensees and registered apprentices shall carry with them a copy of their license or apprentice registration certificate, or their pocket identification card issued by the Board, when doing business which takes them outside of their offices.

History

• Authority G.S. 93D-3(c); 93D-12
• Eff. April 23, 1976
• Amended Eff. May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22I .0113 Location for Provision of Service

(a) Service after sale is a consumer's right and all licensees and registered apprentices shall furnish to each hearing aid purchaser, in writing, at least one business address within the State of North Carolina where service and fulfillment of guarantees can be obtained. This information shall be given to the purchaser by the time of delivery of the hearing aid(s).

(b) A post office box shall not suffice for the business address referred to in Paragraph (a) of this Rule and the address of any hearing aid manufacturer, distributor, or repair facility, located outside the State of North Carolina, shall not suffice for this required address. In addition, the address of any hearing aid manufacturer or repair facility within the State of North Carolina shall not suffice for the referenced address, unless the licensee or registered apprentice who is the seller of the hearing aid(s) is also the owner or an employee of such facility.

History

• Authority G.S. 93D-3(c)
• Eff. April 23, 1976
• Amended Eff. May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22I .0114 Change of Address

All individuals regulated by the Board shall provide the Board with current address information by completing the online address change form available on the Board's website (www.nchalb.org) within 14 days of any change in mailing address or name and street address of any business within the State of North Carolina. Failure to do so may result in disciplinary action after proper notice and hearing.

History

• Authority G.S. 93D-3(c); 93D-10; 93D-13
• Eff. April 23, 1976
• Amended Eff. February 1, 1996; May 1, 1988
• Recodified from 21 NCAC 22F .0118 Eff. May 1, 2013
• Amended Eff. December 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

Subchapter J

21 NCAC 22J .0101 Fraud

History

• Status: repealed
• Authority G.S. 93D-13
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22J .0102 Employment of Unqualified Persons

It shall be unethical to employ directly or indirectly any unqualified person to perform in a capacity regulated by Chapter 93D of the General Statutes of North Carolina.

History

• Authority G.S. 93D-3(c)
• Eff. April 23, 1976
• Amended Eff. May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22J .0103 Advertising

It shall be unethical to perform any of the following acts:

(1) To advertise a particular model, type, or kind of hearing aid for sale when purchasers or prospective purchasers responding to such advertisements cannot have it demonstrated to them or cannot purchase the advertised hearing aid from the licensee or registered apprentice;

(2) To advertise that a product is offered for sale at a special or reduced price, or words of similar meaning such as "sale price," when, within the past six months from the date of the advertisement, less than 50 percent of all sales of that specific model of the product were sold at a price higher than the special or reduced price;

(3) To advertise a testimonial or endorsement by a living person unless the advertisement:

(a) contains the actual full name of the person directly following the quote or directly under any picture,

(b) lists the person's city and state of residence, and

(c) discloses whether the person making the endorsement or testimonial received compensation for making the endorsement or testimonial;

(4) To advertise titles or credentials by the use of initials unless the meaning of the initials are written out in the advertisement; or

(5) To advertise using words of comparison or performance specifications not based on verifiable data (for example, lowest price, MSRP, highest quality, fits up to 35dB hearing loss).

History

• Authority G.S. 93D-3(c); 93D-13(a)
• Eff. April 23, 1976
• Amended Eff. April 1, 2013; May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22J .0104 Use of License by Another

History

• Status: repealed
• Authority G.S. 93D-13
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22J .0105 Defamation of Competitors

It shall be unethical to defame competitors by falsely imputing to them dishonorable conduct, inability to perform contracts, or questioned credit standing or competency, or to falsely disparage the products of competitors in any respect.

History

• Authority G.S. 93D-3(c)
• Eff. April 23, 1976
• Amended Eff. May 1, 1989; May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22J .0106 Display of Products

History

• Status: repealed
• Authority G.S. 93D-13
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22J .0107 Prices

It shall be unethical to quote prices of a competitor without disclosing that they may not be the actual current prices charged by the competitor.

History

• Authority G.S. 93D-3(c); 93D-13(a)
• Eff. April 23, 1976
• Amended Eff. May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22J .0108 Use of Trademarks

It shall be unethical to imitate, copy, or otherwise simulate the trademarks, trade names, service marks, brands, or labels of competitors for the purpose of misleading or deceiving consumers.

History

• Authority G.S. 93D-3(c); 93D-13(a)
• Eff. April 23, 1976
• Amended Eff. May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22J .0109 Obtaining Information About Competitors

It shall be unethical to obtain information concerning the business of a competitor by bribery of an employee or agent of such competitor, by misrepresentations, or by any other unfair means.

History

• Authority G.S. 93D-3(c)
• Eff. April 23, 1976
• Amended Eff. May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22J .0110 Inducements to Purchase

It shall be unethical to directly or indirectly give, offer to give, permit, or cause to be given money or anything of value to any person who advises another in a professional capacity, for the purpose of diverting or influencing the freedom of choice of the consumer in the selection of a source for the fitting and selling of hearing aids.

History

• Authority G.S. 93D-3(c)
• Eff. April 23, 1976
• Amended Eff. May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22J .0111 Misrepresentation of Education

History

• Status: repealed
• Authority G.S. 93D-13
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22J .0112 Misrepresentation of Products

History

• Status: repealed
• Authority G.S. 93D-13
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22J .0113 Unethical Business Practices

History

• Status: repealed
• Authority G.S. 93D-13
• Eff. April 23, 1976
• Repealed Eff. May 1, 1988.

21 NCAC 22J .0114 False or Concealed Information

It shall be unethical to make false statements or representations to the Board or to willfully conceal information from the Board in connection with the issuance, reinstatement, reissuance, replacement, or renewal of a license or an apprentice registration certificate, including information as to whether any registered apprentice has satisfied or complied with the apprenticeship requirements.

History

• Authority G.S. 93D-3(c); 93D-13(a)
• Eff. May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22J .0115 Failure to Give Notice/Right to Cancel Sale/Off-Premises Sales

It shall be unethical to violate any of the provisions of G.S. 14-401.13, which makes it a criminal violation to fail to give a right to cancel in off-premises sales, or of 16 C.F.R. ' 429.1, which requires a cooling-off period for door-to-door sales.

History

• Authority G.S. 14-401.13; 93D-3; 93D-13; 16 C.F.R. 429.1
• Eff. January 1, 1992
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22J .0116 Scope of Practice

It shall be unethical for a licensee or apprentice to perform services as set forth in G.S. 93D-1.1 if the licensee or apprentice has not been trained for the specific service.

History

• Authority G.S. 93D-1.1; 93D-3; 93D-9; 93D-13
• Temporary Adoption Eff. February 28, 2014
• Eff. January 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

Subchapter K

21 NCAC 22K .0101 Designation

History

• Status: repealed
• Authority G.S. 93D-3(c); 150B-11(1)
• Eff. April 23, 1976
• Amended Eff. February 1, 1996; May 1, 1988
• Repealed Eff. September 1, 2013.

21 NCAC 22K .0102 Application for License

History

• Status: repealed
• Authority G.S. 93D-3(c); 150B-11(1)
• Eff. April 23, 1976
• Amended Eff. February 1, 1996; May 1, 1988
• Repealed Eff. September 1, 2013.

21 NCAC 22K .0103 Application for Apprentice Registration Certificate

History

• Status: repealed
• Authority G.S. 93D-3(c); 150B-11(1)
• Eff. April 23, 1976
• Amended Eff. February 1, 1996; May 1, 1988
• Repealed Eff. September 1, 2013.

21 NCAC 22K .0104 Application for License Renewal

History

• Status: repealed
• Authority G.S. 93D-3(c); 150B-11(1)
• Eff. April 23, 1976
• Amended Eff. February 1, 1996; May 1, 1988
• Repealed Eff. September 1, 2013.

21 NCAC 22K .0105 Access to Forms

History

• Status: repealed
• Authority G.S. 93D-3(c)
• Eff. February 1, 1996
• Repealed Eff. September 1, 2013.

Subchapter L

21 NCAC 22L .0101 Committee on Investigations

(a) The Board President shall appoint two Board members for a standing Committee on Investigations. The Committee on Investigations shall investigate complaints submitted to the Board, unless administratively closed as described in Paragraph (d) of this Rule.

(b) The complainant shall submit a signed Board-approved complaint form set forth in this Rule. The complaint form is available on the Board website (www.nchalb.org) or by contacting the Board office. The complaint form requires the following:

(1) the complainant first and last name;

(2) the complainant address;

(3) the complainant phone number;

(4) the licensee, apprentice, or registered sponsor first and last name;

(5) the licensee, apprentice, or registered sponsor business address;

(6) the nature of the complaint; and

(7) the complainant signature and attestation of truthfulness.

(c) The Board shall not respond to or investigate anonymous complaints or inquiries.

(d) The Board staff shall administratively close:

(1) any complaint anonymously submitted;

(2) a complaint that alleges an advertising violation of 21 NCAC 22J .0103 that occurred more than one year prior to notifying the Board of the alleged violation;

(3) a complaint withdrawn by the complainant at any stage of the investigation; or

(4) incomplete forms. The Board staff shall return incomplete forms to the complainant, if a complainant is listed on the incomplete form.

(e) After a review of a complaint, the Committee on Investigations shall:

(1) recommend to the Board a finding that there is no probable cause to believe a violation of the law or rules exists and close the complaint when the Board finds that there is no probable cause to believe a violation of the law or rules exists. The Committee shall send a letter to the complainant stating the same. This letter is not a public record pursuant to G.S. 93D-13(c);

(2) serve the licensee, apprentice, or registered sponsor with a written explanation of the charges if there is evidence that probable cause of a violation exists;

(3) hire an investigator or such persons as it deems necessary to determine whether there is probable cause to believe a violation exists in order to support formal disciplinary action against a licensee, apprentice, or registered sponsor;

(4) subpoena persons to provide the Committee with sworn testimony or documents, provided that the subpoena is signed by the President or Secretary-Treasurer of the Board; or

(5) make inquiries designed to assist the Committee in its review of matters under investigation.

(f) The respondent shall respond in writing within 20 days of receipt of the notification of charges.

(g) The Committee may offer the complainant a summary of the response. The Committee shall make this decision on a case-by-case basis, considering the nature of the complaint and the response.

(h) The Committee shall offer the parties an opportunity to present oral statements to the Committee after the response is received from the respondent, if the Committee determines that further information is required from the complainant or respondent. Neither party shall be compelled to attend.

(i) With assistance from the Board's legal counsel, the Committee shall determine the validity and merit of the charges, and whether the accused party has violated any standard of conduct that would justify a disciplinary action based upon the grounds as specified in G.S. 93D-13 or this Chapter.

(j) The Committee on Investigations shall present its findings and recommendation to the Board, including proposed discipline, if any, but shall not identify the parties to the complaint to the full Board except by descriptive titles, such as licensee, apprentice, sponsor, and consumer.

(k) The Board may find no probable cause for disciplinary action and dismiss the charges. The Committee on Investigations shall notify the parties of the Board action.

(l) The Board may find no probable cause for disciplinary action but issue a letter of caution to the respondent.

(m) The Board may find probable cause for disciplinary action and serve the respondent with a private reprimand. The private reprimand letter is not a public record pursuant to G.S. 93D-13(c). The Board shall deem the private reprimand accepted as formal discipline in the matter unless the respondent submits a refusal to accept the private reprimand, which shall:

(1) be in writing, addressed to the Committee on Investigations;

(2) be filed with the Board staff within 20 days after service of the private reprimand; and

(3) include a request for a contested case hearing in accordance with 21 NCAC 22L .0103.

(n) The Board may find probable cause for disciplinary action and authorize the Committee on Investigations, by and through the Board's legal counsel, to undertake negotiations with the respondent to settle the matter without a hearing when such settlement accomplishes the Board's duty to protect the consuming public.

(o) If the Board and respondent fail to settle the matter under Paragraph (n) of this Rule, the Board shall:

(1) serve a notice of hearing on the accused party as required by G.S. 150B, Article 3A., which may also be released to any requesting member of the public pursuant to G.S. 93D-13(c);

(2) designate a presiding officer for the contested case; and

(3) conduct a hearing in accordance with the rules of this Subchapter.

History

• Authority G.S. 93D-3; 93D-13; 150B-38
• Eff. January 1, 1992
• Amended Eff. December 1, 2013; February 1, 2010; April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
• Amended Eff. October 1, 2016.

21 NCAC 22L .0102 Right to Hearing

When the Board acts or proposes to act, other than in rule-making or declaratory ruling proceedings, in a manner which will affect the rights, duties, or privileges of a specific, identifiable person, such person has the right to an administrative hearing. When the Board proposes to act in such manner, it shall give all such affected persons notice of their right to a hearing by mailing by certified mail to them at their last known address a notice of the proposed action and a notice of a right to a hearing.

History

• Authority G.S. 93D-3; 150B-38
• Eff. January 1, 1992
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22L .0103 Request for Hearing

(a) An individual who cannot resolve a matter with the Board related to rights, duties, or privileges that have been affected by the Board's administrative action may file a formal request for a hearing.

(b) The request shall bear the notation: REQUEST FOR ADMINISTRATIVE HEARING and contain the following:

(1) Name and address of the petitioner;

(2) A statement of the action taken by the Board which is challenged;

(3) A statement of the way in which the petitioner has been aggrieved; and

(4) A specific statement of request for a hearing.

History

• Authority G.S. 93D-3; 150B-38
• Eff. January 1, 1992
• Amended Eff. December 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22L .0104 Granting or Denying Hearing Requests

(a) The Board shall grant a request for a hearing if it determines that the party requesting the hearing is a "person aggrieved" within the meaning of G.S. 150B-2(6).

(b) Approval of a request for a hearing will be signified by the issuing of a notice as required by G.S. 150B-38(b) and explained in Rule .0105 of this Subchapter.

(c) The denial of request for a hearing shall be issued no later than 60 days after the submission of the request. The denial shall contain a statement of the reasons for the denial of the request.

History

• Authority G.S. 93D-3; 150B-38
• Eff. January 1, 1992
• Amended Eff. December 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22L .0105 Notice of Hearing

(a) The Board shall serve the party or parties in a contested case a notice of hearing not less than 30 days before the hearing. The notice shall include:

(1) A statement of the date, hour, place, and nature of the hearing;

(2) A reference to the particular sections of the statutes and rules involved;

(3) A short and plain statement of the facts alleged; and

(4) the name, position, address and telephone number of a person at the office of the Board to contact for further information on the hearing process.

(b) The Board shall serve the notice of hearing on all parties in accordance with G.S. 1A-1, Rule 4(j) or G.S.93D-10.

(c) If the Board determines that the public health, safety or welfare requires such action, it may issue an order summarily suspending a license or registration. Upon service of the order, the licensee or registrant to whom the order is directed shall immediately cease fitting and selling hearing aids in North Carolina. The Board shall serve a notice of hearing following service of the order. The suspension shall remain in effect until the Board issues a final agency decision in accordance with Rule .0115 of this Subchapter.

History

• Authority G.S. 93D-3; 93D-13; 150B-3(c); 150B-38; 150B-42
• Eff. January 1, 1992
• Amended Eff. December 1, 2013; March 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22L .0106 Presiding Officer

For each contested case, the Board shall designate one or more of its members as the presiding officer, unless the majority of the Board elects to apply to the Office of Administrative Hearings for the designation of an administrative law judge to hear a case pursuant to G.S. 150B-40(e).

History

• Authority G.S. 93D-3; 150B-38; 150B-40
• Eff. January 1, 1992
• Amended Eff. December 1, 2013; March 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22L .0107 Petition for Intervention

(a) A person desiring to intervene in a contested case must file a written petition with the Board's office. The request must bear the notation: PETITION TO INTERVENE IN THE CASE OF (Name of Case).

(b) The petition must include the following information:

(1) the name and address of petitioner;

(2) the business or occupation of petitioner, where relevant;

(3) a full identification of the hearing in which petitioner is seeking to intervene;

(4) the statutory or non-statutory grounds for intervention;

(5) any claim or defense in respect of which intervention is sought; and

(6) a summary of the arguments or evidence petitioner seeks to present.

(c) If the Board determines to allow intervention, notice of that decision will be issued promptly to all parties and to the petitioner. In cases of discretionary intervention, such notification will include a statement of any limitations of time, subject matter, evidence, or whatever else is deemed necessary that are imposed on the intervenor.

(d) If the Board's decision is to deny intervention, the petitioner shall be notified promptly. Such notice shall be in writing, identifying the reasons for the denial, and shall be issued to the petitioner and all parties.

History

• Authority G.S. 93D-3; 150B-38
• Eff. January 1, 1992
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22L .0108 Types of Intervention

(a) Intervention of Right. A petition to intervene as of right, as provided in the North Carolina Rules of Civil Procedure, Rule 24, will be granted if the petitioner meets the criteria of that rule and the petition is timely.

(b) Permissive Intervention. A petition to intervene permissively as provided in the North Carolina Rules of Civil Procedure, Rule 24, will be granted if the petitioner meets the criteria of that rule and the Board determines that:

(1) There is sufficient legal or factual similarity between the petitioner's claimed rights, privileges, or duties and those of the parties to the hearings; and

(2) Permitting intervention by the petitioner as a party would aid the purpose of the hearing.

(c) Discretionary Intervention. The Board may allow discretionary intervention, with whatever limits and restrictions are deemed appropriate.

History

• Authority G.S. 93D-3; 150B-38
• Eff. January 1, 1992
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22L .0109 Informal Procedures

(a) The presiding officer may direct the parties to conduct an informal pre-hearing conference, or the parties may request such a conference, which shall be scheduled at a time and place agreed upon by the parties. If the parties do not agree on the time and place of the pre-hearing conference, the presiding officer may set the time and place of the pre-hearing conference, giving reasonable written notice to all parties in the proceedings.

(b) At the discretion of the presiding officer, all or part of the pre-hearing conference may be conducted by telephone or other electronic means, if each party has an opportunity to participate while the conference is taking place.

(c) The parties shall conduct the pre-hearing conference to deal with, where applicable:

(1) exploring settlement possibilities;

(2) formulating, clarifying, and simplifying the issues to be contested at the hearing;

(3) preparing stipulations of facts or findings;

(4) ruling on the identity and number of witnesses;

(5) determining the extent to which direct evidence, rebuttal evidence, or cross-examination will be presented in written form and the extent to which telephone, video tape, or other electronic means will be used as a substitute for proceedings in person;

(6) determining what depositions, discovery orders, or subpoenas will be needed;

(7) determining the need for consolidation of cases or joint hearing;

(8) determining the order of presentation of evidence and cross-examination; and

(9) considering any other matters which may promote the prompt, orderly, and efficient disposition of the case.

History

• Authority G.S. 93D-3; 150B-38
• Eff. January 1, 1992
• Amended Eff. December 1, 2013; March 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22L .0110 Disqualification of Board Members

(a) Self-disqualification. If for any reason a board member determines that personal bias or other factors render that member unable to perform all duties in an impartial manner, that Board member shall voluntarily decline to participate in the final decision.

(b) Request for Disqualification. If for any reason any party in a contested case believes that a Board member is personally biased or otherwise unable to perform all duties in an impartial manner, the party shall make a written request that the Board member be disqualified. The request shall be accompanied by a sworn, notarized affidavit. The title of such affidavit shall bear the notation: AFFIDAVIT IN SUPPORT OF DISQUALIFICATION OF BOARD MEMBER IN THE CASE OF (Name of Case).

(c) Contents of Affidavit. The affidavit shall state all facts the party deems to be relevant to the disqualification of the Board member.

(d) Timeliness of Affidavit. The affidavit shall be considered timely if it is filed at least 10 days before commencement of the hearing or if it is filed at the first opportunity after the party becomes aware of facts which give rise to a reasonable belief that a Board member may be disqualified under this Rule.

(e) The Board shall determine the matter as a part of the record in the case in accordance with G.S. 150B-40.

(f) In the event of disqualification, the disqualified member shall not participate in the hearing, deliberations, or decision.

History

• Authority G.S. 93D-3; 150B-38; 150B-40
• Eff. January 1, 1992
• Amended Eff. December 1, 2013; March 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22L .0111 Failure to Appear

(a) Continuances and adjournments shall be granted at the discretion of the presiding officer.

(b) If a party fails to appear at a hearing after proper notice, the presiding officer shall determine whether to continue the hearing or proceed with the hearing and allow the agency to make its decision in the absence of the party.

History

• Authority G.S. 150B-38; 150B-40
• Eff. January 1, 1992
• Amended Eff. December 1, 2013; March 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22L .0112 Witnesses

Any party may be a witness and may present witnesses on the party's behalf at the hearing. All oral testimony at the hearing shall be under oath or affirmation and shall be recorded or transcribed. At the request of a party or upon the Board's own motion, the presiding officer may exclude witnesses from the hearing room so that they cannot hear the testimony of other witnesses.

History

• Authority G.S. 150B-38; 150B-40
• Eff. January 1, 1992
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22L .0113 Subpoenas

(a) A party in a contested case may request a subpoena. The request shall:

(1) be made in writing to the Board;

(2) include a particularized description of any books, papers, records or objects the recipient shall produce pursuant to the subpoena;

(3) include the full name and home or business address of the person to be subpoenaed; and

(4) include the date, time, and place for responding to the subpoena.

(b) The Board-designated presiding officer for the contested case shall issue the requested subpoena in duplicate within five days of receipt of the request. A subpoena shall include:

(1) the caption of the case;

(2) the name and address of the person subpoenaed;

(3) the date, hour and location to appear;

(4) a particularized description of any books, papers, records or objects the recipient shall produce pursuant to the subpoena;

(5) the identity of the party requesting the subpoena;

(6) the date of issuance of the subpoena;

(7) the signature of the presiding officer;

(8) a return of service form; and

(9) instructions for objecting to the subpoena.

(c) The party requesting the subpoena shall provide a copy of the issued subpoena to all parties in the contested case at the time the subpoena is served on the recipient.

(d) A subpoena shall be served in accordance with G.S. 1A-1, Rule 45. The person serving the subpoena shall return one copy of the subpoena with a completed return of service form to the Board.

(e) The completed return of service form shall provide:

(1) the name and capacity of the person serving the subpoena;

(2) the date on which service was made;

(3) the person on whom service was made;

(4) the manner in which service was made; and

(5) the signature of the person effectuating service.

(f) A recipient of a subpoena issued by the Board may file a written objection to the subpoena with the presiding officer. The recipient shall serve a copy of the objection on the party requesting the subpoena. The objection may be made on any of the following grounds:

(1) the subpoena requests evidence not related to a matter at issue;

(2) the subpoena does not describe with sufficient particularity the evidence to produce;

(3) the subpoena fails to allow reasonable time for compliance;

(4) the subpoena requires disclosure of privileged or other protected matter and no exception or waiver applies to the privilege or protection;

(5) the subpoena subjects a person to an undue burden or expense;

(6) the subpoena is otherwise unreasonable or oppressive; or

(7) the subpoena is procedurally defective.

(g) The party requesting the subpoena, in such time as may be granted by the Board, may file a written response to the objection with the presiding officer, and shall serve the objecting recipient and all parties with a copy of the written response.

(h) The presiding officer shall issue a written notice to all parties of an open hearing, scheduled as soon as practicable, during which evidence regarding the objection and response may be presented,

(i) The presiding officer shall issue a written decision based upon the factors required by G.S. 150B-39(c). A copy of the decision shall be issued to all parties and made a part of the record.

History

• Authority G.S. 1A-2; 93D-3; 150B-38; 150B-39; 150B-40
• Eff. January 1, 1992
• Amended Eff. December 1, 2013; March 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22L .0114 Final Decision

History

• Status: repealed
• Authority G.S. 93D-3; 150B-38; 150B-39
• Eff. January 1, 1992
• Repealed Eff. March 1, 1996.

21 NCAC 22L .0115 Proposals for Decisions and Final Decision

(a) When the Board conducts the contested case hearing, the Board shall render a final agency decision within 60 days after the hearing if no transcript is requested by the Board or either party, or within 45 days after receipt of a transcript of the hearing. The parties may submit proposed decisions within 20 days after the hearing or receipt of the transcript, whichever is later.

(b) When an administrative law judge conducts the hearing, a proposal for decision shall be rendered in accordance with G.S. 150B-40(e). The parties may file written exceptions to the proposal for decision and submit their own proposed findings of fact and conclusions of law. The exceptions and alternative proposals shall be filed within 10 days after the party has received the proposal for decision as drafted by the administrative law judge.

(c) Any exceptions to the procedure during the hearing, the handling of the hearing by the administrative law judge, rulings on evidence, or any other matter shall be written and refer specifically to pages of the record or otherwise identify the occurrence to which exception is taken. The exceptions shall be filed with the Board within 10 days of the receipt of the proposal for decision. The written exceptions shall bear the notation: EXCEPTIONS TO THE PROCEEDINGS IN THE CASE OF (Name of Case).

(d) Any party may present oral argument on written exceptions to the Board upon request. The request shall be included with the written exceptions.

(e) Upon receipt of request for oral argument on written exceptions, notice shall be issued by the Board to all parties designating the time and place for such oral argument.

(f) The Board may adopt the administrative law judge's proposal for decision or may modify it as the Board deems necessary. The Board shall render the final agency decision within 60 days after the next regularly scheduled Board meeting following the deadline for receipt of the written exceptions or the hearing of oral arguments on written exceptions, whichever is later. The final agency decision rendered shall be part of the record and a copy thereof given to all parties.

History

• Authority G.S. 93D-3; 150B-38; 150B-40
• Eff. January 1, 1992
• Amended Eff. December 1, 2013; March 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

21 NCAC 22L .0116 Publication of Disciplinary Actions

(a) Formal disciplinary actions imposed by the Board shall be published on the Board's website (www.nchalb.org) within 60 days of the final agency decision as follows:

(1) Notice of a suspension of license or registration shall be posted on the website during the suspension period, including a link to a copy of the final agency decision;

(2) Notice of the reinstatement of a suspended license or registration shall be posted on the website for 90 days, including a link to the final agency decision for reinstatement;

(3) Notice of revocation of a license or registration shall be posted on the website for three years from the date of revocation, including a link to a copy of the final agency decision;

(4) The number of private reprimands issued by the Board and the nature of the violations shall be posted on the website for the current and previous fiscal year without identifying associated individual(s); and

(5) The number of suspensions and revocations shall be posted on the website for the current and previous fiscal year without reference to individuals receiving the discipline.

(b) The content of a private reprimand shall not be released to any member of the public pursuant to G.S. 93D-13(c), but the existence of a private reprimand shall be reported in accordance with this Rule.

(c) When responding to public information requests about disciplinary actions against a specific licensee, the Board shall issue a written response which shall identify:

(1) any revocation of license since original license issued

(2) other disciplinary actions for the five year period preceeding the request

(3) current status of license (active or expired).

History

• Authority G.S. 93D-3; 93D-13
• Eff. December 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

Chapter 23 Irrigation Contractors'

21 NCAC 23 .0101 Definitions

As used in this Chapter:

(1) "Direct supervision" means an individual licensed contractor having personal responsibility for and control over all aspects of irrigation work done at each job site.

(2) "Irrigation plan" means a drawing of the irrigation system to be installed, the physical features on the land, and the bounding area.

(3) "Irrigation record drawing" means a drawing of the irrigation system that was installed, the physical features on the land, and the bounding area.

(4) "Large community water system" is defined in G.S. 143-350.

(5) "Local Government" shall have the same meaning as "Unit of local government" as defined in G.S. 143-350.

(6) Microirrigation system means a system that uses either drip emitters or microsprays as application devices.

(7) "Product information" means the manufacturer's specifications, model, and size.

History

• Authority G.S. 89G-2; 89G-5; 143-350
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014
• Amended Eff. November 1, 2016.

21 NCAC 23 .0102 Surety Bonds and Legal Status

(a) For purposes of this Section a corporate entity is a person as defined in G.S. 89G-1(5) who engages in irrigation contracting, other than natural persons. A natural person licensed by the Board shall post a surety bond or irrevocable letter of credit for his or her individual license listing his or her name and the name of any corporation, partnership, limited liability corporation, limited liability partnership, or assumed or registered business name under which he or she does business.

(b) If any licensed individual employed by a corporate entity does irrigation contracting on his or her own behalf, outside the scope of his or her employment, agency, or other relationship with the corporate entity named on the surety bond or irrevocable letter of credit submitted to the Board, that individual licensee must obtain and post a separate surety bond or irrevocable letter of credit with the Board, naming himself or herself as principal.

(c) When a licensed individual terminates his or her relationship (e.g. employment, partnership, or agency) with a corporate entity that lists the individual on a surety bond or irrevocable letter of credit, the licensed individual shall purchase and post his or her own surety bond or irrevocable letter of credit with the Board. The licensed individual shall report the termination to the Board within five business days of its effective date.

(d) If a licensed individual uses a corporate entity to engage in irrigation contracting and is required to file any corporate documents with the North Carolina Secretary of State pursuant to North Carolina law or rules, the individual licensee who qualifies said corporate entity to engage in irrigation contracting shall notify the Board of having filed corporate documents by providing the Board with copies of the same within five business days of the filing date. In lieu of submitting paper copies of such filings, the individual licensee may submit an e-mail to the Board's administrator including a link to the filed corporate documents on the North Carolina Secretary of State's website within 24 hours of those documents being available on said website.

(e) If a corporate entity's ownership changes or the right to control the corporate entity passes from one person or group to another person, group, or receiver, the individual licensee who qualifies that corporate entity to engage in irrigation contracting shall notify the Board within five business days of the date when the change in the right of control becomes effective. Such changes include the addition of or termination of partnerships, changes in corporate form such as from corporation to limited liability company, sale or transfer of a controlling interest in the corporate entity, merger of the corporate entity with another person, or dissolution of the person's corporate or other legal status.

(f) An individual licensee who qualifies a corporate entity to engage in irrigation contracting shall notify the Board in a timely fashion of the beginning of any of the following legal actions in which the corporate entity, as the petitioner or respondent:

(1) has been named a respondent under an action for legal dissolution by the North Carolina Department of Justice or by a partner, shareholder, or such other person that may have the right or authority to bring such action;

(2) has been notified of its administrative dissolution by the North Carolina Secretary of State; or

(3) has been notified of the initiation of any legal proceeding that may affect its corporate form, ownership, right of control, or otherwise affect its status or ability to comply with G.S. 89G and the Board's rules.

Notice to the Board shall be timely if the Board receives written notice or e-mail of such action within 10 business days of the receipt of notice or service of legal process by the individual licensee or the registered agent of the corporate entity.

(g) Any individual licensee whose license has been suspended solely due to cancellation of his or her surety bond or irrevocable letter of credit may apply for reinstatement upon providing the following to the Board:

(1) a valid surety bond or irrevocable letter of credit naming him or her as principal;

(2) an affidavit affirming that the suspended licensee has otherwise complied with all obligations of a licensee under G.S. 89G and has refrained from practicing irrigation construction or contracting except as may be subject to a statutory exemption;

(3) proof of compliance with the licensee's continuing education requirements for each calendar year in which the suspension has been in force; and

(4) a reinstatement fee.

History

• Authority G.S. 89G-5; 89G-6; 89G-10
• Eff. August 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014
• Amended Eff. November 1, 2016.

21 NCAC 23 .0103 Licensing

(a) Individual applicants for an irrigation contractor's license who can document to the Board's satisfaction that, during the entirety of the period from January 1 to June 29, 2009, the applicant was serving on active duty in the Armed Forces of the United States and, for that reason, could not prepare and submit an application for licensure until after being released from active duty are excused from taking the Board's licensing examination and shall be granted a license upon fulfilling all other licensing requirements.

(b) The Board shall deem an individual to have been unable to prepare and submit an application for licensure due to being on active duty upon receiving a letter or e-mail from the officer or senior non-commissioned officer commanding the unit in which the applicant served during the above-referenced period, certifying this to be the case.

(c) The Board shall also accept and consider other documentation in determining whether active military service made it impossible for the applicant to submit that application during that period of time.

(d) All licensees shall notify the Board of any change in their mailing address or location of their office within five days.

History

• Authority G.S. 89G-5; 89G-6; 105-249.2; S.L. 2008-177, s. 2; S.L. 2009-458; Section 7508 of the Internal Revenue Code; 10 U.S.C. 101
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 23 .0104 Continuing Education

(a) Continuing Education (CEU) credit shall not be obtained for the same course more frequently than once every three years.

(b) Each individual licensee must earn ten hours of approved continuing education each calendar year. The 10 hours shall include four hours of business education. The remaining six hours of continuing education shall consist of training in landscape and turf irrigation technology.

(c) A licensed contractor shall provide proof of attendance for all continuing education upon request by the Board.

(d) Only continuing education classes or activities that have been approved by the Board as providing adequate education regarding the requirements of this Chapter shall satisfy the licensee's continuing education requirement.

History

• Authority G.S. 89G-5; 89G-9
• Eff. July 1, 2011
• Readopted Eff. January 1, 2016
• Amended Eff. November 1, 2016.

21 NCAC 23 .0201 Notice of Hearing: Answer

(a) The contents and manner of service of notice of hearing in a contested case shall be as prescribed in G.S. 150B-38(b) and (c).

(b) Any party who has been served with notice of hearing may file a written response as prescribed in G.S. 150B-38(d).

History

• Authority G.S. 89G-5; 150B-38
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 23 .0202 Right to Hearing

(a) Contested Cases. Disciplinary proceedings to enforce the provisions of G.S. 89G and 21 NCAC 23 are deemed to be "contested cases" within the meaning of G.S. 150B-2, and any person subject to such proceedings shall be given notice and the opportunity to be heard.

(b) Summary Suspension. Nothing within Paragraph (a) of this Rule shall abridge the right of the Board to summarily suspend a license or certification prior to hearing pursuant to G.S. 150B-3(c).

History

• Authority G.S. 89G-5; 150B-38
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 23 .0203 Location of Hearing

The location of the hearing in a contested case shall be as prescribed in G.S. 150B-38(e).

History

• Authority G.S. 89G-5; 150B-38
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 23 .0204 Intervention; Discovery

(a) The intervention of persons not initially parties to a contested case is governed by G.S. 150B-38(f). Petitions or motions to intervene must be in writing. The Board shall determine whether to grant or deny intervention and shall so notify the petitioner and all parties in writing.

(b) Parties in a contested case may engage in discovery pursuant to the provisions of the Rules of Civil Procedure, G.S. 1A-1.

History

• Authority G.S. 89G-5; 150B-38; 150B-39
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 23 .0205 Subpoenas

The authority of the Board to issue or revoke subpoenas in preparation for, or in the conduct of, contested cases is governed by G.S. 150B-39. If a subpoena is issued at the request of a party and not on the Board's own motion, that party shall bear the cost of service.

History

• Authority G.S. 89G-5; 150B-38
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 23 .0206 Conduct of Hearing

(a) Hearings in contested cases shall be conducted by a majority of the Board or referred to the Office of Administrative Hearings pursuant to G.S. 150B-40(e).

(b) Disqualification. An affidavit seeking disqualification of any Board member, if timely filed in good faith, shall be ruled on by the remaining members of the Board. An affidavit is considered timely if it is filed:

(1) Prior to the hearing; or

(2) As soon after the commencement of the hearing as the affiant becomes aware of facts which give rise to his or her belief that a Board member should be disqualified.

(c) Evidence. The admission of evidence in a hearing in a contested case shall be as prescribed in G.S. 150B-41.

History

• Authority G.S. 89G-5; 150B-38; 150B-40; 150B-41
• Eff. July 1, 2011
• Amended Eff. April 1, 2015
• Readopted Eff. January 1, 2016.

21 NCAC 23 .0207 Decision of Board

(a) The form and content of the Board's decision in a contested case shall be as prescribed by G.S. 150B-42(a), and its decision shall be served upon the parties in a manner consistent with that statute.

(b) At the conclusion of the hearing and deliberations, the Board shall announce its findings of fact and conclusions of law. If the Board concludes that the hearing respondent has violated a provision of the rules in this Chapter or of G.S. 89G, it shall announce the nature and extent of any sanction it orders be imposed upon the hearing respondent. The Board shall then direct its legal counsel, the respondent's counsel, if represented, or such independent legal counsel as may be provided by the North Carolina Department of Justice for the purpose of advising the Board in the course of that hearing, to draft a proposed order consistent with its announcement. The order shall be drafted in accordance with G.S. 150B-42.

(c) The official record of the hearing in a contested case shall contain those items specified in G.S. 150B-42(b).

History

• Authority G.S. 89G-5; 150B-38; 150B-42
• Eff. July 1, 2011
• Amended Eff. April 1, 2015
• Readopted Eff. January 1, 2016.

21 NCAC 23 .0208 Complaint Process

(a) An individual who wishes to make a complaint alleging violation of G.S. 89G or the Board's rules shall submit a complaint form online through the Board's website (http://www.nciclb.org ) or by printing the form from the Board's website and mailing it to the Board office at P.O. Box 41421 Raleigh, N.C. 27629. The following information shall be included in the complaint form:

(1) date of complaint;

(2) complainant name;

(3) complainant mailing address;

(4) complainant contact number;

(5) alleged violator name;

(6) location of violation site, including city;

(7) date alleged violation was noted;

(8) how complainant became aware of alleged violation;

(9) description of the work being performed; and

(10) statement that the information provided by the complainant is true and accurate to the best of his or her knowledge.

(b) The Board shall not respond to or investigate anonymous complaints or inquiries.

(c) The Board office shall administratively close any complaint that:

(1) is anonymously submitted;

(2) is withdrawn by the complainant at any stage of the investigation; or

(3) is submitted more than two years after the irrigation system was completed by a licensee of the Board.

(d) If the complaint is not administratively closed pursuant to Paragraph (c) of this Rule, the Board's Investigative Committee shall determine whether further investigation is necessary to resolve the complaint based on the type and nature of the complaint. If further investigation is necessary, the Investigative Committee shall refer the matter to the Board's investigator.

(e) Upon completion of the investigation into the complaint, the Investigative Committee shall:

(1) find that there is probable cause to believe a violation occurred and send the respondent a notice of violation; or

(2) find that there is no probable cause to believe a violation occurred and send the respondent and complainant notification of the same.

(f) If the Investigative Committee finds that there is probable cause to believe a violation occurred, then the complaint shall be resolved in the following manner:

(1) settlement agreement; or

(2) hearing in accordance with the rules of this Section and as required by G.S. 150B, Article 3A.

History

• Authority G.S. 89G-2; 89G-5; 89G-11; 89G-12; 150B
• Eff. November 1, 2016
• Amended Eff. July 1, 2018.

21 NCAC 23 .0301 Irrigation Record Drawing

(a) All irrigation record drawings shall:

(1) be drawn to portray the site;

(2) be legible and reproducible;

(3) include the surrounding development (e.g. building edges, walks, walls, roads), irrigated areas, turf areas, and planted areas; and

(4) show the sprinkler system, microirrigation system, or both as installed and include the location of:

(a) emergency shut-off valve(s);

(b) water source(s);

(c) backflow devices;

(d) all types of valves;

(e) all wire splices;

(f) all wire paths;

(g) controllers;

(h) all sensors;

(i) all grounding location(s) and type(s);

(j) all pumps;

(k) all filters;

(l) all quick couplers or any other water connection points; and

(m) all main line piping.

(b) All manual and automatic valve locations shall be shown with distances to permanent reference points so that they may be located in the field. Permanent reference points are buildings, drainage inlets, sidewalks, curbs, light poles, and other permanent, immovable objects.

(c) The irrigation record drawings shall be labeled "Record Drawings".

History

• Authority G.S. 89G-5(15)
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014
• Amended Eff. November 1, 2016.

21 NCAC 23 .0401 System Design Objectives and Requirements

(a) An irrigation contractor shall design an irrigation system so that it uniformly distributes water.

(b) When designing an irrigation system, an irrigation contractor shall consider the following criteria:

(1) the soil type;

(2) the slope;

(3) the plant root depth;

(4) the water requirements of different plants;

(5) microclimates;

(6) weather conditions;

(7) the quantity, quality, and delivery pressure of the water source; and

(8) the long-term management of the system and the landscape it serves.

(c) When designing an irrigation system, an irrigation contractor shall select equipment components and installation techniques that meet state and local code requirements and site requirements.

(d) When designing an irrigation system, an irrigation contractor shall to ensure that the irrigation system is designed to uniformly distribute the water, conserve and protect water resources, and function well as a component of the overall landscape by doing the following:

(1) obtaining direct knowledge of site conditions by visiting it. Viewing and relying solely on plot plans to generate a design is not adequate preparation for designing an irrigation system.

(2) producing a design that meets all applicable state and local codes, including plumbing and electrical codes.

(3) when allowable by law, specifying in the plan the manufacturer, model, type, and size of all components to eliminate ambiguity during construction and to facilitate management of the system.

(4) selecting pipe, electrical wire, and other materials based on design parameters, environmental conditions, code requirements, and long-term management requirements of the system.

(5) designing the irrigation system to minimize installation and maintenance difficulties.

(6) selecting and placing shrubs, trees, and groundcover sprinkler and microirrigation components according to the expected size of larger specimen plants through a minimum three-year establishment period for shrubs and 10-year establishment period for trees.

History

• Authority G.S. 89G-5
• Eff. August 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014
• Amended Eff. November 1, 2016.

21 NCAC 23 .0402 Piping

(a) The following rules of maximum safe flow rate apply to irrigation systems connected to municipal and community water suppliers, with the lowest safe flow rate prevailing as the design minimum standard:

(1) The maximum allowable pressure loss through the meter shall be less than 10 percent of the static pressure at the meter.

(2) The maximum flow rate through the meter shall not exceed 75 percent of the maximum safe flow rate through the meter.

(3) Piping in irrigation systems shall be designed and installed so that the flow of water in the pipe will not exceed a velocity of five feet per second for polyvinyl chloride (PVC), polyethylene (PE), and high density polyethylene (HDPE) pipe and seven feet per second for metal pipe.

(b) When designing an irrigation system, an irrigation contractor shall use the following criteria for piping:

(1) The manufacturer's recommendations for the intended application.

(2) The minimum PVC pipe thickness shall be PR200 — (SDR21) with sch40 fittings.

(3) PVC piping from the above-grade backflow to below grade shall be a minimum of sch80.

(4) All PVC risers shall be a minimum thickness of sch80.

(5) Thrust blocking details and locations shall be included when bell and gasket pipe is used.

(6) Exposed PVC piping shall be protected from UV degradation per the manufacturer's recommendations.

History

• Authority G.S. 89G-5
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014
• Amended Eff. November 1, 2016.

21 NCAC 23 .0403 Water Source

(a) A water source shall meet peak demands for landscape water with an irrigation duration that is within the site's operational tolerances when the site is functioning at its most intense use.

(b) An irrigation duration shall meet the user needs of the site. The user's needs shall be considered in determining the correct size of the supply meter, cistern, lake, or lake pump intake and pump size. A contractor shall also comply with local statutes and ordinances that dictate time of day and day of week watering, anticipated irrigation intervals, or site uses that may dictate different irrigation durations.

History

• Authority G.S. 89G-5
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 23 .0404 Water Pressure

(a) For systems on a municipal or community water supply, an irrigation contractor shall provide allowances in the design for a reduction in static pressure of up to 10 pounds per square inch (psi) to accommodate possible loss of pressure in the supply network.

(b) Where variable or excessive static pressure exists, an irrigation contractor shall specify pressure regulation.

(c) An irrigation contractor shall specify the recommended minimum operational pressure for the irrigation system at the maximum design flow rate.

History

• Authority G.S. 89G-5
• Eff. August 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014
• Amended Eff. November 1, 2016.

21 NCAC 23 .0405 Microirrigation

For zones with microirrigation, when designing an irrigation system, an irrigation contractor shall:

(1) provide a means of filtration at the master valve to remove particulate matter;

(2) use separate microirrigation zones where differing plant water requirements and root zone depths make such zones practical;

(3) specify pressure-compensating devices to improve overall uniformity;

(4) specify pressure regulation upstream from the drip/microirrigation components to anticipate periodic increases in the pressure of municipal or community water sources when there is flushing or other maintenance on the water supply system. Pressure regulating devices may be omitted only when the maximum possible pressure is known to be lower than the maximum allowable pressure for all drip/microirrigation components; and

(5) use air release valves to minimize ingestion of soil and other contaminants into the emitters.

History

• Authority G.S. 89G-5
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014
• Amended Eff. November 1, 2016.

21 NCAC 23 .0406 Components and Zone Design

When designing an irrigation system, an irrigation contractor shall:

(1) Design the layout of heads and other emission devices to reduce evaporation loss, reduce surface run-off, and limit overspray across or onto a street, public driveway or sidewalk, parking area, building, fence, or adjoining property.

(2) Design sprinkler head spacing with an approximate "head-to-head" coverage.

(3) Use separate stations or zones for areas with dissimilar environmental conditions or dissimilar water or scheduling requirements (hydrozones). These conditions or requirements include sun exposure, plant type, soil type, varying wind conditions, grades, and dimensional issues. When not practicable due to accessibility, dimensional issues, or other constraints, practical modifications to this standard may be acceptable.

(4) When selecting system components:

(a) select components to avoid surface runoff;

(b) select components to keep the sprinkler precipitation rate below the infiltration rate of the soil;

(c) specify the use of repeat cycles to allow the water to soak into the root zone; and

(d) specify stations or zones for sprinklers at the top and toe of sloped areas.

(5) Place sprinkler heads based on an evaluation of physical, environmental, and hydraulic site conditions, including typical wind conditions during the normal irrigation period.

(6) Select sprinkler heads and nozzles to achieve an approximate matched precipitation rate within each zone.

(7) Plan to use the following water conserving equipment:

(a) check valves to minimize low-head drainage when grades exceed five percent;

(b) pressure regulators or pressure compensating devices when pressures exceed manufacturer's recommendations;

(c) rain sensors to suspend irrigation during rain or other forms of precipitation;

(d) a controller that has multi-program capability with at least four start times (for multiple repeat soak cycles) and run time adjustments in one-minute increments;

(e) low-trajectory sprinkler nozzles and modified head spacings to mitigate the effects of wind; and

(f) components that do not mist when manufacturer's pressure specifications are met.

(8) Offset turf grass sprinklers a minimum of two inches from pavement edges to allow for edging of the turf.

(9) Offset sprinklers from vertical walls to limit spray on the walls.

(10) Ensure that valves are located so as to allow reasonable access for maintenance or service.

(11) Ensure that the roots of existing trees are protected by:

(a) Planning pipe system layout to limit its effect on existing trees and other planting.

(b) When necessary to trench into the root zone of an established plant in order to provide irrigation within the root zone:

(i) planning to dig the trench so as to minimize the effect on the roots (for example, by digging the trench in a straight line towards the base of the tree or shrub such that, if the line of the trench were extended, it would intersect with the base of the tree or shrub); or

(ii) planning to use direct boring or hand-trenching. An irrigation contractor shall use hand-trenching techniques that dig a trench without damaging roots having a diameter of one-half inch or more.

(c) In the event of trenching, maintaining a distance of one foot from the tree trunk for every inch of tree diameter at a height of four feet six inches above the ground. For example, piping shall be kept at least 20 feet away from the trunk of a tree having a 20 inch diameter at four feet six inches above the ground.

(d) In the event of boring, maintaining a distance of at least one-half foot from the tree trunk for each inch of tree diameter at a height of four feet six inches above the ground and, in any event, maintaining a distance of at least five feet from the tree trunk. When direct boring, an irrigation contractor shall bore to a minimum of 36 inches.

(e) Avoiding placing sprinklers in a position to directly spray water on tree trunks of mature trees by placing them no closer to a tree than one-third of the sprinkler spray radius.

(12) With respect to wiring:

(a) install control wires in the same trench along the side of the main line piping;

(b) allow slack in the wiring;

(c) bundle an expansion coil for all wires at each valve location;

(d) use the appropriate size American Wire Gauge ("AWG") wire, as noted by the manufacturer, to operate a valve;

(e) indicate common wiring (wire that runs through the entire circuit of valves) by using a different colored wire from all other wire connections;

(f) provide additional wire along the irrigation wire path for future expansion or replacement of damaged wires;

(g) design irrigation systems with control wire splices made with a waterproof wire splice kit that is UL listed for underground applications. For two-wire control systems, the design shall specify the manufacturer's recommended splice kits; and

(h) follow the manufacturer's recommendation for all wiring and grounding, including two-wire control systems.

(13) Use valve boxes that are large enough to provide sufficient space for servicing the valve housed inside. For single valve boxes, valve boxes shall be at least 10 inches in diameter for both manual and automatic valves.

History

• Authority G.S. 89G-5
• Eff. August 1, 2011
• Readopted Eff. January 1, 2016
• Amended Eff. November 1, 2016.

21 NCAC 23 .0407 Irrigation System Disclosure Checklist

The installer shall use a system checklist that includes enough information for the client or end-user to understand the scope of work, including types of equipment, coverage standards and warranty.

History

• Authority G.S. 89G-5
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 23 .0501 General REQUIREMENTS

(a) When an irrigation contractor determines that a design provided by others does not meet the minimum standards set forth by the rules of this Chapter or local requirements, the irrigation contractor shall notify the designer in writing of such violations of minimum standards and shall not complete the job until all such minimum standards are met.

(b) All irrigation system components shall be installed in accordance with manufacturer's specifications, local code requirements, and the requirements of the rules of this Section.

History

• Authority G.S. 89G-5
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014
• Amended Eff. November 1, 2016.

21 NCAC 23 .0502 Site Considerations

(a) An irrigation contractor shall confirm all property corners and lines that will determine the borders of landscaped or irrigated areas, including any right of way (local, state or federal).

(b) The irrigation contractor shall comply with the terms of any encroachment agreements and other easement requirements.

(c) Before the irrigation contractor and those working under his or her supervision do any excavation he or she shall call 1-800-632-4949 or 811 or go to www.ncocc.orq to have major utilities located on the subject property by the appropriate utility companies. Installation shall not be started until all underground utilities are located and marked.

(d) An irrigation contractor shall review the site where the irrigation system is to be installed with the owner to identify private underground lines or structures and locate those that present a potential problem before digging (e.g. low voltage lighting wires, propane gas tanks and lines, private power lines to out-buildings, and drainage lines, septic field lines, and tanks).

(e) In the case of new landscape construction where a landscape plan is provided, an irrigation contractor shall verify that the landscape plan is the most current plan available and is not subject to change before starting the installation.

(f) If no landscape plan exists or the landscaping is in place, an irrigation contractor shall review the site with the owner or landscape designer to determine the irrigation needs of the site. The irrigation contractor shall address specific issues, including:

(1) the plant water needs;

(2) the soil type;

(3) the root depth;

(4) microclimates; and

(5) slopes.

(g) An irrigation contractor shall inform the owner or landscape designer of the importance of designing the irrigation system to meet the needs of the landscape.

(h) An irrigation contractor shall review planting plans prior to installation of the irrigation system to minimize conflicts between larger plants, existing root zones, and irrigation heads and review construction plans for conflicts between hardscape and sprinkler head placement.

(i) An irrigation contractor shall inform the property owner and irrigation designer of unusual or abnormal soil conditions which may affect the design and management of the irrigation system.

(j) Where deviations from the design are required (e.g., routing pipe around a tree or other structure or adding sprinklers to an area larger than the plan shows), an irrigation contractor shall consult with the designer prior to making the change to ensure that the change is within the design performance specifications.

History

• Authority G.S. 89G-5
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014
• Amended Eff. November 1, 2016.

21 NCAC 23 .0503 Water Supply

(a) Before commencing installation, an irrigation contractor shall verify that the point of connection, water supply, flow rate, and static and dynamic pressures meet design criteria.

(b) All new irrigation systems that have a pressurized water supply under continuous pressure must include an isolation valve. The isolation valve's location must be in the main line before the first zone valve or quick coupler.

(c) On all new installations, if a master valve is used, it shall be installed on the discharge side of the backflow prevention device.

(d) If the water supply is potable water, an irrigation contractor shall verify that a backflow prevention device is installed upstream of the irrigation system before pressurizing the irrigation mainline.

(e) For local government water systems and large community water systems, an irrigation contractor shall, when required by local code, install a separate meter for new in-ground systems on lots platted and recorded after July 1, 2009, in the office of the register of deeds in the county or counties in which the real property is located. This Rule shall not apply to lots with privately owned septic tanks systems or other types of privately owned innovative on-site wastewater systems if a lockable cutoff valve approved by the water system and a testable backflow prevention device approved by the water system for the appropriate level of risk associated with the irrigation system or other identified risk are installed on the water supply line for the irrigation system. The lockable cutoff value shall be installed on the water supply line for the irrigation system within 24 inches of the water meter and the testable backflow device shall be installed on the water supply line for the irrigation system

History

• Authority G.S. 89G-5; 143-355.4
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014
• Amended Eff. July 1, 2018; November 1, 2016.

21 NCAC 23 .0504 System Layout

(a) An irrigation contractor shall install the irrigation system's components according to the design specifications and manufacturer's performance standards.

(b) Microirrigation devices shall be installed at a spacing to meet the maximum irrigation requirements of the plants being irrigated. The flow rate of the microirrigation devices, soil types, and plant types must all be considered in selecting the spacing of the microirrigation devices.

(c) Sprinklers shall be installed such that the spacing between sprinklers results in approximate "head-to-head" coverage, but in no event shall the spacing exceed the radius listed in the manufacturer's specifications. An irrigation contractor shall determine the radius by referring to the manufacturer's specifications for a sprinkler at a specific operating pressure.

(d) Irrigation systems shall be installed such that they do not spray water onto or over surfaces made of concrete, asphalt, brick, wood, or any other continuous impervious material, such as walls, fences, sidewalks, and streets. The irrigation system as installed may spray water onto such surfaces due to irregularly-shaped hardscapes, wind drift, or fixed spray patterns of sprinklers.

(e) Under sloping conditions, an irrigation system shall be installed with check valves to hold water in the piping system.

History

• Authority G.S. 89G-5
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014
• Amended Eff. November 1, 2016.

21 NCAC 23 .0505 Trenching and Piping

(a) All portions of an irrigation system that do not meet the standards in this Rule shall be noted on the record drawing.

(b) An irrigation contractor shall install an irrigation system without trenching across the established root systems of existing trees and shrubs.

(c) Notwithstanding the requirement in Paragraph (b) of this Rule, when the irrigation contractor finds that it is necessary to trench into the root zone of an established plant in order to provide adequate irrigation to the surrounding area, he shall dig the trench in such a way as to minimize the effect on the roots (for example, by digging the trench in a straight line towards the base of the tree or shrub such that, if the line of the trench were extended, it would intersect with the base of the tree or shrub).

(d) An irrigation contractor shall cut damaged roots cleanly at right angles.

(e) Piping in irrigation systems shall be selected so that the flow velocity will not exceed five feet per second for polyvinyl chloride (PVC), polyethylene (PE), and high density polyethylene (HDPE) pipe and seven feet per second for metal pipe.

(f) The main line and lateral line piping shall be installed to provide a minimum of 12 inches between the top of the pipe and the finished grade. However, if a utility, man-made structure, or roots create an obstacle that makes the 12 inch depth coverage requirement impractical, the piping shall be installed at a minimum of 6 inches between the top of the pipe and the finished grade.

(g) The bottom of the trench shall be smooth and level and provide a flat bed on which to rest the pipe.

(h) The irrigation contractor shall clean backfill material of any debris that may damage the pipe.

(i) When swing joints are used, the depth of the pipe shall allow the swing joint to operate as designed.

(j) All trenches and holes created during installation of an irrigation system shall be backfilled and compacted to the final grade. The trench shall be compacted in lifts no greater than six inches to insure proper compaction.

(k) All PVC connections installed in irrigation systems shall be prepared according to the manufacturer's recommendations (e.g. priming and glue application).

(l) The irrigation contractor shall use the manufacturer's approved lubricant when assembling bell and gasket and pipe and fittings.

(m) The irrigation contractor shall use Teflon tape on all threaded fittings, wrapping the tape around the pipe three times to insure a proper seal.

(n) When the irrigation system uses reclaimed water, the irrigation contractor shall use purple pipe or mark the pipe with purple tape placed above all piping in the system. Tape shall be within six inches of the top of the pipe. The irrigation contractor shall use purple valve box covers and purple quick coupler flaps and place an eight inch by eight inch sign with purple background stating "RECLAIMED WATER-DO NOT DRINK," and "AGUA DE RECUPERION-NO BEBER."

History

• Authority G.S. 89G-5(15); 89G-5(16)
• Eff. July 1, 2011
• Amended Eff. April 1, 2015
• Readopted Eff. January 1, 2016
• Amended Eff. November 1, 2016.

21 NCAC 23 .0506 Electrical

(a) This Rule applies to irrigation control wiring where the installation, construction, maintenance, or repair of devices is exempt from the requirement of licensure as an electrical contractor pursuant to G.S. 87-43.1 and 21 NCAC 18B .0805.

(b) Underground electrical wiring used to connect an automatic controller to any electrical component of the irrigation system shall be listed by Underwriters Laboratories (UL) as acceptable for burial underground.

(c) Electrical wiring that connects any electrical components of an irrigation system shall be sized according to the manufacturer's recommendation.

(d) Electrical wire splices which are exposed to moisture shall be waterproofed using a UL listed device.

(e) Underground electrical wiring that connects an automatic controller to any electrical component of the irrigation system shall be buried with a minimum of twelve inches of backfill.

(f) The wire connections on the two-wire path of two wire control systems shall be made using devices rated for the higher voltage of the control system.

(g) An irrigation contractor may splice a multi-wire cable in underground applications when the wire is a minimum of 18 AWG and when the splicing device waterproofs the outermost casing of the wire.

History

• Authority G.S. 89G-5
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014
• Amended Eff. November 1, 2016.

21 NCAC 23 .0507 Grounding

(a) This Rule applies to irrigation control wiring and components where the installation, construction, maintenance, or repair of devices exempt from the requirement of licensure as an electrical contractor pursuant to G.S. 87-43.1 and 21 NCAC 18B .0805.

(b) An irrigation contractor shall ground all components of the irrigation system according to manufacturers' recommendations.

History

• Authority G.S. 89G-5
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014
• Amended Eff. November 1, 2016.

21 NCAC 23 .0508 Sprinklers

(a) An irrigation contractor shall select sprinklers such that the operating pressure at each sprinkler location is within the range published by the manufacturer of the sprinkler nozzles.

(b) Sprinklers shall be set perpendicular to the grade. In turf areas sprinklers shall be set at a height recommended by the manufacturer. Sprinklers installed on athletic fields shall be equipped with rubber covers on the sprinkler and the sprinklers shall be installed at or below the grade according to the manufacturer's specifications.

History

• Authority G.S. 89G-5
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014
• Amended Eff. November 1, 2016.

21 NCAC 23 .0509 Controller

All automatically controlled irrigation systems shall include sensor or other technology designed to inhibit or interrupt operation of the irrigation system during periods of either adequate soil moisture or rainfall. Rain or moisture shutoff technology shall be installed according to the manufacturer's published recommendations.

History

• Authority G.S. 89G-5
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014
• Amended Eff. November 1, 2016.

21 NCAC 23 .0510 Initial System Start Up

(a) An irrigation contractor shall perform a post installation inspection to verify that the system operates as designed by:

(1) flushing the system;

(2) checking the static water pressure at the point of connection;

(3) checking the operating pressure at the sprinklers;

(4) checking and adjusting sprinkler head wetted radius as needed;

(5) ensuring that the system does not spray water onto or over surfaces made of concrete, asphalt, brick, wood, or any other continuous impervious material, such as walls, fences, sidewalks, and streets;

(6) verifying that all sensors are operational; and

(7) checking that there are no leaks in the system.

(b) An irrigation contractor shall educate the end user of the irrigation system, informing him or her that plant material water needs change during the year and that the watering schedule should change accordingly.

History

• Authority G.S. 89G-5
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014
• Amended Eff. November 1, 2016.

21 NCAC 23 .0511 Owner's Manual

(a) A permanent sticker that contains the irrigation contractor's name, license number, company name and telephone number, and date of completion of the installation shall be affixed to each automatic controller installed by an irrigation contractor. The information contained on the sticker shall be printed with waterproof ink.

(b) The irrigation contractor shall, upon completion of any irrigation system or addition to an existing irrigation system, provide an owner's manual to the owner or owner's representative containing each of the following:

(1) the manufacturer's manual for the automatic controller and all sensors;

(2) winterization instructions and precautions on protection of the potable water supply; and

(3) the irrigation record drawing.

History

• Authority G.S. 89G-5
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014
• Amended Eff. November 1, 2016.

21 NCAC 23 .0601 Purpose

The rules in this Section shall apply to irrigation contractors who are hired to maintain an existing irrigation system.

History

• Authority G.S. 89G-5
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014
• Amended Eff. November 1, 2016.

21 NCAC 23 .0602 Basic System Maintenance Practices

(a) An irrigation contractor shall establish a systematic maintenance schedule for inspecting, testing, and reporting the performance conditions of the irrigation system to the owner.

(b) An irrigation contractor shall inform the owner of any violations of minimum standards observed in the irrigation system.

(c) An irrigation contractor shall:

(1) verify that the water supply and pressure are adequate for proper operation;

(2) adjust valves and flow regulators for proper pressure and flow operation. Valves must shut off tightly to prevent leakage and operate without abruptly opening or closing to prevent damage to the irrigation system caused by water hammer and pressure surges;

(3) verify that sprinklers are properly adjusted - check the nozzle, arc, radius, level, and attitude with respect to slope and ensure that water is not spraying on impervious surfaces;

(4) verify that sensors are working properly;

(5) look for debris (e.g., rocks, sand, and soil) lodged in sprinklers and drip emitters;

(6) examine filters and clean filtration elements at least once a year or when the irrigation system fails to operate properly due to clogged filters;

(7) verify proper operation of the controller. Confirm correct date and time input and functional back-up battery at least once a year;

(8) repair or replace broken hardware and pipelines with originally-specified materials or their equivalent, thereby restoring the system to the original design specifications;

(9) check for leaks and complete repairs to support the integrity of the irrigation design and to minimize the waste of water;

(10) move, adjust, add, or remove sprinklers or other hardware as required to compensate for blocked spray patterns or changes in the irrigation needs of the landscape; and

(11) test all repairs and flush pipes, valves, sprinklers, drip components, and filters as needed.

(d) In the event an irrigation contractor makes any changes to the irrigation system, he shall amend the irrigation record drawing to reflect those changes.

(e) An irrigation contractor shall establish a "winterization" protocol in areas where low temperatures will damage an irrigation system. Winterization consists of removing enough water from the irrigation system and equipment so that no damage occurs to any part of the irrigation system during temperatures below 32 degrees Fahrenheit. This is accomplished by turning off the main water supply, opening all drains, and if necessary using compressed air to remove water from the irrigation system.

(f) An irrigation contractor shall establish an "activation/start-up" protocol. Activation consists of re-pressurization and inspection of the irrigation system.

(g) An irrigation contractor shall provide the owner with recommendations regarding updating and retrofitting existing irrigation systems with new technology that will reduce overall water use.

History

• Authority G.S. 89G-5
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014
• Amended Eff. November 1, 2016.

21 NCAC 23 .0603 Scheduling

(a) An irrigation contractor shall recommend to the owner or his representative that:

(1) the owner adjust the irrigation schedule and automatic controller to respond to the changing water requirements of the landscape;

(2) the owner inspect irrigation controllers at least monthly to change irrigation frequencies or run times, as needed; and

(3) the owner should avoid irrigation during rain events.

(b) An irrigation contractor shall:

(1) identify soil type, microclimates, and root depths of plants in each irrigation zone;

(2) calculate the run-time of each irrigation zone to supply the needed water based upon precipitation rate of the sprinkler zones, the water-holding capacity of the soil, the changing weather conditions and the plant's water requirements; and

(3) set initial run times and intervals to minimize runoff.

History

• Authority G.S. 89G-5
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014
• Amended Eff. November 1, 2016.

21 NCAC 23 .0701 Fee SCHEDULE

(a) The Board shall charge the following fees:

(1) Application fee: one hundred dollars ($100.00);

(2) Examination fee: two hundred dollars ($200.00);

(3) License renewal: one hundred dollars ($100.00);

(4) Late renewal fee: fifty dollars ($50.00);

(5) License by reciprocity: two hundred fifty dollars ($250.00);

(6) Corporate license: one hundred dollars ($100.00); and

(7) Duplicate license: twenty-five dollars ($25.00).

(b) When the Board uses a testing service for the preparation, administration or grading of examinations, the Board shall charge the applicant the actual cost of the examination services.

History

• Authority G.S. 89G-5; 89G-10
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

Chapter 25 Interpreter and Transliterator Board

21 NCAC 25 .0101 Definitions

(a) The definitions in G.S. 90D-3 apply to the rules in this Chapter.

(b) The following definitions also apply to the rules in this Chapter:

(1) "Applicant" means any person applying to the Board for any license under G.S. 90D.

(2) "Consumer" means any person who retains or uses the services of an interpreter or transliterator.

(3) "Continuing Education" means post-licensure education that maintains or enhances the knowledge and skills of interpreters and transliterators and enables them to continue to render competent professional services.

(4) "Continuing Education Unit" means the unit of measurement of the continuing education completed by a licensee during a licensure year. In the case of workshops and conferences, 10 clock hours of training equal one continuing education unit ("CEU"). In the case of college class work, one hour of college credit in the quarter system equals one CEU and one hour of college credit in the semester system equals 1.5 CEUs.

(5) "Convicted" or "Conviction" means and includes the entry of:

(A) a plea of no contest, nolo contendere, or the equivalent;

(B) a plea of guilty; or

(C) a verdict or finding of guilt by a jury, judge, or magistrate;

in any duly constituted, established, and recognized civilian or military adjudicating body, court, or tribunal in this State or any other state or nation;

(6) "Felony" means any offense classified as a felony by the laws, statutes, or ordinances of the jurisdiction in which the offense occurred or, absent any such classification, any offense for which the maximum punishment under the laws, statutes, or ordinances of the jurisdiction in which the offense occurred includes imprisonment for a term of more than two years.

(7) "Full license" means a license issued pursuant to G.S. 90D-7 or S.L. 2002-182, s. 7 (as amended by S.L. 2003-56) that is not currently suspended for disciplinary reasons. A license that has been suspended is not a full license even if the suspension has been stayed.

(8) "General Studies" means those studies of the arts, sciences, and humanities that are not directly related to interpreting and transliterating.

(9) "Initial license" means the license issued to an applicant under G.S. 90D-7 or S.L. 2002-182, s. 7 (as amended by S.L. 2003-56) or the license issued to an applicant under G.S. 90D-7 or S.L. 2002-182, s. 7 (as amended by S.L. 2003-56) after a lapse in licensure.

(10) "Initial provisional license" means the provisional license issued to an applicant under G.S. 90D-8(a). A licensee shall acquire only one initial provisional license during his or her lifetime.

(11) "Misdemeanor" means any criminal offense not classified as a felony by the laws, statutes, or ordinances of the jurisdiction in which the offense occurred or, absent any such classification, any offense for which the maximum allowable punishment under the laws, statutes, or ordinances of the jurisdiction in which the offense occurred includes imprisonment for a term of no more than two years. No traffic offense in any foreign jurisdiction shall be considered a misdemeanor if the offense has been de-criminalized under the motor vehicle laws of North Carolina.

(12) "Professional Studies" means those studies that directly enhance a licensee's ability to interpret or transliterate. Professional studies are divided into:

(A) Linguistic and Cultural Studies, which include the study of languages and linguistic systems and the study of specific cultures;

(B) Theoretical and Experiential Studies, which include the study of the process of interpreting, the study of transliterating theory, and participation in skill-building activities; and

(C) Specialization Studies, which include the study of the issues and problems unique to interpreting and transliterating for the legal, medical, mental health, and substance abuse recovery professions.

History

• Authority G.S. 90D-6
• Eff. March 21, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0102 Mailing List

(a) Any person may ask to be placed on the Board's mailing list for a period of 12 months by delivering a written request to the Board. The request shall include:

(1) The person's name, address, telephone number, fax number, and email address;

(2) Whether the person wants to receive notice of:

(A) Public meetings;

(B) Public hearings;

(C) Rule-making;

(D) Declaratory ruling requests;

(E) Disciplinary hearings; or

(F) Any two or more of the above;

(3) Whether the person will accept such notice via e-mail;

(4) The person's signature; and

(5) A cashier's check, certified check or money order made payable to the North Carolina Interpreter and Transliterator Licensing Board in the amount of ten dollars ($10.00)(all persons other than the media).

(b) A request to be placed on the Board's mailing list must be renewed annually by the submission of a new written request and an additional cashier's check, certified check or money order made payable to the North Carolina Interpreter and Transliterator Licensing Board in the amount of ten dollars ($10.00)(all persons other than the media).

History

• Authority G.S. 90D-6; 143-318.12(b)(2); 150B-20(a)
• Eff. March 21, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0103 Contact Information

(a) The Board's mailing address is: 701 Exposition Place, Suite 206, Raleigh, NC 27615

(b) The Board's e-mail address is: ncitlb@caphill.com

(c) The Board's telephone number is: 919-779-5709.

(d) The Board's website is: http://www.ncitlb.org.

History

• Authority G.S. 90D-6
• Eff. March 21, 2005
• Amended Eff. February 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017
• Amended Eff. April 1, 2025; December 1, 2020.

21 NCAC 25 .0201 The Application

The license application may ask the applicant to provide some or all of the following information:

(1) All names ever used by the applicant;

(2) The date, city, county, state, and nation of the applicant's birth;

(3) The applicant's social security number, as required by G.S. 93B-14;

(4) All home street and post office addresses used by the applicant over the previous five years;

(5) The applicant's current home and work telephone and fax numbers;

(6) The applicant's current home and work email addresses;

(7) The applicant's educational history, including but not limited to, the applicant's continuing education history;

(8) The applicant's work history;

(9) The history of the applicant's licensure, registration, certification, or classification as an interpreter or transliterator in this or any other state;

(10) The history of any complaints filed against the applicant before any body that has licensed, registered, certified, or classified the applicant as an interpreter or transliterator;

(11) The history of any civil suits arising out of the applicant's performance as an interpreter or transliterator;

(12) The applicant's criminal record;

(13) Any and all information needed by the N.C. Department of Justice to obtain State and federal criminal record checks; and

(14) Any other information necessary to confirm the applicant's eligibility for licensure.

History

• Authority G.S. 90D-6; 90D-7; 90D-8; 90D-9; 90D-11
• Eff. March 21, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0202 Application Package and Requirements for Licensure

(a) An applicant for licensure shall submit the following materials to the Board:

(1) A completed, signed, and dated application;

(2) A clear, two-inch by two-inch, passport-style photograph of the head and shoulders of the applicant, made within two years of the date of application;

(3) A legible, fully-completed finger print card obtained from a local law enforcement agency;

(4) The applicant's signed, written consent to a criminal record check;

(5) One or more cashier's checks, certified checks or money orders made payable to the North Carolina Interpreter and Transliterator Licensing Board in the amounts charged by the Department of Public Safety for all necessary local, State and federal criminal record checks; and

(6) A cashier's check, certified check or money order made payable to the North Carolina Interpreter and Transliterator Licensing Board in the amount specified by Rule .0203 of this Section.

(b) Upon application to the Board and payment of the required fees under Rule .0203(a) of this Section, the Board shall grant an Applicant a full license as an interpreter or transliterator if the applicant meets all of the following qualifications:

(1) Is 18 years of age or older.

(2) Is of good moral character presumptively established by the applicant's eligibility under Rule .0302 of this Chapter. Good moral character includes possessing the characteristics of honesty, sincerity, candor, integrity, maturity, and forthrightness. A finding of lack of good moral character is typically supported by a pattern or series of behaviors, but a single incident may be sufficient to support a finding of a lack of good moral character if it is particularly severe.

(3) Meets one of the following criteria:

(A) Is nationally certified by the Registry of Interpreters for the Deaf, Inc., (RID).

(B) Holds a valid Testing, Evaluation and Certification Unit, Inc. (TECUnit) national certification in cued language transliteration.

(C) Holds a current Cued Language Transliterator State Level Assessment (CLTSLA) level 3 or above classification.

(D) Holds a Board for Evaluation of Interpreters (BEI) assessment of Advanced or above.

(E) A Deaf Interpreter who holds a Board for Evaluation of Interpreters (BEI) intermediary certificate level IV or above.

(F) Holds a Utah Certified Interpreter certification of professional.

(G) Holds a Utah Certified Deaf Interpreter certification.

(c) Upon application to the Board and payment of the required fees under Rule .0203(a) of this Section, the Board shall grant an Applicant a one-time provisional license as an interpreter or transliterator if the applicant meets all of the following qualifications:

(1) Is 18 years of age or older.

(2) Is of good moral character presumptively established by the applicant's eligibility under Rule .0302 of this Chapter. Good moral character includes possessing the characteristics of honesty, sincerity, candor, integrity, maturity, and forthrightness. A finding of lack of good moral character is typically supported by a pattern or series of behaviors, but a single incident may be sufficient to support a finding of a lack of good moral character if it is particularly severe.

(3) Completes two continuing education units approved by the Board. These units shall be completed for each renewable year.

(4) Holds at least a two-year associate degree in interpreting from a post-secondary institution and satisfies one the following:

(A) Holds a quality assurance North Carolina Interpreter Classification System (NCICS) level C classification.

(B) Holds a valid National Association of the Deaf (NAD) level 2 or 3 certification.

(C) Holds a current Educational Interpreter Performance Assessment (EIPA) level 3.5 or above classification.

(D) Holds a Board for Evaluation of Interpreters (BEI) assessment of Basic.

(E) A Deaf Interpreter who holds a Board for Evaluation of Interpreters (BEI) intermediary certificate level III.

(F) Holds a Utah Certified Interpreter certification of novice.

(d) Upon application to the Board, payment of the required fees under Rule .0203(a) of this Section, and meeting the requirements for a provisional license under Subparagraphs (c)(1) and (2) of this Rule, the Board shall issue a provisional license to any of the following categories of persons seeking a one-time provisional license:

(1) A deaf interpreter who completes 16 hours of training in interpreting coursework or workshops provided by the North Carolina Division of Services for the Deaf and Hard of Hearing, including role and function or ethics, and 20 hours in the 12 months immediately preceding the date of application in the provision of interpreting services.

(2) An oral interpreter who completes a total of 40 hours of training in interpreting coursework or workshops related to oral interpreting.

(3) A cued language transliterator who holds a current TECUnit Cued language Transliterator State Level Assessment (CLTSLA) level 2 or above classification.

(4) A person providing interpreting or transliterating services who has a recognized credential from another state's licensing body in the field of interpreting or transliterating.

(5) An interpreter or transliterator who has accumulated at least 200 hours per year in the provision of interpreting or transliterating services, in this State or another state, totaling at least 400 hours for the two years immediately preceding the date of the application. An applicant shall provide documentation of hours when applying for a provisional license under this category, subject to verification by the Board.

History

• Authority G.S. 90D-6; 90D-7; 90D-9, 90D-10; S.L. 2002-182, s. 7, as amended by S.L. 2003-56
• Eff. March 21, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017
• Temporary Amendment Eff. July 5, 2024
• Amended Eff. January 1, 2026; February 1, 2025.

21 NCAC 25 .0203 Application Fees

(a) The Board shall not review a license application until the appropriate license fee has been paid pursuant to the following fee schedule:

| Application for Initial Full License under G.S. 90D-7 and -9 | $225.00 | | --- | --- | | Application for Renewal of Full License | $150.00 | | Application for Initial Provisional License under G.S. 90D-8 | $225.00 | | Application for Renewal of Provisional License | $150.00 | | Application for Replacement of Lost, Damaged or Destroyed License | $10.00 |

(b) These fees shall be nonrefundable and shall be paid by cash or by cashier's check, certified check, or money order made payable to the North Carolina Interpreter and Transliterator Licensing Board.

(c) The Board shall waive the license application renewal fee for any individual who is currently licensed by and in good standing with the Board if the individual is serving in the armed forces of the United States and if G.S. 105-249.2 grants the individual an extension of time to file a tax return. The waiver shall be in effect for any period that is disregarded under Section 7508 of the Internal Revenue Code in determining the taxpayer's liability for a federal tax.

History

• Authority G.S. 90D-6(6); 90D-10(b); 93B-15
• Eff. March 21, 2005
• Amended Eff. May 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0204 Renewal of a Full License

(a) An application for the renewal of a full license is not timely filed unless it is received by the Board on or before the expiration date of the license being renewed.

(b) If a licensee does not timely file an application for the renewal of a full license, the licensee shall not practice or offer to practice as an interpreter or transliterator for a fee or other consideration, represent himself or herself as a licensed interpreter or transliterator, or use the title "Licensed Interpreter for the Deaf", "Licensed Transliterator for the Deaf", or any other title or abbreviation to indicate that the person is a licensed interpreter or transliterator until he or she receives a new initial license.

(c) An untimely filed application for the renewal of a full license shall be processed as an application for a new initial license.

(d) The Board shall not review an untimely filed application for the renewal of a full license until the applicant pays the initial full license fee specified by Rule .0203 of this Section;

(e) If the license being renewed has been suspended by the Board, any renewal license issued to the applicant shall be suspended as well until the term of the suspension has expired.

(f) The Board shall extend the deadline for filing a license renewal application for any individual who currently holds a full license and is in good standing with the Board if the individual is serving in the armed forces of the United States and if G.S. 105-249.2 grants the individual an extension of time to file a tax return. The extension shall be in effect for any period that is disregarded under Section 7508 of the Internal Revenue Code in determining the taxpayer's liability for a federal tax.

History

• Authority G.S. 90D-6; 90D-11; 90D-12; 93B-15
• Eff. March 21, 2005
• Amended Eff. May 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0205 Renewal of a Provisional License

(a) An application for the renewal of a provisional license is not timely filed unless it is received by the Board on or before the expiration date of the license being renewed.

(b) If a licensee does not timely file an application for the renewal of a provisional license, the licensee shall not practice or offer to practice as an interpreter or transliterator for a fee or other consideration, represent himself or herself as a licensed interpreter or transliterator, use the title "Licensed Interpreter for the Deaf," "Licensed Transliterator for the Deaf," or use any other title or abbreviation to indicate that the person is a licensed interpreter or transliterator until he or she receives either a renewed provisional license, as described in Paragraph (c) of this Rule, or an initial full license as described in 21 NCAC 25 .0204.

(c) An application to renew an expired provisional license shall be approved by the Board if it is received by the Board within one year after the provisional license expired and if the application demonstrates that the applicant continues to qualify for a provisional license, by meeting the requirements of G.S. 90D-8. A provisional license shall not be renewed after it has expired a second time.

(d) If the provisional license being renewed has been suspended by the Board, any renewed provisional license issued to the applicant shall also be suspended until the term of the suspension has expired.

(e) The Board shall renew a provisional license no more than three times upon receipt of timely applications that demonstrate that the applicant continues to qualify for a provisional license. The Board may extend a provisional license on an annual basis after the third renewal if the applicant timely files an application prior to the expiration of the third renewal, and on an annual basis thereafter if further extension is sought by the applicant that demonstrates that the applicant's progress toward full licensure was delayed by:

(1) a life-altering event, such as the birth or adoption of a child to the applicant or the applicant's spouse or an acute or chronic illness suffered by either the applicant or a member of the applicant's immediate family;

(2) active military service;

(3) a catastrophic natural event, such as a pandemic, flood, hurricane, or tornado; or

(4) the certifying organizations identified in G.S. 90D-7 having imposed a moratorium on testing or certification that has prevented the applicant from sitting for the qualifying examination and obtaining the results thereof prior to the expiration of the provisional license or any annual extension.

(f) The Board shall not for any reason renew or extend a provisional license for a fifth time, with the exception of servicemembers who qualify for an extension under Paragraph (h) of this Rule.

(g) The Board shall not issue an initial provisional license to anyone who has previously held a provisional license.

(h) The Board shall extend the deadline for filing a license renewal application for any individual who currently holds a provisional license and is in good standing with the Board if the individual is serving in the armed forces of the United States and if G.S. 105-249.2 grants the individual an extension of time to file a tax return. The extension shall be in effect for any period that is disregarded under Section 7508 of the Internal Revenue Code in determining the taxpayer's liability for a federal tax.

History

• Authority G.S. 90D-6; 90D-8; 90D-11; 90D-12; 93B-15
• Eff. March 21, 2005
• Amended Eff. July 1, 2016; May 1, 2011; August 1, 2007
• Readopted Eff. June 1, 2018
• Amended Eff. February 1, 2023.

21 NCAC 25 .0206 Reciprocity

(a) applicant shall not be eligible for a license by reciprocity, pursuant to G.S. 90D-9, if any interpreter's or transliterator's license issued to the applicant by any state:

(1) has been revoked, suspended, or otherwise restricted or reduced from full licensure status within the twelve months next preceding the date on which the applicant applies for a license by reciprocity; or

(2) remains suspended or otherwise restricted or reduced from full licensure status as of the date on which the applicant applies for a license by reciprocity.

(b) A license issued by reciprocity shall be revoked if the underlying foreign license is revoked, suspended, or otherwise restricted or reduced from full licensure status, or is surrendered in order to avoid being revoked, suspended, or otherwise restricted or reduced.

History

• Authority G.S. 90D-6; 90D-9
• Eff. March 21, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0207 Mentoring and Training Exemption

(a) A mentoring or training program is approved by the Board if it meets each of the following criteria:

(1) The program is operated by a school accredited by the Southern Association of Colleges and Schools, or any other accrediting agency recognized by the U.S. Department of Education;

(2) Each mentor or trainer used by the program:

(A) Holds a valid National Association of the Deaf ("NAD") level 4 or 5 certification; or

(B) Is nationally certified by the Registry of Interpreters for the Deaf, Inc. ("RID"); or

(C) Has a national certification recognized by the National Cued Speech Association ("NCSA"); or

(D) Holds a quality assurance North Carolina Interpreter Classification System ("NCICS") level A or B classification in effect on January 1, 2000;

(3) Each mentor or trainer used by the program has five years of professional experience as an interpreter or transliterator following graduation from an accredited Interpreter Training Program or following the date on which the mentor or trainer received the certification or classification specified in Subparagraph (b)(2) of this Rule; provided that, until July 1, 2008, a deaf person who is certified as an interpreter by RID may serve as a mentor or trainer without five years of professional experience;

(4) Each mentor or trainer used by the program is currently licensed by the Board; and

(5) The students being mentored or trained always work under the supervision of a mentor or trainer who meets the qualifications set out in Subparagraphs (a)(2) through (a)(4) of this Rule.

(b) A student in a mentoring or training program approved by the Board must obtain a license from the Board before the person provides interpreting or transliterating services for a fee or other consideration outside of the approved mentoring or training program.

(c) As used in Subparagraph (a)(3) of this Rule, the phrase "has five years of professional experience as an interpreter or transliterator" means that the mentor or trainer has provided interpreter or transliterator services for persons other than family members and friends, for a fee or other consideration, for a total of 60 consecutive or nonconsecutive months. Each full month of full-time or part-time employment as an interpreter or transliterator --- or as a teacher of interpreting or transliterating --- shall be counted toward the required 60 months of experience.

(d) As used in Subparagraph (a)(5) of this Rule, the phrase "always work[s] under the supervision of a mentor or trainer" means that a mentor or trainer is routinely available to observe and critique the student's performance, to answer questions, and to demonstrate proper technique. It does not mean that the student is always accompanied by the mentor or trainer.

History

• Authority G.S. 90D-4(b)(2); 90D-6
• Eff. March 21, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0208 Grounds for Suspension or Revocation of a License

In addition to any other grounds provided by G.S. 90D-12, the Board may suspend or revoke an existing license if the licensee:

(1) Fails to report being charged with any crime in any state within 30 days after the charge is filed, unless the licensee is prevented from making the report because he or she is incarcerated;

(2) Fails to report being convicted of any crime in any state within 30 days after the conviction is entered, unless the licensee is prevented from making the report because he or she is incarcerated;

(3) Fails to report being sued in any court in any state for malpractice or negligence, incompetence, or misconduct in performing interpreter or transliterator services within 30 days after being served with a civil summons or complaint;

(4) Fails to report a judgment against the licensee in any court in any state for malpractice or negligence, incompetence, or misconduct in performing interpreter or transliterator services within 30 days after judgment is entered, whether or not the licensee intends to appeal the judgment;

(5) Fails to report that a complaint has been made against the licensee to any interpreter and transliterator licensing board or agency in any other State, within 30 days after the licensee receives notice of the complaint;

(6) Fails to report that a complaint has been made against the licensee to any local, regional or national certifying agency, such as NAD, RID, and NCSA, within 30 days after the licensee receives notice of the complaint; or

(7) Violates the Code Of Ethics adopted in 21 NCAC 25 .0301.

History

• Authority G.S. 90D-6; 90D-7(a)(2)
• Eff. March 21, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0209 Denial of Certain License Applications

(a) License applications filed by any person who has willfully violated G.S. 90D-4(a) shall be denied for a period of two years following the last date on which the person violated G.S. 90D-4(a).

(b) License applications filed by any person who has given false information to, or withheld information from, the Board while seeking a license shall be denied for a period of two years following the last date on which the person gave false information to, or withheld information from, the Board.

(c) License applications filed by any person whose license has been revoked by the Board on any grounds other than G.S. 90D-12(1), (2) and (5) shall be denied for a period of two years following the revocation.

(d) License applications filed by any person whose license has been revoked pursuant to G.S. 90D-12(5) for failing to pay child support after having been ordered to do so by a court of competent jurisdiction, or for failing to comply with a subpoena issued pursuant to a child support or paternity establishment proceeding, shall be denied until the Board receives a certification from the appropriate clerk of court that the person is no longer delinquent in child support payments or that the person has complied with, or is no longer subject to, the subpoena.

(e) License applications filed by any person who has willfully failed to pay a civil penalty that was assessed pursuant to G.S. 90D-14 and has not been temporarily or permanently stayed by an administrative or judicial order shall be denied until the civil penalty has been paid.

History

• Authority G.S. 50-13.12; 90D-6; 90D-12
• Eff. March 21, 2005
• Amended Eff. January 1, 2012; August 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0210 Time-Limited, Nonresident Exemption

(a) Nonresident persons who are nationally certified by the National Association of the Deaf, the National Cued Speech Association, or the Registry of Interpreters for the Deaf, Inc. are exempt from licensure so long as they provide interpreting or transliterating services in this State for no more than 20 days during any single calendar year.

(b) For the purposes of this Rule, each partial day of interpreting or transliterating shall be counted as a full day.

(c) Upon the request of any person, a nonresident providing interpreting or transliterating services under this exemption shall provide evidence of his or her certification by the National Association of the Deaf, the National Cued Speech Association, or the Registry of Interpreters for the Deaf, Inc.

History

• Authority G.S. 90D-4(b)(6); S.L. 2005-299, s.1
• Eff. August 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0211 Suspension of Authority to Expend Funds

In the event the Board's authority to expend funds is suspended pursuant to G.S. 93B-2, the Board shall continue to issue and renew licenses and all fees tendered shall be placed in an escrow account maintained by the Board for this purpose. Once the Board's authority is restored, the funds shall be moved from the escrow account into the general operating account.

History

• Authority G.S. 93B-2(d)
• Eff. May 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0301 Code of Ethics

(a) The Board hereby adopts and incorporates by reference the Code of Ethics adopted by The Registry of Interpreters for the Deaf, Inc., including all subsequent amendments and editions of that code.

(b) A copy of the code may be obtained free of charge from the Board. The code may also be viewed on-line at RID's web page at: http://www.rid.org/.

History

• Authority G.S. 90D-6; 90D-7(a)(2); 90D-12
• Eff. March 21, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0302 Criminal Convictions

(a) Except as provided in Paragraph (c) of this Rule, a person shall not be eligible to seek a license if the person has been convicted of:

(1) Two or more felonies, regardless of the dates of conviction;

(2) Three or more misdemeanors, regardless of the dates of conviction;

(3) A combination of a single felony and two or more misdemeanors, regardless of the dates of conviction;

(4) A single felony within the 5 years next preceding the date the person applies for a license;

(5) A single misdemeanor within the 2 years next preceding the date the person applies for a license.

(b) Except as provided in Paragraph (c) of this Rule, the Board shall revoke a licensee's license upon the licensee's conviction of a single felony or misdemeanor.

(c) Notwithstanding the provisions of Paragraphs (a) and (b) of this Rule, a misdemeanor conviction shall not bar a person from obtaining a license and shall not require the Board to revoke an existing license if the applicant or licensee demonstrates to the Board's satisfaction that:

(1) The applicant or licensee did not deceive or defraud the public while committing the misdemeanor offense; and

(2) The misdemeanor offense has no bearing upon the person's fitness to perform interpreter or transliterator services.

History

• Authority G.S. 90D-6; 90D-7(a)(2); 90D-12(2)
• Eff. March 21, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0401 Duty to Report Changes in Personal Information

A licensee shall notify the Board in writing of any change in the licensee's current:

(1) Name;

(2) Home street address;

(3) Home mailing address;

(4) Home and work telephone numbers;

(5) Home and work fax numbers; and

(6) Email address;

within 30 days after the change occurs.

History

• Authority G.S. 90D-6(2),(4); 90D-7(a)(2) and (c)
• Eff. March 21, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0402 Duty to Report Consumer Complaints

(a) A licensee shall notify the Board of any complaint made against the licensee:

(1) to any interpreter and transliterator licensing board or agency in any other State; or

(2) to any local, regional or national certifying agency, such as NAD, RID, and NCSA.

(b) The licensee shall give the notice to the Board within 30 days after the licensee receives notice of the complaint.

History

• Authority G.S. 90D-6(2) and (4); 90D-7(a)(2) and (c)
• Eff. March 21, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0403 Duty to Report Civil Suits

Any licensee named as a defendant in any civil suit arising out of the licensee's practice as an interpreter or transliterator shall:

(1) Mail a copy of the civil summons and complaint to the Board within 30 days after the licensee is served with a copy of the civil summons and complaint; and

(2) Notify the Board of the outcome of the civil suit within 30 days after the civil suit is resolved by dismissal, settlement, trial, or any other means.

History

• Authority G.S. 90D-6(2) and (4); 90D-7(a)(2) and (c)
• Eff. March 21, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0404 Duty to Report Criminal Prosecutions

(1) Mail a copy of the criminal process, including the criminal warrant, indictment, information, presentment or other criminal process, to the Board within 30 days after the licensee is served with a copy of the criminal warrant, indictment, information, presentment or other criminal process; and

(2) Notify the Board of the outcome of the criminal prosecution within 30 days after the prosecution is resolved by dismissal, pleas of guilty or no contest, trial, or any other means.

History

• Authority G.S. 90D-6(2) and (4); 90D-7(a)(2) and (c)
• Eff. March 21, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0405 Mandatory Disclosures

Upon the request of any consumer, a licensee shall give the consumer a business card that bears:

(1) the licensee's name; and

(2) the licensee's license number in the following format: "NCITLB License # [number]".

History

• Authority G.S. 90D-2; 90D-4(a); 90D-6(2) and (7)
• Eff. March 21, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0406 Extension of Reporting Deadlines

The reporting deadlines in this Section are extended for any individual who is currently licensed by and in good standing with the Board if the individual is serving in the armed forces of the United States and if G.S. 105-249.2 grants the individual an extension of time to file a tax return. The extension shall be in effect for any period that is disregarded under Section 7508 of the Internal Revenue Code in determining the taxpayer's liability for a federal tax.

History

• Authority G.S. 93B-15
• Eff. May 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0501 Continuing Education Requirements

(a) A licensee shall earn at least two continuing education units ("CEUs") each licensure year. At least 1.0 of those CEUs shall be earned in professional studies.

(b) A licensee may carry over up to two surplus CEUs earned in one licensure year to the next licensure year to meet the requirements of Paragraph (a) of this Rule. The licensee shall demonstrate that he or she earned the CEU credits sought to be carried over in the licensee's license renewal application packet submitted for the carry over year in order to receive credit therefore. Surplus CEUs shall only be carried forward from the licensure year in which they were earned to the next subsequent licensure year and not beyond.

(c) A licensee may not earn CEUs while interpreting, whether or not the licensee is compensated for his or her services.

(d) The Board shall waive the continuing education requirements in this Rule for any individual who is currently licensed by and in good standing with the Board if the individual is serving in the armed forces of the United States and if G.S. 105-249.2 grants the individual an extension of time to file a tax return. The waiver shall be in effect for any period that is disregarded under Section 7508 of the Internal Revenue Code in determining the taxpayer's liability for a federal tax.

History

• Authority G.S. 90D-6; 90D-8; 90D-11; 93B-15
• Eff. March 21, 2005
• Amended Eff. May 1, 2011; August 1, 2007
• Readopted Eff. June 1, 2018
• Temporary Amendment Eff. June 26, 2020
• Temporary Amendment Expired Eff. April 11, 2021
• Amended Eff. April 1, 2024; July 1, 2021.

21 NCAC 25 .0502 Proration of Continuing Education Requirements

The CEU requirements specified in Rule .0501 of this Chapter shall be prorated as follows during a licensee's initial licensure year:

(1) If the licensee receives his or her initial license in the months of October, November or December, the licensee shall be required to earned at least 2.0 CEUs by the following October 1. At least 1.0 of those CEUs shall be earned in professional studies.

(2) If the licensee receives his or her initial license in the months of January, February, or March, the licensee shall be required to earned at least 1.5 CEUs by the following October 1. At least 1.0 of those CEUs shall be earned in professional studies.

(3) If the licensee receives his or her initial license in the months of April, May, or June, the licensee shall be required to earned at least 1.0 CEUs by the following October 1. At least 0.5 of those CEUs shall be earned in professional studies.

(4) If the licensee receives his or her initial license in the months of July, August, or September, the licensee shall be required to earned at least 0.5 CEUs by the following October 1. At least 0.5 of those CEUs shall be earned in professional studies

History

• Authority G.S. 90D-6; 90D-8; 90D-11
• Eff. August 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017
• Amended Eff April 1, 2024.

21 NCAC 25 .0503 Failure to Meet Continuing Education Requirements

(a) A licensee who has not complied with the continuing education requirements in this Section shall be ineligible for license renewal. Any person whose license renewal application is denied on these grounds may reapply for licensure as soon as the person is able to demonstrate that:

(1) the person has earned at least two CEUs within the 12 months next preceding the date of reapplication; and

(2) at least 1.0 of those CEUs was earned in professional studies.

(b) Notwithstanding the provisions of Paragraph (a) of this Rule, a licensee who has not complied with the continuing education requirements in this Section shall be eligible for license renewal if:

(1) the licensee makes a timely application for renewal as defined in 21 NCAC 25 .0204(a), including the payment of the required license fee; and

(2) the licensee earns the required CEUs by no later than the 31st day of October in the new licensure year.

(c) CEUs earned in the current licensure year and used to cure a deficiency in the prior licensure year shall not be used to meet the CEU requirements of the current year.

History

• Authority G.S. 90D-6; 90D-8; 90D-11
• Eff. August 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017
• Amended Eff April 1, 2024.

21 NCAC 25 .0504 CEU Credit for college courses

A licensee may earn CEUs by enrolling in and completing a class or course sponsored by a college or university accredited by the Southern Association of Colleges and Schools or by any other accrediting agency recognized by the U.S. Department of Education. In order to receive CEU credit for the class or course, the licensee must authorize and direct the sponsoring college or university to mail to the Board a certified transcript documenting that the licensee completed the class or course and that the licensee earned at least a 2.0 grade point average in the class or course or a grade of "Pass" if the licensee was graded on a "Pass-Fail" basis.

History

• Authority G.S. 90D-6; 90D-8; 90D-11
• Eff. August 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0505 Ceu Credit for Workshps, Conferences, and Independent Study Recognized by Rid

(a) A licensee may earn CEUs by attending workshops and conferences recognized by The Registry of Interpreters for the Deaf, Inc. ("RID"). In order to receive CEU credit for attendance at a workshop or conference recognized by RID, the licensee shall submit to the Board a copy of the licensee's RID CEU transcript. RID shall be the sole judge of the number of CEUs earned by attendance at the workshop or conference.

(b) A licensee who is either a certified member of RID or an associate member of RID participating in the Associate Continuing Education Tracking ("ACET") Program may earn CEUs by independently studying instructional materials in any format -- including, but not limited to, videotapes, audiotapes, web sites, DVDs, CDs, and books and other printed materials -- so long as the materials have been recognized by RID. In order to receive CEU credit for such independent study, the licensee shall submit to the Board a copy of the licensee's RID CEU transcript. RID shall be the sole judge of the number of CEUs earned by the completion of any independent study recognized by RID.

(c) If a licensee does not have an RID CEU transcript because the licensee is neither a certified member of RID nor an associate member of RID participating in the ACET Program, the licensee shall receive CEU credit for attendance at the workshop or conference by submitting to the Board a certificate of completion signed by the workshop or conference sponsor, provider, or presenter.

History

• Authority G.S. 90D-6; 90D-8; 90D-11
• Eff. August 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017
• Amended Eff April 1, 2024.

21 NCAC 25 .0506 CEU Credit for Workshps, conferences, and independent study APPROVED by other STATUTORY professional licensing boards

(a) A licensee may earn CEUs by attending workshops and conferences approved by other statutory professional licensing boards of this or any other state. In order to receive CEU credit for attendance at such workshops and conferences, the licensee must submit to the Board written evidence that the workshop or conference was approved by another statutory professional licensing board and that the licensee attended the workshop or conference. The mandatory professional licensing board that approves the workshop or conference shall be the sole judge of the number of CE hours that may be earned by attendance at the workshop or conference.

(b) A licensee may earn CEUs by independently studying instructional materials in any format -- including, but not limited to, videotapes, audiotapes, web sites, DVDs, CDs, and books and other printed materials -- so long as the materials have been approved for CE credit by another statutory professional licensing board. In order to receive CEU credit for such independent study, the licensee must submit to the Board written evidence that the independent study was approved by another statutory professional licensing board and that the licensee satisfactorily completed the independent study. The statutory professional licensing board that approves the independent study shall be the sole judge of the number of CE hours that may be earned by completion of the independent study.

History

• Authority G.S. 90D-6; 90D-8; 90D-11
• Eff. August 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0601 Petitions for the Adoption, Amendment or Repeal of Rules

(a) Any person may petition the Board to adopt a new rule or to amend or repeal an existing rule by filing a written petition with the Board.

(b) The petition shall contain:

(1) the petitioner's name, address, telephone number, fax number, email address, and signature;

(2) the number of the rule the petitioner wants the Board to amendment or repeal;

(3) a draft of the proposed new or amended rule;

(4) the reasons the petitioner believes the Board should take the requested action; and

(5) a statement of whether the petitioner wishes to address the Board regarding the petition.

(c) The Board chair, in his or her discretion, may give supporters and opponents of the petition an opportunity:

(1) to file written comments on the petition; and

(2) to address the Board on the merits of the petition.

History

• Authority G.S. 90D-6; 150B-20(a)
• Eff. March 21, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0602 Declaratory Rulings

(a) Any person aggrieved may petition the Board to issue a declaratory ruling as to the validity of a rule or as to the applicability to a given state of facts of a statute administered by the Board or of a rule or order of the Board by filing a written petition with the Board.

(b) A petition for a declaratory ruling must contain:

(1) The petitioner's name, address, telephone number, fax number, email address, and signature;

(2) The number of the rule or statute the petitioner wants the Board to construe;

(3) The given state of facts to be applied in the ruling;

(4) A plain and concise statement of the ruling sought by the petitioner;

(5) A statement of how the petitioner is aggrieved by the rule or statute;

(6) A plain and concise statement of the reasons the ruling sought should be issued by the Board; and

(7) A statement of whether the petitioner wishes to address the Board regarding the petition.

(c) The Board chair, in his or her discretion, may give supporters and opponents of the petition an opportunity:

(1) to file written comments on the petition; and

(2) to address the Board on the merits of the petition.

(d) The Board may decline to issue any ruling:

(1) When the Board determines that the petitioner is not a person aggrieved;

(2) When the Board determines that material facts are in dispute;

(3) When the Board determines that an actual case or controversy exists;

(4) When the subject matter of the request is being investigated by the Board;

(5) When the subject matter of the request is involved in pending litigation;

(6) When the Board has already issued a final decision in a contested case involving the same or substantially similar facts;

(7) When the Board has already issued a declaratory ruling on the same or substantially similar facts; or

(8) When the Board determines that the issuance of a ruling is not in the public interest.

History

• Authority G.S. 90D-6; 150B-4
• Eff. March 21, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0603 Filing

(a) A document is filed with the Board when the document is actually received by the Board and not when it is merely placed into the custody and control of the United States Postal Service or some other public carrier.

(b) A document may be filed with the Board by facsimile transmission.

(c) A document may not be filed with the Board by email transmission.

History

• Authority G.S. 90D-6; 150B-38(h)
• Eff. March 21, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0701 Schedule of Penalties and Publication of Discipline

(a) The presumptive penalty for any violation of any provision of Chapter 90D of the North Carolina General Statutes or any rule adopted by the Board shall be:

(1) $500 for the first violation; and

(2) $1,000 for subsequent violations

(b) After issuance of a final order determining any person violated Chapter 90D of the North Carolina General Statutes or any rule adopted by the Board, the Board shall publish to its website the person's name, violation type, date of violation, and the assessed penalty for each violation.

History

• Authority G.S. 90D-14(c)
• Eff. August 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017
• Amended Eff. August 1, 2025.

21 NCAC 25 .0702 evaluation of mitigating and aggravating factors

(a) If the Board finds that mitigating factors outweigh aggravating factors, the Board may assess a penalty that is less than the presumptive penalty.

(b) If the Board finds that aggravating factors outweigh mitigating factors, the Board may assess a penalty that is more than the presumptive penalty, provided that no single penalty for any single violation shall exceed one thousand dollars ($1,000).

(c) If the Board assesses a penalty that is more or less than the presumptive penalty, the Board shall state its reasons for doing so. The Board need not state its reasons for assessing the presumptive penalty.

History

• Authority G.S. 90D-14(c); S.L. 2005-299, s.4
• Eff. August 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

21 NCAC 25 .0703 Identification of Separate Offenses

(a) Each offer by an unlicensed person to practice as an interpreter or transliterator for a fee or other consideration shall constitute a separate violation for which a separate penalty may be assessed.

(b) Each representation by an unlicensed person that such person is a licensed interpreter or transliterator shall constitute a separate violation for which a separate penalty may be assessed.

(c) Each time an unlicensed person uses the title "Licensed Interpreter for the Deaf", "Licensed Transliterator for the Deaf", or any other title or abbreviation to indicate that the person is a licensed interpreter or transliterator shall constitute a separate violation for which a separate penalty may be assessed.

(d) An advertisement that violates Paragraphs (a), (b), or (c) of this Rule shall constitute a single violation each day it is published.

(e) Each interpreting or transliterating engagement that violates a licensing statute or rule shall constitute a separate violation for which a separate penalty may be assessed.

(f) Each day a violation persists shall constitute a separate violation for which a separate penalty may be assessed.

History

• Authority G.S. 90D-14(c); S.L. 2005-299, s.4
• Eff. August 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

Chapter 26 Landscape Architects

21 NCAC 26 .0101 Authority: Name and Location of Board

The "North Carolina Landscape Architecture Act," G.S. Chapter 89A, establishes and authorizes the "North Carolina Board of Landscape Architects," hereafter called the "Board." Unless otherwise directed, all communications shall be addressed to the Board at Post Office Box 41225, Raleigh, North Carolina 27629. Applications and other information are available on the Board's website: www.ncbola.org.

History

• Authority G.S. 89A-3.1
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. March 1, 2015; August 1, 2000; July 2, 1979
• Readopted Eff. April 1, 2018
• Amended Eff. January 1, 2022.

21 NCAC 26 .0102 Purpose of the Act

History

• Status: repealed
• Authority G.S. 89A-1(b),(c); 89A-2(a); 89A-3(c)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. August 1, 1988.

21 NCAC 26 .0103 Organization of the Board: Officers

In accordance with Article 33C of G.S. Chapter 143, meetings of the Board shall be open and public except that the Board may meet in closed session to prepare, approve, administer or grade written examinations; or to examine and deliberate the qualifications of an applicant for registration; or to dispose of a proceeding to discipline a registered landscape architect.

History

• Authority G.S. 89A-3; 143-318.11
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. March 1, 2015; August 1, 1988
• Readopted Eff. April 1, 2018.

21 NCAC 26 .0104 Forms

History

• Status: repealed
• Authority G.S. 89A-3(c); 150B-11(1)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Temporary Amendment Eff. October 1, 1997
• Temporary Amendment Expired July 12, 1998
• Repealed Eff. August 1, 2000.

21 NCAC 26 .0105 Fees

(a) The fee for any initial license application shall be one hundred dollars ($100.00).

(b) Examination fees payable to the Board shall be paid prior to the examination and in accordance with G.S 89A-6.

(c) The initial fee for a license by examination or comity shall be two hundred fifty dollars ($250.00.)

(d) The initial fee for a corporate certificate of registration shall be two hundred fifty dollars ($250.00.)

(e) The fee for the annual renewal of any certificate of registration of any person, firm, or corporation shall be one hundred dollars ($100.00).

(f) Annual renewal fees received after June 30th of each year shall be subject to a late fee of fifty dollars ($50.00). Lapse of license renewal in excess of one year shall require an application for reinstatement and an application fee of one hundred dollars ($100.00).

(g) The fee for re-issue of a lost or damaged certificate shall be twenty-five dollars ($25.00).

(h) If the accompanying payment in the amount of the renewal fee is dishonored by the firm's drawee bank for any reason, the Board shall suspend the firm registration until the renewal fee is paid.

History

• Authority G.S. 89A-3.1; 89A-5; 89A-6
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. December 1, 1994; June 1, 1991; April 1, 1990; July 1, 1989
• Temporary Amendment Eff. October 1, 1997
• Temporary Amendment Expired July 12, 1998
• Amended Eff. March 1, 2015; August 1, 2000
• Readopted Eff. April 1, 2018
• Amended Eff. April 1, 2024; January 1, 2022.

21 NCAC 26 .0106 Suspension of Authority to Expend Funds

In the event the North Carolina Board of Landscape Architects' authority to expend funds is suspended pursuant to G.S. 93B-2(d), the Board shall continue to issue and renew licenses and all fees tendered shall be placed in an escrow account maintained by the Board for this purpose. Once the Board's authority is restored, the funds shall be moved from the escrow account into the general operating account.

History

• Authority G.S. 89A-3.1; 93B-2
• Eff. March 1, 2015.

21 NCAC 26 .0107 Definitions

In addition to the definitions in G.S. 89A-1, for purposes of this Section, the following definitions apply:

(1) "Board Executive" means the administrator of the Board.

(2) "CLARB" means the Council of Landscape Architectural Registration Boards.

(3) "Contact hour" means 60 continuous minutes.

(4) "CEAC" means the Continuing Education Advisory Committee of the Board.

(5) "Direct Supervision" means the level of supervision by a licensed professional overseeing the work of another in which both work in circumstances where professional contact is relevant and routine, and the supervisor has both control over and detailed professional knowledge of the work prepared under his or her supervision.

(6) "Education Activity" means an activity that increases the professional knowledge or skills of a licensee and relates to the protection or enhancement of the health, safety and welfare of the public and is approved by the Board.

(7) "Examination" means the process by which the Board determines the experience, academic or other qualifications and fitness for practice of an applicant, and may include a written examination administered by the Board or a third party.

(8) "Foreign Corporation" means a foreign corporation as defined in G.S. 55B-16(b).

(9) "LAAB" means the Landscape Architecture Accreditation Board.

(10) "LARE" means the Landscape Architecture Registration Exam administered by the CLARB.

(11) "License" means registration with the Board and use of "RLA" as a designator for Registered Landscape Architect shall denote licensure by the Board.

(12) "License Year" means July 1st through June 30th.

(13) "Resident licensed professional" means a licensee who spends a majority of the licensee's normal working time in a specifically identified place of business within North Carolina. Such time shall not be less than a majority of the operating hours of the business. A licensed professional shall be the resident licensee at only one place of business at one time unless each business is at least one- third owned by the resident professional and is approved by the Board after a determination that the businesses are integrated in operation, ownership, office location, and that the licensee will be in responsible charge of the professional services.

History

• Authority G.S. 89A-3.1(2); 89A-5
• Eff. March 1, 2015
• Amended Eff. January 1, 2022.

21 NCAC 26 .0201 Board Listing of Individual and Firm Names

Every individual licensee, partnership, firm or corporation shall keep the Board advised of his, her or its current mailing address and other contact information and the name or names under which he, she or it is practicing landscape architecture. Each licensee or firm shall keep current its online profile and changes of association, address or contact information. Upon the dissolution or change of a professional relationship, the member or members thereof shall notify the Board in writing concerning such dissolution, and of the succeeding status and addresses of the individual or firm. Notice to the Board required by this Rule shall be provided within 10 days of the change.

History

• Authority G.S. 89A-3.1(2)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. March 1, 2015
• Readopted Eff. April 1, 2018
• Amended Eff. January 1, 2022.

21 NCAC 26 .0202 Applicability of Board Rules

History

• Status: repealed
• Authority G.S. 89A-3(c)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. August 1, 1988.

21 NCAC 26 .0203 General Obligations of Practice: Mandatory Standards

History

• Status: repealed
• Authority G.S. 89A-3(c); 89A-7
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 1, 1988; August 1, 1988; November 8, 1978
• Repealed Eff. July 1, 1993.

21 NCAC 26 .0204 Corporate Practice

History

• Status: repealed
• Authority G.S. 89A-3(c); 55B-15
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. August 1, 1988; April 1, 1981
• Repealed Eff. February 1, 1994.

21 NCAC 26 .0205 Forms of Practice

History

• Status: repealed
• Authority G.S. 89A-3(c)
• RRC Objection Eff. June 17, 1993 Due to Lack of Statutory Authority
• Eff. August 1, 1993
• Repealed Eff. February 1, 1994.

21 NCAC 26 .0206 Name of Firm

(a) The name of a landscape architectural firm shall not include the proper name of any officer or employee who is not a licensed landscape architect, architect, geologist, soil scientist, land surveyor or professional engineer.

(b) The word "associate" may be used only with reference to a licensee who is a principal or regular employee of the firm. The plural form may be used only when justified by the number of licensees in addition to those licensees whose proper names are included in the firm name as follows:

(1) Example: Proper Name and (&) Associates shall refer to a principal landscape architect and at least two licensed landscape architectural employees.

(2) Example: Proper Name Associates shall refer to at least one principal landscape architect and at least one licensed landscape architectural employee.

(3) Example: Assumed Name Associates shall refer to at least one principal landscape architect and at least one licensed landscape architectural employee, or two or more principal landscape architects.

(c) This Rule shall not be construed to require any firm to seek approval of, or to change, any name duly adopted in conformity with Board Rules in effect at the date of such adoption.

History

• Authority G.S. 55B-5; 89A-3.1
• Eff. July 1, 1993
• Amended Eff. February 1, 1994
• Readopted Eff. April 1, 2018
• Amended Eff. January 1, 2022.

21 NCAC 26 .0207 Application of Professional Seal

(a) The seal(s) of the landscape architect(s) responsible for the work and the landscape architectural corporation seal, if appropriate, shall be applied to the following documents:

(1) Drawings and specifications prepared for public agency approval;

(2) Drawings and specifications issued for the purpose of bidding, negotiation or construction;

(3) Reports of technical nature; and

(4) Letters and certificates of professional opinion.

(b) The seal(s) shall be applied only to documents prepared personally or under the immediate supervision of the landscape architect whose seal is affixed, except that seals may be applied to documents that were not prepared by the landscape architect in the following circumstances:

(1) Documents that were initially sealed by an out of state individual who is a licensed landscape architect in the state of origin of such plans may then be reviewed by a North Carolina Landscape Architect for code conformance, design adequacy, and site adaptation for the specific application within North Carolina. Standard plans, which bear the seal of an individual who is a licensed landscape architect, shall be sealed by the North Carolina Landscape Architect who is assuming responsibility. In addition to the seal, a statement shall be included as follows: "These plans have been examined by the undersigned. I have determined that they comply with existing local North Carolina codes, and have been properly site adapted for use in this area."

(2) Documents that are prepared by another licensed professional and obtained by the Landscape Architect may be used to prepare landscape architectural design documents provided the origin of the documents and information prepared by another licensed professional shall appear on each drawing or sheet of the documents sealed by the landscape architect.

(c) The individual's seal or facsimile thereof shall have the landscape architect's original signature across its face and the effective date shall be indicated below or elsewhere on the document.

(d) When a document requiring seals has been co-authored by the landscape architect and another licensed design professional of another discipline, the landscape architect shall indicate by notation each portion for which he or she is responsible.

(e) Failure to use the professional seal according to this Rule may be deemed by the Board to be "gross malpractice" within the meaning of G.S. 89A-7.

(f) Electronically transmitted documents and electronic seals shall be allowed. Documents, including drawings, specifications and reports, that are transmitted electronically to a client or a governmental agency shall have the computer-generated seal removed from the original file, unless signed with a digital signature as defined in Paragraph (g) of this Rule. After removal of the seal, the electronic media shall have the following language inserted in lieu of the signature and date:

This document originally issued and sealed by (name of sealer), (license number), on (Date of sealing). This medium shall not be considered a certified document. Hardcopy documents containing the original seal, signature, and date may be obtained from (name of sealer).

(g) The scanned digital files of certified documents that cannot be altered electronically shall not be subject to the requirements of Paragraph (f) of this Rule. The electronic transmission of CAD, vector or other similar files subject to easy editing shall be subject to the requirements of this Rule. Easy editing means the file consists of separate elements that can be modified or deleted in part or in whole.

(h) Documents to be electronically transmitted that are signed using a digital signature shall contain the authentication procedure in a secure mode and a list of the hardware, software and parameters used to prepare the document(s). Secure mode means that the authentication procedure has protective measures to prevent alteration or overriding of the authentication procedure. The term "digital signature" shall be an electronic authentication process that is attached to or logically associated with an electronic document. The digital signature shall be:

(1) Unique to the licensee using it;

(2) Capable of verification;

(3) Under the sole control of the licensee; and

(4) Linked to a document in such a manner that the digital signature is invalidated if any data in the document is changed.

History

• Authority G.S. 89A-3.1; 89A-7
• RRC Objection Eff. June 17, 1993 Due to Lack of Statutory Authority and Ambiguity
• Eff. August 1, 1993
• RRC Objection cured Eff. January 20, 1994
• Amended Eff. January 1, 2008; February 1, 1994
• Readopted Eff. April 1, 2018.

21 NCAC 26 .0208 Improper Conduct

History

• Status: repealed
• Authority G.S. 89A-3(c)
• RRC Objection Eff. June 17, 1993 Due to Lack of Statutory Authority and Ambiguity
• Eff. August 1, 1993
• Repealed Eff. February 1, 1994.

21 NCAC 26 .0209 Unprofessional Conduct

A licensee shall not:

(1) allow his or her name to be associated with an undertaking in any professional capacity without having served specifically in that capacity;

(2) accept compensation in whole or in part from fees, commissions, earnings, commercial or speculative profit deriving from sales of materials or services provided to a Landscape Architect's client by others;

(3) make exaggerated or misleading statements or claims about any personal qualifications, experience or performance;

(4) fail to disclose to a client or employer the existence of any financial interest which bears upon the landscape architectural services or project in any way;

(5) fail to respond within 30 calendar days to any inquiry from the Board; or

(6) fail to supervise his or her practice. Each office maintained for the preparation of drawings, specifications, reports or other professional work shall have a registered landscape architect employed in that office who shall have direct knowledge and supervisory control of such work, except field offices maintained only for the purpose of project construction administration shall have at least one employee present with the supervising landscape architect maintaining control and making periodic visits.

History

• Authority G.S. 89A-3.1; 89A-7
• Eff. August 1, 1993
• Amended Eff. November 1, 2005; March 1, 1994
• Readopted Eff. April 1, 2018
• Amended Eff. January 1, 2022.

21 NCAC 26 .0210 Dishonest Practice

(a) A licensee shall not:

(1) knowingly make any deceptive or false statement about another's professional work or maliciously injure or attempt to injure the prospects, practice, or employment position of those so engaged;

(2) knowingly make any deceptive or false statements in an application for examination or in any other statements or representations to the Board, to any public agency, to a prospective or actual client, or to another Landscape Architect; or

(3) fail to notify the Board of disciplinary action by a landscape architect licensing, registration or certification entity in another jurisdiction within five business days of that jurisdiction's final action in the matter.

(b) Because of the inherent conflict of interest with construction services, a landscape architect shall not provide contracting services, including combined design and construction (design-build) practice, unless he or she does the following:

(1) uses the term "limited landscape architectural services" in all representations to the public and the client; and

(2) affixes a notation on each construction drawing and the cover of technical specifications stating: "These construction drawings and technical specifications represent the full extent of the limited landscape architectural services provided for this project."

History

• Authority G.S. 89A-3.1; 89A-7
• Eff. August 1, 1993
• Amended Eff. November 1, 2005; March 1, 1994
• Readopted Eff. April 1, 2018
• Amended Eff. January 1, 2022.

21 NCAC 26 .0211 Incompetence

The following acts or omissions are deemed to be gross incompetency within the meaning of G.S. 89A-7:

(1) to attempt to perform professional services that are beyond the qualifications that the landscape architect and those who are engaged as consultants are qualified by education, training and experience in the specific technical areas involved;

(2) to be negligent in planning, designing, supervising, managing or inspecting landscape architectural projects such that the public health, safety, or welfare is jeopardized; or

(3) to plan, perform, or supervise work for clients in such a manner and with such results as to be below the level of professional competency exercised by other registered landscape architects who are practicing in the area.

History

• Authority G.S. 89A-3.1; 89A-7
• Eff. August 1, 1993
• Amended Eff. December 1, 2005; March 1, 1994
• Readopted Eff. April 1, 2018.

21 NCAC 26 .0212 Scope of Practice

The scope of practice as defined by G.S. 89A-1(3) and G.S. 89A-2(b) shall be limited only by the licensee possessing the requisite knowledge and experience to provide the service. Consistent with the North Carolina State Building Code, a licensee shall not design any retaining wall greater than five vertical feet in height from the finished grade unless the licensee has the requisite knowledge and experience to determine the appropriate construction material and calculate the embedment, vertical load, backfill and other criteria.

History

• Authority G.S. 89A-1(c); 89A-3.1
• Eff. January 1, 2022.

21 NCAC 26 .0301 EXAMINATION AND LICENSure

(a) The LARE published by CLARB shall be the examination recognized by the Board, so long as the Board shall remain a member of the CLARB. The Board may administer a state supplement to the LARE as allowed by the CLARB.

(b) All persons desiring to submit an application to take the LARE are encouraged to first make application through CLARB. Upon taking and passing all sections of the LARE, candidates shall complete the Board's initial individual application for license by examination and submit the non-refundable application fee as established in Rule .0105 of this Chapter. If an application is complete and the applicant is otherwise qualified by statute and these rules to sit for examination, the Board shall approve the application for licensure by examination.

(c) CLARB sets the fees for the LARE. Fee information shall be made available to all applicants for examination on the Board website, www.ncbola.org, and may be obtained from the CLARB.

(d) An applicant shall be qualified for examination and licensure upon graduation from a LAAB accredited collegiate curriculum in landscape architecture, passage of the LARE, and the experience requirements of Paragraph (f) of this Rule.

(e) In allowing credit for education to satisfy the minimum qualification requirements established by G.S. 89A-4(a)(3), an undergraduate, a masters, or a doctorate degree from an accredited curriculum approved by the LAAB shall be deemed to have met the educational requirement.

(f) To fulfill the experience requirements established by G.S. 89A-4(a)(4), an applicant shall have a minimum of 8,000 hours of professional experience in landscape architecture working under the direct supervision of a registered landscape architect. In submitting an initial individual application to the Board for registration, a licensed landscape architect shall certify that the applicant has completed the number of hours required by this Rule. An applicant may petition the Board for up to 8,000 hours of experience credit by providing proof of work experience that is directly related to the practice of landscape architecture as defined by G.S. 89A-1(3). Experience credits shall be based on a full-time work week of 40 hours and a work year of at least 2,000 hours. Part-time work shall be fully described and may be given proportional credit. An applicant is ineligible to receive experience credit if the work was in fulfillment of an educational requirement.

(g) The Board shall treat as confidential and not subject to disclosure, except to the extent required by law or by rule of the Board, individual test scores and applications and material relating thereto, including letters of reference relating to an application.

History

• Authority G.S. 89A-3.1(3); 89A-4(a),(b)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. March 1, 2015; January 1, 2008; August 1, 1993; August 1, 1988; November 1, 1980; July 2, 1979
• Readopted Eff. April 1, 2018.

21 NCAC 26 .0302 Temporary Permit

History

• Status: repealed
• Authority G.S. 89A-3.1; 89A-4(c)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 1, 1988
• Temporary Repeal Eff. October 1, 1997
• Temporary Repeal Expired July 12, 1998
• Repealed Eff. August 1, 2000.

21 NCAC 26 .0303 License by Comity

(a) To assure that the requirements of the other state are at least equivalent to those of this state, an applicant for a license by comity shall show education and experience equal to those required of applicants who seek licensure by examination.

(b) An application for a license by comity shall be made on the on-line form available on the Board's website: www.ncbola.org and shall be accompanied by the fee.

(c) To be approved for a license by comity the applicant shall meet the following requirements:

(1) Provide evidence of having successfully completed the written examination established by the CLARB or hold a certificate issued by the CLARB;

(2) Provide certification from the proper official of any state having a landscape architectural licensure or registration act that the individual is currently certified, licensed, or registered and in good standing in that state;

(3) Submit such additional information concerning the applicant's qualifications as may be requested by the Board; and

(4) Submit examples of work upon request.

(d) In lieu of the requirements of Subparagraph (c)(1) of this Rule, an applicant for licensure by comity who was licensed prior to the adoption of a national written examination shall show proof of having met the requirements of his or her licensing state at the time of their licensure.

(e)

History

• Authority G.S. 89A-3.1(3); 89A-4(c)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. March 1, 2015; January 1, 2008; August 1, 1988; July 1, 1984
• Readopted Eff. April 1, 2018
• Amended Eff. January 1, 2022.

21 NCAC 26 .0304 Annual Renewal

History

• Status: repealed
• Authority G.S. 89A-3(c); 89A-5; 89A-7
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. November 8, 1978
• Repealed Eff. August 1, 1988.

21 NCAC 26 .0305 Denial: Revocation or Suspension of Certificate

History

• Status: repealed
• Authority G.S. 89A-3(c); 89A-5; 89A-7
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. November 8, 1978
• Repealed Eff. August 1, 1988.

21 NCAC 26 .0306 Reinstatement After Revocation

Any person whose license is revoked shall be reinstated at any time by majority vote of the Board if there is a finding that the cause for revocation no longer exists.

History

• Authority G.S. 89A-3.1
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. December 1, 2005
• Readopted Eff. April 1, 2018
• Amended Eff. January 1, 2022.

21 NCAC 26 .0307 Continuing Education as a Condition of Annual Renewal

(a) Every licensee shall meet the continuing education requirements for professional development as a condition for license renewal.

(b) In order for a licensee to qualify for license renewal as a landscape architect in North Carolina, the licensee shall have completed 10 contact hours of Board approved continuing education within the previous license year. Such continuing education shall be obtained by active participation in courses, seminars, sessions, or programs approved by the Board.

(c) To be acceptable for credit toward this requirement, all courses, seminars, webinars, sessions, or programs shall first be submitted to the CEAC. The CEAC shall review and recommend to the Board any course, seminar, webinar, session, or program for continuing education credit to the Board that the CEAC determines meets the criteria in Rule .0308(c) of this Section.

(d) Documentation of compliance with this Rule shall be by affidavit provided on the individual application for license renewal and available from the licensee's secure online profile. Erroneous or false information attested to by the licensee shall be deemed as grounds for denial of license renewal and possible suspension of license or denial of consideration for future license reinstatement, at the discretion of the Board.

(e) The Board may establish, in consultation with the CEAC, mandatory continuing education topics for a license year.

History

• Authority G.S. 89A-3.1(2); 89A-5
• Eff. May 1, 1990
• Amended Eff. March 1, 2015; March 1, 1996
• Readopted Eff. April 1, 2018.

21 NCAC 26 .0308 Duties and Functions of Continuing Education Advisory Committee (ceac)

(a) CEAC members shall be reimbursed per diem and travel expenses for official meetings at rates equivalent to rates allowed for Board members.

(b) CEAC members shall serve at the discretion of the Board. The Board Chair shall appoint the CEAC Chair who shall serve at the discretion of the Board Chair.

(c) Each continuing education activity recommended for approval by the Board shall, in the opinion of a majority of the members of the CEAC, have a direct relationship to the practice of landscape architecture as defined in Chapter 89A of the General Statutes of North Carolina and contain elements that will enhance the health, safety, and welfare of the citizens of North Carolina served by North Carolina licensed landscape architects.

(d) The CEAC shall meet at least once during each three month quarter of the year and act on each course, seminar, webinar, session, or program submitted for its review through the licensee or provider's secure online profile. The CEAC shall review submissions in accordance with Paragraph (c) of this Rule. Each program shall be recommended for approval, recommended for disapproval, or deferred for lack of information. Programs recommended for approval shall be accompanied by a brief statement of findings by the committee of how the program meets the criteria established by this Rule.

(e) An activity may be recommended for pre-approval by the CEAC before it actually occurs by following the same procedure for submission as utilized for post-activity approval.

History

• Authority G.S. 89A-3.1(6); 89A-5
• Eff. March 1, 2015
• Amended Eff. January 1, 2022.

21 NCAC 26 .0309 Exemptions and Extension of Time

(a) A licensee shall be exempt from the continuing education requirements for any of the following reasons:

(1) New licensees by way of examination or comity for the current registration year;

(2) A licensee serving on temporary active duty in the armed forces of the United States for a period of time exceeding 90 consecutive days in a year or as provided by G.S. 93B-15(b), whichever is greater;

(3) A licensee experiencing physical disability or illness if supporting documentation is approved by the Board. Such documentation shall be in the form of a sworn statement by the licensee, a statement from a physician, or medical records which show that the disability or illness, prevented the licensee's participation in a course that the licensee had enrolled, or prevented the licensee's participation in the continuing education program for at least 90 consecutive days in a year; or

(4) A licensee with emeritus status from the Board.

(b) In order to return to active practice, licensees who have received an exemption shall complete continuing education requirements for each exempted year, not to exceed two years.

(c) During a national or State declared state of emergency that restricts or prohibits a licensee from obtaining by active participation in Board approved continuing education, the Board may extend the compliance period if requested by the licensee up to 90 days beyond the effective period of the state of emergency. Any license renewed in reliance on this exemption shall be issued conditionally and shall automatically expire on the 90th day if compliance is not documented in the licensee's secure online profile by that date.

History

• Authority G.S. 89A-3.1(6); 89A-5; 93B-15
• Eff. March 1, 2015
• Emergency Amendment Eff. May 6, 2020
• Temporary Amendment Eff. August 28, 2020
• Temporary Amendment Expired Eff. June 12, 2021
• Amended Eff. January 1, 2022.

21 NCAC 26 .0310 Reinstatement Criteria

(a) A former licensee may only apply for reinstatement pursuant to G.S. 89A-5 if he or she has earned all delinquent contact hours within the 12 months preceding the application. However, if the total number of contact hours required to become current exceeds 30, then upon application, the Board shall determine the number of hours required.

(b) An application for reinstatement shall be made on the form provided by the Board on its website: www.ncbola.org and shall be accompanied by the fee.

History

• Authority G.S. 89A-3.1(6); 89A-5
• Eff. March 1, 2015
• Amended Eff. January 1, 2022.

21 NCAC 26 .0311 Continuing Education Requests for Approval

(a) Renewal applications require the completion of a continuing education form through the licensee's secure online profile specifying credit claimed. The licensee shall report and supply sufficient detail to permit audit verification, certify the continuing education by signature, and submit with the license renewal and the fee.

(b) The following schedule for submittal of hours shall apply:

(1) Application for approval of continuing education shall be submitted through the licensee's secure online profile.

(2) The deadline for submittal of an application shall be seven days prior to the regularly scheduled meeting of the CEAC.

(3) Renewal requests submitted after May 15th cannot be guaranteed approval within the license renewal year.

(4) Requests for approval of continuing education shall be completed in full and the answers to the essay questions contained in the application shall be in complete sentences, using proper grammar.

(5) Administrative staff, the CEAC, and the Board may defer any request deemed incomplete and return it to the licensee for further information or if the request does not meet the requirements set forth in this Section. It is the responsibility of the licensee to submit sufficient information to satisfy the requirements of this Section.

(6) Failure of a licensee to complete the continuing education requirements, or failure to file a report of completed continuing education are grounds for denial of license renewal, possible suspension of license, or denial of consideration for future license reinstatement.

History

• Authority G.S. 89A-3.1(6); 89A-5
• Eff. March 1, 2015
• Amended Eff. January 1, 2022.

21 NCAC 26 .0312 Compliance

(a) Compliance with annual continuing education requirements shall be determined through an audit process conducted by the Board. Determination of individuals to be audited shall be accomplished through a random selection process or as the result of information received or obtained by the Board that gives rise to the need for an audit. Licensees selected for auditing shall provide the Board with attendance verification records in the form of transcripts, completion certificates, or other documents supporting evidence of attendance.

(b) Attendance records shall be maintained by individual licensees for a period of three years for audit verification purposes.

History

• Authority G.S. 89A-3.1(6); 89A-5
• Eff. March 1, 2015
• Amendment Eff. January 1, 2022.

21 NCAC 26 .0313 Individual Licenses

(a) A licensee shall be renewed on or before June 30th of each year. No less than 30 days prior to the renewal date, the Board shall send a renewal reminder to each individual licensee. The licensee shall complete the current license renewal documentation required by the Board and found in the licensee's secure online profile. The licensee shall submit to the Board the completed license renewal documentation, along with the annual license renewal fee. The Board shall not accept incomplete renewal documentation. If the accompanying charge, draft, or check in the amount of the renewal fee is dishonored by the landscape architect's drawee bank for any reason, the Board shall suspend the license until the renewal fee is paid. When the annual renewal has been completed according to the provisions of G.S. 89A-5 and Rule .0307 of this Section, the Board Executive shall approve renewal of the license for the current license year.

(b) If the Board has not received the annual renewal fee and completed renewal documentation, before the first day of July each year the license shall expire and be delinquent. The license may be renewed at any time within one year of being deemed delinquent, upon the completion of the renewal process, payment of the annual renewal fee and the late renewal fee, along with demonstration of compliance with Rule .0307 of this Section. After one year from the date of delinquency the license may no longer be renewed, but the licensee shall seek reinstatement. Reinstatement shall occur according to the provisions of G.S. 89A-5 and Rule .0301 of this Section.

(c) Renewal fees are non-refundable.

(d) Any individual who is currently licensed by and in good standing with the Board who is serving in the armed forces of the United States shall not be subject to late fees, suspension, or revocation for failure to renew licensure on or before June 30th each year, provided that the individual has been granted an extension of time to file a tax return as set forth in G.S. 105-249.2. The licensee shall, however, comply with the continuing education requirement of Rule .0310 of this Section.

History

• Authority G.S. 89A-5; 89A-6
• Eff. March 1, 2015
• Amended Eff. January 1, 2022.

21 NCAC 26 .0314 Corporate Practice of Landscape Architecture

(a) Prior to offering and rendering landscape architectural services as set forth in G.S. 89A and Rule .0206 of this Chapter, all corporations shall, submit an application for registration and must be granted registration by the Board. Application for registration to practice landscape architecture within the State of North Carolina shall be made on the appropriate application for organization certificate of registration for a corporation or a PLLC provided by the Board on its website and include the required application fee. Certificates for corporate practice may be issued only under the provisions of G.S. Chapter 55B, except as provided in Paragraph (b) of this Rule and G.S. Chapter 57D.

(b) Applications for certificate of registration as exempt from the Professional Corporation Act under the provisions of G.S. 55B-15 shall be made through the Board's website: www.ncbola.org accompanied by the corporate application fee. To be eligible as an exempt corporation under the provisions of G.S. 55B-15, the following conditions shall exist:

(1) The corporation or limited liability company must have been incorporated or organized prior to June 5, 1969 and permitted by law to render professional services, or must be a corporate successor to such corporation or limited liability company as defined by G.S. 55B-15; or

(2) The corporation or limited liability company must have been incorporated or organized prior to October 1, 1979 and must have been a bona fide firm engaged in the practice of landscape architecture and such services as may be ancillary thereto within the State of North Carolina prior to that date.

(c) Firm registration must be renewed on or before June 30th. If the Board has not received the annual renewal fee and completed application on or before June 30th, the firm license shall expire and be delinquent. No less than 30 days prior to the renewal date, the Board shall send a notice of renewal to each registered firm. The firm shall designate a firm manager to complete the renewal documentation required by the Board. The Board shall not accept incomplete renewal documentation. Renewal documentation shall be accompanied by the renewal fee. If the accompanying payment in the amount of the renewal fee is dishonored by the firm's drawee bank for any reason, the Board shall suspend the firm registration until the renewal fee is paid. When the annual renewal has been completed according to the provisions of G.S. 89A-5, the Board Executive shall approve renewal for the firm registration for the current renewal year. The firm registration shall not be renewed until the individual landscape architect in responsible charge for the firm has completed the individual renewal process.

(d) Within one year of expiration, the firm registration may be renewed at any time upon the return of the completed renewal documents, the annual renewal fee, and the late renewal fee. After one year from the date of expiration for non-payment of the annual renewal fee, the registered firm shall not be eligible to seek renewal, as set forth in G.S. 89A-5, and the Board may reinstate the firms' certificate of registration only as allowed by G.S. 89A-4.

(e) Renewal fees are non-refundable.

(f) A registered corporation may adopt a seal pursuant to Rule .0207 of this Chapter.

(g) In addition to the requirements and limitations of G.S. Chapter 55 and G.S. Chapter 55B, the firm name used by a landscape architectural corporation shall conform with Rule .0206 of this Chapter and be approved by the Board before being used. This Rule shall not prohibit the continued use of any firm name adopted in conformity with the General Statutes of North Carolina and the Board's rules in effect at the date of such adoption.

(h) Landscape architects may practice in this State through duly authorized limited liability companies only as provided under G.S. 57D-2-01(c). Any limited liability company that offers to practice or practices landscape architecture in this State shall comply with the same requirements applicable to professional corporations under Rules .0201, .0206, .0214, .0218 and .0219 of this Chapter.

History

• Authority G.S. 55B-5; 55B-10; 55B-15; 89A-3.1(4)
• Eff. March 1, 2015
• Amended Eff. January 1, 2022.

21 NCAC 26 .0315 Out-of-State Entities

(a) Landscape architectural entities from other states may be granted certificates of registration for practice in this State upon receipt by the Board of a completed application, fees, the submission of a certified copy of its corporate charter, or other corresponding documents, amended as may be necessary to ensure compliance with all requirements of Chapter 55B, the Professional Corporation Act of the State of North Carolina, and the payment of the firm application fee. In addition to the other requirements as set out in G.S. 89A-2(a1), out-of-state (or "foreign") entities shall, prior to registration, receive from the Secretary of State of North Carolina a certificate of authority to do business within the State. A certificate for filing for a certificate of authority shall be obtained from the Board prior to submitting the application to the Secretary of State.

(b) An out-of-state entity may be permitted to practice landscape architecture within the State of North Carolina provided that it complies with G.S. 55B. If an out-of-state entity offers landscape architectural services, then it shall comply with requirements set forth in G.S. 89A. An out-of-state entity shall have at least one officer or director licensed in the State as a landscape architect. Two-thirds of the issued and outstanding shares of the out-of-state corporations shall be held by a landscape architect, architect, geologist, soil scientist, engineer, or land surveyor licensed to practice the profession in a jurisdiction of the United States. However, the entity shall designate at least one landscape architect who is licensed in the State of North Carolina to be in responsible charge for the entity's practice of landscape architecture within the State of North Carolina. Notwithstanding the requirements of this Rule, an individual landscape architect who is licensed under G.S. Chapter 89A, et seq., may practice as an individual.

(c) An out-of-state limited liability company may practice landscape architecture, if the limited liability company complies with G.S. Chapter 57D and at least one member and one manager or member/manager is licensed as a landscape architect, architect, geologist, soil scientist, engineer, or land surveyor to comply with Paragraph (a) of this Rule.

(d) An out of state limited liability partnership may practice landscape architecture, if the limited liability partnership complies with G.S. 59-84.2, and at least one partner is licensed in this State as an individual pursuant to Rule .0301 of this Section.

(e) If the Board has not received the annual firm renewal fee and completed application on or before June 30th, the firm registration shall expire and be deemed delinquent. The firm registration may be renewed at any time within

one year upon the payment of the annual renewal fee and the late renewal fees. After one year from the date of expiration for non-payment of the annual renewal fee, the license shall be automatically revoked. The Board may reinstate the firm's certificate of registration, as allowed by Rule .0301 of this Section.

History

• Authority G.S. 55B-6; 83A-6; 89A-2(a1)
• Eff. March 1, 2015
• Amended Eff. January 1, 2022.

21 NCAC 26 .0401 Rule Making Procedures

In accordance with G.S. 150B-20, any person desiring the adoption, amendment or repeal of a Rule by the Board shall submit a petition to the Board.

History

• Authority G.S. 89A-3.1; 150B-20
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. August 1, 1988; April 1, 1983
• Readopted Eff. April 1, 2018.

21 NCAC 26 .0402 Contents of Petition

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-11; 150A-12; 150A-13; 150A-16
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0403 Disposition of Petitions

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-11; 150A-12; 150A-13; 150A-16
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0404 Notice of Rulemaking Hearings

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-11; 150A-12; 150A-13; 150A-16
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0405 Notice Mailing List

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-11; 150A-12; 150A-13; 150A-16
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0406 Additional Information

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-11; 150A-12; 150A-13; 150A-16
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0407 Request to Participate

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-11; 150A-12; 150A-13; 150A-16
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0408 Contents of Request: General Time Limits

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-11; 150A-12; 150A-13; 150A-16
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0409 Receipt of Request: Specific Time Limits

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-11; 150A-12; 150A-13; 150A-16
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0410 Written Submissions

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-11; 150A-12; 150A-13; 150A-16
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0411 Presiding Officer: Power and Duties

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-11; 150A-12; 150A-13; 150A-16
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0412 Statement of Reasons for Decision

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-11; 150A-12; 150A-13; 150A-16
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0413 Record of Proceedings

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-11; 150A-12; 150A-13; 150A-16
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0414 Emergency Rules

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-11; 150A-12; 150A-13; 150A-16
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0501 Subjects of Declaratory Rulings (repealed)

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-11; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0502 Submission of Request for Ruling (repealed)

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-11; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0503 Disposition of Requests (repealed)

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-11; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0504 Record of Decision (repealed)

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-11; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0505 Effective Date (repealed)

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-11; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0506 Improper Practice by a Registrant

History

• Status: expired
• Authority G.S. 89A-3-(c); 89A-3A
• Temporary Adoption Eff. October 1, 1997
• Temporary Adoption Expired July 12, 1998.

21 NCAC 26 .0507 General Rules

History

• Status: expired
• Authority G.S. 89A-3-(c); 89A-3A
• Temporary Adoption Eff. October 1, 1997
• Temporary Adoption Expired July 12, 1998.

21 NCAC 26 .0508 Opportunity for Licensee or Applicant to Have Hearing

History

• Status: expired
• Authority G.S. 89A-3-(c); 89A-3A
• Temporary Adoption Eff. October 1, 1997
• Temporary Adoption Expired July 12, 1998.

21 NCAC 26 .0509 Conduct of Contested Case

History

• Status: expired
• Authority G.S. 89A-3-(c); 89A-3A
• Temporary Adoption Eff. October 1, 1997
• Temporary Adoption Expired July 12, 1998.

21 NCAC 26 .0510 Complaints and Disciplinary Review Process

(a) Any person may file a complaint against a licensed Landscape Architect for an alleged violation of G.S. Chapter 89A or 21 NCAC 26 on a form provided on the Board's website: www.ncbola.org which may also be requested from the Board staff.

(b) The complaint shall set forth the facts upon which the complaint is based and the complainant shall confirm he or she believes the facts stated are true and that he or she is prepared to prove them at a hearing. Supporting documents may be provided.

(c) Allegations or evidence of a violation of the Landscape Architecture Licensing Act or the rules in this Chapter shall be preliminarily reviewed by the Board Chair and legal counsel to the Board. Upon a determination that evidence of a violation exists, the matter shall be subject to Board investigation and may ultimately be subject to disciplinary action by the Board.

(d) An investigation shall be initiated by a written notice and explanation of the allegation being forwarded to the licensee or entity against whom the charge is made and a response shall be requested of the licensee or firm so charged within 30 days of receipt of said notice to show compliance with all requirements for retention of the license. Notice of the charge and of the alleged facts or alleged conduct shall be given personally or by certified mail, return receipt requested.

(e) In the discretion of the Board Chair, a field investigation may be performed.

(f) After additional evidence has been obtained, the Board Chair shall either:

(1) recommend dismissal of the charge; or

(2) refer the matter to the Disciplinary Review Committee.

(g) If the Board Chair recommends dismissal, the Chair shall give a summary report to the Board and a vote shall be called to dismiss the complaint. If the Board does not vote to dismiss the complaint, the matter shall be forwarded to the Disciplinary Review Committee for further consideration.

(h) The Disciplinary Review Committee shall be made up of a minimum of one member of the Board, the Board Chair, and legal counsel to the Board.

(i) Upon review of the evidence, and further investigation if necessary, the Disciplinary Review Committee shall present to the Board a written recommendation that may include the following:

(1) The charge be dismissed as unfounded or that the Board is without jurisdiction over the matter;

(2) The charge is admitted as true, whereupon the Board may accept the admission of guilt by the licensee or entity charged and discipline the licensee or entity accordingly;

(3) The Board may accept a proposed settlement negotiated in an effort to resolve the alleged violations; or

(4) The charge be presented to the full Board for a hearing and determination of sanctions by the Board in accordance with the substantive and procedural requirements of the provisions of G.S. 150B, Article 3A.

(j) A consultant to the Disciplinary Review Committee shall be designated by the legal counsel of the Board if the Chair of the Disciplinary Review Committee determines that it needs assistance. The consultant shall be a currently licensed landscape architect selected from former Board members or other licensed professionals who are knowledgeable with the Board's processes and have expressed an interest in serving as a consultant. The consultant shall review all case materials and assist the Disciplinary Review Committee in making a recommendation as to the merits of the case.

(k) At least 15 days written notice of the date of consideration by the Board of the recommendations of the Disciplinary Review Committee shall be given to the licensee or entity against whom the charges have been brought and the person submitting the complaint.

(l) When the Board issues a notice of hearing against the licensee or entity the licensee or entity may request in writing a settlement conference to pursue resolution of the issue(s) through informal procedures. If, after the completion of a settlement conference, the person or entity and the Board's Disciplinary Review Committee do not agree to a resolution of the dispute for the full Board's consideration, the original disciplinary review process shall commence. During the course of the settlement conference, no sworn testimony shall be taken.

History

• Authority G.S. 89A-3.1(7),(8),(9); 89A-7
• Eff. December 1, 2005
• Amended Eff. March 1, 2015
• Readopted Eff. April 1, 2018
• Amended Eff. January 1, 2022.

21 NCAC 26 .0601 Right to Hearing

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-23(a); 150A-23(c); 150A-23(d); 150A-32; 150A-33
• 150A-35
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0602 Request for Hearing

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-23(a); 150A-23(c); 150A-23(d); 150A-32; 150A-33
• 150A-35
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0603 Granting or Denying Hearing Requests

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-23(a); 150A-23(c); 150A-23(d); 150A-32; 150A-33
• 150A-35
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0604 Notice of Hearing

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-23(a); 150A-23(c); 150A-23(d); 150A-32; 150A-33
• 150A-35
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0605 No Ex Parte Communications

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-23(a); 150A-23(c); 150A-23(d); 150A-32; 150A-33
• 150A-35
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0606 Petition for Intervention

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-23(a); 150A-23(c); 150A-23(d); 150A-32; 150A-33
• 150A-35
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0607 Types of Intervention

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-23(a); 150A-23(c); 150A-23(d); 150A-32; 150A-33
• 150A-35
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0608 Hearing Officer: Designation: Powers

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-23(a); 150A-23(c); 150A-23(d); 150A-32; 150A-33
• 150A-35
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0609 Disqualification of Hearing Officers

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-23(a); 150A-23(c); 150A-23(d); 150A-32; 150A-33
• 150A-35
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0701 Failure to Appear

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-25(a); 150A-27; 150A-33(5); 150A-34(a),(b),(c)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. November 8, 1978
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0702 Simplification of Issues

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-25(a); 150A-27; 150A-33(5); 150A-34(a),(b),(c)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. November 8, 1978
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0703 Subpoenas

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-25(a); 150A-27; 150A-33(5); 150A-34(a),(b),(c)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. November 8, 1978
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0704 Final Decisions in Administrative Hearings

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-25(a); 150A-27; 150A-33(5); 150A-34(a),(b),(c)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. November 8, 1978
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0705 Proposals for Decisions

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-25(a); 150A-27; 150A-33(5); 150A-34(a),(b),(c)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. November 8, 1978
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0801 Right to Judicial Review

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-43; 150A-45
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

21 NCAC 26 .0802 Manner of Seeking Review: Time for Filing Petition: Waiver

History

• Status: repealed
• Authority G.S. 89A-3(c); 150A-43; 150A-45
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1983.

Chapter 28 Landscape Contractors

Subchapter B

21 NCAC 28B .0101 Name and Location of Board

(a) All communications shall be addressed to the North Carolina Landscape Contractors' Licensing Board ("Board") at 3901 Barrett Drive, Suite 202, Raleigh, North Carolina 27609. Applications and other information are available on the Board's website: www.nclclb.com.

(b) The Board office is open from 9:00 a.m. until 5:00 p.m., Monday through Friday.

(c) The Board office is closed on State and Federal holidays.

History

• Authority G.S. 89D-14; 89D-15(2)
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016.

21 NCAC 28B .0102 Meetings

(a) Regular meetings of the Board will be held at the Board office or other location chosen by the Chairman. Additional meetings may be held at such other times and places as the Board deems necessary.

(b) The Board shall hold an annual meeting every January. At that meeting, the Board shall elect a chairman, a vice chairman, a secretary-treasurer, and such other officers as may be deemed necessary by the Board.

History

• Authority G.S. 89D-14; 89D-15(2)
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016.

21 NCAC 28B .0103 Practice of Landscape Contracting; Display of License Number

(a) An individual who is "readily available to exercise supervision over the landscape construction and contracting work" as set forth in G.S. 89D-12(a) and G.S. 89D-17(f) is an individual who is physically located no more than 100 miles from where the construction or contract project is located or who is available electronically with the ability to view the construction or contract project.

(b) The contractor's license number shall be displayed in accordance with G.S. 89D-12(e). License numbers displayed on vehicles used in the contractor's landscaping business shall be a minimum of one inch in height.

(c) In addition to the requirements of G.S. 89D-12(e), license numbers shall be included on all estimates and proposals.

(d) All contracts, estimates, and proposals shall be signed by the contractor or his or her designee.

History

• Authority G.S. 89D-12(a) and (e); 89D-15(2)
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016
• Amended Eff. July 1, 2021; June 1, 2019.

21 NCAC 28B .0104 Annual Reports

(a) On or before October 31 of each year, the Board shall prepare and file reports required pursuant to G.S. 93B-2. The Board shall file reports in the manner requested by receiving agency or committee.

(b) The Board shall maintain an escrow account at the financial institution used for deposits and checks. Fees tendered during a period of suspension under G.S. 93B-2(d) shall be deposited into this escrow account.

History

• Authority G.S. 89D-15; 93B-2
• Eff. June 1, 2019.

21 NCAC 28B .0201 Applications for Licensure

(a) All applicants for licensure or examination shall submit an application to the Board. The application form shall be available on the Board website or may be obtained by contacting the Board office. The application shall require the following:

(1) The Social Security Number of applicant;

(2) The applicant's contact information;

(3) The name of business under which licensee will be operating, if any;

(4) Information about all crimes of which the applicant has been convicted;

(5) Documentation regarding all crimes of which the applicant has been convicted;

(6) Information indicating whether the applicant has any disciplinary history with any other occupational licensing, registration or certification board or agency;

(7) Three personal letters of reference;

(8) Two professional letters of reference;

(9) The corporate surety bond or an irrevocable letter of credit as prescribed by G.S. 89D-16(a)(4);

(10) The application fee as set forth in Rule .0601 of this Subchapter.

(b) All letters of reference as required by Subparagraphs (a)(7) and (a)(8) of this Rule shall include the following information for the person providing the reference:

(1) Name;

(2) Address;

(3) Phone number; and

(4) Email address.

(c) Once an applicant has submitted a complete application and has been determined to have met the minimum qualifications set forth in G.S. 89D-16(a), the Board will notify the applicant that the applicant's qualifier is permitted to take an examination. Prior to taking the examination, the applicant shall submit an examination fee as set forth in Rule .0601 of this Subchapter. In order for a qualifier to be permitted to take an examination, an applicant shall submit a complete application no less than 30 days prior to a scheduled examination date.

(d) All applications shall be notarized. Incomplete applications shall not be processed. Application fees are non-refundable.

(e) A qualifier shall take and pass an examination within one year from the date an application is approved by the Board.

(f) If a license expires pursuant to G.S. 89D-20(a) and is not renewed within one year of the date of expiration, the licensee must submit a new application pursuant to this Rule.

History

• Authority G.S. 89D-15(2); 89D-15(4); 89D-16; 89D-20
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016
• Amended Eff. June 1, 2019.

21 NCAC 28B .0202 Reciprocity

(a) All applicants for licensure by reciprocity shall submit an application to the Board. The application form shall be available on the Board website or may be obtained by contacting the Board office located as described in Rule .0101 of this Subchapter.

(b) All applications shall include the following:

(1) The license by reciprocity application fee as set forth in Rule .0601 of this Subchapter;

(2) Documentation establishing that the qualifier for the applicant holds an active license, certification, or registration as a landscape contractor in another state or country;

(3) Information indicating whether the applicant or qualifier has any disciplinary history with any other occupational licensing, registration or certification board or agency;

(4) The surety bond or an irrevocable letter of credit as prescribed by G.S. 89D-16(a)(4);

(5) Contact information for three personal references;

(6) Contact information for two professional references; and

(7) Documentation regarding all crimes of which the applicant has been convicted.

If there is any evidence to show that the applicant has committed any acts that would constitute a violation under G.S. 89D-22, the applicant shall not be licensed by reciprocity.

(c) Once an applicant has submitted a complete application and the Board has determined that the requirements for licensure, certification, or registration in the applicant's home jurisdiction are substantially equivalent to the requirements in G.S. 89D-16, the Board shall issue a license to the applicant.

(d) All applications shall be notarized. Incomplete applications shall not be processed. Application fees are non-refundable.

History

• Authority G.S. 89D-15(2); 89D-15(3); 89D-15(4); 89D-16; 89D-19; 89D-22
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016
• Amended Eff. June 1, 2019.

21 NCAC 28B .0203 Military-Trained Applicant; Military Spouse

(a) Licensure for a military-trained applicant. Upon receipt of a request for licensure pursuant to G.S. 93B-15.1 from a military-trained applicant, the Board shall issue a license to the applicant who satisfies the following conditions:

(1) submission of a complete application for licensure in accordance with Rule .0201 of this Section;

(2) submission of an application fee in accordance with Rule .0601 of this Subchapter; and

(3) providing documentation to satisfy conditions set out in G.S. 93B-15.1(a)(1), (2) and (3).

(b) Licensure for a military spouse. Upon receipt of a request for licensure pursuant to G.S. 93B-15.1 from a military spouse, the Board shall issue a license to the applicant who satisfies the following conditions:

(1) submission of a complete application for licensure in accordance with Rule .0201 of this Section;

(2) submission of an application fee in accordance with Rule .0601 of this Subchapter;

(3) submission of written documentation demonstrating that the applicant is married to an active member of the U.S. military; and

(4) providing documentation to satisfy conditions set out in G.S. 93B-15.1(b)(1), (2), (3) and (4).

History

• Authority G.S. 89D-15(2); 89D-15(4); 89D-21; 93B-15.1
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016.

21 NCAC 28B .0204 Maintain Current Information

(a) Every licensee shall keep the Board advised of the licensee's current mailing address, phone number, email address, and the name or names under which the licensee is practicing. If any change occurs, the licensee shall notify the Board in writing of the change within 30 days.

(b) Upon the dissolution of a professional relationship, the member or members thereof shall notify the Board in writing within 30 days concerning such dissolution and of the succeeding business status and addresses of the individuals or firm.

(c) A licensee shall maintain a continuous surety bond coverage or an irrevocable letter of credit while the license is active. Within 5 days after the lapse of a surety bond or revocation of a letter of credit prescribed in G.S. 89D-16(a)(4), a licensee shall notify the Board in writing. If a licensee fails to renew the surety bond or obtain a new letter of credit within 30 days after the lapse or revocation, the license shall be revoked.

(d) Failure to notify the Board of the changes described in this Rule shall constitute a violation of G.S. 89D-22(a)(6).

History

• Authority G.S. 89D-15(2), 89D-15(11); 89D-16(a)(4); 89D-17(h); 89D-22(a)(8)
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016
• Amended Eff. July 1, 2021.

21 NCAC 28B .0301 License Renewal; Waiver

(a) All licensees seeking renewal shall submit annually to the Board a renewal application. The deadline for submission is August 1 in the renewal year. Applications shall be postmarked or received by the Board no later than August 1. If August 1 falls on a Saturday or Sunday, the application shall be postmarked or received no later than the following Monday. The application form is available on the Board website or may be obtained by contacting the Board office.

(b) All renewal applications shall include the following:

(1) The license renewal fee set forth in Rule .0601 of this Subchapter;

(2) Documentation showing that the licensee has met the Board's continuing education requirements as set forth in Section .0400 of this Subchapter. However, if the licensee was licensed by examination within the previous 12 months, the licensee is not required to submit evidence of continuing education; and

(3) Documentation regarding all crimes of which the licensee has been convicted since the previous licensure or renewal.

(c) Incomplete applications shall not be processed. Renewal fees are non-refundable.

(d) An individual who is serving in the Armed Forces of the United States shall receive an extension of time to pay the license renewal fee upon submission of the following to the Board:

(1) Written request for waiver; and

(2) Documentation that the licensee is serving in the Armed Forces of the United States and is eligible for an extension of time to file a tax return pursuant to G.S. 105-249.2.

History

• Authority G.S. 89D-15(2); 89D-15(4); 89D-20; 93B-15; 105-249.2
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016.

21 NCAC 28B .0302 Reinstatement

(a) All applicants for reinstatement under this Rule shall submit an application to the Board. The application form shall be obtained by contacting the Board office. The reinstatement application shall require the following:

(1) The applicant's home and business contact information including phone number and email address;

(2) Corporate surety bond or an irrevocable letter of credit as required by G.S. 89D-16(a)(4);

(3) Documentation showing that the licensee has met the Board's continuing education requirements as set forth in Section .0400 of this Subchapter;

(4) Documentation regarding all crimes of which the applicant has been convicted since the previous application or renewal was filed with the Board;

(5) Reinstatement, license renewal and renewal late fees in accordance with Rule .0601 of this Subchapter; and

(6) Attestation, by signature, that the licensee has not engaged in the practice of landscape construction or contracting after revocation and that all information supplied on the reinstatement application is true and accurate.

(b) Any licensee whose license is suspended for failure to obtain continuing education as required by G.S. 89D-20(b) and this Subchapter may request reinstatement pursuant to G.S. 89D-20(b).

History

• Authority G.S. 89D-15(2); 89D-15(4); 89D-20
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016.

21 NCAC 28B .0303 Qualifier/Qualifying Party; Use of Assumed Name

(a) Each license shall have a person associated with the license who shall be deemed the "qualifier" or the "qualifying party." The qualifier shall be an individual who has passed the Board's examination in accordance with the Board's statutes and rules.

(b) If the license is an individual license, the qualifier shall be the same person as the person holding the individual license name. If the licensee is a legal entity authorized under the Board's practice act, the qualifier shall be as follows:

(1) If a corporation, the qualifier shall be an officer or a full-time employee;

(2) If a limited liability company, the qualifier shall be a manager as defined in G.S. 57D-1-03 or a full-time employee;

(3) If a partnership, the qualifier shall be a general partner or full-time employee; and

(4) If the holder of an assumed or designated trade name, the qualifier shall be an owner of no less than 50 percent of the business or a full-time employee.

(c) If a qualifier ceases his relationship with the licensee and pursuant to G.S. 89D-17(h) seeks additional time to acquire a qualifier, the licensee shall submit a written request to the Board. If more than 30 days pass without a qualifier and no written request is submitted, the license is automatically suspended. If more than one year passes and the license is not renewed, the license shall be revoked pursuant to G.S. 89D-20.

(d) "Full-time employee" means a person who is paid a salary or wage and is engaged in the work of the licensee a minimum of 20 hours per week or a majority of the hours operated by the applicant, whichever is less. A qualifier shall not be an independent contractor.

(e) Any applicant or licensee seeking to operate under an assumed name shall submit to the Board a Certificate of Assumed Name filed in accordance with Chapter 66, Article 14A of the General Statutes. Applications submitted to the Board on behalf of corporations, limited liability companies and partnerships shall be accompanied by a copy of any documents required to be filed with the North Carolina Secretary of State's office, such as Articles of Incorporation or Certificate of Authority.

(f) All licensees shall comply with the requirements of G.S. 66-71.4 and shall notify the Board within 30 days of any change in the name in which the licensee is conducting business in the State of North Carolina.

(g) No applicant or licensee shall use or adopt an assumed name used by any other licensee, or any name so similar to an assumed name used by another licensee that could confuse or mislead the public.

History

• Authority G.S. 66-71-4; 89D-16; 89D-17; 89D-20
• Eff. June 1, 2019.

21 NCAC 28B .0401 General

To ensure continuing efforts on the part of licensed contractors to remain current with new developments in landscape technology and to encourage better business practices and safety in the profession, continuing education is required as a condition of license renewal. A licensee shall submit, as a part of his or her renewal application, evidence that he or she has met the Board's continuing education requirements as set forth in this Section. Except as provided in Rule .0301 of this Subchapter, renewal applications that do not contain this information shall be deemed incomplete.

History

• Authority G.S. 89D-15(2); 89D-15(4); 89D-15(12); 89D-20
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016.

21 NCAC 28B .0402 Continuing Education Units

(a) A licensee shall complete in-person seven continuing education units (CEUs) during the year preceding renewal. At least three of the seven CEUs must be technical credits and at least two of the seven CEUs must be business credits. If the information provided by the licensee or continuing education provider to the Board as required by this Section is unclear, the Board may request additional information from a licensee or continuing education provider in order to assure compliance with continuing education requirements.

(b) For the purposes of this Rule:

(1) "technical credits" are defined as credits relating to the subject matter of landscape contracting as described in G.S. 89D-11(3) and Rules .0502 through .0511 in this Subchapter. The rules shall be grouped as follows:

(A) Group A: topics covered in Rules .0502, .0503, .0510, and .0511 in this Subchapter;

(B) Group B: topics covered in Rules .0504 and .0506 in this Subchapter;

(C) Group C: topics covered in Rules .0507 through .0509 in this Subchapter;

(D) Group D: topics covered in Rule .0505; and

(2) "business credits" are defined as credits relating to general business practices, including business planning, contracts, liability exposure, human resources, basic accounting, financial statements, and safety.

(c) CEUs shall be determined as follows:

| Type of Qualifying Activity | Minimum time required for 1 CEU | | --- | --- | | Live course | 50 minutes | | Online course | 50 minutes | | Trade Shows, Field Days, and Tours | 4 hours | | Green Industry Board Member Service | 1 hour | | Teaching or instructing | 1 hour | | In-house or Green Industry training | 1 hour | | NC Landscape Contractors Licensing Board Service | 1 hour |

Green Industry Board members and NC Landscape Contractors Licensing Board members may earn no more than five hours per CE year (three technical credits and two business credits) for Green Industry or Landscape Licensing board service.

(d) No more than two CEU credits shall be given for qualifying teaching or instructing in one year.

(e) Credit shall not be given in increments of less than .5 CEUs. Breaks in courses shall not be counted towards CEU credit.

(f) Requests for pre-approval as set forth in Rule .0405 of this Subchapter shall be submitted at least 45 days prior to the first day of the course or event.

(g) All continuing education shall be taken in-person by the individual receiving credit.

(h) A licensee shall not take the same CEU course within two consecutive licensing years.

(i) A licensee licensed less than 12 months shall not be subject to continuing education requirements for the initial renewal date as set forth in this Rule.

History

• Authority G.S. 89D-15(2); 89D-15(4); 89D-15(12); 89D-20(b)
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016
• Amended Eff. April 1, 2023; July 1, 2021; June 1, 2019.

21 NCAC 28B .0403 Continuing Education Records; Audit

(a) A licensee shall maintain records of attendance at continuing education programs for which CEUs have been approved for three years following the processing date of the renewal application to which the CEUs were applied.

(b) Compliance with annual CEU requirements shall be determined through a random audit process conducted by the Board. Licensees selected for auditing shall provide the Board with the following documentation of the CEU activities claimed for the renewal period:

(1) attendance verification records; and

(2) information regarding course content, instructors, and sponsoring organization.

(c) Licensees selected for audit shall submit all requested information to the Board within 21 calendar days after the date the licensee was notified by the Board of the audit.

(d) Failure to maintain compliance with the Board's continuing education requirements set forth in Rule .0402 of this Section shall result in the licensee's status being administratively suspended.

History

• History Note Authority G.S. 89D-15(2); 89D-15(4); 89D-15(12); 89D-20(b)
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016
• Amended Eff. July 1, 2021; June 1, 2019.

21 NCAC 28B .0404 Extension of Time

(a) The Board shall grant a licensee an extension of time to complete CEU requirements during a period of service in the Armed Forces of the United States upon submission of the following to the Board:

(1) Written request for an extension; and

(2) Documentation that the licensee is serving in the Armed Forces of the United States and is eligible for an extension of time to file a tax return pursuant to G.S. 105-249.2.

(b) The Board shall grant a licensee an extension of time or waiver to obtain CEU requirements if he or she has a disability or illness that prevents him or her from complying with CEU requirements. In order to receive the waiver, a licensee shall provide the Board with the following:

(1) Written request for waiver; and

(2) Documentation that describes the disability or illness and explains how the disability or illness prevents the licensee from complying with the Board's CEU requirements. Documentation includes a letter from a licensed physician, nurse practitioner (NP), or physician assistant (PA).

(c) Where on a case-by-case basis the Board determines that due to an undue hardship (such as active military service, natural disaster, or illness of family member) the licensee could not reasonably be expected to comply with the Board's CEU requirements, the licensee shall be granted an extension of time in which to obtain the required CEUs. To be considered for an extension of time, a licensee shall submit the following:

(1) Written request for extension; and

(2) Documentation that supports the reason for the extension.

(d) The Board shall grant a waiver of CEU requirements upon submission of documentation that a licensee is in active duty while serving in the Armed Forces and is or has been deployed for at least eight months during the twelve-month period during which CEUs were required.

(e) An extension granted under Paragraphs (b) or (c) of this Rule shall not exceed one year. Prior to the expiration of the one year extension of time, a licensee may request an additional extension in accordance with this Rule.

History

• Authority G.S. 89D-15(2); 89D-15(4); 89D-15(12); 89D-20(b); 93B-15; 105-249.2
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016.

21 NCAC 28B .0405 Requests for Approval

(a) All requests for CEU approval shall include the following:

(1) All applicants for continuing education credit shall submit an application to the Board. The application form shall be available on the Board website or may be obtained by contacting the Board office. The application shall require the following:

(i) Applicant's contact information including phone number and email address;

(ii) Name of business under which the applicant is operating;

(iii) Type of qualifying activity in accordance with Rule .0402 of this Subchapter;

(iv) Title of the qualifying activity;

(v) Date(s) and time(s) of the qualifying activity;

(vi) Complete address where the qualifying activity will be held;

(vii) Qualifying activity registration information;

(viii) Name of presenter(s) and credentials;

(ix) Course agenda and supporting materials; and

(x) Attestation, by signature, that the qualifying activity provider will maintain attendance records for this course for one year after the date of this course.

(2) The number of Continuing Education Units (CEUs) requested; and

(3) The Location, date(s), and time(s) of course, activity, or Landscape Contractor’s Licensing Board meetings attended or to be attended.

(b) For live and online courses and teaching or instructing activity, in addition to the requirements of Paragraph (a) of this Rule, all requests shall include the following:

(1) The course title(s) and a description of course content;

(2) The name and educational or professional credentials of the instructor;

(3) The duration of the course or activity; and

(4) An attestation that the course provider will maintain attendance records for one year after the date of the course.

(c) For trade shows, field days, and tours, requests for approval shall, in addition to the requirements of Paragraph (a) of this Rule, include materials or handouts promoting or obtained during the event.

(d) For in-house or Green Industry training, requests for approval shall include the following, in addition to the requirements of Paragraph (a) of this Rule:

(1) A description of training provided; and

(2) The name(s) of training instructors.

(e) For the purposes of this Rule, "Green Industry" is defined as greenhouse, nursery, floriculture, sod, Christmas tree producers, and related industry trades.

History

• Authority G.S. 89D-15(2); 89D-15(4); 89D-20(b)
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016.

21 NCAC 28B .0406 Emergency Extensions of Continuing Education Requirements: Licensed Landscape Contractors

(a) All active licensees shall be granted a one-year extension of all continuing education requirements for the license year ending July 31, 2020. The required hours shall be reported no later than July 31, 2021.

(b) The Board shall accept Board-approved continuing education credits previously obtained in compliance for the license year ending July 31, 2020 and shall apply those credits to the license year ending July 31, 2021.

(c) This Rule does not affect any other licensure renewal requirements set forth in G.S. 89D and the rules set forth in this Subchapter.

History

• Authority G.S. 89D-15(2); 89D-15(4); 89D-15(12); 89D-20(b)
• Emergency Adoption Eff. April 16, 2020
• Temporary Adoption Eff. June 26, 2020
• Eff. April 1, 2021.

21 NCAC 28B .0501 General

(a) Prior to commencing work, services performed by a licensed landscape contractor ("licensed contractor") that exceed five thousand dollars ($5,000) in value shall be described in a written agreement. This agreement may be authored by either party and shall contain:

(1) The business name, license number, business address, and telephone number of the licensed contractor;

(2) The name and address of client or customer;

(3) The address or location of work to be performed, if different from the client or customer's address;

(4) The date of the proposal;

(5) The description of the work to be performed;

(6) The total value in lump sum, unit price, or time and material price;

(7) The estimated time of completion unless already identified in an original prime contract, if applicable;

(8) The terms of payment;

(9) The terms of warranty (if any);

(10) The terms of maintenance, including the party responsible for maintenance;

(11) The signatures of all parties by individuals legally authorized to act on behalf of the parties;

(12) Affixation of a seal described in G.S. 89D-12(d) or a statement that the licensed contractor is licensed by the Board and the current address and phone number of the Board; and

(13) The date of signing.

Contracts that are lump sum and have no breakout of cost for services that are either covered or noncovered under G.S. 89D-11 through G.S. 89D-13 shall be inclusive of covered services under G.S. 89D-13(5).

(b) All work performed by a licensed contractor shall meet all applicable building codes, local ordinances, and project specifications. All work performed by a licensed contractor shall meet manufacturer's specifications.

(c) If project plans or specifications prepared by someone other than the licensed contractor do not meet pertinent codes and ordinances, the licensed contractor shall bring this to the attention of the client or customer.

(d) If the licensed contractor observes a condition while the work is being performed that requires attention beyond the original scope of work, the contractor shall report the condition to a supervisor, the owner, or the person responsible for authorizing the work.

(e) The licensed contractor shall call for utility location services pursuant to the Underground Utility Safety and Damage Prevention Act, G.S. 87-115 et seq., also known as the N.C. 811 law.

(f) The licensed contractor shall maintain a worksite that meets state and local standards for a safe workplace.

History

• Authority G.S. 89D-13(5); 89D-15(2); 89D-15(16)
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016
• Amended Eff. June 1, 2019.

21 NCAC 28B .0502 Planting

When planting, the licensed contractor shall:

(1) Avoid potential planting conflicts with utilities and sight lines.

(2) Protect plant material from physical damage and desiccation during transport.

(3) Maintain plants during landscape construction.

(4) Consider the cultural requirements of individual plants.

(5) Excavate the plant hole sufficiently to ensure plant establishment and to promote long-term health, typically two times the width of the plant ball or container size.

(6) Scarify the sidewalls of the planting pit.

(7) Set plants in an upright, plumb position, unless design intent dictates otherwise.

(8) Set plants on a firm, solid base.

(9) Remove all strings, twine, and strapping from around the trunk of trees.

(10) Remove the top third to top half of burlap or other wrapping material from the rootball of balled and burlapped trees.

(11) Remove top third to top half of wire baskets on balled and burlapped trees or bend basket wire back to be flush with the side of the ball.

(12) Set the plant so that the top of rootball is at or slightly above surrounding soil and does not exceed four inches above the surrounding soil.

(13) Prior to planting, insure that the trunk flare of a tree is not covered with soil, is at or above the surrounding finished grade, and that no soil has been placed on top of the rootball.

(14) Prior to planting containerized plants, manage the rootball to mitigate problems such as circling roots. Acceptable mitigation methods shall include slicing the rootball, shaving the rootball, or redirecting roots.

(15) Utilize backfill soil that is similar to the soil at the planting site or is amended to meet a specific landscaping objective.

(16) Not firm backfill to a density that inhibits root growth.

(17) Install backfill soil in such a manner that it is settled in layered sections to limit future settling.

(18) Not utilize screened soil as the sole material for backfill.

(19) When mulching plants, maintain a mulch depth that is beneficial to the health of the plants.

(20) When mulch is applied, apply mulch so that it does not touch a tree trunk or root flare.

(21) Water plants thoroughly and immediately after planting in accordance with the needs of the plant.

(22) Notify client of his or her responsibility to water plants following installation.

(23) Stake trees only when required due to high winds, extreme slopes, or soft soils;

(a) If trees are staked, the guys shall not be installed so as to provide pressure on the trunk.

(b) Guys in contact with the tree shall be of a material that will not damage the tree.

(24) Provide plants that are true to name and species.

(25) Provide plants that are healthy and in good condition.

(26) Prune any broken limbs.

(27) Prune co-dominant leaders in shade trees that typically have dominant leaders.

(28) If a condition is observed while the work is being performed that is detrimental to the long-term health of the plant, the condition shall be reported to the customer or client, a supervisor, the owner, or person responsible for authorizing the work.

History

• Authority G.S. 89D-15(2); 89D-15(16)
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016.

21 NCAC 28B .0503 Turf

(a) When establishing natural turf, the licensed contractor shall:

(1) Notify the owner or the construction manager whether there is adequate time to establish the specified turf from seed within the construction schedule and prior to finish of the job;

(2) Prior to lawn installation, loosen soil to a minimum depth of three inches;

(3) Confirm that all lawn seed meets the standards of the NC Seed Law of 1963, as set forth in G.S. 106, Art. 31;

(4) Evenly distribute seed;

(5) Apply seed at manufacturer's recommended rates;

(6) Roll or rake after seeding to ensure good soil contact;

(7) Install sod within 36 hours of harvesting unless weather conditions or turf types dictate a shorter timeframe;

(8) Lay sod strips in a staggered pattern, horizontal to slopes and with tight seams;

(9) Roll sod after installation to provide good soil contact;

(10) Distribute sprigs evenly;

(11) Ensure that sprigs and sod plugs are in good contact with the soil;

(12) Water lawn areas after installation and in accordance with the needs of the lawn; and

(13) Notify client of his or her responsibility to water turf following installation.

(b) When installing artificial turf, the licensed contractor shall:

(1) Ensure that the sub-grade is compacted and shall pitch properly to drain;

(2) Establish a perimeter attachment system to secure the artificial turf;

(3) Roll out the turf with the nap facing a consistent direction;

(4) Secure the turf with an evenly weighted sand layer distributed over the entire surface; and

(5) Follow all manufacturer's specifications for the type of turf being installed.

History

• Authority G.S. 89D-15(2); 89D-15(16)
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016
• Amended Eff. July 1, 2021.

21 NCAC 28B .0504 Finish Grade

When grading, the licensed contractor shall:

(1) Grade the surface such that the finish grade is smooth and free of depressions and debris;

(2) Insure positive water flow through the site, away from structures, and in such a manner that there is no puddling or ponding; and

(3) Comply with all applicable local and national building codes and ordinances regarding slopes and drainage.

History

• Authority G.S. 89D-15(2); 89D-15(16)
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016.

21 NCAC 28B .0505 Design and Consultation

(a) The licensed contractor shall be permitted to perform work as defined in G.S. 89D-11(3) and G.S. 89D-12 on the following project sites:

(1) A single family residential project of any size;

(2) A non-single family project under one acre in total area;

(3) A residential, institutional, or commercial project over one acre in total area that involves only planting and mulching; and

(4) Any other project not prohibited by, or specifically exempted from, the provisions of G.S. 83A, G.S. 89A, or G.S. 89C.

(b) Additionally, the licensed contractor shall:

(1) Obtain direct knowledge of site conditions by visiting the site;

(2) Insure that designs meet all applicable state and local codes and standards; and

(3) Consider the cultural requirements of individual plants.

History

• Authority G.S. 89D-11(3); 89D-15(2); 89D-15(16)
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016.

21 NCAC 28B .0506 Drainage Systems and Cisterns

Licensed contractors shall:

(1) Install drainage systems and cisterns in accordance with state and local codes and ordinances;

(2) Install drainage conveyances in such a way that there is a positive flow;

(3) Install drainage systems with measures that allow cleaning of the system;

(4) Install drainage systems with adequate structural integrity so as to prevent crushing of the drainage system;

(5) Install French drain systems to drain to daylight or into existing storm drainage; and

(6) Insure that cisterns and closed drywells include an overflow outlet.

History

• Authority G.S. 89D-15(2); 89D-15(16)
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016.

21 NCAC 28B .0507 Low-Voltage Lighting; Pools

(a) When installing low-voltage landscape lighting systems, the licensed contractor shall:

(1) Insure that all wire connections are waterproof;

(2) Only use weather-proof fixtures;

(3) Supply lamps per the manufacturer's specifications with all fixtures;

(4) Ensure that the total lamp wattage of each circuit does not exceed the National Electrical Code (NEC) standard for the size of wire being used;

(5) Not load a wire to more than 80 percent of the wire's capacity;

(6) Connect all exterior low-voltage wiring to a ground fault circuit interrupter (GFCI) circuit;

(7) Mount transformers a minimum of 18 inches above grade;

(8) Perform a post-installation inspection to verify that the lighting system is fully operational as intended per the manufacturer's recommendations; and

(9) Provide literature to the client about the lighting components that lists lamps per the manufacturer's specifications for fixtures.

(b) All garden pools shall be installed in accordance with state and local codes. A garden pool is an ornamental water feature that is not defined as a swimming pool under any state or local code.

History

• Authority G.S. 89D-15(2); 89D-15(16)
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016
• Amended Eff. June 1, 2019.

21 NCAC 28B .0508 Walls

(a) When installing retaining walls, the licensed contractor shall:

(1) Adhere to all pertinent codes;

(2) Adhere to all NC Department of Insurance requirements regarding the construction of retaining walls which are hereby incorporated by reference and can be found at www.ncosfm.gov/codes free of charge;

(3) Adhere to manufacturer's or design professionals specifications;

(4) Bury the first course of a retaining wall;

(5) Not construct dry-laid stone walls of a height more than 3 feet above grade;

(6) Include a subdrain system that is constructed and sized to release the subsurface water behind the wall and not allow hydrostatic pressure to build behind the wall;

(7) Construct on a level, well-compacted base of granular material at least 6 inches deep;

(8) Place backfill behind retaining walls in lifts no greater than 6 inches before compacted (each lift shall be well-compacted);

(9) Prevent excessive runoff from passing over a retaining wall;

(10) Construct vertically-set timber walls with above-ground heights equal to or less than the depth of timbers below grade;

(11) Install deadmen every fourth course on 8 feet centers when constructing horizontally-set timber retaining walls with staggered joints;

(12) Stagger the joints when constructing dry-laid stone walls. If successive vertical joints occur, the licensed contractor shall avoid running vertical joints more than two courses; and

(13) Assure that segmental walls meet the manufacturer's specifications.

(b) When installing retaining walls of dry-laid stone or concrete rubble, the licensed contractor shall:

(1) Construct the wall no higher than 3 feet above grade; and

(2) Stagger the joints when constructing a dry-laid stone wall.

(c) When installing freestanding walls, the licensed contractor shall:

(1) Install footings for masonry and cast-in-place concrete freestanding walls of reinforced concrete. The top of the footing shall be at least 1 foot below grade.

(2) Reinforce freestanding walls as needed to prevent displacement from wind loads.

(3) Ensure that moisture is prevented from entering a cavity wall during construction.

(4) Ensure that segmental wall construction meets segmental wall manufacturer's specifications.

History

• Authority G.S. 89D-15(2); 89D-15(16)
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016
• Amended Eff. July 1, 2021.

21 NCAC 28B .0509 Paving

When paving, the licensed contractor shall:

(1) Follow manufacturer's recommendations and specifications;

(2) Choose paving materials that are appropriate for the project, based on the contractor's professional judgment;

(3) Install paving on a well-compacted base that will prevent settlement;

(4) Install paved surfaces to allow for surface drainage and to prevent ponding;

(5) Install reinforcement in concrete slabs so that the reinforcement is suspended within the concrete and not resting on the base course;

(6) Not pour concrete if air temperatures, away from artificial heat or in the shade, is less than 35 degrees Fahrenheit;

(7) Not pour concrete if the air temperature in the shade is 90 degrees Fahrenheit and rising or if the concrete temperature is greater than 95 degrees Fahrenheit;

(8) Use a vibratory compacting device to set unit pavers and after joints are swept; and

(9) Utilize an edge restraint on unit paver installations.

History

• Authority G.S. 89D-15(2); 89D-15(16)
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016.

21 NCAC 28B .0510 Pruning

(a) When pruning, a licensed contractor shall:

(1) Use sharp tools;

(2) When making a pruning cut that removes a branch at its point of origin, make the cut close to the trunk or parent branch without cutting into the branch bark ridge or branch collar or leaving a stub;

(3) Not flush cut;

(4) Not top trees;

(5) Remove branches in such a manner as to avoid damage to other parts of the plant or to other plants or property; and

(6) Precut branches that are too large to support with one hand to avoid splitting the wood or tearing the bark.

(b) The requirements in Paragraph (a) of this Rule shall not apply when pruning to achieve artistic intent, such as pleaching, pollarding, sculpting, topiary, or espalier.

History

• Authority G.S. 89D-15(2); 89D-15(16)
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016.

21 NCAC 28B .0511 Wildflower, Native Grass, and No-Mow Seed Establishment

When establishing wildflower, native grass, or no-mow seeding, a licensed contractor shall:

(1) Prior to construction, inform the owner or construction manager of the time required to establish native bunch grasses and forbs from seed and whether this time is compatible with the construction schedule.

(2) Confirm the suitability of the specified seed for the project as determined by the land, soil type, and sun/shade exposure.

(3) Select seed that is regionally appropriate and of the geographic ecotype for the location of the project by following the recommended seeding rate from the supplier.

(4) Use pure live seed (PLS) rates for seeding. If bulk seed is utilized, adjust the rates accordingly.

(5) Use a temporary cover, nurse crop, or mulch that is non-allelopathic and seasonally appropriate when seeding.

(6) Use highest seed rates on slopes greater than 30 degrees or when a dormant seeding schedule is utilized.

(7) Employ a seeding method that buries seed less than one-quarter inch in depth, and cultipack or roll after seed distribution.

History

• Authority G.S. 89D-15(2); 89D-15(16)
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016.

21 NCAC 28B .0601 Fee SCHEDULE

(a) The Board shall charge the following fees:

(1) Application: $75.00;

(2) Examination: $150.00;

(3) Individual license fee: $100.00;

(4) Corporate license fee: $100.00;

(5) License renewal: $100.00;

(6) Late renewal: $25.00;

(7) Individual license reinstatement: $100.00;

(8) Corporate license reinstatement: $100.00;

(9) License by reciprocity: $100.00; and

(10) Duplicate license: $25.00.

(b) If the Board elects to use a testing service for the preparation, administration, or grading of examinations, the Board shall charge the applicant the actual cost of the examination services and a prorated portion of the examination fee.

(c) The late renewal and reinstatement fees shall be imposed for renewal applications submitted after August 1. All licenses shall expire on August 1 unless renewed.

(d) All fees charged by the Board are non-refundable.

History

• Authority G.S. 89D-15(2); 89D-15(10); 89D-21
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016
• Amended Eff. June 1, 2021, June 1, 2019.

21 NCAC 28B .0701 Complaints; Investigations

(a) All complaints filed with the Board shall be filed either on a form provided by the Board or via the Board's online complaint process at www.nclclb.com. All complaints must contain the following information:

(1) Date of alleged violation;

(2) Contact information for licensee/unlicensed contractor;

(3) Contractor license number, if known;

(4) Complainant name and contact information;

(5) Address where alleged violation(s) occurred;

(6) Description of work performed;

(7) Copy of written contract; and

(8) Attestation, by signature, that information provided is true and accurate to the best of complainant's knowledge.

The Board will not investigate anonymous complaints. Incomplete complaints will not be investigated.

(b) Upon completion of the investigation, the investigator's report will be forwarded to a designated Board member and Board staff, who will make a recommendation, based upon whether the investigation produces evidence of a violation of G.S. 89D-22 through 24 or the rules of this Subchapter, to the full Board as to whether the case should be dismissed or whether further action by the Board is warranted.

History

• Authority G.S. 89D-15(2); 89D-15(6); 89D-15(7)
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016.

21 NCAC 28B .0801 Probable Cause

Upon a determination that there is probable cause to believe a violation of G.S. 89D or the rules of this Subchapter exists, the Board shall issue a Notice of Hearing pursuant to G.S. 150B-38(b) and (c). Any party served with a Notice of Hearing may file a written response pursuant to G.S. 150B-38(d).

History

• Authority G.S. 89D-15(2); 89D-15(7); 89D-15(8); 150B-38
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016.

21 NCAC 28B .0802 Hearings

(a) Contested case hearings shall be conducted by a majority of the Board unless the Board requests the designation of an administrative law judge pursuant to G.S. 150B-40(e). The Board chairman shall serve as the presiding officer unless he or she is absent or disqualified, in which case the vice-chairman shall preside. Hearings shall be conducted pursuant to G.S. 150B-40.

(b) An affidavit seeking disqualification of any Board member, if filed in good faith and in a timely manner, shall be ruled on by the remaining members of the Board. An affidavit is considered timely if it is filed:

(1) Prior to the hearing; or

(2) As soon after the commencement of the hearing as the affiant becomes aware of facts that give rise to his or her belief that a Board member should be disqualified.

History

• Authority G.S. 89D-15(2); 89D-15(8); 150B-38; 150B-40
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016.

21 NCAC 28B .0803 Subpoenas

(a) Pursuant to G.S. 150B-39, the Board may issue subpoenas for the appearance of witnesses or the production of documents or information, either at the hearing or for the purposes of discovery.

(b) After a notice of hearing in a contested case has been issued and served upon a licensee or, in a case concerning an application for licensure, the applicant, the respondent may request subpoenas for the attendance of witnesses and the production of evidence.

(c) Requests by a licensee or applicant for subpoenas shall be made in writing to the Board and shall include the following:

(1) the name and home or business address of all persons to be subpoenaed; and

(2) the identification of any documents or information being sought.

Upon submission of a written request containing the information in Subparagraphs (1) and (2) of this Paragraph, the Board shall issue the subpoenas to the requesting party within three business days of the Board's receipt of the request.

(d) Subpoenas shall be served by the party requesting the subpoena as provided by the Rules of Civil Procedure, G.S. 1A, Rule 45. The cost of service, fees, and expenses, including copying costs, of any witnesses or documents subpoenaed is prescribed by G.S. 150B-39.

History

• Authority G.S. 89D-15(2); 89D-15(8); 150B-39; 150B-40(c)
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016
• Amended Eff. June 1, 2019.

21 NCAC 28B .0804 Summary Suspension

(a) The Board may summarily suspend a license in accordance with G.S. 150B-3(c).

(b) Upon the issuance of an order summarily suspending a license, the Board shall schedule a hearing to occur at the earliest practicable date. The order of summary suspension shall remain in effect until the proceedings are determined.

History

• History Note Authority G.S. 89D-15(2); 89D-15(4); 150B-3(c)
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016.

21 NCAC 28B .0901 Rulemaking Petition

(a) Any person may petition the Board to adopt a rule by submitting to the Board a written request that shall include the following:

(1) Petitioner's contact information including phone number and email address;

(2) Proposed rule, proposed amendment, or rule to be repealed; and

(3) An explanation of why the proposed adoption, amendment or repeal is being requested.

The request shall be submitted in writing to the Board office as set out in 21 NCAC 28B .0101.

(b) The Board shall consider a petition at its next regularly scheduled meeting unless the petition is filed less than 15 days prior to such meeting. If a petition is filed less than 15 days prior to the next regularly scheduled Board meeting, the Board shall consider the petition at the next subsequent Board meeting. In all cases, the Board shall make its decision within the timeframe set out in G.S. 150B-20(b).

(c) If the Board denies a petition, a copy of the decision shall be served upon the petitioner by one of the methods for service of process under G.S. 1A-1, Rule 5(b). If service is by registered, certified, or first-class mail, by signature confirmation as provided by the United States Postal Service, or by designated delivery service authorized pursuant to 26 U.S.C. 7502(f)(2) with delivery receipt, the copy shall be addressed to the petitioner at the latest address given by the petitioner to the Board. Service by one of the additional methods provided in G.S. 1A-1, Rule 5(b), is effective as provided therein and shall be accompanied by a certificate of service as provided in G.S. 1A-1, Rule 5(b)(1).

History

• Authority G.S. 150B-20
• Eff. June 1, 2019.

Chapter 29 Locksmith Licensing Board

21 NCAC 29 .0101 Scope

History

• Status: expired
• Authority G.S. 74F-5(g)
• Temporary Adoption Eff. August 13, 2002
• Eff. August 1, 2004
• Readopted Eff. June 1, 2017
• Expired Eff. May 1, 2025 pursuant to G.S. 150B-21.3A.

21 NCAC 29 .0102 Meetings

History

• Status: expired
• Authority G.S. 74F-5(g)
• Temporary Adoption Eff. August 13, 2002
• Eff. August 1, 2004
• Readopted Eff. June 1, 2017
• Expired Eff. May 1, 2025 pursuant to G.S. 150B-21.3A.

21 NCAC 29 .0201 Examination Fee

(a) Applicants seeking to take the Locksmith licensing examination shall remit to the Board, along with the application as set forth in Rule .0202 of this Section, a fee of two hundred dollars ($200.00).

(b) The applicant may take the examination at a commercial testing center that charges a fee. The applicant, and not the Board, shall bear the cost of any fees assessed by the commercial testing center.

History

• Authority G.S. 74F-6; 74F-9
• Temporary Adoption Eff. October 17, 2002
• Eff. August 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Amended Eff. June 1, 2026; June 1, 2017.

21 NCAC 29 .0202 Application Requirements

(a) Applicants must register for an examination on the form prescribed by the Board. The application must be submitted to the Board's office at least 15 days before the requested examination date.

(b) To apply for a license, an individual must submit the following to the Board:

(1) all applicable fees as set forth in Rule .0201 of this Section; and

(2) a completed license application, as described in Paragraph (c) of this Rule.

(c) A license application for an individual shall contain the following:

(1) the person's name;

(2) the person's place of birth, date of birth, social security number, and citizenship status;

(3) the person's current physical address, mailing address, telephone number, email address, and website;

(4) the person's out-of-state licenses or certifications held, if any;

(5) a list of all addresses at which the applicant has lived during the past five years;

(6) the name, email address, home address, and length of relationship of two character references;

(7) whether the applicant possesses a valid motor vehicle operator's permit and, if so, the license number and issuing state;

(8) whether the applicant:

(A) has ever been involuntarily dismissed, fired, or allowed to resign in lieu of firing as a result of theft, embezzlement, or any alleged act that, if true, could have resulted in criminal prosecution;

(B) has ever been charged, convicted, or pled guilty to a criminal offense other than a minor traffic violation in any state;

(C) has ever been convicted or pled guilty at a court-martial while a member of the Armed or Reserved Forces;

(D) has ever been denied any professional license or had any professional license revoked in any state, including North Carolina; or

(E) has ever served in any branch of the US Military Services, and, if so, a copy of the applicant's Form DD-214 or equivalent;

(9) the applicant's affirmation that all answers and statements in the application and supporting documents provided are true and accurate to the best of the applicant's knowledge. That the applicant understands the Board may verify and investigate such information, and that any material omission, misrepresentation, or falsification is grounds for the Board's denial of the license application or revocation of a license;

(10) the applicant's agreement that he or she has fully read the obligations of a licensee and will abide by the North Carolina Locksmith Licensing Act and the rules duly promulgated by the Board;

(11) the applicant's signature and the date;

(12) the applicant's signed and notarized authorization for release of records related to the applicant's military, education, and employment history;

(13) the business name and trade name, address, website, and federal Employer Identification Number ("EIN") of the businesses under which the applicant is providing locksmith services; and

(14) a signed electronic fingerprint submission to authorize the North Carolina State Bureau of Investigation to perform a national criminal history record check.

History

• Authority G.S. 74F-6; 74F-7
• Temporary Adoption Eff. November 13, 2002
• Eff. August 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Amended Eff. June 1, 2026.

21 NCAC 29 .0203 Minimum Passing Score

The passing score for the Locksmith Licensing Examination shall be 70 percent.

History

• Authority G.S. 74F-6; 74F-7
• Temporary Adoption Eff. November 13, 2002
• Eff. August 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 29 .0204 Requirements of Examinees

(a) Applicants at an examination session shall present a government-issued photo identification card to the examination proctor before the beginning of the examination session.

(b) The applicant shall not bring books, calculators, or other items that may compromise the security and validity of the exam, such as a study guide or objects that are disruptive, into the examination room.

(c) Electronic devices shall not be allowed in the examination room during the examination. Applicants shall not speak with anyone except the proctor during the examination session.

(d) Applicants shall obey instructions from the proctor regarding when to begin and cease work on the examination.

(e) Applicants shall be excused from the room during the examination only with permission from the proctor.

(f) Failure to abide by any of the Paragraphs of this Rule shall result in invalidation of the applicant's examination results.

(g) Applicants shall not make any written markings on the examination book provided by the proctor.

(h) The applicant shall exit the examination room if the proctor determines that the applicant is disrupting the examination or failing to abide by any of the Paragraphs of this Rule. If an applicant is asked to exit the examination room, examination fees shall not be refunded.

(i) Applicants shall be informed of the results of the examination by email. Examination results shall not be provided by the proctor at the testing site.

History

• Authority G.S. 74F-6; 74F-7
• Temporary Adoption Eff. November 13, 2002
• Eff. August 1, 2004
• Readopted Eff. June 1, 2017
• Amended Eff. June 1, 2026.

21 NCAC 29 .0205 Failure to Attend Scheduled Examination Session

Applicants who fail to appear for a scheduled examination session without prior notification to the Board shall forfeit their examination fee and shall submit a new examination fee pursuant to 21 NCAC 29 .0201(a)(1) for a different session. The Board shall waive the new examination fee upon the applicant's request if it finds that the applicant's failure to attend as scheduled was the result of a hardship or emergency.

History

• Authority G.S. 74F-6; 74F-7
• Temporary Adoption Eff. November 13, 2002
• Eff. August 1, 2004
• Readopted Eff. June 1, 2017.

21 NCAC 29 .0206 Special Administration

(a) Applicants with disabilities as defined by Title II of the Americans with Disabilities Act of 1990 (ADA), 42 U.S.C. 12131(2), which is hereby incorporated by reference, including subsequent amendments and editions, available at no cost at https://www.ada.gov/law-and-regs/ada/#subchapter-ii---public-services-title-ii and documented by a licensed medical professional shall be administered the NC Locksmith Licensing Exam under conditions that shall minimize the effect of the disabilities on their testing performance. Special test administrations shall be as comparable as possible to a standard testing administration.

(b) Applicants desiring to request testing accommodations under the ADA shall provide the following information to the Board at least 30 days prior to the desired testing date:

(1) the type of accommodation requested;

(2) a description of the limitations caused by the applicant's medical conduction;

(3) the manner in which the applicant's limitations impact the applicant's ability to take the examination required for licensure by the Board;

(4) whether the applicant previously has been provided with a testing accommodation; and

(5) medical certification from the applicant's treating healthcare provider attesting to the accuracy of the information provided by the applicant as set forth in Paragraph (b) of this Rule.

(c) The Board shall approve the requested testing accommodations if the Board determines that the requested testing accommodation constitutes a reasonable accommodation under the ADA.

History

• Authority G.S. 74F-6; 74F-7
• Eff. November 1, 2007
• Readopted Eff. June 1, 2017
• Amended Eff. June 1, 2026.

21 NCAC 29 .0401 Application Form

(a) All applications for licensure shall be submitted on the form found on the Board website for this purpose. The application shall request the applicant's name, address, and contact information.

(b) Applications shall be accompanied by the following:

(1) two frontal photos of the applicant's face, taken within the preceding three months;

(2) documentation that the applicant has submitted the applicant's fingerprints to the applicant's local law enforcement for submission of the fingerprints to be delivered by local law enforcement directly to the SBI or a copy of the applicant's fingerprints to the Board;

(3) a completed examination registration request containing the requested exam date;

(4) a written explanation of affirmative responses to questions on the application regarding criminal history and military service, if applicable;

(5) payment in full of all applicable fees;

(6) a copy of the applicant's legal resident documents, if the applicant is not a U.S. citizen;

(7) a copy of a Locksmith License from another state, if applicable;

(8) a copy of the applicant's military discharge document (DD-214 or equivalent), if the applicant has served in any branch of the armed forces;

(9) a notarized Authorization for Records Release form provided by the State Bureau of Investigation, and found in the Locksmith License application; and

(10) a copy of any national locksmith certifications, if applicable.

History

• Authority G.S. 74F-6; 74F-18(b)
• Temporary Adoption Eff. August 13, 2002
• Eff. August 1, 2004
• Readopted Eff. June 1, 2017.

21 NCAC 29 .0402 Establishment of Moral and Ethical Character

(a) Falsification or concealment of facts relating to employment, military service, criminal conviction, court-martial, or age shall be grounds for license denial, revocation, or suspension.

(b) Applicants with criminal histories from any jurisdiction shall be categorized according to the seriousness of the offense. The category shall be determined by the most serious offense.

(c) These categories are as follows:

(1) Category I. This Category consists of all Class A and B felonies.

(2) Category II. This Category consists of all felonies of Classes C-F.

(3) Category III. This Category consists of all felonies of Classes G or lesser, and all misdemeanors of Classes A1 and 1. Three or more Category III convictions (committed as separate incidents) shall be reclassified as a Category II offense.

(4) Category IV. This Category consists of misdemeanors of Classes 2 and 3. Three or more Category IV convictions (committed as separate incidents) shall be reclassified as a Category III offense.

(d) The Board shall determine if the conviction is related to the duties and responsibilities of a locksmith or bears on an applicant's fitness for licensure to practice locksmithing. In order to make this determination, the Board shall consider the following factors:

(1) The nature and seriousness of the crime;

(2) The relationship of the crime to the purposes for requiring a license as a locksmith;

(3) The extent to which a license might offer an opportunity to engage in further criminal activity of the same type; and

(4) The relationship of the crime to the ability, capacity, or fitness required to perform the duties and discharge the responsibilities of a licensed locksmith.

(e) If the Board determines that the conviction does not relate to the duties and responsibilities of a locksmith, the Board shall process the application according to standard procedures.

(f) If the Board determines that the conviction relates to the duties and responsibilities of a locksmith, the Board shall evaluate the present fitness of the individual to provide locksmith services.

(g) The Board shall use the following guidelines in evaluating an individual's present fitness:

(1) An applicant with a Category I conviction may be ineligible for licensure, in accordance with the factors set forth in G.S. 74F-18(c). A licensed locksmith with a Category I conviction may be subject to revocation of license pursuant to G.S. 150B-3, as set forth in G.S. 74F-15.

(2) An applicant with a Category II conviction shall have at least 12 years since the applicant has completed all aspects of his or her sentence received as a result of the last Category II conviction to be eligible for licensure. A licensed locksmith convicted of a Category II offense may be subject to immediate license revocation, following administrative procedures pursuant to G.S. 150B-3.

(3) An applicant with a Category III conviction shall have at least seven years since the applicant has completed all aspects of his or her sentence received as a result of the last Category III conviction to be eligible for licensure. A licensed locksmith convicted of a Category III offense may be subject to immediate license revocation, following administrative procedures pursuant to G.S. 150B-3.

(4) An applicant with a Category IV conviction shall have at least three years since the applicant has completed all aspects of his or her sentence received as a result of the last Category IV conviction to be eligible for licensure. A licensed locksmith convicted of a Category IV offense may be subject to immediate license revocation, following administrative procedures pursuant to G.S. 150B-3.

(h) The Board shall consider the following factors in the application or submitted supplementary by the applicant in determining the present fitness of a person who has been convicted of a crime that relates to the duties and responsibilities of a locksmith:

(1) The age of the applicant at the time each crime was committed and the date of the application;

(2) The conduct and work history of the person before and after the criminal conviction;

(3) Evidence of the person's rehabilitation efforts and outcome, provided by the court and healthcare professionals;

(4) The extent and nature of the past criminal history;

(5) Two letters of recommendation from licensed locksmiths; and

(6) Other evidence of fitness, such as a psychological test, mental health status report or substance abuse assessment.

(i) If the person's criminal activity is related to chemical dependency, the Board shall also consider the person's efforts and success in achieving and maintaining recovery. Applicants with a self-reported history of chemical dependency shall demonstrate evidence of treatment or rehabilitation and a minimum of two years of sustained sobriety.

(j) An individual whose application is denied or whose license is suspended or revoked may request a hearing under the procedures established in of G.S. 150B, Article 3A.

History

• Authority G.S. 74F-6; 74F-7; 74F-15; 74F-18
• Temporary Adoption Eff. August 13, 2002
• Eff. August 1, 2004
• Readopted Eff. August 1, 2017.

21 NCAC 29 .0403 Completion of Examination

An application for licensure shall not be considered by the Board until the results of the applicant's Board-administered examination are determined and available to the Board.

History

• Authority G.S. 74F-6; 74F-7
• Temporary Adoption Eff. August 13, 2002
• Eff. August 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 29 .0404 Fees

The license issuance fee shall be three hundred dollars ($300.00). The license issuance fee shall accompany the application for licensure. Replacement licenses shall be available upon written request and the fee for issuance of a replacement license shall be ten dollars ($10.00).

History

• Authority G.S. 74F-6; 74F-7; 74F-9; 74F-10
• Temporary Adoption Eff. October 17, 2002
• Eff. August 1, 2004
• Readopted Eff. June 1, 2017
• Amended Eff. July 1, 2025; January 1, 2019.

21 NCAC 29 .0405 Exemption from Examination

History

• Status: repealed
• Authority G.S. 74F-6
• Temporary Adoption Eff. August 13, 2002
• Eff. August 1, 2004
• Repealed Eff. April 1, 2012.

21 NCAC 29 .0501 Obligation of Licensed Locksmiths

(a) By applying for and accepting a license issued by the Board, all licensees become obligated to comply with the provisions of this Section. Failure to comply shall be grounds for disciplinary action by the Board.

(b) Licensed individuals shall be responsible for the actions of their employees who are acting under their direct control and supervision, as defined by G.S. 74F-16(1). The term "employee" shall mean every person engaged in employment, express or implied, oral or written, including non-citizens, and also minors, whether lawfully or unlawfully employed.

(c) A licensed locksmith shall employ all apprentices under their supervision. A licensed locksmith shall provide supervision for all apprentice locksmiths in their employ. A licensed locksmith is responsible for the instruction and training of their apprentice locksmiths in locksmith services and locksmith tools as defined in G.S. 74F-4. A licensed locksmith is responsible for the quality of their apprentice locksmith's services.

(d) A licensed locksmith shall dispatch an apprentice locksmith to the location where locksmith services are to be performed. A licensed locksmith shall be aware of the name and location of the client, the locksmith services required to be performed, the apprentice locksmith's ability to perform the locksmith services required, and the fee charged by the apprentice locksmith for the locksmith services performed.

(e) Upon request, an apprentice locksmith shall provide to the Board the contact information for their supervising licensed locksmith.

(f) A licensed locksmith shall report to the Board if, in the licensed locksmith's opinion, the apprentice locksmith has demonstrated any gross negligence, incompetency, or misconduct in the performance of locksmith services while under the licensed locksmith's supervision.

(g) A licensed locksmith and apprentice locksmith shall identify themselves and their company or business name truthfully while providing locksmith services.

History

• Authority G.S. 74F-3; 74F-6; 74F-7.1; 74F-16
• Temporary Adoption Eff. August 13, 2002
• Eff. August 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Amended Eff. June 1, 2026; April 1, 2023.

21 NCAC 29 .0502 Fair Business Practices

(a) Locksmiths shall conduct all business in compliance with all applicable local, State, and federal laws.

(b) Locksmiths shall analyze security problems and advance the best practicable solution for the protection of the client.

(c) Locksmiths shall refrain from associating themselves with or allowing the use of their name (personal or professional) by any enterprise that in any way supports fraud or misrepresentation.

(d) Locksmiths shall not misrepresent the features of any product or service they offer. Examples include the following:

(1) Representing to a client that non-restricted or widely available keys (whether stamped "Do Not Duplicate" or not) provide any measure of assurance against unauthorized duplication; or

(2) Selling a used product as new.

(e) Locksmiths shall avoid using any improper means of soliciting business. Examples of prohibited practices include:

(1) Affixing stickers to permanent fixtures such as doors or door frames or in any way defacing the property of any person without his or her express written consent.

(2) Installing stickers or any other promotions in such fashion that they falsely represent that the locksmith or company has previously serviced the hardware in that location.

(3) Installing or supplying hardware that curtails the customer's ability to choose a different company or technician for product support or service, unless the locksmith obtains the customer's express written consent.

(4) Modifying the customer's hardware in any fashion that will curtail the customer's ability to choose a different company or technician for later product support or service or cause him or her to incur additional expense by doing so, unless the locksmith obtains the customer's express written consent.

(5) Direct solicitation in violation of a non-compete agreement, such as an employee offering competing bids to customers of his or her employer.

(6) Using a name in advertising that is similar enough to a competitor's name to cause confusion among consumers.

(f) Locksmiths shall register with the Board the business name(s) that they utilize to engage in locksmith services. All advertising for locksmith services and documents related to locksmith services in North Carolina shall be in the registered name(s) of the licensed locksmith.

History

• Authority G.S. 74F-6
• Temporary Adoption Eff. August 13, 2002
• Eff. August 1, 2004
• Readopted Eff. June 1, 2017
• Amended Eff. January 1, 2019.

21 NCAC 29 .0503 Protection of the Public Interest

(a) Locksmiths shall refrain from allowing their specialized skills, knowledge, or access to tools and information to be used in a manner that puts the safety and security of the public at risk.

(b) Locksmiths shall reserve the right to refuse service when intent and ownership cannot be verified and shall notify law enforcement within a jurisdiction when a locksmith suspects criminal intent.

(c) Locksmiths shall not deliberately breach a restricted key system.

(d) Locksmiths shall record the identity of the customer for all service calls in which the locksmith opens a vehicle, building, room, or secured container, originates a key, or in any other fashion provides the customer with access to any such property.

(e) Locksmiths shall endeavor to install all locking devices in compliance with the International Building Code, which is incorporated by reference, including subsequent amendments and editions, available at no cost at www.iccsafe.org; National Fire Protection Association (NFPA) codes, which are incorporated by reference, including subsequent amendments and editions, available at no cost at www.nfpa.org; the Americans with Disabilities Act; and any local codes or ordinances that regulate architectural hardware. Locksmiths shall not install a locking device that produces a threat to life or safety. If such a (pre-existing) condition is encountered, the locksmith shall inform the client and may recommend appropriate remedial action.

(f) Locksmiths shall refuse to provide service when there is an unresolved dispute of ownership or authority. Only instructions from a uniformed law enforcement officer or a court order shall be accepted as resolution of any such dispute.

(g) Locksmiths shall not interfere with the maintenance of a known master key system. When master keyed cylinders are encountered, the key presented without its corresponding master key shall be presumed to be a subordinate key until otherwise determined. The locksmith shall attempt to determine the holder of the master key and seek authorization for cylinder changes or key origination before the service is performed.

(h) Locksmiths shall keep key bitting arrays, file keys, and all client information confidential. Locksmiths shall not release any information or security device, such as a master key or safe combination, to any person without verifying with the owner that the recipient is entitled to receive it.

History

• Authority G.S. 74F-6
• Temporary Adoption Eff. August 13, 2002
• Eff. August 1, 2004
• Amended Eff. April 1, 2012
• Readopted Eff. June 1, 2017.

21 NCAC 29 .0504 Technical Integrity

(a) Locksmiths shall service and install security devices at the highest level of security afforded by the manufacturer of the product.

(b) Locksmiths shall inform clients of the dangers of introducing new keys into a master keyed system without reference to the original bitting array. Locksmiths shall not introduce random keys into a master keyed system without obtaining the signature of the client on a written warning notice of the compromised system.

(c) Locksmiths shall inform clients of the dangers in keying a mechanical lock to operate on several keys in a fashion that requires multiple chambers to be left empty or stacked with more than two master wafers in any chamber (maison keying). Locksmiths shall not key mechanical lock cylinders in this fashion without obtaining the signature of the client on a written warning notice of the compromised system.

(d) Locksmiths shall follow industry and manufacturer standards and insure random and complete recombination of cylinders and combination locks for optimal security maintenance. Examples include the following:

(1) The repeated use of a standard key or combination for multiple customers or job sites.

(2) Filing the plug on a mechanical lock cylinder as a means to enlarge the shear line.

(3) Leaving multiple chambers of a mechanical lock empty without written notice required by Paragraph (b) of this Rule.

(e) Locksmiths shall follow manufacturer recommendations for the proper installation of locking devices and shall not omit or disable any security feature, such as a safe relocking assembly or deadlatch, to the detriment of the client's safety and security.

History

• Authority G.S. 74F-6
• Temporary Adoption Eff. August 13, 2002
• Eff. August 1, 2004
• Readopted Eff. June 1, 2017.

21 NCAC 29 .0601 Petitions for Adoption, Amendment or Repeal of Rules

(a) Any person may petition the Board under G.S. 150B-20 to adopt a new rule or to amend or repeal an existing rule by sending a written petition for rulemaking to the Chair at the Board's address, PO Box 10972, Raleigh, NC 27605. The petition shall be entitled "Petition for Rulemaking" and shall include the following information:

(1) the name and address of the person submitting the petition;

(2) a citation for any rule for which an amendment or repeal is requested; and

(3) a draft of the proposed new rule or amended rule.

(b) The petitioner may provide additional information he or she believes is relevant and wishes the Board to consider as part of the petition, including:

(1) the effect of the proposed new rule or amendment on existing rules or decisions;

(2) industry or regulatory practices likely to be affected by the proposed new rule or amendment; or

(3) an identification of the persons or class of persons most likely to be affected by the proposal.

(c) The Board may request additional information from the petitioner following its receipt of the petition and before making its decision if the Board determines it needs the information to make the decision.

History

• Authority G.S. 74F-6; 150B-20
• Temporary Adoption Eff. March 26, 2003
• Eff. March 1, 2004
• Readopted Eff. August 1, 2017.

21 NCAC 29 .0602 Declaratory Rulings

(a) A person seeking a declaratory ruling from the Board under G.S. 150B-4 shall file a petition for a declaratory ruling that meets the requirements of this Rule.

(b) All petitions for declaratory rulings shall be in writing and shall be sent to the Chair at the Board=s address. Each petition shall be entitled APetition for Declaratory Ruling@ and shall include the following information:

(1) the name and address of the petitioner;

(2) the statute or rule to which the petition relates;

(3) a statement of the manner in which the petitioner has been or may be aggrieved by the statute or rule; and

(4) if the petitioner wishes to make an oral presentation to the Board on the petition, a statement requesting an opportunity to appear and be heard.

(c) The Board may refuse to issue a declaratory ruling when:

(1) the petition does not comply with this Rule;

(2) the petitioner is not a Aperson@ or a Aperson aggrieved@ as defined in G.S. 150B-2;

(3) the Board has previously issued a declaratory ruling on similar facts;

(4) the Board has previously issued a final agency decision in a contested case on similar facts;

(5) the subject matter of the petition is involved in pending litigation; or

History

• Authority G.S. 74F-6; 150B-4
• Temporary Adoption Eff. March 26, 2003
• Eff. March 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 29 .0603 Right to Hearing

History

• Authority G.S. 74F-6; 150B-11; 150B-38
• Temporary Adoption Eff. May 28, 2003
• RRC Objection due to lack of necessity on April 15, 2004.

21 NCAC 29 .0604 Request for Hearing

History

• Status: expired
• Authority G.S. 74F-6; 150B-3(c); 150B-38
• Temporary Adoption Eff. May 28, 2003
• Eff. March 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Expired Eff. May 1, 2025 pursuant to G.S. 150B-21.3A.

21 NCAC 29 .0605 Granting or Denying Hearing Request

History

• Status: expired
• Authority G.S. 74F-6; 150B-3(c); 150B-38
• Temporary Adoption Eff. May 28, 2003
• Eff. March 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Expired Eff. May 1, 2025 pursuant to G.S. 150B-21.3A.

21 NCAC 29 .0606 Notice of Hearing

History

• Status: expired
• Authority G.S. 74F-6; 150B-3(c); 150B-38
• Temporary Adoption Eff. May 28, 2003
• Eff. March 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Expired Eff. May 1, 2025 pursuant to G.S. 150B-21.3A.

21 NCAC 29 .0607 Who Shall Hear Contested Cases

History

• Authority G.S. 74F-6; 150B-11; 150B-38; 150B-40
• Temporary Adoption Eff. May 28, 2003
• RRC Objection due to lack of necessity on April 15, 2004.

21 NCAC 29 .0608 Informal Procedures

History

• Status: expired
• Authority G.S. 74F-6; 150B-38
• Temporary Adoption Eff. May 28, 2003
• Eff. March 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Expired Eff. May 1, 2025 pursuant to G.S. 150B-21.3A.

21 NCAC 29 .0609 Petition for Intervention

History

• Status: expired
• Authority G.S. 74F-6; 150B-38
• Temporary Adoption Eff. May 28, 2003
• Eff. March 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Expired Eff. May 1, 2025 pursuant to G.S. 150B-21.3A.

21 NCAC 29 .0610 Types of Intervention

History

• Status: expired
• Authority G.S. 74F-6; 150B-38
• Temporary Adoption Eff. May 28, 2003
• Eff. March 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Expired Eff. May 1, 2025 pursuant to G.S. 150B-21.3A.

21 NCAC 29 .0611 Disqualification of Board Members

(a) Self-disqualification. If for any reason a board member determines that personal bias or other factors render that member unable to hear a contested case and perform all duties in an impartial manner, that board member shall voluntarily decline to participate in the hearing or decision.

(b) Petition for Disqualification. If for any reason any party in a contested case believes that a board member is personally biased or otherwise unable to hear a contested case and perform all duties in an impartial manner, the party may file a sworn, notarized affidavit with the Board. The title of such affidavit shall bear the notation: AFFIDAVIT OF DISQUALIFICATION OF BOARD MEMBER IN THE CASE OF (Name of case).

(c) Contents of Affidavit. The affidavit must state all facts the party deems to be relevant to the disqualification of the Board member.

(d) Timeliness of Affidavit. An affidavit of disqualification shall be considered timely if filed ten days before commencement of the hearing. Any other affidavit shall be considered timely provided it is filed at the first opportunity after the party becomes aware of facts that give rise to a reasonable belief that a board member may be disqualified under this Rule.

(e) Where a petition for disqualification is filed less than 10 days before or during the course of a hearing, the hearing shall continue with the challenged board member sitting. The petitioner shall have the opportunity to present evidence supporting his petition, and the petition and any evidence relative thereto presented at the hearing shall be made a part of the record. The Board, before rendering its decision, shall decide whether the evidence justifies disqualification. In the event of disqualification, the disqualified member shall not participate in further deliberation or decision of the case.

(f) Procedure for Determining Disqualification:

(1) The Board shall appoint a board member to investigate the allegations of the affidavit.

(2) The investigator shall report their findings and recommendations to the Board.

(3) The Board shall decide whether to disqualify the challenged individual.

(4) The person whose disqualification is to be determined shall not participate in the decision but may be called upon to furnish information to the other members of the Board.

(5) When a board member is disqualified prior to the commencement of the hearing or after the hearing has begun, such hearing shall continue with the remaining members sitting provided that the remaining members still constitute a majority of the Board.

(6) If five or more members of the Board are disqualified pursuant to this Rule, the Board shall petition the Office of Administrative Hearings to appoint an administrative law judge to hear the contested case pursuant to G.S. 150B-40(e).

History

• Authority G.S. 74F-6; 150B-38; 150B-40
• Temporary Adoption Eff. May 28, 2003
• Eff. March 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 29 .0612 Failure to Appear

History

• Authority G.S. 74F-6; 150B-11; 150B-38; 150B-40
• Temporary Adoption Eff. May 28, 2003
• RRC Objection due to lack of necessity on April 15, 2004.

21 NCAC 29 .0613 Subpoenas

(a) Requests for subpoenas for the attendance and testimony of witnesses or for the production of documents, either at a hearing or for the purposes of discovery, shall be made in writing to the Board and shall identify any document sought with specificity, and shall include the full name and home or business address of all persons to be subpoenaed and, if known, the date, time, and place for responding to the subpoena. The Board shall issue the requested subpoenas within three days of receipt of the request.

(b) Subpoenas shall contain: the caption of the case; the name and address of the person subpoenaed; the date, hour and location of the hearing in which the witness is commanded to appear; a particularized description of the books, papers, records or objects the witness is directed to bring with him to the hearing, if any; the identity of the party on whose application the subpoena was issued; the date of issue; the signature of the presiding officer or his designee; and a "return of service." The "return of service" form as filled out, shall show the name and capacity of the person serving the subpoena, the date on which the subpoena was delivered to the person directed to make service, the date on which service was made, the person on whom service was made, the manner in which service was made, and the signature of the person making service.

(c) Any person receiving a subpoena from the Board may object thereto by filing a written objection to the subpoena with the Board's office.

(d) The objection shall include a concise, but complete, statement of reasons why the subpoena should be revoked or modified. These reasons may include lack of relevancy of the evidence sought, or any other reason sufficient in law for holding the subpoena invalid, such as that the evidence is privileged, that appearance or production would be so disruptive as to be unreasonable in light of the significance of the evidence sought, or other undue hardship.

(e) Any such objection to a subpoena must be served on the party who requested the subpoena simultaneously with the filing of the objection with the Board.

(f) The party who requested the subpoena may file a written response to the objection within five working days. The written response shall be served by the requesting party on the objecting witness simultaneously with filing the response with the Board.

(g) After receipt of the objection and response thereto, if any, the Board shall issue a notice to the party who requested the subpoena and the party challenging the subpoena, and may notify any other party or parties of an open hearing, to be scheduled as soon as practicable, at which time evidence and testimony may be presented, limited to the narrow questions raised by the objection and response.

(h) Promptly after the close of such hearing, a majority of the Board members with voting authority, or an administrative law judge assigned to the case pursuant to G.S. 150B-40(e), shall rule on the challenge and issue a written decision. A copy of the decision shall be issued to all parties and made a part of the record.

History

• Authority G.S.74F-6; 150B-38; 150B-40
• Temporary Adoption Eff. May 28, 2003
• Eff. May 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 29 .0614 Witnesses

Any party may be a witness and may present witnesses on the party's behalf at the hearing. All oral testimony at the hearing shall be under oath or affirmation and shall be recorded. At the request of a party or upon the Board's own motion, the presiding officer shall exclude witnesses from the hearing room so that they cannot hear the testimony of other witnesses.

History

• Authority G.S. 74F-6; 150B-38; 150B-40
• Temporary Adoption Eff. May 28, 2003
• Eff. March 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 29 .0615 Final Decision

History

• Status: expired
• Authority G.S.74F-6; 150B-38; 150B-42
• Temporary Adoption Eff. May 28, 2003
• Eff. March 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Expired Eff. May 1, 2025 pursuant to G.S. 150B-21.3A.

21 NCAC 29 .0616 Proposals for Decisions

(a) When an administrative law judge conducts a hearing pursuant to G.S. 150B-40(e), a "proposal for decision" shall be rendered within 45 days of the hearing pursuant to the Rules of the Office of Administrative Hearings, 26 NCAC 03 .0127. Any party may file written exceptions to this "proposal for decision" and submit their own proposed findings of fact and conclusions of law. The exceptions and alternative proposals must be received within ten days after the party has received the "proposal for decision" as drafted by the administrative law judge.

(b) Any exceptions to the procedure during the hearing, the handling of the hearing by the administrative law judge, rulings on evidence, or any other matter, must be written and refer specifically to pages of the record or otherwise precisely identify the occurrence to which exception is taken. The exceptions must be filed with the Board within ten days of the receipt of the proposal for decision. The written exceptions shall bear the notation: EXCEPTIONS TO THE PROCEEDINGS IN THE CASE OF (Name of case).

(c) Any party may present oral argument to the Board upon request. The request must be included with the written exceptions.

(d) Upon receipt of request for further oral argument, notice shall be issued promptly to all parties designating time and place for such oral argument.

(e) Giving due consideration to the proposal for decision and the exceptions and arguments of the parties, the Board may adopt the proposal for decision or may modify it as the Board deems necessary. The decision rendered shall be a part of the record and a copy thereof given to all parties. The decision as adopted or modified becomes the "final agency decision" for the right to judicial review. Said decision shall be rendered by the Board within 60 days of the next regularly scheduled meeting following the oral arguments, if any. If there are no oral arguments presented, the decision shall be rendered within 60 days of the next regularly scheduled board meeting following receipt of the written exceptions.

History

• Authority G.S. 74F-6; 150B-38; 150B-40
• Temporary Adoption Eff. May 28, 2003
• Eff. March 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 29 .0701 Application Form

All applications for license renewal shall be submitted on the form provided by the Board for this purpose and shall be accompanied by the following items:

(1) two frontal photos of the applicant's face, taken within the preceding three months of submission of the application, size one inch by one inch;

(2) consent to the performance of a nationwide criminal history check to be performed by the Department of Public Safety;

(3) truthful explanations of affirmative responses to questions on the application regarding employment history, criminal history, and military service, if applicable;

(4) payment in full of all applicable fees, by credit card, check, or money order;

(5) a copy of the applicant's military discharge document (DD-214 or equivalent) if the applicant has actively served in the military since applying for his or her previously granted license; and

(6) a log, in a format specified by the Board, of continuing education hours earned during the previous license period, including the sponsor of the program or course, the name of the instructor or lecturer, the date, the number of hours, and a description of the subject matter included in the course or program.

History

• Authority G.S. 74F-6; 74F-10
• Eff. February 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016
• Amended Eff. January 1, 2019.

21 NCAC 29 .0702 Due Date

(a) Applications for license renewal shall be submitted prior to the date of license expiration.

(b) Licensees who submit their applications for renewal after the date on which the license expires, but within twelve months, thereafter shall pay a late fee of three hundred dollars ($300.00), in addition to the license renewal fee of three hundred dollars ($300.00). Licensees who apply to reinstate their license more than twelve months after the date on which the license expires shall pay a reinstatement fee of two hundred fifty dollars ($250.00), in addition to the late fee of three hundred dollars ($300.00) and the license renewal fee of three hundred dollars ($300.00).

(c) The Board shall deem applications submitted on the date of their postmark or upon receipt by staff at the Board's offices, whichever is earlier.

History

• Authority G.S. 74F-6; 74F-9; 74F-10
• Eff. July 1, 2005
• Amended Eff. January 1, 2013
• Readopted Eff. July 1, 2025; June 1, 2017.

21 NCAC 29 .0703 Reinstatement of Expired License

Licenses that have been expired for more than one year are eligible for reinstatement pursuant to Rule .0701 of this Section. A licensee with an expired license may apply for reinstatement only if he or she has completed at least eight contact hours of continuing education within one year preceding the application.

History

• Authority G.S. 74F-6; 74F-9; 74F-10
• Eff. July 1, 2005
• Readopted Eff. June 1, 2017
• Amended Eff. July 1, 2025.

21 NCAC 29 .0704 Establishment of Moral and Ethical Character

(a) The Board shall apply the same standards specified in Rule .0402 of this Chapter to determine each licensee's fitness for license renewal or reinstatement.

(b) Applicants must disclose all criminal convictions not included on previous applications for licensure. Failure to disclose any criminal conviction may be grounds for denial of license renewal or reinstatement.

(c) The Board may deny a request for license renewal or reinstatement when it determines that the applicant has violated the Code of Ethics in Section .0500 these Rules.

History

• Authority G.S. 74F-6; 74F-7; 74F-10
• Eff. February 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 29 .0801 Definitions

The following definition shall apply to the Rules of this Section: "Contact Hour" means a minimum of 50 minutes of contact.

History

• Authority G.S. 74F-6
• Eff. February 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

21 NCAC 29 .0802 Requirements

(a) Every licensee shall obtain 16 contact hours of continuing education during each 3-year renewal cycle, except:

(1) Persons exempted from eight contact hours in Rule .0805 of this Section; and

(2) Persons who:

(A) are at least 62 years of age;

(B) have at least 15 years of experience as locksmiths;

(C) have been North Carolina licensed locksmiths for at least nine years; and

(D) are not subject to an investigation by the Board.

(b) The contact hours of continuing education shall be in technical and professional subjects related to the practice of locksmithing.

(c) Licensees shall not carry forward any contact hours of continuing education into the subsequent renewal period.

(d) Licensees shall verify completion of the contact hours of continuing education for the previous license period on their application for license renewal.

History

• Authority G.S. 74F-6
• Eff. February 1, 2005
• Amended Eff. April 1, 2012
• Readopted Eff. June 1, 2017
• Amended Eff. January 1, 2019.

21 NCAC 29 .0803 Determination of credit

(a) The Board has final authority with respect to approval of course sponsors, courses, programs, and contact hours.

(b) The Board shall not pre-approve individual courses or programs. The Board may approve sponsors and enter into agreements with course and program sponsors in which the sponsor agrees to offer courses and programs that comply with the subject matter requirements of Rule .0802 of this Section and agrees to maintain for a period of four years the records of course content and attendance. In addition, the sponsor shall agree to permit a representative of the Board to monitor or review any course or program the sponsor offers to North Carolina Licensed Locksmiths for credit. Provided the sponsor complies with the sponsor agreement, the Board shall accept as valid contact hours earned by licensees from approved sponsors.

(c) Credit for teaching or instructing qualifying courses shall earn continuing education credit for the instructor at the same rate as for participants.

(d) Licensees may claim credit for contact hours for courses or programs that have not been presented by approved sponsors but only credit from approved sponsors shall be valid. The Board may audit the compliance of individual licensees and may require proof of participation in courses or programs that conform with the content and contact hour calculation contained in the rules of this Section. Such proof shall be in the form of records maintained pursuant to Rule .0804 of this Section.

History

• Authority G.S. 74F-6
• Eff. February 1, 2005
• Readopted Eff. June 1, 2017.

21 NCAC 29 .0804 Record keeping

The licensee shall maintain records to support credits claimed and supply such records to the Board at time of renewal. The Board requires any of the following as proof of education:

(1) A log showing the type of activity claimed, sponsoring organization, location, duration, the name of the instructor or speaker, and the contact hours earned;

(2) Attendance certificates or other written evidence of participation issued by the approved sponsor or presenter; or

(3) A transcript from an approved sponsor detailing the licensee's attendance.

History

• Authority G.S. 74F-6
• Eff. February 1, 2005
• Readopted Eff. June 1, 2017.

21 NCAC 29 .0805 Exceptions

A licensee shall be exempt from eight hours of the continuing education requirement per renewal cycle for any of the following reasons:

(1) A licensee serving on temporary active duty in the armed forces of the United States for a period exceeding 120 consecutive days within the year.

(2) A licensee experiencing physical disability or illness if supporting documentation is provided by the licensee. Such documentation shall be in the form of a statement from a physician or medical records that show that the disability or illness prevented the licensee's participation in the following:

(a) a course in which the licensee had enrolled; or

(b) a continuing education program for at least 120 consecutive days in a year.

(3) A licensee whose licensed apprentice passes the North Carolina Locksmith Licensing Exam and receives a North Carolina Locksmith License.

History

• Authority G.S. 74F-6; 93B-15
• Eff. February 1, 2005
• Amended Eff. November 1, 2007
• Readopted Eff. June 1, 2017.

21 NCAC 29 .0806 Non Compliance

If the Board does not approve credits claimed by an applicant, then the licensee shall have 90 calendar days after written notification from the Board to substantiate the original claim as stated in Rule .0804 of this Section or obtain other contact hours to meet the minimum requirements. If the licensee fails to meet this requirement within the 90 days, the applicant's license shall expire.

History

• Authority G.S. 74F-6
• Eff. February 1, 2005
• Readopted Eff. June 1, 2017.

Chapter 30 Massage and Bodywork Therapy

21 NCAC 30 .0101 Purpose

The purpose of the rules in this Chapter is to implement the provisions of the North Carolina Massage and Bodywork Therapy Practice Act, as set forth in G.S. 90, Article 36.

History

• Authority G.S. 90-621; 90-626
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0102 Definitions

In addition to the definitions set forth in G.S. 90-622(1) through (5), the following definitions apply:

(1) Classroom hours of supervised instruction. -- Student learning activities in a training program that is conducted in the physical presence of an instructor who meets the qualifications of Rule .0612.

(2) Generally accepted psychometric principles and standards. -- Standards for Educational and Psychological Testing (1999, American Psychological Association, American Educational Research Association, National Council on Measurement in Education), and Principles of Fairness: An Examining Guide for Credentialing Boards (Revised 2002, Council on Licensure, Enforcement, and Regulation, National Organization for Competency Assurance) which are hereby incorporated by reference, including subsequent amendments and editions. Copies of the standards may be obtained from The American Psychological Association at 750 First Street, NE, Washington, DC 20002-4242 or online at http://www.apa.org/science/standards.html.

(3) Gross negligence. -- The intentional failure to perform a manifest duty in reckless disregard of the consequences as affecting the life or property of another.

(4) Incompetency. -- Conduct that evidences a lack of ability, fitness or knowledge to apply principles or skills of the profession of massage and bodywork therapy.

(5) Licensee. -- A person who holds a valid license issued by the Board to engage in the practice of massage and bodywork therapy.

(6) Malpractice. -- Conduct in variance with the Standards of Practice set forth in Section .0500 that results in harm to a client or that endangers the health or safety of a client.

(7) Place of business. -- The primary street location where the licensee provides massage and bodywork therapy. If the licensee provides massage and bodywork therapy only at the location of clients, then it shall be the residence street address of the licensee.

(8) Practice Act. -- Article 36, Chapter 90 of the North Carolina General Statutes: The North Carolina Massage and Bodywork Therapy Practice Act.

(9) Reciprocity. -- Pursuant to G.S. 90-630, a provision which shall apply to practitioners of massage and bodywork therapy qualified pursuant to Rule .0304 who reside outside the State.

(10) Therapeutic, educational, or relaxation purposes. -- Pursuant to G.S. 90-622(3), that which is intended to positively affect the health and well-being of the client, and that does not include sexual activity, as defined in Rule .0508.

History

• Authority G.S. 90-622; 90-626(9)
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. September 1, 2008; September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0201 Application and Scope

(a) Each applicant for a license as a massage and bodywork therapist shall complete an online application provided by the Board on its website at www.bmbt.org. The application shall include the following:

(1) full name (last name, first name, middle name and maiden name, if applicable);

(2) name as the applicant wants it to appear on license which must be part or all of applicant's legal name;

(3) current residence;

(4) personal mailing address;

(5) city, state, zip code and county;

(6) Social Security Number;

(7) city and state of birth;

(8) date of birth;

(9) telephone number;

(10) email address;

(11) trade name or business name;

(12) business address;

(13) type of license applying for; Regular, License by Endorsement A or License by Endorsement B;

(14) examination agency; FSMTB, NCCAOM or NCBTMB, if applicable;

(15) exam taken; MBLEx, NCETMB, NCETM or ABTE, if applicable;

(16) whether the applicant is a U.S. citizen;

(17) physical description, including gender, height, eye color, race, weight, and hair color;

(18) places of residence for the previous 10 years including date, street address, city, state, zip code, and county;

(19) professional experience for the previous 10 years including date, job title, type of business, hours worked per week, employer's name, address, state, zip code, area code and phone number, and reason for leaving, if applicable;

(20) education, for example high school, college/university, graduate or professional, including name of educational institution, city, state, zip code, whether or not you were issued a certificate, diploma or degree and month and year of graduation;

(21) previous or current massage or bodywork therapy licensure, registration, or certification in another state or territory, including state, license, registration or certification type, license or credential number, date issued and date of expiration;

(22) professional affiliations and achievements;

(23) whether the applicant has had any of the following situations and an explanation of each:

(A) has ever been charged with, arrested for, convicted of, or has pled guilty or no contest to a violation of any law in any state or jurisdiction;

(B) had a driver's license canceled, suspended or revoked;

(C) pending criminal charges in any state or jurisdiction;

(D) violated any federal or state statute or rule which relates to massage and bodywork therapy or any other healthcare profession;

(E) obtained or attempted to obtain compensation by fraud or deceit;

(F) named as a defendant in a civil suit related to your practice of massage and bodywork therapy or other healthcare profession;

(G) had any judgments entered against you;

(H) expelled, fired, asked to resign, or otherwise suspended from any educational institution;

(I) fired, asked to resign, or otherwise suspended from employment;

(J) denied a massage therapy license or a license for any other healthcare profession;

(K) had a massage therapy license or a license for any other healthcare profession revoked or suspended;

(L) have any disciplinary charges pending or action taken by any massage or bodywork therapy licensing board or medical board;

(M) been diagnosed or treated with a mental illness by a health care provider;

(N) been diagnosed or treated as being dependent on alcohol or drugs by a health care provider;

(O) been diagnosed or treated for abuse of alcohol or drugs by a health care provider;

(P) used any drug or alcohol to the extent it adversely affected your professional competence or employment;

(24) an attestation that the information on the application is true.

(b) This application shall be submitted to the Board and shall be accompanied by:

(1) One original color photograph of the applicant taken within six months preceding the date of the application of sufficient quality for identification. The photograph shall be of the head and shoulders, passport type, and two inches by two inches in size;

(2) The fees, as required by Rule .0204 of this Section and G.S. 90-628(b);

(3) A copy of a high school diploma or transcript, General Equivalency Diploma (GED), or college diploma or transcript showing that the applicant has earned at least a high school diploma or equivalent;

(4) A copy of a driver's license or birth certificate showing that the applicant is 18 years of age or older;

(5) An official transcript from the massage therapy school showing that the applicant has completed a course of study at a school approved by the Board and consisting of a minimum of 650 classroom hours of supervised instruction. If the applicant attended a school that is not approved by the Board, the Board shall review that applicant's curriculum on a case-by-case basis. The documentation of such training shall come from a school that is licensed by the educational licensing authority in the state, territory or country in which it operates. In North Carolina the documentation shall come from a proprietary school approved by the Board or a college-based massage program that is exempt from Board approval. The curriculum shall meet or be equivalent to the standards set forth in Rule .0620(2) of this Chapter;

(6) An official score report showing that the applicant has achieved a passing score on a competency assessment examination administered or approved by the Board that meets generally accepted psychometric principles and standards;

(7) Signed statements from four persons attesting to the applicant's personal history of honesty, integrity, trustworthiness, fairness, good reputation for fair dealings, and respect for the rights of others and for state and federal laws;

(8) Fingerprint card executed by a fingerprinting agency; and

(9) Consent to a criminal history record check by the North Carolina Department of Justice.

(c) For the purposes of this Rule, "health care provider" shall have the definition found in G.S. 90-21.132(7)(a).

History

• Authority G.S. 90-626(2); 90-629
• Temporary Adoption Eff February 15, 2000
• Eff. April 1, 2001
• Amended Eff. October 1, 2008
• Readopted Eff. October 1, 2015
• Amended Eff. February 1, 2025.

21 NCAC 30 .0202 Interviews

Interviews may be required by the Board if it has questions about the qualifications of an applicant.

History

• Authority G.S. 90-626(2)
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0203 Exemptions from Licensure

(a) Persons who are utilizing certain therapeutic techniques may claim exemption from licensure pursuant to G.S. 90-624 (6) or (7) only by meeting one of the following criteria:

(1) Such persons are practicing techniques that are defined by national organizations that meet the criteria for exemption set forth in either G.S. 90-624 (6) or (7); or

(2) Such persons are practicing techniques that do not involve any contact with the body of the client; or

(3) Such persons are practicing techniques that involve resting the hands on the surface of the client's body without delivering pressure to or manipulation of the soft tissues.

(b) Persons who are utilizing exempt techniques along with techniques that are not exempt and constitute the practice of massage or bodywork therapy, as defined in G.S. 90-622(3), are not considered to be exempt and will be required to be licensed.

(c) Pursuant to G.S. 90-623, such exempted practitioners may not hold themselves out to be a massage and bodywork therapist; they may not utilize or promote themselves or their services using such terms as "massage, massage therapy, bodywork, bodywork therapy," or any other derivative term that implies a soft tissue technique or method.

(d) Services such as herbal body wraps, skin exfoliating treatments or the topical application of products to the skin for beautification purposes are not considered to be the practice of massage and bodywork therapy, as long as such services do not involve direct manipulation of the soft tissues of the body. Those who are utilizing such techniques along with techniques that are not exempt and constitute the practice of massage or bodywork therapy are not considered exempt and will be required to be licensed.

History

• Authority G.S. 90-624; 90-626
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0204 Fees

(a) Fees are as follows:

(1) Application for Examination of Requirements for License $ 20.00

(2) Initial license fee 150.00

(3) License renewal 100.00

(4) Late renewal penalty 75.00

(5) Duplicate license 25.00

(b) Fees shall be nonrefundable and shall be paid by credit card, debit card, cashier's check, certified check, or money order made payable to the North Carolina Board of Massage and Bodywork Therapy.

History

• Authority G.S. 90-626(8); 90-628
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014
• Amended Eff. February 1, 2025.

21 NCAC 30 .0205 Term of License

(a) Initial applications for licensure submitted between October 1 and December 31 shall be granted for two full years, plus the additional period of up to three months. Initial applications submitted between January 1 and September 30 shall pay the full fee, but the initial license period shall be two years, minus the period following January 1.

(b) Pursuant to G.S. 90-632, a license shall be renewed for a term of two years, beginning on January 1 following the initial expiration date.

History

• Authority G.S. 90-626(9); 90-632
• Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0206 Background Investigation Required for Applicant

(a) If the Board determines that an applicant for licensure has:

(1) a pending charge or conviction of a criminal offense or domestic violence, or disciplinary action regarding another occupational license or certification; or

(2) a civil judgment, termination from employment or dismissal from an educational institution related to criminal behavior, assault or the massage and bodywork therapy or other health care profession, the Board shall investigate the applicant's background.

(b) At the request of the Board, the applicant shall provide all documentation related to the event(s), and shall pay the additional fee set forth in Rule .0204(6) to cover the Board's costs of such investigation.

History

• Authority G.S. 90-626(2); 90-629(3)
• Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0301 Professional Designations

(a) All licensees shall use the professional title, "Licensed Massage and Bodywork Therapist," or the letters "L.M.B.T." when they are holding themselves out to be a licensee in their professional communications.

(b) Licensees shall not use any other letters or abbreviations after their name when they are holding themselves out to be a licensee in their professional communications, except those that are conveyed by a degree from an accredited post-secondary institution, a license from another occupational licensing board, or certification from an agency that is approved by the National Commission on Certifying Agencies.

(c) Licensees may also use other words descriptive of their work, consistent with Rule .0501(1), such as areas of clinical specialty, in addition to their primary identification as a Licensed Massage and Bodywork Therapist.

History

• Authority G.S. 90-623(c); 90-626(9)
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0302 Display of License

Licensees shall display their Board-issued original license at the licensees' primary place of practice so as to be visible for inspection by the public. Licensees providing massage and bodywork therapy outside their primary place of practice, or at the location of clients, shall have a Board-issued original license or wallet card available for inspection upon request by the public.

History

• Authority G.S. 90-626(9)
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014
• Amended Eff. November 15, 2019.

21 NCAC 30 .0303 License Renewal

(a) Any licensee desiring the renewal of a license shall comply with all continuing education requirements, shall apply for renewal and shall submit the required fee.

(b) A license that has not been renewed prior to its expiration date is considered expired. An expired license may be reinstated within the first 24 months. All required continuing education for license renewal must be completed before the license is reinstated.

(c) Licenses expired in excess of 24 months are not renewable. Persons whose licenses have been expired for more than 24 months must apply for a new license.

(d) Any person whose license has expired and who engages in any massage and bodywork therapy activities governed by the Practice Act will be subject to the penalties prescribed in G.S. 90-634 and G.S. 90-634.1.

(e) Members of the armed forces whose licenses are in good standing and to whom G.S. 105-249.2 grants an extension of time to file a tax return are granted that same extension of time to pay the license renewal fee and to complete the continuing education requirement prescribed in 21 NCAC 30 .0700. A copy of military orders or the extension approval by the Internal Revenue Service must be furnished to the Board. If approved, continuing education acquired during this extended time period shall not be utilized for future renewal purposes.

History

• Authority G.S. 90-626(3); 90-626(9); 90-631; 93B-15(b); 105-249.2
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. April 1, 2010; September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0304 License by Reciprocity

History

• Status: repealed
• Authority G.S. 90-626(9); 90-630
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Repealed Eff. December 1, 2009.

21 NCAC 30 .0305 Provisional License

History

• Status: expired
• Authority G.S. 90-626(3); S.L. 1998, c. 230, s. 14
• Temporary Adoption Eff. February 15, 2000
• Temporary Adoption Expired December 10, 2000.

21 NCAC 30 .0306 Grounds for License Denial or Discipline

(a) The Board may deny an application for licensure, or refuse to license an applicant for any of the reasons set forth in G.S. 90-633.

(b) The Board may suspend or revoke the license of a massage and bodywork therapist, or issue a letter of reprimand to a licensee for any of the reasons set forth in G.S. 90-633.

History

• Authority G.S. 90-626(3); 90-633
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0401 Address of Record

(a) Each licensee shall notify the Board in writing within 30 days of any change of the licensee's current residence street address and primary place of practice. The licensee shall provide in writing to the Board his or her mailing address, email address, and telephone number for the purposes of receiving communication from the Board and for listing in the registry of licensees.

(b) "Primary place of practice" shall mean:

(1) a licensed establishment owned by the licensee where the licensee provides massage and bodywork therapy; or

(2) a licensed establishment where the licensee provides massage and bodywork therapy, whether as an employee or independent contractor.

(c) If the licensee provides massage and bodywork therapy only at the location of clients, the primary place of practice is the residence address of the licensee.

History

• Authority G.S. 90-626(9)
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014
• Amended Eff. November 15, 2019.

21 NCAC 30 .0402 Trade Names

The licensee shall notify the Board in writing of all assumed name certificates filed with any county register of deeds pursuant to the requirements of G.S. 66-68.

History

• Authority G.S. 90-626(9)
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0403 Change of Address or Trade Name

All licensees shall notify the Board in writing of each change of trade name or address of record within 30 days of such change.

History

• Authority G.S. 90-626(9)
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0404 Advertising

(a) Any advertisement of massage and bodywork therapy services in any advertising medium as defined herein shall include the licensee's name and license number, whether or not a trade name is used.

(b) Advertising medium shall be defined as any form of written, printed, broadcast or computer-based advertising, or other promotional materials, except a telephone directory listing for which no additional advertising charge is made.

(c) A business or establishment that employs or contracts with massage and bodywork therapists licensed by the Board may advertise on behalf of those licensees, by complying with the requirements of this Rule. As an alternative to the requirement of Paragraph (a) of this Rule, such business or establishment may indicate the listing of the service itself in advertising or other promotional materials, accompanied by the exact phrase: "Provided by North Carolina Licensed Massage and Bodywork Therapists." In this phrase, "North Carolina" may be abbreviated as "N.C."

History

• Authority G.S. 90-623(c); 90-626(9)
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0405 Place of Practice

Licensees may only engage in the practice of massage and bodywork therapy at a massage and bodywork therapy establishment that is licensed by the Board or at a location that is exempt from establishment licensure as set forth in G.S. 90-622(3a).

History

• Authority G.S. 90-626(9)b.2
• Eff. November 15, 2019.

21 NCAC 30 .0501 Purpose

The standards set forth in Section .0500 establish requirements for the safe and effective practice of massage and bodywork therapy. They are intended to protect the public, to preserve the integrity of the profession, and to allow for the provision of massage and bodywork therapy services.

History

• Authority G.S. 90-621; 90-626(9)
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0502 General Requirements

In the practice of massage and bodywork therapy, licensees shall:

(1) provide only those services that they have the training and practical experience to perform, and that are designed to benefit the health and well-being of the client;

(2) deliver treatment that ensures each client's safety, comfort and privacy;

(3) inform clients of the scope and limitations of massage and bodywork therapy.

History

• Authority G.S. 90-626(9)
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0503 Client Assessment and Informed Consent

Before providing treatment, licensees shall:

(1) inquire as to the health history and current health status of each client to determine the indications and contraindications for the application of massage and bodywork therapy;

(2) assess the needs and expectations of the client and designate a treatment;

(3) obtain the written consent of the client. For the purposes of this Section, "consent" means the therapist has informed the client as to the nature and purpose of the service to be provided, and the client acknowledges that he or she understands the terms under which the treatment is being provided and voluntarily agrees to receive such treatment. The treatment shall be modified only with the consent of the client;

(4) respect the client's right to refuse, modify or terminate treatment regardless of prior consent given.

History

• Authority G.S. 90-626(9)
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0504 Documentation; Referrals

The licensee shall:

(1) maintain documentation for each session, including the date of service, needs assessment, plan of care, observations made, and actions taken by the licensee;

(2) refer the client to other health care practitioners or other professional service providers when the referral is in the best interest of the client or licensee;

(3) follow recommendations for the plan of care when receiving a client referral from a medical care provider. Questions or concerns regarding the referrals shall be directed to the referring medical provider.

History

• Authority G.S. 90-626(9)
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014
• Amended Eff. April 1, 2017.

21 NCAC 30 .0505 Confidentiality, Roles and Boundaries

In managing the client/therapist relationship, licensees shall:

(1) maintain the confidentiality of all client information, unless written disclosure is consented to by the client, or required by law or by court order; this shall include protecting the client's identity in all social conversations, advertisements, and in any other manner;

(2) maintain client files for at least four years after the termination of the client/therapist relationship and store and dispose of client records in a secure manner;

(3) protect the interests of clients who are minors or who are unable to give informed consent by securing permission from an authorized third party or guardian;

(4) avoid relationships with the client that could impair professional judgment or result in exploitation of the client.

History

• Authority G.S. 90-626(9)
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0506 Draping Requirements

Licensees shall adhere to the following requirements, except in the case of treatments where the client remains fully clothed:

(1) provide draping in a manner that ensures the safety, comfort and privacy of the client;

(2) maintain a supply of clean drapes, such as towels, sheets, gowns or other coverings, for the purpose of draping the client's body during treatment;

(3) explain expected draping procedures to the client before treatment; and

(4) ensure that the following areas are draped during treatment: the gluteal and genital areas for male and female clients, and the breast area for female clients. With voluntary and informed consent of the client, the gluteal and breast drapes may be temporarily moved in order to perform therapeutic treatment to structures in those areas.

History

• Authority G.S. 90-626(9)
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0507 Hygiene

To maintain a professional standard of hygiene in their practice, licensees shall:

(1) cleanse their exposed body part used for applying treatment, e.g. hands, elbows, forearms, or feet, before and after each treatment, using a lavatory with hot water or a chemical germicidal product;

(2) maintain a barrier of unbroken skin on their exposed body part used for applying treatment during each treatment; in the case of broken skin, licensees shall use a finger cot, glove or chemical barrier product to cover the affected area during treatment;

(3) wear clothing that is clean and professional; maintain personal hygiene;

(4) maintain all equipment used in the practice of massage and bodywork therapy in a safe and sanitary condition; and

(5) utilize only those materials furnished for the personal use of the client, including towels, linens, or gowns, that have been laundered or sanitized before reuse, or that are single-use items disposed of after treatment.

History

• Authority G.S. 90-626(9)
• Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0508 Sexual Activity Defined

For the purposes of this Chapter, "sexual activity" shall mean any direct or indirect physical contact, or verbal communication, by any person or between persons which is intended to erotically stimulate either person, or which is likely to cause such stimulation and includes sexual intercourse, fellatio, cunnilingus, masturbation or anal intercourse. As used herein, masturbation means the manipulation of any body tissue with the intent to cause sexual arousal. Sexual activity can involve the use of any device or object and is not dependent on whether penetration, orgasm or ejaculation has occurred.

History

• Authority G.S. 90-626(9)
• Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0509 Sexual Activity Prohibited

To preserve the safety and integrity of the therapeutic relationship, the following requirements shall apply during the period from the beginning of the client/therapist relationship, and continue for six months after the termination of such relationship. Licensees shall:

(1) not engage in sexual activity, as defined in Rule .0508, between the licensee and the client, whether such activity is consensual or otherwise;

(2) not engage in or permit any person or persons to engage in sexual activity with a client in a location where the practice of massage and bodywork therapy is conducted;

(3) not use such location to make arrangements to engage in sexual activity with a client in any other place; and

(4) define the boundaries of the professional relationship in the event that the client initiates or asks the licensee to engage in sexual activity.

History

• Authority G.S. 90-626(9)
• Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0510 Providing or Terminating Service

(a) Licensees shall have the right to provide therapeutic services to whom they choose.

(b) Licensees shall also have the right to refuse treatment, or to terminate a treatment in progress to protect their own safety and well-being, including situations such as:

(1) a client who is abusive; under the influence of alcohol, drugs, or any illegal substance; or otherwise impaired; or

(2) A client who has violated the boundaries of the professional relationship by initiating or asking the licensee to engage in sexual activity; or

(3) A client who does not disclose all health issues and information.

History

• Authority G.S. 90-626(9)
• Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0511 Business and Ethical Requirements

In the management and promotion of their practices, licensees shall:

(1) represent their qualifications, credentials and professional affiliations accurately and completely;

(2) conduct their business affairs with integrity and avoid actual or potential conflicts of interest;

(3) refuse any gifts or benefits that are intended to influence a referral, decision or treatment;

(4) adhere to the advertising requirements of Rule .0404, and promote their practices accurately, avoiding language or images that are misleading;

(5) provide the client with information on their business policies before commencing treatment, including a list of services available, payment arrangements, appointment scheduling and cancellation requirements; discuss and resolve any questions the client may have about such policies;

(6) maintain accurate financial records, client records, appointment records, contracts, and legal obligations for at least four years; and

(7) comply with all applicable municipal, state, and federal laws.

History

• Authority G.S. 90-626(9)
• Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0512 Impairment

In the practice of massage and bodywork therapy, licensees shall not provide therapeutic services to clients when the licensee is under the influence of alcohol, drugs, or any illegal substance, with the exception of prescribed dosage of a prescription medication that does not impair the cognitive, psychological, or motor capacity of the licensee.

History

• Authority G.S. 90-626(9)
• Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0513 Facility Requirements

The practice of massage and bodywork therapy shall be conducted in facilities that are safe and sanitary. With the exception of treatments that are given at the location of a client, or treatments given at a temporary location lasting not more than 14 days such as a trade show, sporting event or community festival, licensees shall assure that the facility in which they practice:

(1) is in compliance with all local building code requirements, state fire safety codes, and state health inspection codes;

(2) provides toilet and lavatory facilities with hot and cold running water; and

(3) provides clean shower facilities on the premises, if equipped with a whirlpool bath, sauna, steam cabinet, or steam room.

History

• Authority G.S. 90-626(9)
• Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0514 Informing Board of Violations

Licensees with actual knowledge shall inform the Board within 15 days of:

(1) any person practicing without a license; or

(2) any violation of the Practice Act when there is a potential for malpractice as defined in Rule .0102(4).

History

• Authority G.S. 90-626(9)
• Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0515 Continuing Duty to Report Certain Crimes and Civil Suits

(a) Licensees with actual knowledge shall report to the Board any and all charges of the following criminal offenses, whether committed by themselves or by other licensees:

(1) Felonies;

(2) Crimes that involve moral turpitude;

(3) Alcohol or drug-related offenses;

(4) Sexual-related offenses; and

(5) Assault.

(b) Licensees with actual knowledge shall report to the Board any and all convictions of, or pleas of guilty or no contest to the following criminal offenses, whether committed by themselves or by other licensees:

(1) Felonies;

(2) Crimes that involve moral turpitude;

(3) Alcohol or drug-related offenses;

(4) Sexual-related offenses; and

(5) Assault.

(c) Licensees are under a duty to report to the Board if they are named as a defendant in a civil suit arising out of a licensee's practice of massage and bodywork therapy.

(d) Licensees shall report a charge, conviction, plea in a criminal case, or involvement as a defendant in a civil suit, as set forth in Paragraphs (a), (b), or (c) of this Rule, within 30 days after it occurs.

History

• Authority G.S. 90-626(9)
• Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0516 Treatment in Body Cavities

A licensee may perform massage and bodywork therapy inside the vaginal or anal cavities of a client provided the licensee complies with the following requirements:

(1) the licensee has received a written prescription or order from a licensed medical doctor prescribing or ordering the specific massage and bodywork therapy treatment to the soft tissues inside the vaginal or anal cavity;

(2) prior to the start of treatment, the licensee obtains written and signed consent from the client for treatment inside the client's vaginal or anal cavities stating that the client has been advised that the client has the right to have another person, provided either by the client or therapist, present in the room while the treatment is being performed and indicating whether the client chooses treatment with a third person present or treatment with only the therapist and the client present;

(3) consistent with Rule .0506 of this Chapter, the drape covering the client's pelvic area may be temporarily moved with the voluntary and informed consent of the client in order to perform therapeutic treatment to the structures in that area;

(4) consistent with Rule .0507 of this Chapter, the licensee shall use a glove or finger cot made of latex or other impervious material to cover their hand or finger used for treatment within body cavities; and

(5) the massage and bodywork therapy treatment is performed in conformance with Rule .0509 of this Chapter.

History

• Authority G.S. 90-626(9)
• Eff. October 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0601 Board Approval

(a) Any postsecondary school of higher education, whether in this State or another state or territory that offers a certificate, diploma, or degree program in massage and bodywork therapy may make application for Board approval. Every school shall submit an application to be considered for approval, whether or not such school has been licensed, approved, or accredited by another regulatory agency, accreditation commission, or trade association. A school that operates in more than one location shall submit a separate application for each location.

(b) The Board shall grant approval to postsecondary schools of higher education that meet the standards set forth in this Section. Such approval authorizes the school to offer a certificate, diploma, or degree program in massage and bodywork therapy that prepares individuals to become Licensed Massage and Bodywork Therapists in this State. The approval shall be for a period of one year unless increased pursuant to Paragraph (c) of this Rule. The Board shall maintain a list of approved schools.

(c) In order to maintain approval status, each school shall submit a report by April 1 of the year the school's approval expires. This report shall be on a form provided by the Board, that shall require documentation of authority to operate pursuant to Rule .0610 of this Section if granted by any entity other than this Board, student enrollments, and any changes in curriculum, instructional staff, or key administrative staff. If a school has remained in compliance with all Board rules for a period of five consecutive years and has no disciplinary action taken against it by the Board for a period of five consecutive years, the Board shall increase the period of approval for that school from one to two years.

(d) An approved school shall notify the Board in writing within 30 days of any change in the school's location address, ownership, controlling interest, key administrative staff, facilities, instructional staff, or curriculum.

(e) The school approval term begins on July 1 and ends on June 30. For the purposes of this Section, this term shall be considered the fiscal year.

(f) If a Board-approved school has not met the requirements for renewal by June 30 preceding the new fiscal year, its approval status shall be deemed expired.

(g) Approval shall be reinstated by the Board if a school whose approval has expired pursuant to Paragraph (f) of the Rule completes its renewal process by July 31 of the fiscal year. A school that has had its approval reinstated by July 31 shall be considered to have maintained its approval status on a continuous basis, pursuant to Paragraph (i) of this Rule.

(h) The Board shall not renew the approval of a school that has not met the approval standards by July 31 of the year in which the school is scheduled to renew.

(i) Pursuant to G.S. 90-629(4), "successful completion of a course of study at a Board-approved school" means that the applicant graduated from a school that maintained its approval status with the Board on a continuous basis during the applicant's time of enrollment.

History

• Authority G.S. 90-626(9); 90-631
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014
• Amended Eff. April 1, 2017.

21 NCAC 30 .0602 Definitions

In addition to the definitions in G.S. 90-622, the following definitions shall apply to this Section:

(1) Accredited – means "accreditation" as defined in G.S. 90-622(1).

(2) Additional location. -- A facility not part of, nor adjoining the facility of an approved school, where an approved school intends to offer a program. Each separate facility location is considered a separate school, requiring a new Application for School Approval to be submitted to the Board in accordance with Rule .0632 of this Chapter.

(3) Additional program. -- A program that is of a different title, subject matter, or that increases or decreases by more than 10 percent the number of hours of instruction than the program under which the school received its initial approval from the Board. An approved school that intends to offer an additional program shall submit an Application for Additional Program Approval to the Board in accordance with Rule .0633 of this Chapter.

(4) College – A postsecondary school of higher education that awards an Associate degree or higher.

(5) Instructor. -- A person who meets the qualifications set forth in Rule .0612 who is responsible for delivering course content according to curricula established by the school, and who is responsible for managing the classroom environment.

(6) Key administrative staff. -- The school's program director, director of education, and other administrative staff members who direct areas such as operations, admissions, financial aid, placement, or student services.

(7) Massage and bodywork therapy school. – A postsecondary school of higher education that conducts a program, as defined in this Rule, for a tuition charge. Such institutions may be organized as proprietary schools that are privately owned and operated by a sole proprietor, partnership, corporation, association, or other entity; or may be post-secondary colleges or universities, whether publicly or privately owned.

(8) One classroom hour of supervised instruction. -- At least 50 minutes of any one clock hour during which the student participates in a learning activity in the physical presence of a member of the school's instructional staff.

(9) One year of professional experience. -- In determining the qualifications of administrative or instructional staff members, at least 500 hours of documented work in the professional job responsibility or subject area in a given year.

(10) Program. -- A course of study or curriculum consisting of a specified number hours of instruction consistent with the standards set forth in Rule .0620 that is intended to teach the skills and knowledge necessary for the professional practice of massage and bodywork therapy, as defined in G.S. 90-622(3). Each program of a specified number of instructional hours shall be considered a separate program for the purposes of Board approval, and shall require a separate application for approval.

(11) Student enrollment. -- The total number of students at an approved school in a designated fiscal year who have begun a program for which they have registered and paid a fee for that fiscal year, and who have completed more than 15 percent of such program.

(12) Teaching assistant. -- A person who meets the qualifications set forth in Rule .0612, who is in the classroom to support the role of the instructor, and who may provide instruction to students only in the presence of and under the direct supervision of the instructor.

History

• Authority G.S. 90-626(9); 90-631
• Temporary Adoption Eff. February 15, 2000
• Temporary Adoption Eff. April 1, 2001 replaces the Temporary Adoption Eff. February 15, 2000
• Eff. August 1, 2002
• Amended Eff. August 1, 2009; October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014
• Amended Eff. April 1, 2017.

21 NCAC 30 .0603 Documentation of Successful Completion

(a) In order to be acknowledged as having successfully completed a course of study as required by G.S. 90-629(4), an applicant for licensure must submit a transcript to the Board's administrative office.

(b) Such transcript must document that the applicant has completed all requirements in a course of study that meets the standards set forth in this Section, and shall indicate the following:

(1) Passing grades in all courses;

(2) Dates of attendance;

(3) Date of graduation or successful completion of the entire program;

(4) Total number of supervised classroom hours of instruction; and

(5) Credential awarded, whether a certificate, diploma, or degree.

History

• Authority G.S. 90-626(9); 90-631
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0604 Approval Designation

(a) A school that is approved by the Board may utilize the designation, "Approved by the North Carolina Board of Massage and Bodywork Therapy," or "N.C. Board Approved." An approved school may utilize this designation only to promote a program in massage and bodywork therapy, and shall not utilize this designation to promote any other program.

(b) A school that is in the application process for approval, and that has not been granted approval by the Board, shall not make, publish or promote misleading statements about its approval status.

History

• Authority G.S. 90-626(9); 90-631
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0605 School Inspections

History

• Status: expired
• Authority G.S. 90-631
• Temporary Adoption Eff. April 1, 2001
• Temporary Adoption Expired December 28, 2001.

21 NCAC 30 .0606 Term of School Approval; Fees

History

• Status: expired
• Authority G.S. 90-626(8); 90-631
• Temporary Adoption Eff. April 1, 2001
• Temporary Adoption Expired December 28, 2001.

21 NCAC 30 .0607 Verification of Compliance

In order to verify that a school is in compliance with the standards for approval set forth in this Section, the Board may inspect a school during the application process or after approval has been granted. Such inspection may include the school's physical facilities, equipment, learning materials, class observation, and records. Such inspection may also include interviews with members of the school's administrative staff, instructional staff, or student body. The Board may also interview or survey graduates of the school or employers of the school's graduates.

History

• Authority G.S. 90-626(9); 90-631
• Eff. October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0608 School Approval Fees

(a) The fees collected under this Section are intended to cover the administrative costs of the approval program. No fee for approval application, renewal or inspection shall be refunded in the event the application is rejected or the approval suspended or revoked.

(b) Fees for Board approval of schools are as follows:

(1) Request for Application Approval Package $ 20.00

(2) Initial application for approval (one program) 2,000.00

(3) Initial application for approval of additional program at same location 750.00

(4) Inspection for initial approval or renewal (one program) 1,500.00

(5) Inspection for initial approval or renewal of additional program, same location 500.00

(6) Renewal of approval (one program) 1,000.00

(7) Renewal of approval (each additional program) 750.00

(c) A school that is required to have more than one inspection in a fiscal year, in order to investigate or verify areas of noncompliance with the standards for school approval, shall pay a fee of fifteen hundred dollars ($1500) for each additional inspection.

(d) In addition to the inspection fee, schools shall also pay actual expenses for travel, lodging and subsistence necessary to the inspection.

History

• Authority G.S. 90-626(8); 90-631
• Eff. October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0609 Disciplinary Sanctions; Reporting Requirements

(a) The Board may utilize disciplinary sanctions for schools set forth in Rule .0905(b) if the applicant for approval or holder of such approval:

(1) fails to maintain, at any time, the requirements for approval set forth in this Section;

(2) fails to require its students to complete the minimum standards in order to graduate;

(3) submits documents to the Board that contain false or misleading information;

(4) fails to allow authorized representatives of the Board to conduct inspections of the school, or refuses to make available to them at any time information pertaining to the requirements for approval set forth in this Section;

(5) violates any statute or rule required for licensure or approval of that school by its educational licensing authority; or

(6) violates any applicable rule of this Section.

(b) An approved school that is accredited by an agency recognized by the United States Department of Education (USDE) shall notify the Board in writing within 30 days of any notification it receives from its accrediting agency or the USDE Office of Postsecondary Education of a show cause action, probation action, or denial of accreditation.

(c) An approved school outside the State shall notify the Board in writing within 30 days of any notification it receives from its state, provincial, territorial or national licensing or approval authority of non-compliance with its regulatory standards or disciplinary actions.

History

• Authority G.S. 90-626(9); 90-631
• Eff. October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0610 Authority to Operate

(a) A proprietary school shall provide documentation to the Board that it is licensed or approved by the regulatory authority for schools of massage and bodywork therapy in the state or territory in which it operates or is exempt by statute.

(b) An accredited post-secondary institution outside North Carolina that offers a certificate, diploma, or degree program in the field of massage and bodywork therapy shall have approval from the regulatory authority in the state or territory in which it operates.

History

• Authority G.S. 90-626(9); 90-631
• Eff. October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0611 Program Director Qualifications and Administrative Staff

(a) A school shall designate one person as the program director. This person may be titled as director, or in the case of programs at post-secondary institutions, department chair or program coordinator. The director is the person directly responsible for all facets of the program's operation, including curriculum, methods of instruction, employment, training and evaluation of administrative and instructional staff, maintenance of administrative records, financial management, recruitment of students, and maintenance of school plant and equipment. The program director or department chair shall have the following qualifications:

(1) be a graduate of an accredited college or university and hold a baccalaureate degree or have at least five years of professional experience in the field of massage and bodywork therapy; and have at least two years experience as a lead instructor in one or more of the core curriculum courses that are presented in the school's curriculum or have at least two years experience in education administration; or

(2) possess qualifications that are equivalent to the requirements prescribed in Subparagraph (a)(1) of this Rule.

(b) If the program director does not have experience in either the professional practice of massage and bodywork therapy, or massage and bodywork therapy education, the school shall have a director of education on staff to manage the areas of curriculum and lesson plan development, instructional methods, and training and evaluation of instructional staff. The director of education shall have the following qualifications:

(1) be a graduate of an accredited college or university and have at least five years of professional experience in the field of massage and bodywork therapy; or

(2) have at least two years experience as a lead instructor in one or more of the school's core curriculum courses, or have at least two years experience in massage therapy education administration or teacher training.

(c) A school shall have administrative staff to support the number of students enrolled.

History

• Authority G.S. 90-626(9); 90-631
• Eff. November 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0612 Instructional Staff Qualifications

(a) The requirements in this Rule are intended to assure that instructors, as defined in Rule .0602 are competent in the fundamental knowledge and methodology of teaching and possess a professional level of skills, knowledge and practical experience in every subject they teach in the program.

(b) Instructors shall be trained in teaching methods, that shall include:

(1) Presentation skills;

(2) Development and implementation of lesson plans;

(3) Dynamics of the teacher/student relationship;

(4) Management of the classroom environment;

(5) Evaluation of student performance;

(6) Instructional strategies for the adult learner;

(7) Accommodations for students with special needs; and

(8) Knowledge of the school's administrative policies and procedures.

(c) Instructors shall be trained in the subject taught, and shall have:

(1) At least two years of professional experience in the subject area; and

(2) Received certification to teach a trademarked modality if such certification is available.

(d) Instructors shall have one of the following professional credentials:

(1) Be licensed under the practice act for at least two years; or

(2) Have a baccalaurate degree from an accredited post-secondary institution with at least 12 semester credit hours of academic course work in the subject area they teach from such institution; or

(3) Be a licensed physician, dentist, chiropractor, osteopath, registered nurse, physical therapist, occupational therapist, acupuncturist; or

(4) Hold a state license or certification from a state other than North Carolina in massage and bodywork therapy for at least two years; if no such credential is available, hold a valid certification in massage and bodywork therapy for at least two years from an agency whose certification program is accredited by the National Commission for Certifying Agencies.

(e) Teaching assistants, as defined in Rule .0602 of this Section, shall have the following qualifications:

(1) Assistants in courses related to the theory and practice of massage and bodywork therapy shall be licensed under the Practice Act, and shall have training in the subject area of the course.

(2) Assistants in courses other than the theory and practice of massage and bodywork therapy shall have training in the subject area of the course, in addition to one of the following qualifications:

(A) Be licensed under the practice act;

(B) Have at least one year of professional experience in the subject area; or

(C) Have at least six semester credit hours of academic course work in the subject area from an accredited post-secondary institution.

(f) A school shall observe, evaluate, and document the performance of every instructional staff member at least annually in each course taught to assure that competency in teaching methods and subject area is maintained.

History

• Authority G.S. 90-626(9); 90-631
• Eff. October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0613 Approval Process for Instructional Staff

(a) Whenever instructors and teaching assistants, as defined in Rule .0602 are hired, all application documents as described in Paragraph (c) of this Rule must be sent to the Board within 30 days of the hire date.

(b) Instructors with the credentials described in Rule .0612(d)(4) must be approved by the Board according to these Rules before performing their job functions at a Board-approved school. The approval process requires submission of all documents in Paragraph (c) of this Rule and may take up to 30 days from the time the Board receives the documents.

(c) A school shall submit an application for each instructor and teaching assistant on a form provided by the Board, which shall be accompanied by the following documentation:

(1) Copies of all academic diplomas or degrees;

(2) Official school transcripts from all post-secondary institutions;

(3) Copies of occupational licenses and certifications;

(4) A record of work experience in the field; and

(5) A record of training in teaching methods.

(d) A school shall demonstrate that each instructor and teaching assistant meets the qualifications set forth in Rule .0612 of this Section.

(e) The requirements of this Rule shall not apply to instructors who provide no more than eight hours of instruction in a program.

History

• Authority G.S. 90-626(9); 90-631
• Eff. November 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0614 Management of Instructors

(a) A school shall have written job descriptions with performance standards for each instructional position on its staff.

(b) A school shall have an employment agreement or contract with each, instructor, whether such instructor works in a full-time or part-time capacity or is an employee or an independent contractor.

(c) A school shall conduct and document an annual performance review for each instructor.

(d) A school shall maintain a file for all instructors that shall contain their original application for Board approval with all accompanying documentation, current employment agreement or contract, and annual performance reviews. A school shall keep each file current, with copies of their most recent occupational licenses, certifications, documentation of continuing education, and academic transcripts.

History

• Authority G.S. 90-626(9); 90-631
• Eff. November 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0615 School Plant and Equipment

(a) A school plant, premises, and facilities shall be safe and sanitary and shall be in compliance with the statutory provisions and the rules and regulations of all local ordinances pertaining to fire, safety, health, and sanitation. Classrooms shall have sufficient lighting, ventilation, and temperature control to provide a comfortable learning environment for students.

(b) The equipment, supplies, and instructional materials of the school shall be adequate in type, quality, and amount for each course offered by the school. These shall also meet all requirements of statutory provisions and rules and regulations of all local ordinances pertaining to fire, safety, health, and sanitation.

(c) A school shall request an annual inspection from the city or county agencies that determine compliance with requirements for fire, safety, health, and sanitation in its jurisdiction.

(d) For classes conducted in the practice of massage and bodywork therapy, the school shall provide at least 70 square feet of classroom space per treatment table, exclusive of fixed items in the classroom. There shall be one therapy treatment table, adjustable in height, for every two students in such classes.

History

• Authority G.S. 90-626(9); 90-631
• Eff. November 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0616 Financial Management Systems and Economic Stability

(a) The school shall maintain sufficient resources for its ongoing operations and the discharge of its obligations to the students and staff. To demonstrate this, the school shall:

(1) Maintain financial management systems that assure reliability, accountability and effective use of financial resources, that provide accurate information for assessing the financial condition of the institution, and that assure the accuracy and security of records.

(2) Provide annually a review or audit, prepared in accordance with Generally Accepted Accounting Principles. This annual financial statement shall demonstrate that the current assets of the school exceed the current liabilities, and that there was a positive net working capital for the prior year. If the school does not meet the requirements in this Subparagraph, the Board shall require a financial improvement plan, teach-out plan, or form of surety guaranteeing that the resources are sufficient to protect the current students. If the Board determines that the school does not have sufficient resources, it may take disciplinary actions pursuant to Rule .0905(b) of this Chapter up to and including revocation of approval.

(b) The Board may request a credit report on a school from a nationally recognized credit reporting agency.

(c) The school shall maintain professional liability insurance to guarantee the fiscal viability of the school in the case of a claim of malpractice related to massage and bodywork therapy performed as a part of the school's instructional program.

History

• Authority G.S. 90-626(9); 90-631
• Eff. October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0617 Student Recruitment

(a) In its recruitment of students, an approved school shall:

(1) Not use employment agencies to recruit prospective students, or place advertisements in help-wanted sections of classified advertisements, or otherwise lead prospective students to believe they are responding to a job opportunity;

(2) Ensure that its recruiting agents and other personnel do not make false or misleading statements about the institution, its personnel, its programs, its services, its approval status, its accreditation, or any other pertinent information;

(3) Inform each student accurately about financial assistance and obligations for repayment of loans;

(4) Not make explicit or implicit promises of employment or salary expectations to prospective students;

(5) Not permit the payment of cash or nonmonetary incentives to any student or prospective student as an inducement to enroll; nor shall it use the word "free" or its synonyms in reference to any equipment, tuition, books, or other items in conjunction with recruiting or advertising;

(6) Conduct the recruitment process to ensure that its personnel do not discredit other institutions by

(A) falsely imputing to them dishonorable conduct, inability to perform contracts, questionable credit standing, or similar negative characteristics;

(B) making other false representations;

(C) disparaging the character, nature, quality, value or scope of their program of instruction or services; or

(D) demeaning their students.

(b) The school shall also ensure that its personnel do not knowingly influence any student to leave another institution or encourage a student to change plans after signing an enrollment application and paying a registration fee to another institution.

History

• Authority G.S. 90-626(9); 90-631
• Eff. October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0618 Admissions

(a) A school shall maintain admission policies and procedures that are disclosed to the public and administered.

(b) A school shall conduct an orientation session for persons who have applied for admission or who are considering application for admission. The orientation shall include an overview of the program's educational objectives and curriculum, the academic and physical requirements of the program, existing employment opportunities in the field, the time and financial requirements of the program, and State requirements for licensure.

(c) Admissions standards shall be designed to ensure that only those applicants are admitted who have the cognitive, motor, and behavioral skills and moral character necessary to complete the program and to practice massage and bodywork therapy in a safe and effective manner.

(d) A school shall conduct a pre-enrollment interview with each applicant to determine the applicant's qualifications. The information gathered from this interview shall be evaluated with all written documentation submitted by the applicant before the school renders a decision on the application.

(e) A school shall only admit applicants who are high school graduates or who have earned a General Equivalency Diploma (GED).

(f) A school shall maintain written documentation of the basis for admission of the student. The records shall include copies of high school diploma, GED, or transcripts, proof of age, and other specific admission requirements of the school.

(g) Documentation of the reasons for the denial of admission of any student shall be maintained for three years.

(h) A school shall comply with the admissions standards of this Rule, but may enroll students in individual courses not leading to a credential.

History

• Authority G.S. 90-626(9); 90-631
• Eff. October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014
• Amended Eff. April 1, 2017.

21 NCAC 30 .0619 Tuition, Refunds and Financial Aid

(a) A school shall disclose tuition, tuition refund policy, and all related program costs to prospective students.

(b) Tuition policies shall be published in the school catalog or bulletin. Such policies shall address adjustment of charges in the case of:

(1) cancellation of enrollment within 72 hours of signing a student enrollment agreement;

(2) student withdrawal before the program start date;

(3) student withdrawal after the program start date;

(4) student dismissal; and

(5) cancellation of program by the school.

(c) All students who enroll in the same program shall be charged the same amount for tuition. This does not preclude the school from raising tuition, from granting scholarships, from granting cash discounts to students for advance payment of tuition, or in the case of public institutions, from charging differential rates to residents and non-residents.

(d) A school shall maintain a refund policy that is in writing and clearly stated. Proprietary schools shall provide the refund policy to each student prior to payment of the tuition. Refunds shall be calculated from the last date of attendance and made within 30 days of the date of withdrawal or dismissal. Programs offered by post-secondary colleges or universities shall follow the refund policy set forth by the applicable governing body or regulatory agency.

(e) The school catalog or bulletin shall accurately describe any financial aid programs in which the school participates, and shall distinguish in meaning between the terms "scholarship," "grant," "loan," and "financial aid." Schools that administer Title IV funds shall also include in their catalog and all advertising an eligibility phrase such as, "Financial aid available for those who qualify." Schools that do not administer Title IV funds shall not use the term "financial aid."

History

• Authority G.S. 90-626(9); 90-631
• Eff. November 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0620 Program Requirements

Pursuant to G.S. 90-631(a)(1), programs shall meet the following requirements:

(1) A school shall develop and adhere to a set of educational objectives that describe the intended skills and knowledge that the program is designed to develop in the student by the completion of the program;

(2) The program shall have a core curriculum of at least 650 classroom hours of supervised instruction. The core curriculum shall contain the following hours of specific course work:

(a) 230 hours in the fundamental theory and practice of massage and bodywork therapy that is designed to produce comprehensive entry-level skills in the application of direct manipulation to the soft tissues of the human body, and is based in therapeutic methods consistent with the definition set forth in G.S. 90-622(3) such as Swedish massage, acupressure, shiatsu, deep muscle massage, trigger point therapy, and connective tissue bodywork. Of the 230 hours in this category, at least 115 hours shall be in the application of hands-on methods. The balance of the hours shall include client assessment skills, indications and contraindications for treatment, body mechanics, draping procedures, standard practices for hygiene and control of infectious diseases, and the history of massage and bodywork therapy;

(b) 100 hours in anatomy and physiology related to the practice of massage and bodywork therapy that shall include the structure and function of the human body;

(c) 55 hours in kinesiology related to the practice of massage and bodywork therapy that shall include the function of movement;

(d) 45 hours in pathology related to the practice of massage and bodywork therapy;

(e) 20 hours in professional ethics for the practice of massage and bodywork therapy;

(f) 10 hours in North Carolina laws and rules for the practice of massage and bodywork therapy;

(g) 15 hours in business management practices related to the practice of massage and bodywork therapy;

(h) 25 hours in psychological concepts related to the practice of massage and bodywork therapy, including dynamics of the client-therapist relationship and boundaries, professional communication skills, and the mind-body connection;

(i) 150 hours in other courses related to the practice of massage and bodywork therapy. The courses may include additional hands-on techniques, specific applications, adjunctive modalities, in-depth anatomy and physiology, kinesiology, psychological concepts, or supervised clinical practice. First Aid or CPR shall not be included in this category. Techniques that are considered exempt from licensure pursuant to G.S. 90-624(6) or (7), and that are further defined by Rule .0203(a) may constitute up to 50 hours of the 150 hours in this category.

(3) Student clinic or fieldwork experiential programs shall not exceed 100 of the 150 hours required by Sub-item (2)(i) of this Rule. All work shall be in the presence of and directly supervised by and evaluated by an instructor;

(4) For programs that include an externship component, the hours shall not be included in the requirements set forth in Item (2) of this Rule, and shall not comprise more than 20 percent of the total program hours. All work at the externship site shall be supervised by a person at the externship site who meets the school's guidelines and is approved by the school, and shall be monitored and evaluated by the school;

(5) The program shall provide curriculum hours that allow its graduates to meet the minimum eligibility requirements for at least one of the competency assessment examinations that are approved by the Board as meeting the licensure requirement set forth in G.S. 90-629(5) and Rule .0201(a)(15);

(6) Programs shall consist of a series of courses that are organized so that each class prepares the students for the next class and are consistent with the program's educational objectives. Material shall not be presented unless students have the necessary skills and knowledge to utilize the material;

(7) Course titles shall match the content of the course and published course descriptions shall reflect the specific learning objectives of each course;

(8) Course requirements and competencies shall be consistent from instructor to instructor. Teaching materials, including lesson plans for every class taught, shall be developed and maintained for each course to ensure consistency. Teaching methods shall adapt to course content, and diverse learning styles;

(9) Programs shall be at least 25 weeks in length, with no more than nine instructional hours in one day. There shall be no more than two hours of instruction without a break. There shall be no more than four hours of instruction without a meal break;

(10) For a student to receive credit in a course, the student shall attend 80 percent of the instructional hours of the course. The student shall also make up missed instructional hours to equal no less than 98 percent of the instructional hours in the course according to the procedures established by the school;

(11) A syllabus shall be developed for each course that shows the basic content of each individual class in the course in the sequence presented and provided to students prior to the beginning of instruction. The syllabus shall include the following elements:

(a) course title;

(b) course description;

(c) learning objectives;

(d) teaching methodologies;

(e) total number of instructional hours;

(f) meeting dates and class times;

(g) assignments;

(h) textbooks;

(i) evaluation methods;

(j) quiz and examination dates; and

(k) performance standards.

(12) Any course taken at a college, as defined in Rule .0602(4) of this Section, in a department other than the massage and bodywork therapy department shall fulfill the requirements set forth in Item (2) of this Rule; and

(13) For classes that involve hands-on practice, the student to instructor ratio shall not exceed 16 to 1. Both instructors and teaching assistants, as defined in Rule .0602(5) and (12) of this Section, shall be considered in calculating these ratios.

History

• Authority G.S. 90-626(9); 90-631
• Eff. October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014
• Amended Eff. February 1, 2025; April 1, 2017.

21 NCAC 30 .0621 Student Records and Academic Progress

(a) A school shall maintain current, complete, and accurate records on each student. The records shall show attendance, academic progress, grades, date entered, dates attended, courses studied, program completed, and date of graduation.

(b) Records shall be maintained in perpetuity, shall be stored in such a manner as to ensure their confidentiality, and shall be safe from theft, fire, or other possible loss.

(c) Students and graduates shall be allowed access to their records. Transcripts shall be released upon written request from students and graduates.

(d) All school policies, including those relating to satisfactory attendance, academic progress, and conduct shall be enforced by the school. Students shall be notified when completion standards are not being met.

History

• Authority G.S. 90-626(9); 90-631
• Eff. October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0622 Educational credential issued; graduates' pass rate on national examinationS

(a) Upon completion of the program, the student shall be given a certificate, diploma, or degree stating that the educational requirements have been met and the program has been successfully completed.

(b) Such credentials shall be granted only to students who have completed the entire program for which the student enrolled.

(c) A school shall authorize agencies that conduct national certification examinations that are accepted by the Board as meeting the requirement of G.S. 90-629(5) to report directly to the Board the pass rate of the school's graduates on such examinations.

History

• Authority G.S. 90-626(9); 90-631
• Eff. October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0623 Learning Resources

The school shall provide students and instructional staff access to books, periodicals, charts, models, or electronic media, and other informational materials in the field of massage and bodywork therapy to support the educational objectives of the program. As an alternative, the school may have a contractual agreement with another entity to provide access to such resources.

History

• Authority G.S. 90-626(9); 90-631
• Eff. October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014
• Amended Eff. February 1, 2025; April 1, 2017.

21 NCAC 30 .0624 Standards of Professional Conduct

(a) The following standards of professional conduct shall apply to instructional staff, key administrative staff and students, and shall apply to all school facilities as well as any other location where staff or students are demonstrating or delivering therapeutic treatments as a part of course requirements:

(1) Conduct shall be in accordance with Standards of Conduct set forth in Section .0500 of this Chapter.

(2) Nudity is not permitted where massage and bodywork therapy is taught or practiced. For the purpose of this Section, "nudity" is defined as exposure of the genital or anal area for men or women, or exposure of the breast area for women. The only exception shall be for treatment to the breast area while utilizing therapeutic techniques.

(3) The school shall provide a private area where persons receiving therapeutic treatments may dress or undress, whether for in-class practice or treatments performed in a student clinic. As an alternative, the school may provide instruction to persons receiving therapeutic treatments in the procedure of undressing while on the treatment table under a full sheet covering.

(b) Members of the instructional staff or key administrative staff of the massage and bodywork therapy school or program shall not engage in sexual activity, as defined in Rule .0508 and prohibited by Rule .0509 of this Chapter, with students, whether consensual or otherwise. The only exception to this is a personal relationship between a staff member and prospective student that exists before the student applies for enrollment in the school. In such case, the relationship shall be documented in writing and placed in the student's file.

History

• Authority G.S. 90-626(9); 90-631
• Eff. October 1, 2007
• Amended Eff. September 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0625 School Complaint Policy

An approved school shall administer an internal complaint policy for students and staff, and shall maintain a complaint file that provides the following information:

(1) Person(s) filing complaint and date filed;

(2) Nature of complaint and person(s) involved;

(3) Response(s) to complaint by school; and

(4) Resolution of complaint.

History

• Authority G.S. 90-626(9); 90-631
• Eff. October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0626 Student Compensation Prohibited

A student shall not receive a fee, tip or other consideration for the massage and bodywork therapy they perform while completing clinical requirements for graduation, whether or not the school charges a fee for services provided in a student clinic.

History

• Authority G.S. 90-626(9); 90-631
• Eff. October 1, 2007
• Amended Eff. November 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0627 Transfer of Credit

(a) A school shall not grant transfer credit from another institution unless the following standards are met:

(1) The school from where credit is being transferred shall be licensed or approved by the educational licensing authority or be exempt by statute from being licensed or approved in the state in which it operates;

(2) The school from where credit is being transferred shall provide an official transcript;

(3) Courses for which credit is granted shall be parallel in content to the courses presently offered by the school granting the transfer;

(4) Documentation of previous training shall be included in each student's permanent file.

(b) A school may only grant credit to a student, or exempt the student from curriculum requirements, based on the student's performance on an examination that the school administers to determine competency in that subject area. Credit or exemption shall not exceed 35 percent of the total number of hours in the program and shall not reduce the total hours attended to less than 650 hours.

History

• Authority G.S. 90-626(9); 90-631
• Eff. October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014
• Amended Eff. February 1, 2025.

21 NCAC 30 .0628 Ethical Requirements in Advertising

The following requirements pertain to all advertising and promotional activities conducted by, or on behalf of the school, including such media utilized as print, broadcast, verbal presentations, electronic, internet, videotape, or audiotape:

(1) educational programs and services offered shall be the primary emphasis of all advertisements, publications, promotional literature, and recruitment activities, whether distributed to prospective students or the general public;

(2) all statements and representations made shall be accurate and current. Supporting information shall be kept on file and available for review for three years. All advertising and promotional materials shall include the correct name and location of the school;

(3) a school shall not falsely represent its facilities in photographs, illustrations, or through other means;

(4) the school catalog or bulletin shall contain all information required in Rule .0630 of this Section;

(5) all advertising and promotional activities shall indicate that massage and bodywork training and not employment is being offered. No overt or implied claim of individual employment shall be made. No false or deceptive statements regarding employment opportunities or earning potential in the field of massage and bodywork as a result of the completion of the course of study shall be used to solicit students;

(6) letters of endorsement, commendation, or recommendation in favor of a school shall be used for advertising or promotion only with the written consent of the author without any offer of financial compensation, and only when such letters portray current conditions or facts. Letters shall contain the date they were received, shall be kept on file as required by Item (2) of this Rule, and be subject to inspection;

(7) programs that use placement information in advertisements, catalogs, or other printed documentation shall corroborate the data;

(8) school literature and advertisements shall not quote "high top" or "up to" salaries unless they also indicate the normal range or starting salaries for graduates;

(9) schools offering programs that are not approved by the Board shall identify which programs are Board approved;

(10) schools shall describe requirements for State licensure; and

(11) schools shall not defame competitors by falsely imputing to them dishonorable conduct, inability to perform on contracts, or by the false disparagement of the character, nature, quality, values, or scope of their educational services, or in any other defamatory respect.

History

• Authority G.S. 90-626(9); 90-631
• Eff. October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014
• Amended Eff. April 1, 2017.

21 NCAC 30 .0629 Student Enrollment Agreement

(a) An approved school shall execute a Student Enrollment Agreement for training with every student. The agreement shall contain the following:

(1) name and telephone number of the school and location of where the student will attend classes;

(2) student's name, address, telephone number;

(3) name of the program in which student is enrolling, number of clock or credit hours of the program, beginning and ending dates, length of program in weeks or months, and expected graduation date;

(4) program tuition and all related costs, including application and registration fees and estimated cost of books and supplies;

(5) refund and cancellation policies, including student's right to cancel;

(6) payment methods, including cash, installment payment plans, or financial aid (as applicable); interest charged; and methods used to collect delinquent tuition;

(7) placement guarantee disclaimer;

(8) grounds for dismissal from the school;

(9) statement that you must hold a North Carolina massage and bodywork therapy license in order to practice massage and bodywork therapy in North Carolina;

(10) statement that good moral character is a requirement for licensure as a massage and bodywork therapist in North Carolina and, pursuant to G.S. 90-629.1, the North Carolina Board of Massage and Bodywork Therapy may deny a license to practice massage and bodywork therapy if an applicant has a criminal record or there is other evidence that indicates the applicant lacks good moral character;

(11) statement referencing the school catalog and student handbook as a part of the enrollment agreement;

(12) statement certifying that student has read and understands all terms of the enrollment agreement; and

(13) signature lines for school official and student.

(b) A copy of the signed and dated Student Enrollment Agreement shall be provided to the student and a copy shall be placed in the student's permanent file.

History

• Authority G.S. 90-626(9); 90-631
• Eff. October 1, 2007
• Amended Eff. November 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014
• Amended Eff. April 1, 2017.

21 NCAC 30 .0630 School Catalog

An approved school shall publish a catalog or bulletin that shall be certified by an official of the school as being current, true, and correct in content and policy. All school catalogs or bulletins, in print or online, shall be current and accurate. Updates shall be provided to maintain current information. Printed catalogs or bulletins shall contain addendums of the updates; and online sources, such as websites, shall be continuously updated. The catalog shall include the following information:

(1) school name, location address, and phone number;

(2) volume number and date of publication;

(3) ownership structure, including type of legal entity and names of owners, Board of Directors members, or academic officers at public institutions;

(4) names and titles of all instructional and key administrative staff;

(5) statement of school mission, philosophy, and educational program objectives;

(6) school history and identification of all licenses, approvals, or accreditations that the school maintains;

(7) definition of measurement of program, whether in clock hours or credit hours;

(8) course descriptions, including number of hours for each course;

(9) graduation requirements, including type of credential issued upon graduation;

(10) requirements for licensure, certification, or registration of therapists in the State;

(11) standards for admission, description of the school's admissions process, and requirement of a signed Student Enrollment Agreement;

(12) school calendar, including beginning and ending dates of all programs, all holidays and days off;

(13) length of time required for completion of the program;

(14) program tuition and all associated costs, including textbooks, supplies, and other expenses;

(15) refund policy;

(16) description of facilities and learning resources;

(17) student services;

(18) policy regarding prohibition of compensation to student for performing massage and bodywork therapy;

(19) Academic policies, including the following:

(a) grading system;

(b) standards of satisfactory academic progress;

(c) description of disciplinary procedures, including conditions for probation, suspension, dismissal or expulsion, and conditions of reentrance for students dismissed;

(d) transfer of credit from other institutions;

(e) attendance requirements, make-up work, tardiness, leave of absence;

(f) standards of conduct, including a sexual harassment policy; and

(g) complaint policy, process for complaint resolution, name and address of the school regulatory agency for filing complaints when institutional process does not bring resolution; and

(20) Statement pursuant to G.S. 90-629.1 that the North Carolina Board of Massage and Bodywork Therapy may deny a license to practice massage and bodywork therapy if an applicant has a criminal record or there is other evidence that indicates the applicant lacks good moral character.

History

• Authority G.S. 90-626(9); 90-631
• Eff. October 1, 2007
• Amended Eff. February 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014
• Amended Eff. April 1, 2017.

21 NCAC 30 .0631 Board Approval Not Transferable

(a) In the event of the change of ownership of a school, the approval already granted to the original owner or operator thereof shall not be transferable to the new ownership or operators. The Board may issue temporary operating approval for a period of up to 180 days to a school upon its change of ownership if the school held a valid, current approval prior to the change, and if the Board finds that the school is likely to qualify after the change of ownership for approval under this Section.

(b) For the purposes of this Section, "change of ownership" includes the following situations:

(1) Sale of the school;

(2) Transfer of controlling interest of stock of the school or its parent corporation;

(3) Merger of two or more schools;

(4) Transfer of controlling interest of stock to parent corporation;

(5) Transfer of assets or liabilities of school to parent corporation or owners; or

(6) Change from profit to non-profit status.

History

• Authority G.S. 90-626(9); 90-631
• Eff. October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0632 Initial Application for Board Approval

A school seeking initial approval shall submit an application for approval on a form provided by the Board, that shall be accompanied by the following:

(1) A certified check for the application fee set forth in Rule .0608 of this Section, made payable to the Board;

(2) Completed personnel qualification forms on the school director, administrative staff, instructors, and teaching assistants, with photocopies of academic transcripts, degrees, diplomas, and professional licenses and certifications for each person;

(3) Job descriptions for school director, administrative staff, instructors, and teaching assistants;

(4) Examples of contracts for administrative and instructional staff;

(5) Ownership structure of the school, and organizational chart;

(6) Facility plan, including floor plans with dimensions and fixtures, uses of each room, specifications on lighting, ventilation, and temperature control;

(7) Equipment list, including furniture, office equipment, and instructional equipment for classroom;

(8) Copy of deed if school owns its facility, or copy of lease if school does not own its facility;

(9) Copies of reports from city or county inspections for fire, safety, health, and sanitation, made within the three months prior to submission of application for approval;

(10) Statement of Financial Affirmation including the following financial documentation:

(a) A plan setting forth the sources, kinds and amounts of both current and anticipated financial resources. The plan shall include a budget for the school's first year of operation, identifying sources of revenue to ensure effective operations;

(b) A pro forma balance sheet prepared in accordance with Generally Accepted Accounting Principles for the type of institution making application;

(c) If the corporation that controls the school is ongoing, the school shall provide a financial statement of the parent corporation, reviewed or audited in accordance with Generally Accepted Accounting Principles, and

(d) Schools that are new and do not have a history of educational operations shall provide financial statements of the controlling principals, compiled, reviewed, or audited in accordance with Generally Accepted Accounting Principles. These statements must demonstrate sufficient resources to ensure institutional development.

(11) Copy of the application for admission that is submitted by prospective students; copies of materials used to document the admission process with applicants;

(12) Copies of the forms used for documentation of attendance, missed class make-up work, student academic progress, grades earned, notification of unsatisfactory progress and notification of disciplinary action;

(13) Copy of the educational credential granted to students who complete the program and a transcript issued by the school;

(14) Documentation of program requirements, including copies of course curricula, copies of course syllabi, one example lesson plan for each course, and school calendar for the current academic year;

(15) List of student to instructor ratios for each course offered;

(16) List of learning resources provided by the school, including numbers of books, periodicals, and other informational materials in the school library. If the school has no library, a copy of the agreement for use of another facility, with its list of resources shall be included;

(17) Copies of all advertisements and promotional materials from the previous year, including website addresses and tapes of broadcast advertisements;

(18) Copy of the Student Enrollment Agreement issued by the school;

(19) Catalog Certification Form and copy of the current school catalog or bulletin, with accompanying student handbook (if applicable);

(20) Agenda for a student orientation program, and a personnel orientation program provided by the school; and

(21) As applicable pursuant to Rule .0610 of this Section, copy of license or approval to operate school, and copy of certificate of accreditation.

History

• Authority G.S. 90-626(9); 90-631
• Eff. October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0633 Application for Board Approval of Additional Programs

An approved school shall submit an application for approval of an additional program on a form provided by the Board, which shall be accompanied by the following:

(1) A certified check for the application fee set forth in Rule .0608 of this Section, made payable to the Board;

(2) Documentation of program requirements, including copies of course curricula; copies of course syllabi; one example lesson plan for each course and school calendar for the current academic year;

(3) A list of student to instructor ratios for each course offered;

(4) A copy of the educational credential granted to students who complete the program and an example of the transcript issued by the school;

(5) A copy of the school catalog or bulletin that describes the additional program, and

(6) Complete documentation of any other requirement set forth in Rule .0632 of this Section that is different than what the school documented in its initial application for approval, or what has been documented in its most recent application for renewal of approval.

History

• Authority G.S. 90-626(9); 90-631
• Eff. October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0634 Closure of School; Termination of a Program

(a) An approved school which intends to cease operations completely, or which intends to terminate the offering of a program if it offers more than one approved program, shall submit to the Board a written plan for such cessation or termination at least 90 days before such action.

(b) The plan shall include the following information:

(1) The projected date of cessation or termination;

(2) The means by which the school will maintain standards for approval until the last student has completed their training or transferred to another institution; and

(3) The arrangement for storage of permanent student records.

History

• Authority G.S. 90-626(9); 90-631
• Eff. October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0635 School Staff Members as Students

If a member of the administrative or instructional staff at an approved school is enrolled as a student in any course within the program, the staff member shall not have any administrative or academic authority over that course.

History

• Authority G.S. 90-626(9); 90-631
• Eff. October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0636 Waiver of School Requirements During Disaster or Emergency

(a) If the Governor declares a state of emergency, classroom hours of supervised instruction that are not hands-on may be provided online, despite the requirement in Rule .0602(8) of this Subchapter.

(b) For a student to receive credit in a course that is not hands-on, the student shall attend, in-class or online, 75 percent of the instructional hours of the course and shall also make up missed instructional hours to equal no less than 98 percent of the instructional hours in the course, pursuant to Rule .0620(11) of this Subchapter.

(c) Schools shall not be required to revise the Student Enrollment Agreement required by Rule .0629 or School Catalog required by Rule .0630 to reflect the exceptions listed in this Rule.

(d) The exceptions in this Rule shall only apply during the effective period of the state of emergency.

History

• Authority G.S. 90-626
• Emergency Adoption Eff. April 17, 2020
• Temporary Adoption Eff. July 24, 2020
• Eff. April 1, 2021.

21 NCAC 30 .0701 Continuing Education Requirements

(a) For the purposes of this Section, "approved continuing education" means a course offered as follows:

(1) Continuing Education:

(A) Includes attendance and participation at a live presentation by an approved provider pursuant to Rule .0702(7) of this Chapter such as a workshop, seminar, conference, or in-service educational program. It may also include participation in other continuing education activities that require a formal assessment of learning, such as an evaluation or survey. Examples include distance learning, electronic, or Web-based courses;

(B) There are no maximum contact hours in this category; however, distance learning shall not comprise more than 12 contact hours in this category; and

(C) Documentation shall include a certificate of completion or similar documentation including the name of the course, date, author/instructor, sponsoring organization, location, and number of contact hours attended.

(2) Academic Coursework:

(A) Includes participation in on-site or distance learning academic courses from a university, college, or vocational technical adult education course in anatomy, physiology, pathology, psychology, pharmacology, massage and bodywork therapy or business management;

(B) There are no maximum contact hours in this category; and

(C) Documentation shall include an original transcript indicating completion of the course, date, and a description of the course from the school catalogue or course syllabus.

(3) Small Group Study:

(A) Includes on-site, in-person review and discussion, by at least two licensed practitioners, of professional medical journal articles, clinical videotapes or audiotapes related to the practice of massage and bodywork therapy;

(B) There is a maximum of two contact hours in this category; and

(C) Documentation shall include title, author, publisher, time spent, and date of completion. The licensee shall must complete the Small Group Study Form provided by the Board on its website at www.bmbt.org and include a statement that describes how the review and discussion relates to the licensee's current or anticipated roles and responsibilities.

(4) Mentorship Agreement:

(A) Participation as a Mentee;

(i) Participation in a formalized mentorship agreement with a mentor currently licensed by the Board with at least two years of professional experience and as defined by a signed contract between the mentor and mentee provided by or approved by the Board that outlines goals and objectives and designates the plan of activities that are to be met by the mentee. These activities must be related to massage and bodywork therapy skills, knowledge, or practice;

(ii) There is a maximum of five contact hours in this category; and

(iii) Documentation shall include name of mentor and mentee, copy of signed contract, dates, hours spent and focus of mentorship activities, and outcomes of mentorship agreement.

(B) Participation as Mentor:

(i) Participation in a formalized mentorship agreement with a mentee as defined by a signed contract between the mentor and mentee that designates the responsibilities of the mentor and goals and objectives that are to be met by the mentee. These activities must be related to massage and bodywork therapy skills, knowledge, or practice;

(ii) There is a maximum of five contact hours in this category; and

(iii) Documentation shall include name of mentor and mentee, copy of signed contract, dates, hours spent and focus of mentorship activities, and outcomes of mentorship agreement.

(5) Professional Writing:

(A) Publication or written acceptance for publication of a book, chapter, or article evaluated by experts in and related to massage and bodywork therapy;

(B) During the year written or edited a licensee may earn;

(i) 15 contact hours as author of a book;

(ii) 10 contact hours as author of a chapter;

(iii) Five contact hours as author of an article; or

(iv) Five contact hours as listed editor of a book.

(C) Documentation shall consist of full reference for publication including title, author, editor, and date of publication; or copy of acceptance letter, if not yet published; and

(D) Credit for submitted items shall be given for one licensure period only.

(6) Presentation and Instruction:

(A) Presentation for the first time of an academic course, workshop, or seminar related to massage and bodywork therapy;

(B) There is a maximum of five contact hours in this category; and

(C) Documentation shall include a syllabus and the date and hours of presentation.

(7) Professional Meetings and Activities:

(A) Consistent with Rule .0703 of this Section, participation in board or committee work with agencies or organizations to promote and enhance the practice of massage and bodywork therapy;

(B) There is a maximum of five contact hours in this category; and

(C) Documentation shall include the name of the committee or board, the name of the agency or organization, purpose of service, and description of licensee's role. Participation and hours shall be documented in writing by an officer or representative of the organization or committee.

(8) Research and Grants:

(A) Development of or participation in a research project or grant proposal related to massage and bodywork therapy;

(B) A licensee may earn one contact hour for each three hours spent working on a research project or grant proposal. There is a maximum of five contact hours in this category; and

(C) Documentation includes verification stating the name of the research project, dates of participation, major hypotheses or objectives of the project, and licensee's role in the project or name of grant proposal, name of grant source, purpose and objectives of the project, and verification from the grant author regarding licensee's role in the development of the grant if the licensee is not the author.

(b) Distance learning, as defined in Rule .0702 of this Section, shall not comprise more than 12 hours of the required continuing education hours per licensure period.

(c) Licensees shall document that they have completed at least three contact hours of continuing education in professional ethics as defined in Rule .0702 of this Section, out of the minimum of 24 hours of approved continuing education required for license renewal. This may be obtained through supervised classroom instruction or distance learning.

(d) Business management, as defined in Rule .0702 of this Section, shall not comprise more than eight hours of the minimum 24 hours of approved continuing education required for license renewal.

(e) Licensees shall ensure that each continuing education course for which they claim credit on their application for renewal of licensure complies with this Section.

(f) The Board shall audit licensees at random to assure compliance with these requirements.

History

• Authority G.S. 90-626(9); 90-630.5
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. November 1, 2008; September 2, 2005
• Readopted Eff. October 1, 2015
• Amended Eff. November 15, 2019.

21 NCAC 30 .0702 Continuing Education Definitions

The following definitions apply to this Section:

(1) Continuing education -- Learning experiences that develop, maintain, enhance, and expand the performance skills, interpersonal abilities, critical reasoning skills, ethical reasoning skills, knowledge, and attitudes of massage and bodywork therapists that enable them to render competent professional service to clients, the profession, and the public.

(2) Distance learning -- Courses taken by home study that are produced by an approved provider, whether delivered by videotape, audiotape, printed materials, or computer-based means. The licensee shall demonstrate achievement of learning objectives and completion of course requirements to the provider before credit is given.

(3) One "contact hour" of continuing education -- At least 50 minutes of any one clock hour during which the student participates in a learning activity in the physical presence of an instructor, or in a distance learning activity designed by an approved provider. One semester credit hour at a post-secondary institution shall be equivalent to 21 contact hours.

(4) Professional ethics -- A system of conduct guided by principles that are intended to ensure the safe and effective practice of massage and bodywork therapy. Acceptable subject matter for required professional ethics courses may include: compliance with the Practice Act and Rules of the Board, management of the client/therapist relationship, boundary functions, professional communication skills, conflict resolution, cultural diversity issues, and standards of practice.

(5) Business management -- Courses that enable licensees to learn business skills to apply to their practice.

(6) Post secondary institution of higher learning – A degree granting institution accredited by an accrediting agency recognized by the United States Department of Education.

(7) Approved provider -- One that has been approved by any entity with which the Board has reached a contractual agreement for the approval of continuing education providers and courses. A list of accrediting entities with which the Board has entered into a contractual agreement is available on the Board's website at www.bmbt.org. The provider shall have this designation when the course begins and shall maintain this designation continuously until the course is completed. The Board shall not recognize any retroactive designation of provider approval. The provider shall follow all regulations set forth by its accrediting agency. The Board may also recognize a continuing education provider outside the United States or its territories that is a post-secondary institution of higher learning approved by the educational regulation authority of that foreign country.

History

• Authority G.S. 90-626(9); 90-630.5
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. April 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014
• Amended Eff. November 15, 2019; November 1, 2015.

21 NCAC 30 .0703 Scope of Qualified Activities for Maintaining Continuing Education

(a) To be approved by the Board, continuing education activities shall be related to roles and responsibilities in massage and bodywork therapy and serve to protect the public by enhancing the licensee's continuing competence.

(b) Subject matter for approved activities include:

(1) research;

(2) theoretical or practical content related to the practice of massage and bodywork therapy; or

(3) the development, administration, supervision, and teaching of clinical practice or service delivery programs by massage and bodywork therapists.

History

• Authority G.S. 90-626(9); 90-630.5
• Eff. November 15, 2019.

21 NCAC 30 .0704 Waiver of Continuing Education Requirements During Disaster or Emergency

(a) If the Governor declares a state of emergency, the Board may allow all continuing education hours required by G.S. 90-630.5 and Rule .0701(b) of this Chapter to be obtained by distance learning. In making this determination, the Board shall consider the risk of harm to licensed massage and bodywork therapists attending in-classroom continuing education courses.

(b) The exceptions in this Rule shall only apply during the effective period of the state of emergency.

History

• Authority G.S. 90-626(9); 150B-19(6); S.L. 2020-97
• Emergency Adoption Eff. June 30, 2020
• Emergency Adoption Expired Eff. September 13, 2020
• Emergency Adoption Eff. November 25, 2020 to expire pursuant to S.L. 2020-97, s. 3.20
• Eff. April 1, 2021.

21 NCAC 30 .0801 Petitions for Adoption, Amendment or Repeal of Rules

(a) The procedure for petitioning the Board to adopt, amend, or repeal a rule and for the Board's response is governed by G.S. 150B-20.

(b) Rule-making petitions shall be sent to the Board. No special form is required, but the petitioner shall state his or her name and address. The petition shall include:

(1) A draft of any proposed rule or amendment to a rule;

(2) The reason for the proposal;

(3) The effect of the proposal on existing rules or decisions;

(4) Any data supporting the proposed rule change;

(5) Practices likely to be affected by the proposed rule change; and

(6) Persons likely to be affected by the proposed rule change.

History

• Authority G.S. 150B-20
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0802 Rule Making Notice and Public Hearing

(a) Any person who wishes to receive individual notice of agency rule-making shall file a written request with the Board and shall be responsible for the actual cost of printing and mailing said notice.

(b) Any public rule-making hearing shall be conducted by the Board Chair or by any person he or she may designate. The presiding officer shall have control of the hearing, including setting limits on oral presentations, and shall conduct the hearing so as to provide a reasonable opportunity for any interested person to present views, data and comments.

History

• Authority G.S. 150B-21.2
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0803 Declaratory Rulings

(a) The issuance of declaratory rulings by the Board is governed by G.S. 150B-4.

(b) A request for a declaratory ruling shall be in writing and addressed to the Board. The request shall contain the following information:

(1) The name and address of the person making the request;

(2) The statute or rule to which the request relates;

(3) A concise statement of the manner in which the person has been, or may be aggrieved by the statute or rule; and

(4) A statement as to whether a hearing is desired, and if desired, the reason therefore.

(c) The Board shall refuse to issue a declaratory ruling under the following circumstances:

(1) When the Board has already made a controlling decision on substantially similar facts in a contested case;

(2) When the facts underlying the request for a ruling on a rule were specifically considered at the time of the adoption of the rule in question; and

(3) When the subject matter of the request is involved in pending litigation in North Carolina.

History

• Authority G.S. 150B-4
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0804 Waiver or Extension

History

• Status: expired
• Authority G.S. 90-626(9); 150B-19(6)
• Emergency Adoption Eff. June 30, 2020
• Emergency Adoption Expired Eff. September 13, 2020.

21 NCAC 30 .0901 Purpose and Scope

The rules in this Section establish the procedures for the Board to use in disciplining practitioners, schools and other persons or entities who are in violation of the Practice Act or the rules in this Chapter.

History

• Authority G.S. 90-626(5), (6), (7)
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0902 Complaints

A complaint regarding a violation of the Practice Act or the rules in this Chapter shall be submitted in writing and shall document:

(1) the name of the licensed massage and bodywork therapist, licensed establishment, school, person, or other entity involved;

(2) a description of the alleged behavior or incident; and

(3) the name, mailing address, and phone number of the person filing the complaint.

History

• Authority G.S. 90-626(13)
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014
• Amended Eff. November 15, 2019.

21 NCAC 30 .0903 Action on a Complaint

Action on a complaint consists of the following:

(1) The Board shall receive and acknowledge complaints, open a file and initiate complaint tracking.

(2) Complaints shall be screened to determine jurisdiction and the type of response appropriate for the complaint.

(3) Investigation:

(a) If the facts indicate a Practice Act violation that cannot be verified and the complaint can be handled without an investigation, the Board may request that the licensee or school cease conduct that could result in a Practice Act violation.

(b) If the facts indicate a Practice Act violation, the Board shall commence an investigation. The Board may utilize additional personnel such as licensees, law enforcement officials, or other technical personnel that may be required in a particular case. If a Board member is utilized in the investigation, due process must be observed by separating

(i) investigation;

(ii) prosecution; and

(iii) hearings and final decision-making.

No Board member shall participate in more than one of these three steps in the enforcement process.

(c) A confidential report of each investigation shall be prepared for the Board's review.

(4) Formal and Informal Hearings:

(a) The Board, after review of an investigative file, may schedule an informal meeting.

(b) If the matter cannot be resolved informally, then a formal hearing shall be held.

(c) Members of the Board shall not make ex parte communication with parties to a hearing.

(5) Final Orders: Within 60 days, the Board will issue its final decision in writing specifying the date on which it will take effect. The Board will serve one copy of the decision on each party to the hearing.

(6) Compliance: The Board Chair will cause a follow-up inquiry to determine that the orders of the Board are being obeyed.

History

• Authority G.S. 90-626(5), (6), (7), (13)
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0904 Formal Hearing

Formal hearings shall be conducted in accordance with G.S. 150B, Article 3A.

History

• Authority G.S. 90-626(6); 150B-38
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. April 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

21 NCAC 30 .0905 Disciplinary Sanctions

(a) The following types of disciplinary sanctions regarding licensed massage and bodywork therapists and massage and bodywork therapy establishments (licensees) may be utilized by the Board:

(1) Denial of Application: Refusal to license the applicant;

(2) Letter of Reprimand: This formal expression of disapproval will be retained in the licensee's file but shall not be publicly announced. It is not published, but is released upon request by the public;

(3) Probation: A period of time where restrictions or conditions are imposed on a licensee. Continued licensure is subject to fulfillment of specified conditions;

(4) Suspension of license: A condition of probation. Loss of license for a period after which the licensee shall be required to reapply for licensure or remain on probation;

(5) Refusal of License Renewal: A refusal to reinstate or renew a license;

(6) Revocation of license: An involuntary termination of a license;

(7) Injunction: A court action prohibiting or compelling conduct by a licensee; or

(8) Assessment of a civil penalty.

(b) The following types of disciplinary sanctions regarding schools of massage and bodywork therapy may be utilized by the Board:

(1) Denial of Application: Refusal to grant approval to the applicant school;

(2) Letter of Reprimand: A formal expression of disapproval will be retained in the school's file but shall not be publicly announced. It is not published, but is released upon request by the public;

(3) Probation: A period of time where restrictions or conditions are imposed on an approved school. Continued approval is subject to fulfillment of specified conditions;

(4) Suspension of approval: A condition of probation. Loss of approval status for a period after which the school shall be required to reapply for approval or remain on probation;

(5) Refusal of Approval: A refusal to reinstate or renew a school's approval status;

(6) Revocation of Approval: An involuntary termination of school's approval status;

(7) Injunction: A court action prohibiting or compelling conduct by a school; or

(8) Assessment of a civil penalty.

(c) During an investigation, the Board may request information from professional associations, professional review organizations (PROs), hospitals, clinics or other institutions in which a licensee performs professional services, regarding chemical abuse or incompetent or unethical behavior.

(d) During an investigation, the Board may request information from state regulatory agencies, accrediting commissions, or other institutions that oversee the activities of a school.

(e) The Board shall provide notice of sanction taken by it to other public entities to ensure that other state boards, national certification boards, professional associations, enforcement authorities, and accrediting agencies receive the names of licensees and schools disciplined.

History

• Authority G.S. 90-626(4), 90-626(14); 90-633; 90-634.1
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. April 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014
• Amended Eff. November 15, 2019.

21 NCAC 30 .1001 Establishment LICENSE REQUIRED

(a) For purposes of the rules in this Chapter, "establishment" means "massage and bodywork therapy establishment" as defined in G.S. 90-622.

(b) An establishment license granted by the Board shall be for a single location. An owner who intends to operate additional locations shall submit an application for licensure for each location.

(c) Establishments already in operation on the date this Section becomes effective shall have 180 days from the effective date to submit an application for licensure to the Board.

History

• Authority G.S. 90-626(9)b.2; 90-632.10
• Eff. November 15, 2019.

21 NCAC 30 .1002 Term of License

(a) Initial establishment license applications submitted between October 1 and December 31 shall be granted for two years, plus an additional period of up to three months. Initial establishment license applications submitted between January 1 and September 30 shall be granted for two years, minus the period following January 1.

(b) Pursuant to G.S. 90-630.5, an establishment license shall be renewed for a term of two years, beginning on January 1 following the initial expiration date.

History

• Authority G.S. 90-630.5(a)
• Eff. November 15, 2019.

21 NCAC 30 .1003 INITIAL APPLICATION FOR licensure

A massage and bodywork therapy establishment seeking initial licensure shall submit an application on a form provided by the Board containing the information set forth in G.S. 90-632.11 and the following:

(1) Ownership information, including:

(a) type of ownership structure;

(b) names, residence addresses, phone numbers, and email addresses of all persons who have an ownership interest in the establishment, including parent corporations; and

(c) if the operator is not the owner, the operator shall provide the information required in Rule .1004.

(2) Location information, including:

(a) Physical address of the establishment, and mailing address if different;

(b) Website address, if any; and

(c) Business phone number.

(3) Trade name of establishment, if different from owner's name;

(4) List of all LMBTs hired as employees or contracted with as independent contractors to provide treatment to clients, if known, or, if not known, submit to the Board within 60 days following granting of a license to operate;

(5) Copy of lease or name, address, phone number and email address of lessor, if establishment does not own its facility;

(6) Copy of city or county business license, if required; and

(7) Completed self-evaluation inspection report demonstrating compliance with Rule .1004.

History

• Authority G.S. 90-632.11; 90-632.13
• Eff. November 15, 2019.

21 NCAC 30 .1004 Establishment Operations

Licensed establishments shall comply with the following requirements:

(1) Facility requirements:

(a) comply with State and local building code requirements, State fire safety codes, and State health inspection codes;

(b) provide for the use of clients and therapists a restroom with at least one toilet and one sink with running water. The facilities shall be equipped with toilet tissue, a soap dispenser with soap or other hand cleaning materials, sanitary towels or other hand drying device such as a wall-mounted electric blow dryer, and waste receptacle. Restroom and shower facilities shall be lighted, ventilated, and maintained. Establishments located in buildings housing multiple businesses under one roof, such as shopping malls, terminals, or hotels, may substitute centralized toilet facilities;

(c) if equipped with a whirlpool bath, sauna, steam cabinet, or steam room, maintain shower facilities on the premises; and

(d) display the original Massage and Bodywork Therapy Establishment License, and the licenses of all LMBTs in a place at the establishment so as to be visible for inspection by the public.

(2) Safety and sanitary requirements:

(a) provide for human passage in the public areas of the premises;

(b) provide for removal of garbage;

(c) provide for storage or removal of flammable materials;

(d) exterminate all vermin, insects, termites, and rodents on the premises;

(e) maintain all equipment used to perform massage and bodywork therapy services on the premises. Clean sheets, towels, or other coverings shall be used to cover the massage table for each client; and

(f) maintain a supply of clean drapes, towels, gowns, or sheets, for the purpose of draping each client while the client is being massaged, and launder before reuse all linens furnished for the personal use of the client.

(3) Treatment requirements:

(a) All massage and bodywork therapy treatments shall be administered by LMBTs licensed in North Carolina; and

(b) The establishment is responsible for ensuring that the Standards of Professional Conduct set forth in Section .0500 of this Chapter are maintained in its facility by all owners, employees, and independent contractors.

(4) Business and advertising requirements:

(a) notify the Board in writing of all assumed name certificates filed by the establishment owner with any county register of deeds pursuant to the requirements of G.S. 66-71.1 through 66-71.15;

(b) notify the Board within 30 days of changes to the LMBT staff who provide massage and bodywork therapy services at the establishment, including employees and independent contractors; and

(c) advertisement of massage and bodywork therapy services shall include the establishment's name and license number.

History

• Authority G.S. 90-632.12(b); 90-632.13
• Eff. November 15, 2019.

21 NCAC 30 .1005 Client Records Retention and Ownership

(a) Records shall be maintained by the establishment or the LMBT in compliance with Rules .0504 and .0505 of this Chapter.

(b) Records stored electronically shall be maintained with a weekly back-up system.

(c) Client records are the property of the:

(1) Establishment; or

(2) LMBT, when working at an establishment.

(d) Release of Records:

(1) Client records shall be released within 30 days from being requested and authorized by the client in writing or when compelled by law or rule; and

(2) The establishment or LMBT may charge cost for duplicating client records pursuant to G.S. 90-411.

History

• Authority G.S. 90-632.13(3)
• Eff. November 15, 2019.

21 NCAC 30 .1006 Inspections

(a) Upon receipt of an application for a massage and bodywork therapy establishment license, employees or representatives of the Board may inspect the location upon allegations of violations of the Practice Act and Rules to verify Rules .1003 and .1004 of this Chapter are satisfied.

(b) The Board may inspect all licensed establishments upon allegations of violations of the Practice Act and Rules to ensure compliance with the Practice Act. Inspectors shall respect the client's safety, comfort, and privacy.

(c) During any inspection, if the posted establishment license is expired, suspended, or revoked, the establishment license shall be removed from the establishment by the inspector and returned to the Board, and the owner whose license was expired, suspended, or revoked shall be notified by the Board. During any inspection, if any license for a massage and bodywork therapist posted in the establishment is expired, suspended, or revoked, the massage and bodywork therapist license shall be removed from the establishment and shall be returned to the Board by the inspector. The person whose license was expired, suspended, or revoked shall be notified and a hearing scheduled if requested by that person.

History

• Authority G.S. 90-632.13(5)
• Eff. November 15, 2019.

21 NCAC 30 .1007 Change of Trade Name

When there is no change of owner or location, the owner may change the trade name of the establishment in compliance with Rules .0402 and .0403 of this Chapter. The owner shall notify the Board in writing of the change of name. A new trade name shall not be used until the establishment is in compliance with this Rule. When an establishment trade name is changed without a change in owner or location, a new establishment facility inspection shall not be required.

History

• Authority G.S. 90-632.12; 90-632.13(6)
• Eff. November 15, 2019.

21 NCAC 30 .1008 Change of Location

An establishment license shall not be transferable when there is a change in the physical location of the establishment. The owner shall submit a new application for licensure. The Board may issue temporary operating approval to the owner for the new location for a period of 90 days if the establishment held a valid license prior to the change, and the Board finds that the new location will qualify for licensure upon preliminary review of the application.

History

• Authority G.S. 90-632.13(6)
• Eff. November 15, 2019.

21 NCAC 30 .1009 Transfer of Ownership

(a) When there is a transfer in the majority ownership interest of the business, the new majority owner shall submit a new application for licensure. The Board may issue temporary operating approval to the new majority owner for a period of 90 days, if the establishment held a valid license prior to the change and the Board finds that the new majority owner will qualify for licensure upon preliminary review of the application.

(b) When there is a transfer of ownership that does not involve a change in the majority ownership interest in the business, or a change in the ownership structure, the owner shall notify the Board of the changes within 30 days, and submit fingerprint cards as required by G.S. 90-632.11 for new persons with ownership interests.

History

• Authority G.S. 90-632.13(6)
• Eff. November 15, 2019.

21 NCAC 30 .1010 Informing Board of Violations

(a) Establishment licensees with knowledge of alleged violations of the rules of this Chapter or the Practice Act shall inform the Board within five business days, whether or not the alleged violations are also reported to a law enforcement agency. This shall include, but is not limited to, the following violations:

(1) An LMBT or other employee or contractor of the establishment who has violated the prohibition on sexual activity, as defined in Rules .0508 and .0509 of this Chapter;

(2) An LMBT who has engaged in behavior where there is a potential for malpractice as defined in Rule .0102(6) of this Chapter; or

(3) Any person practicing massage and bodywork therapy without a license.

(b) Establishment licensees that have discharged an LMBT for cause, related to failure to uphold the Standards of Professional Conduct set forth in Section .0500 of this Chapter shall inform the Board within 10 business days of the action.

History

• Authority G.S. 90-626(9); 90-626(9)b.2; 90-632.10; 90-632.15(a)(5); 90-632.17; 90-632.18; 90-633(a)(6); 90-634(b3)
• Eff. November 15, 2019..

21 NCAC 30 .1011 Continuing Duty to Report Certain Crimes and Civil Suits

(a) Establishment licensees shall report to the Board any charges, convictions of, or pleas of guilty or no contest to the following criminal offenses, whether committed by themselves, employees, independent contractors, or by other licensees:

(1) felonies;

(2) crimes that involve moral turpitude;

(3) alcohol or drug-related offenses;

(4) sexual-related offenses; and

(5) assault.

(b) Establishment licensees shall report to the Board if they are named as a defendant in a civil suit arising out of a licensee's practice of massage and bodywork therapy or out of the practice of massage and bodywork therapy by any employee or independent contractor.

(c) Establishment licensees shall report a charge, conviction, plea in a criminal case, or involvement as a defendant in a civil suit, as set forth in Paragraphs (a) or (b) of this Rule, within 30 days after the licensee obtains knowledge.

History

• Authority G.S. 90-626(9); 90-626(9)b.2; 90-632.10; 90-632.15(a)(5); 90-632.17; 90-632.18; 90-633(a)(6); 90-634(b3)
• Eff. November 15, 2019.

21 NCAC 30 .1012 License Renewal

(a) Any establishment licensee renewing a license shall comply with all requirements for licensure and shall submit the required renewal fee pursuant to Rule .1014(3) of this Section.

(b) An establishment license that has not been renewed prior to its expiration date is expired and the establishment shall not operate. The establishment license may be reinstated within 120 days from the date of expiration upon payment of the license renewal fee and late renewal penalty pursuant to Rule .1014 of this Section. Any establishment license expired for more than 120 days shall not be renewed and an initial application for licensure shall be submitted pursuant to Rule .1003 of this Section.

(c) Any owner whose establishment license has expired and who engages in or permits any massage and bodywork therapy activities governed by the Practice Act shall be subject to the penalties prescribed in G.S. 90-634 and G.S. 90-634.1.

(d) Members of the armed forces whose establishment licenses are in good standing and to whom G.S. 105-249.2 grants an extension of time to file a tax return shall be granted that same extension of time to pay the establishment license renewal fee. A copy of military orders and the extension approval by the Internal Revenue Service shall be furnished to the Board to be granted the extension of time to pay the renewal fee.

History

• Authority G.S. 90-630.5; 90-632.14; 93B-15
• Eff. November 15, 2019
• Amended Eff. February 1, 2025.

21 NCAC 30 .1013 Address of Record

Each licensed establishment shall notify the Board in writing within 30 days of any change of the street address of the licensee's current place of practice and the owner's residence or business address. The establishment shall provide to the Board the mailing address and telephone number of the owner for the purposes of receiving communication from the Board and for listing in the registry of licensed establishments.

History

• Authority G.S. 90-632.11(a)(5)
• Eff. November 15, 2019.

21 NCAC 30 .1014 Fees

Fees for massage and bodywork therapy establishments shall be as follows:

(1) Application for license $20.00

(2) Initial license fee 150.00

(3) License Renewal 100.00

(4) Late renewal penalty 75.00

(5) Duplicate license 25.00

(6) Inspection of establishment 150.00

History

• Authority G.S. 90-632.14
• Eff. July 1, 2020.

Chapter 31 Marriage and Family Therapy Licensure

21 NCAC 31 .0101 Executive

History

• Status: repealed
• Authority G.S. 90-270.45; 90-270.46; 90-270.49; 90-270.51(b)
• Eff. August 1, 1984
• Repealed Eff. April 1, 1989.

21 NCAC 31 .0102 Address

History

• Status: repealed
• Authority G.S. 90-270.51(b)
• Eff. August 1, 1984
• Repealed Eff. May 1, 1996.

21 NCAC 31 .0103 Rulemaking and Administrative Hearing Procedures

History

• Status: repealed
• Authority G.S. 90-270.51(b); 150A-11; 150A-14
• Eff. August 1, 1984
• Repealed Eff. April 1, 1989.

21 NCAC 31 .0104 Fees

History

• Status: repealed
• Authority G.S. 12-3.1(c); 90-270.51(b)
• Eff. August 1, 1984
• Amended Eff. April 1, 1989
• Repealed Eff. May 1, 1996.

21 NCAC 31 .0201 Credentials Required

An applicant for licensure as a marriage and family therapist or marriage and family therapist associate shall submit the following to the Board:

(1) Notarized application form and application fee;

(2) Official graduate college transcripts sent to the Board by the training institution(s) demonstrating:

(a) completion of a master's or doctoral degree in marriage and family therapy from a recognized educational institution, as defined in G.S. 90-270.47(5), encompassing an appropriate course of study as listed in Rule .0501 of this Chapter; or

(b) completion of a related degree, as defined in G.S. 90-270.47(6), from a recognized educational institution, encompassing an appropriate course of study as defined in Rule .0501 of this Chapter;

(3) Copies of course catalog and syllabi reflective of the semester the course was passed as listed on the transcript to show marriage and family therapy course content;

(4) Supervision Reports, using forms available on the Board website, www.nclmft.org, submitted from American Association of Marriage and Family Therapy (AAMFT) approved supervisors. Forms shall verify the number of hours of clinical experience with individuals, groups, relational units, assessments, and psychoeducation, in addition to verifying the number of supervision hours acquired individually and in group settings as defined by the AAMFT Approved Supervision Designation: Standards Handbook;

(5) Evidence of good moral character, which shall include three endorsements for licensure, using Board forms, from persons familiar with the applicant; and

(6) Evidence of a passing score on the National Marriage and Family Therapy Examination.

History

• Authority G.S. 90-270.51(b); 90-270.52; 90-270.54(a)
• Eff. August 1, 1984
• Amended Eff. October 1, 2011; March 1, 1996; April 1, 1989
• Readopted Eff. July 1, 2019.

21 NCAC 31 .0202 Review Procedure

(a) The applicants shall submit copies of all materials required by Rule .0201 of this Section to the Board office one month prior to the scheduled meeting when the application will be reviewed.

(b) If the application is approved by the Board, the Board shall inform the applicant of the approval. Applicants shall be notified using the contact information listed on the application. A physical copy of the license will be issued to the new licensee.

(c) If the application is not approved by the Board, the Board shall inform the applicant of the denial, with an explanation of the areas that are deficient. Applicants may remedy deficiencies within two years from the date of the notification without having to reapply. After two years of application inactivity, the file shall be closed and a new application and fee shall be required.

(d) If during the review process, questions arise that may affect the applicant's qualifications for licensing, the Board shall seek to resolve the questions by communication with the person who made the comments or any other person(s), or may refer the matter to counsel or to an employee of the Board for investigation.

(e) If the Board denies an application, it shall send the applicant written notice, stating the grounds for denial. An applicant who has been denied licensure may file a request for hearing pursuant to G.S. 150B-38 within 15 days of notice of the denial. In lieu of a hearing, the applicant may present additional written material in support of the application, which shall be reviewed at the next scheduled Board meeting.

History

• Authority G.S. 90-270.51; 90-270.52; 90-270.60
• Eff. August 1, 1984
• Amended Eff. July 1, 2011; March 1, 1996; April 1, 1989
• Readopted Eff. July 1, 2019.

21 NCAC 31 .0203 Issuance of License

An applicant shall be granted a license when all requirements for licensing are met. The license shall display the licensee's name, licensing date, license number, the signatures of the Chairperson and Vice-Chairperson and the official seal of the Board.

History

• Authority G.S. 90-270.51; 90-270.54; 90-270.54A
• Eff. August 1, 1984
• Amended Eff. March 1, 1996
• Readopted Eff. July 1, 2019.

21 NCAC 31 .0301 Written Examination

(a) All applicants for licensure as a Marriage and Family Therapist or Marriage and Family Therapy Associate shall be required to pass the National Marriage and Family Therapy Examination.

(b) The examination dates shall be determined by the American Marriage and Family Therapy Regulatory Board, (AMFTRB) and their contracted testing service. Dates for the examination shall be posted on the websites for the Board and the AMFTRB.

(c) The examination application requirements shall be set forth by the AMFTRB and adopted by the Board.

(d) Special Administrations. Applicants with disabilities that meet compliance requirements of the Americans with Disabilities Act of 1990 (ADA) may request accommodations for testing.

History

• Authority G.S. 90-270.51(b); 90-270.55
• Eff. August 1, 1984
• Amended Eff. July 1, 2011; March 1, 1996
• Readopted Eff. July 1, 2019.

21 NCAC 31 .0302 Reporting of Scores

History

• Status: repealed
• Authority G.S. 90-270.51(b); 90-270.55(e)
• Eff. August 1, 1984
• Amended Eff. March 1, 1996; April 1, 1989
• Repealed Eff. July 1, 2011.

21 NCAC 31 .0303 First Reexamination

History

• Status: repealed
• Authority G.S. 90-270.51(b); 90-270.55(e)
• Eff. August 1, 1984
• Amended Eff. March 1, 1996; April 1, 1989
• Repealed Eff. July 1, 2011.

21 NCAC 31 .0401 Licensure Renewal Form

(a) Licensees shall provide documentation of compliance with Rule .0701 of this Chapter to the Board on the forms provided by the Board.

(b) The Board shall waive the license application renewal fee for any individual who is currently licensed by and in good standing with the Board if the individual is serving in the armed forces of the United States and if G.S. 105-249.2 grants the individual an extension of time to file a tax return. The waiver shall be in effect for any period that is disregarded under Section 7508 of the Internal Revenue Code in determining the taxpayer's liability for a federal tax.

(c) The Board shall extend the deadline for filing a license renewal application for any individual who currently holds a license and is in good standing with the Board if the individual is serving in the armed forces of the United States and if G.S. 105-249.2 grants the individual an extension of time to file a tax return. The extension shall be in effect for any period that is disregarded under Section 7508 of the Internal Revenue Code in determining the taxpayer's liability for a federal tax.

History

• Authority G.S. 90-270.51(b); 90-270.58; 93B-15
• Eff. August 1, 1984
• Amended Eff. July 1, 2011; March 1, 1996
• Readopted Eff. July 1, 2019.

21 NCAC 31 .0402 Second Notice

History

• Status: repealed
• Authority G.S. 90-270.51(b); 90-270.58; 150B-3(b)
• Eff. August 1, 1984
• Amended Eff. April 1, 1989
• Repealed Eff. March 1, 1996.

21 NCAC 31 .0403 Reinstatement After Expiration

(a) A license that expired for nonpayment of renewal fees or failure to comply with continuing education requirements may be reinstated, if within two years of expiration, the reinstatement fee is paid and evidence of completing continuing education requirements is submitted. The continuing education requirements documented at the time of reinstatement must equal the hours required had the license not expired.

(b) A license that has expired for nonpayment of renewal fees or failure to comply with continuing education requirements for a period of more than two years shall not be reinstated. A new license may be granted pursuant to paying the applicable license application fees and meeting the licensing requirements under Sections .0200 and .0300 of this Chapter.

History

• Authority G.S. 90-270.51(b); 90-270.57; 90-270.58A
• Eff. March 1, 1996
• Readopted Eff. July 1, 2019.

21 NCAC 31 .0404 Return from Inactive Status

The Board shall consider requests for a return to active status on an individual basis.

History

• Authority G.S. 90-270.51(b); 90-270.58B
• Eff. March 1, 1996
• Readopted Eff. July 1, 2019.

21 NCAC 31 .0501 Appropriate Course of Study

(a) Training required for an applicant with a marriage and family therapy degree or related degree in G.S. 90-270.54(a)(1)(a) is a graduate degree that includes marriage and family therapy content, including coursework in:

(1) Theoretical Foundation of Marriage and Family Therapy;

(2) Assessment and Diagnosis;

(3) Practice of Marriage and Family Therapy;

(4) Human Development and Family Relations;

(5) Professional Identity and Ethics;

(6) Clinical Research; and

(7) Supervised Clinical Practicum or Internship.

(b) Applicants who were enrolled in a master's degree program on or before October 1, 2011 shall also be considered for licensure with coursework that includes specific marriage and family therapy content, including coursework in:

(1) General Family Studies;

(2) Marriage and Family Therapy Theory;

(3) Psychopathology/Abnormal Behavior;

(4) Theories of Personality; and

(5) Supervised Clinical Practicum or Internship.

History

• Authority G.S. 90-270.47; 90-270.51(b); 90-270.54(a)(1)(a)
• Eff. August 1, 1984
• Amended Eff. October 1, 2011; March 1, 1996; April 1, 1989
• Readopted Eff. July 1, 2019.

21 NCAC 31 .0502 Ongoing Supervision

(a) Ongoing supervision as contained in G.S. 90-270.51(a)(1)(b) means face-to-face conversation with someone who holds the designation as an AAMFT Approved Supervisor, or a person who otherwise meets the standards set forth by AAMFT as outlined in the current edition of the AAMFT Approved Supervision Designation: Standards Handbook, which is incorporated by the Board by reference. These incorporated standards include subsequent amendments and additions. A copy of these standards may be obtained at no charge at their website, www.aamft.org.

(b) Ongoing supervision shall focus on the raw data, defined as quantitative information about the client, from the supervisee's continuing clinical practice, which shall be available to the supervisor through a combination of direct observation where the supervisor witnesses the supervisee providing therapy during a live session, co-therapy, written clinical notes, and audio and video recordings.

(c) None of the following constitutes ongoing supervision:

(1) Peer supervision - the supervision by a person of equivalent qualifications, status, and experience, as opposed to supervision provided by someone who holds a higher level of licensure than the supervisee;

(2) Supervision by current or former family members of the individual's immediate or extended family, including a current or past significant other, lineal ascendants or descendants of the individual or his or her significant other, or any other persons where the nature of the personal relationship prevents or makes difficult the establishment of a professional relationship due to dual roles or conflicts of interest;

(3) Administrative supervision - clinical practice performed under administrative, rather than clinical, supervision by an institutional director or executive;

(4) A didactic process wherein techniques or procedures are taught in a classroom, workshop, or seminar; or

(5) Consultation, staff development, or orientation to a field or program or role-playing of family interrelationships as a substitute for clinical practice in a clinical situation.

(d) Applicants for licensure must have accumulated a minimum of 200 hours of ongoing supervision from a supervisor who meets the standards as set forth in the AAMFT Approved Supervision Designation: Standards Handbook, concurrent with the completion of the 1,500 hours of clinical experience required by G.S. 90-270.51(a)(1)(b). Licensed Marriage and Family Therapy Associates must remain under on-going supervision for at least one hour monthly until licensed as a Licensed Marriage and Family Therapist as required by Rule .0802 of this Chapter.

(e) Graduates of marriage and family therapy programs who have completed 200 hours of ongoing supervision from a supervisor who meets the standards as set forth in the AAMFT Approved Supervision Designation: Standards Handbook, within their degree program shall complete a minimum of 25 hours of approved ongoing supervision concurrently with the completion of the remaining hours of post-degree clinical experience required by . G.S. 90-270.51(a)(1)(b). Graduates of marriage and family therapy programs may apply up to 500 hours of direct client contact, as defined by Rule .0506, obtained during their program toward the 1,500 required as long as those hours were obtained under the supervision of an AAMFT Approved Supervisor or AAMFT Supervisor Candidate who held a supervision contract with the applicant and who was personally responsible for overseeing the applicant's treatment plans, therapy notes, progress notes, practice of therapy, and client interaction. Applicants for the Marriage and Family Therapy license must have documented a minimum of 500 relational hours toward their required 1,500 hours. For the purposes of this Rule, "relational hours" shall mean hours spent providing therapy with more than one client in the room who are all part of the same treatment plan. Relational hours may also include face-to-face communication with members of the larger system, as defined in G.S. 90-270.47(2b), who are also working with the same client(s). This contact may only be counted if it is authorized via written release by the client(s) or required by law for the purpose of developing and carrying out a treatment plan.

(f) Supervision Reports, as outlined in Rule .0201(4) of this Chapter, shall be submitted on supervision report forms provided by the Board. Supervision report forms are contained within the licensure application packet that may be obtained from the Board's website.

History

• Authority G.S. 90-270.51(b); 90-270.54; 90-270.54A
• Eff. August 1, 1984
• Amended Eff. July 1, 2011; May 1, 1996; April 1, 1989
• Readopted Eff. July 1, 2019.

21 NCAC 31 .0503 Related Degree

(a) An appropriate course of study for a "related" degree under G.S. 90-270.47(6)(e) is defined as a minimum of or quarter hour equivalent to a 45-semester hour graduate program. Thirty-three semester hours or their quarter hour equivalent shall consist of the following content and clinical training:

(1) Theoretical Foundation of Marriage and Family Therapy (six semester hours);

(2) Assessment and Diagnosis (three semester hours);

(3) Practice of Marriage and Family Therapy (six semester hours);

(4) Human Development and Family Relations (three semester hours);

(5) Professional Identity and Ethics (three semester hours);

(6) Research in Marriage and Family Therapy (three semester hours); and

(7) Supervised Clinical Practicum or Internship (nine semester hours).

The remaining 18 semester hours shall consist of course work appropriate to the disciplinary specialty in which the degree is granted.

(b) Applicants who were enrolled in a related degree program on or before July 1, 2011 shall be considered for licensure in accordance with this Paragraph. An appropriate course of study for an "related" degree under G.S.90-270.47(6)(e) is defined by the Board to consist of a 45-semester hour graduate program. Twenty-seven semester hours consist of the following content and clinical training:

(1) General Family Studies (six semester hours). This category may include courses in marriage, family relations, child development, family sociology, or other related topics in which the marriage and family content is evident.

(2) Marriage and Family Therapy Theory (six semester hours). This category includes specific and extensive content in marriage and family therapy content and systems theory theory, not just general counseling course content, as well as other theoretical approaches to marriage and family therapy. In addition, the Board shall consider course work in this category that exceeds six semester hours to be applicable toward meeting the requirements for General Family Studies.

(3) Individual Studies. Theories of Personality (three semester hours), and Psychopathology or Abnormal Behavior (three semester hours).

(4) Clinical Practicum in Marriage and Family Therapy, nine semester hours or 20 hours per week for 12 months.

The remaining 18 semester hours shall consist of course work appropriate to the disciplinary specialty in which the degree is granted.

History

• Authority G.S. 90-270.47(1)e; 90-270.51(b); 90-270.54(a)(1)a
• Eff. August 1, 1984
• Amended Eff. July 1, 2011; March 1, 1996; April 1, 1989
• Readopted Eff. July 1, 2019.

21 NCAC 31 .0504 Alternative to Clinical Practicum

In lieu of the clinical practicum requirements under Rule .0501 or Rule .0503 of this Section, the Board shall accept evidence of a supervised clinical practicum, which is defined as at least 120 clinical contact hours with at least 24 hours of supervision obtained after the granting of a related degree in an equivalent course of study. The supervision must meet the requirements of "approved supervision" under Rule .0502 of this Section. The hours of supervision must be reported to the Board on the Board forms, available at nclmft.org.

History

• Authority G.S. 90-270.51(b)
• Eff. August 1, 1984
• Amended Eff. July 1, 2011; March 1, 1996
• Readopted Eff. July 1, 2019.

21 NCAC 31 .0505 Nondegree Granting Postgraduate Training Programs

(a) In assessing the applicant's fulfillment of the educational requirements for licensure pursuant to G.S. 90-270.54(a)(1)(a), the Board shall accept a transcript as evidence of the applicant's completion of postgraduate training in marriage and family therapy from nondegree granting institutions or programs providing that:

(1) The program has a specified curriculum in marriage and family therapy;

(2) The program is ongoing and additive, which means offered at the same place over a specific period of time and is available on an ongoing basis;

(3) The program is attached to an identifiable institution, training facility, or agency; and

(4) Documentation is maintained by the institution, training facility, or agency regarding a person's involvement in and completion of the program. Such documentation must include approved clinical supervision and performance evaluation.

(b) Workshops, seminars and general continuing education events do not qualify as postgraduate training under this Rule.

History

• Authority G.S. 90-270.51(b); 90-270.54(a)(1)(a)
• Eff. August 1, 1984
• Amended Eff. March 1, 1996; April 1, 1989
• Readopted Eff. July 1, 2019.

21 NCAC 31 .0506 Direct Client Contact

(a) As used in this Chapter, "direct client contact" means face-to-face therapy between the therapist and client, therapy within individuals, couples, families, or groups from a systemic perspective and includes relational hours. Direct client contact must:

(1) Relate to client treatment plans;

(2) Be goal-directed; and

(3) Assist the client to effect change in cognition, affect, and behavior.

(b) Assessments (intake and otherwise) may be counted up to 250 hours of direct client contact. For the purposes of this Rule, "assessment" shall mean a clinical encounter that involves gathering of current and historical data from a client that is then used to determine what type of therapeutic service is most appropriate. If the individual who conducted the assessment does not provide the therapeutic service, the Board shall consider it as an assessment hour only.

(c) Client psychoeducation may be counted up to 250 hours direct client contact. For the purposes of this Rule, "Psychoeducation" means a treatment approach that provides education for individuals and families in assistance with emotional, mental, social, and relational disturbances.

(d) The following are not direct client contact and may not be counted:

(1) Observing therapy without actively participating in follow-up therapy at some point during or immediately following the session, while the client is still available;

(2) Record keeping;

(3) Administrative activities;

(4) Supervision; and

(5) Client contact while not receiving supervision.

History

• Authority G.S. 90-270.51(b); 90-270.54(a)(1)b
• Eff. March 1, 1996
• Amended Eff. July 1, 2011
• Readopted Eff. July 1, 2019.

21 NCAC 31 .0601 Responsibility to Clients

History

• Status: repealed
• Authority G.S. 90-270.51(b); 90-270.60(5)
• Eff. August 1, 1984
• Amended Eff. April 1, 1989
• Repealed Eff. March 1, 1996.

21 NCAC 31 .0602 Competence

History

• Status: repealed
• Authority G.S. 90-270.51(b); 90-270.60(5)
• Eff. August 1, 1984
• Amended Eff. April 1, 1989
• Repealed Eff. March 1, 1996.

21 NCAC 31 .0603 Integrity

History

• Status: repealed
• Authority G.S. 90-270.51(b); 90-270.60(5)
• Eff. August 1, 1984
• Amended Eff. April 1, 1989
• Repealed Eff. March 1, 1996.

21 NCAC 31 .0604 Confidentiality

History

• Status: repealed
• Authority G.S. 90-270.51(b); 90-270.60(5)
• Eff. August 1, 1984
• Amended Eff. April 1, 1989
• Repealed Eff. March 1, 1996.

21 NCAC 31 .0605 Professional Responsibility

History

• Status: repealed
• Authority G.S. 90-270.51(b); 90-270.60(5)
• Eff. August 1, 1984
• Amended Eff. April 1, 1989
• Repealed Eff. March 1, 1996.

21 NCAC 31 .0606 Professional Development

History

• Status: repealed
• Authority G.S. 90-270.51(b); 90-270.60(5)
• Eff. August 1, 1984
• Amended Eff. April 1, 1989
• Repealed Eff. March 1, 1996.

21 NCAC 31 .0607 Research Responsibility

History

• Status: repealed
• Authority G.S. 90-270.51(b); 90-270.60(5)
• Eff. August 1, 1984
• Amended Eff. April 1, 1989
• Repealed Eff. March 1, 1996.

21 NCAC 31 .0608 Social Responsibility

History

• Status: repealed
• Authority G.S. 90-270.51(b); 90-270.60(5)
• Eff. August 1, 1984
• Amended Eff. April 1, 1989
• Repealed Eff. March 1, 1996.

21 NCAC 31 .0609 Ethical Principles

(a) The Board adopts the the American Association for Marriage and Family Therapy (AAMFT) Code of Ethics by reference, including subsequent amendments and editions. Copies of the Code may be viewed for free at www.aamft.org.

(b) Each applicant or licensee shall follow this code of ethics.

History

• Authority G.S. 90-270.51(b); 90-270.60(9)
• Eff. March 1, 1996
• Amended Eff. July 1, 2011
• Readopted Eff. July 1, 2019.

21 NCAC 31 .0701 Requirements for Continuing Education

(a) Licensed Marriage and Family Therapists and Licensed Marriage and Family Therapy Associates shall submit each year with the license renewal forms proof of 20 hours of continuing education credits in marriage and family therapy continuing education obtained subsequent to the prior license renewal. Proof of completion shall consist of a certificate of attendance and completion signed by the continuing education provider and shall include date(s) of attendance, number of hours, name of attendee, and name of course.

(b) Continuing education units that by title and content deal with marriage and family therapy practice and therapeutic issues, ethics and supervision of marriage and family therapy shall be approved by the Board.

(c) Ongoing supervision by an AAMFT approved supervisor or AAMFT supervisor candidate may be utilized by the supervisee for up to 12 hours of continuing education. Written documentation of the supervisor's status shall be provided to the Board via a copy of the AAMFT supervisor or supervisor candidate verification form.

(d) Three hours of the required 20 hours of continuing education shall consist of ethics training in the provision of professional mental health services for each renewal period.

(e) The maximum number of hours of continuing education credits for presenting a continuing education course in marriage and family therapy or teaching a course in marriage and family therapy at a recognized educational institution is five.

(f) Continuing education credit shall not be accepted for the following:

(1) Regular work activities, administrative staff meetings, case staffing, or reporting;

(2) Membership in, holding office in, or participation on boards or committees, business meetings of professional organizations, or banquet speeches;

(3) Independent learning undertaken by the licensee without peer or other guidance, review, input, supervision, or monitoring;

(4) Training related to policies and procedures of an agency; or

(5) Non-therapy content programs, such as finance or business management.

(g) If a person submits documentation for continuing education that is not identifiable as dealing with marriage and family therapy practice and therapeutic issues, ethics, or the supervision of marriage and family therapy, the Board shall request a written description of the continuing education and how it applies to professional practice in marriage and family therapy.

(h) If the Board determines that the training cannot be considered, the individual shall be given 90 days from the date of notification to replace the hours not allowed. Those hours shall be considered replacement hours and shall not be counted during the next renewal period. If evidence of completion of marriage and family continuing education is not presented to the Board within 90 days from the date of notification, the license shall expire automatically.

(i) The Board shall waive the continuing education requirements in this Rule for any individual who is currently licensed by and in good standing with the Board if the individual is serving in the armed forces of the United States and if G.S. 105-249.2 grants the individual an extension of time to file a tax return. The waiver shall be in effect for any period that is disregarded under Section 7508 of the Internal Revenue Code in determining the taxpayer's liability for a federal tax.

(j) If the proof of completion is not postmarked by July 1, the proof of completion shall not be accepted by the Board, and the license will expire effective July 1.

History

• Authority G.S. 90-270.51(b); 90-270-58C; 93B-15
• Eff. March 1, 1996
• Amended Eff. July 1, 2011
• Readopted Eff. July 1, 2019.

21 NCAC 31 .0801 Licensed Marriage and Family Therapy Associate Credentials Required

(a) An applicant for licensure as a Marriage and Family Therapy Associate shall ensure the submission of the following to the Board:

(1) Notarized application form and application fee;

(2) Official graduate college transcripts sent directly to the Board by the training institution(s) showing completion of a master's or doctoral degree in marriage and family therapy from a recognized educational institution, or completion of a related degree from a recognized educational institution with course of study encompassing coursework as defined by the Board in Rule .0501 of this Chapter. Additional documentation, such as copies of the course catalog and syllabi of qualifying coursework shall be required if the Board has questions about course content;

(3) Evidence of good moral character, as shown by three endorsements for licensure, using Board forms, from persons familiar with the applicant;

(4) Evidence of a passing score on the examination required by the Board pursuant to G.S. 90-270.54(a)(2); and

(5) A supervision agreement with a supervisor who meets the requirements of Rule .0502 for ongoing supervision.

(b) All application materials shall be received within two years from the date of the application or the file shall be closed.

History

• Authority G.S. 90-270.51(b); 90-270.54A
• Eff. March 1, 1996
• Amended Eff. October 1, 2011
• Readopted Eff. July 1, 2019.

21 NCAC 31 .0802 Licensed Marriage and Family Therapy Associate

(a) For purposes of G.S. 90-270.52A(c) "special circumstances" shall mean events beyond the control or fault of the Licensed Marriage and Family Therapy Associate, including illness of self, life partner, spouse, or child, or death of life partner, spouse, or child.

(b) Persons who are licensed as Licensed Marriage and Family Therapy Associates must disclose to their clients that they are required to practice under on-going supervision, and the name of their supervisor.

History

• Authority G.S. 90-270.54A
• Eff. July 1, 2011
• Readopted Eff. July 1, 2019.

21 NCAC 31 .0901 Reciprocal License

History

• Status: repealed
• Authority G.S. 90-270.51(b); 90-270.56
• Eff. March 1, 1996
• Repealed Eff. July 1, 2011.

21 NCAC 31 .1001 Fees

The Board sets the following fees:

(1) Each license examination $ 50.00

(2) Each license application as a marriage and family therapist $200.00

(3) Each license application as a marriage and family therapist associate $200.00

(4) Each reciprocal license application $200.00

(5) Each renewal of license $100.00

(6) Each reinstatement of an expired license $200.00

(7) Each application to return to active status $200.00

(8) Each duplicate license $ 25.00

(9) Each annual maintenance of inactive status $ 50.00

(10) Each application to extend associate license $ 50.00

History

• Authority G.S. 90-270.57
• Eff. July 1, 2011
• Readopted Eff. July 1, 2019.

21 NCAC 31 .1002 Fund Suspension

In the event the Board's authority to expend funds is suspended pursuant to G.S. 93B-2, the Board shall continue to issue and renew licenses and all fees tendered shall be placed in an escrow account maintained by the Board for this purpose.

History

• Authority G.S. 93B-2(d)
• Eff. July 1, 2011
• Readopted Eff. July 1, 2019.

Chapter 32 North Carolina Medical Board

Subchapter A

21 NCAC 32A .0101 Location

The location of the office of the North Carolina Medical Board is 3127 Smoketree Court, Raleigh, North Carolina 27604.

History

• Authority G.S. 90-2
• Eff. February 1, 1976
• Amended Eff. July 1, 2004; August 1, 2002; September 1, 1995; July 1, 1993; May 1, 1989
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. December 1, 2020.

21 NCAC 32A .0102 Purpose

History

• Status: repealed
• Authority G.S. 90-2; 90-3; 90-16
• Eff. February 1, 1976
• Amended Eff. November 1, 1982
• Repealed Eff. May 1, 1989.

21 NCAC 32A .0103 Structure

History

• Status: repealed
• Authority G.S. 90-2; 90-3; 90-16
• Eff. February 1, 1976
• Amended Eff. November 1, 1982
• Repealed Eff. May 1, 1989.

21 NCAC 32A .0104 Meetings

The Board meets at scheduled intervals to carry out Board business. Other meetings may be called by the President of the Board or upon written request of the majority of the members of the Board.

History

• Authority G.S. 90-5; 90-5.1
• Eff. February 1, 1976
• Amended Eff. May 1, 1990; May 1, 1989
• Readopted Eff. July 1, 2017.

21 NCAC 32A .0105 requirement exception

History

• Status: repealed
• Authority G.S. 90-6; 90-11; 150B-20
• Eff. February 1, 1976
• Amended Eff. September 1, 1995; May 1, 1989; November 1, 1985
• Repealed Eff. August 1, 2002.

21 NCAC 32A .0106 Provisions for Petition for a Rule Change

History

• Status: repealed
• Authority G.S. 90-6; 90-11; 150B-20
• Eff. February 1, 1976
• Amended Eff. September 1, 1995; May 1, 1989; November 1, 1985
• Repealed Eff. August 1, 2002.

21 NCAC 32A .0107 Declaratory Rulings

History

• Status: repealed
• Authority G.S. 150B-17
• Eff. February 1, 1976
• Amended Eff. May 1, 1989; November 1, 1985
• Repealed Eff. February 1, 2007.

21 NCAC 32A .0108 Records on File

History

• Status: repealed
• Authority G.S. 150-13
• Eff. February 1, 1976
• Repealed Eff. May 1, 1989.

21 NCAC 32A .0109 Forms

History

• Status: repealed
• Authority G.S. 90-11
• Eff. November 1, 1985
• Repealed Eff. May 1, 1989.

21 NCAC 32A .0110 Discarding Application Material

History

• Status: repealed
• Authority G.S. 90-6
• Eff. September 1, 1986
• Repealed Eff. May 1, 1989.

21 NCAC 32A .0111 Request for Declaratory Ruling

(a) All requests for declaratory rulings shall be written and mailed to the Board at 1203 Front Street, Raleigh, North Carolina 27609. The envelope containing the request shall bear the notation: "REQUEST FOR DECLARATORY RULING."

(b) Each Request for Declaratory Ruling shall include the following information:

(1) the name and address of the person requesting the ruling;

(2) the statute or rule to which the request relates;

(3) a concise statement of the manner in which the requesting person is affected by the statute or rule or its potential application to that person;

(4) a statement whether an oral hearing is desired and, if so, the reason.

History

• Authority G.S. 90-5.1; 150B-4
• Eff. February 1, 2007
• Readopted Eff. July 1, 2017.

21 NCAC 32A .0112 DISPOSiTION OF REQUEST

(a) Upon receipt of a Request for Declaratory Ruling, the Board shall determine whether a ruling is appropriate under the facts stated.

(b) When the Board determines that the issuance of a declaratory ruling is inappropriate, the Board shall notify, in writing, the person requesting the ruling, stating the reasons for the denial of the request.

(c) The Board shall decline to issue a declaratory ruling where:

(1) there has been a similar controlling factual determination made by the Board in a contested case;

(2) the rule-making record shows that the factual issues raised by the request were specifically considered prior to adoption of the rule;

(3) the subject-matter of the request is involved in pending litigation in any state or federal court in North Carolina;

(4) the subject-matter of the request involves matters which are currently being investigated by the Board;

(5) the subject matter of the request involves matters which are currently being adjudicated in a noticed disciplinary or denial hearing heard before the Board or the Office of Administrative Hearings; or

(6) the petitioner fails to show that the circumstances are so changed since the adoption of the statute or rule that a ruling is warranted.

History

• Authority G.S. 150B-4
• Eff. February 1, 2007
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. July 1, 2022.

21 NCAC 32A .0113 Procedure for DECLARATORY RULING

Prior to issuing a declaratory ruling, the Board shall give notice of the declaratory ruling proceedings to any person(s) it deems appropriate and shall direct that fact-finding proceedings appropriate to the circumstances of the particular request be conducted. The proceedings may consist of written submissions, an oral hearing, or other proceedings.

History

• Authority G.S. 150B-4
• Eff. February 1, 2007
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32A .0114 Suspension of Authority to Expend Funds

In the event the Board's authority to expend funds is suspended pursuant to G.S. 93B-2(d), the Board shall continue to issue and renew licenses and all fees tendered shall be placed in an escrow account maintained by the Board for this purpose. Once the Board's authority is restored, the funds shall be moved from the escrow account into the general operating account.

History

• Authority G.S. 93B-2(d)
• Eff. March 1, 2011
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32A .0115 Petition for Rule-Making

(a) Any person submitting a petition to adopt, amend, or repeal a rule by the Board shall address a petition to the Board's Rule Making Coordinator at the office address in 21 NCAC 32A .0101.

(1) The petition shall contain the following:

(A) for petitions to adopt or amend a rule, a draft of the proposed rule or amendment;

(B) a statement of the effect of the requested rule change, including any effect of the new rule on existing rules; and

(C) the name and address of the petitioner.

(2) The petition may contain the following:

(A) the reason for the proposal; or

(B) any data supporting the rule proposal.

(b) Within 120 days of submission of the petition, the Board shall render a final decision. If the decision is to grant the petition, the Board shall initiate a rule-making proceeding by issuing a notice as provided for in G.S. 150B-20(c). If the decision is to deny the petition, the Board shall send the petitioner written notice of the decision. The notice shall state the reasons for denying the petition and refer to the appeal rights set forth in G.S. 150B-20(d).

History

• Authority G.S. 90-5.1; 150B-20
• Eff. December 1, 2022.

Subchapter B

21 NCAC 32B .0101 Definitions

History

• Status: repealed
• Authority G.S. 90-6
• Eff. May 1, 1989
• Amended Eff. July 1, 2004; July 1, 1993; January 1, 1992; March 1, 1991
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0102 Discarding Application Material

History

• Status: repealed
• Authority G.S. 90-6
• Eff. May 1, 1989
• Amended Eff. July 1, 2004; July 1, 1993; January 1, 1992; March 1, 1991
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0103 Forms

History

• Status: repealed
• Authority G.S. 150B-11
• Eff May 1, 1989
• Repealed Eff. August 1, 2002.

21 NCAC 32B .0104 Criminal Background Check

History

• Status: repealed
• Authority G.S. 90-6; 90-9; 90-11
• Temporary Adoption Eff. December 1, 2002
• Eff. August 1, 2004
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0105 FEDERATION cREDENTIAL VERIFICATION SERVICE PROFILE

History

• Status: repealed
• Authority G.S. 90-6; 90-11
• Eff. October 1, 2006
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0106 Data Bank Reports

History

• Status: repealed
• Authority G.S. 90-6; 90-11
• Eff. October 1, 2006
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0201 Medical Education

History

• Status: repealed
• Authority G.S. 90-6; 90-9; 90-10
• Eff. February 1, 1976
• Amended Eff. March 1, 1987; November 1, 1985
• Temporary Amendment Eff. January 31, 1985 for a period of 120 days to expire on May 30, 1985
• Amended Eff. January 1983; October 29, 1979
• Recodified from 21 NCAC 32B .0101-.0103 Eff. April 5, 1989
• Amended Eff. May 1, 1989
• Repealed Eff. August 1, 2002.

21 NCAC 32B .0202 ecfmg certification

History

• Status: repealed
• Authority G.S. 90-6; 90-9; 90-10
• Eff. February 1, 1976
• Amended Eff. March 1, 1987; November 1, 1985
• Temporary Amendment Eff. January 31, 1985 for a period of 120 days to expire on May 30, 1985
• Amended Eff. January 1983; October 29, 1979
• Recodified from 21 NCAC 32B .0101-.0103 Eff. April 5, 1989
• Amended Eff. May 1, 1989
• Repealed Eff. August 1, 2002.

21 NCAC 32B .0203 certification of graduation

History

• Status: repealed
• Authority G.S. 90-6; 90-9; 90-10
• Eff. February 1, 1976
• Amended Eff. March 1, 1987; November 1, 1985
• Temporary Amendment Eff. January 31, 1985 for a period of 120 days to expire on May 30, 1985
• Amended Eff. January 1983; October 29, 1979
• Recodified from 21 NCAC 32B .0101-.0103 Eff. April 5, 1989
• Amended Eff. May 1, 1989
• Repealed Eff. August 1, 2002.

21 NCAC 32B .0204 Certified Photograph and Certification of Graduation

History

• Status: repealed
• Authority G.S. 90-9
• Eff. February 1, 1976
• Amended Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0104 Eff. April 5, 1989
• Amended Eff. July 1, 2004; May 1, 1989
• Repealed Eff. April 1, 2008.

21 NCAC 32B .0205 Citizenship

History

• Status: repealed
• Filed as a Temporary Repeal Eff. February 16, 1990, for a period of 135 days to expire
• on July 1, 1990
• Filed as a Temporary Repeal Eff. September 5, 1989 for a period of 180 days to expire on
• March 3, 1990
• Filed as a Temporary Amendment Eff. January 31, 1985 for a period of 120 days to expire
• on May 30, 1985
• Statutory Authority G.S. 90-9
• Eff. February 1, 1976
• Amended Eff. November 1, 1985; May 1, 1985
• Recodified from 21 NCAC 32B .0105 Eff. April 5, 1989
• Amended Eff. May 1, 1989
• ARRC Objection Lodged October 19, 1989
• ARRC Objection Lodged March 15, 1990
• Repealed Eff. May 1, 1990.

21 NCAC 32B .0206 Application Forms

History

• Status: repealed
• Authority G.S. 90-9; 90-11
• Eff. February 1, 1976
• Amended Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0106 Eff. April 5, 1989
• Recodified from 21 NCAC 32B .0107 Eff. April 5, 1989
• Amended Eff. July 1, 2004; May 1, 1989
• Repealed Eff. April 1, 2008.

21 NCAC 32B .0207 Letters of Recommendation

History

• Status: repealed
• Authority G.S. 90-9; 90-11
• Eff. February 1, 1976
• Amended Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0106 Eff. April 5, 1989
• Recodified from 21 NCAC 32B .0107 Eff. April 5, 1989
• Amended Eff. July 1, 2004; May 1, 1989
• Repealed Eff. April 1, 2008.

21 NCAC 32B .0208 Military Status

History

• Status: repealed
• Authority G.S. 90-9
• Eff. February 1, 1976
• Recodified from 21 NCAC 32B .0108 Eff. April 5, 1989
• Repealed Eff. May 1, 1989.

21 NCAC 32B .0209 Fee

History

• Status: repealed
• Authority G.S. 90-15
• Eff. February 1, 1976
• Amended Eff. December 1, 1984
• Temporary Amendment Eff. January 31, 1985 for a period of 120 days to expire on May 30, 1985
• Amended Eff. March 1, 1989; December 1, 1985; May 1, 1985
• Recodified From 21 NCAC 32B .0109 Eff. April 5, 1989
• Amended Eff. July 1, 2007; July 1, 2004; April 1, 1994; July 1, 1993; May 1, 1989
• Repealed Eff. April 1, 2008.

21 NCAC 32B .0210 Required Application Materials

History

• Status: repealed
• Authority G.S. 90-9
• Eff. February 1, 1976
• Temporary Amendment Eff. January 31, 1985 for a period of 120 days to expire on May 30, 1985
• Amended Eff. September 1, 1987; November 1, 1985; May 1, 1985
• Recodified from 21 NCAC 32B .0110 Eff. April 5, 1989
• Amended Eff. July 1, 2004; July 1, 1993; May 1, 1989
• Repealed Eff. April 1, 2008.

21 NCAC 32B .0211 Passing Score

History

• Status: repealed
• Authority G.S. 90-9; 90-12; 90-15
• Eff. February 1, 1976
• Amended Eff. January 1, 1983; November 8, 1977
• Temporary Amendment Eff. January 31, 1985 for a period of 120 days to expire on May 30, 1985
• Amended Eff. November 1, 1985; May 1, 1985
• Recodified from 21 NCAC 32B .0111 Eff. April 5, 1989
• Amended Eff. September 1, 2007; July 1, 2004; July 1, 1993; May 1, 1989
• Repealed Eff. April 1, 2008.

21 NCAC 32B .0212 Examination Times

History

• Status: repealed
• Authority G.S. 90-5
• Eff. February 1, 1976
• Recodified from 21 NCAC 32B .0112 Eff. April 5, 1989
• Amended Eff. July 1, 2004; April 1, 1994; July 1, 1993; May 1, 1985
• Repealed Eff. April 1, 2008.

21 NCAC 32B .0213 Graduate Medical Education and Training for Licensure

History

• Status: repealed
• Authority G.S. 90-9
• Eff. November 8, 1977
• Amended Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0113 Eff. April 5, 1989
• Amended Eff. July 1, 2007; July 1, 2004; July 1, 1993; May 1, 1989
• Repealed Eff. April 1, 2008.

21 NCAC 32B .0214 Personal Interview

History

• Status: repealed
• Authority G.S. 90-6
• Eff. May 1, 1985
• Temporary Rule Eff. January 31, 1985 for a period of 120 days to expire on May 30, 1985
• Amended Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0114 Eff. April 5, 1989
• Amended Eff. May 1, 1989
• Temporary Amendment Eff. September 5, 1989 for a period of 180 days to expire on March 3, 1990
• ARRC Objection Lodged October 19, 1989
• Temporary Amendment Eff. February 16, 1990, for a period of 135 days to expire on July 1, 1990
• ARRC Objection Lodged March 15, 1990
• Amended Eff. July 1, 2004; September 1, 1995; July 1, 1993; May 1, 1990
• Repealed Eff. April 1, 2008.

21 NCAC 32B .0215 Examination Combinations

History

• Status: repealed
• Authority G.S. 90-6; 90-9; 90-11
• Eff. July 1, 1993
• Repealed Eff. July 1, 2004.

21 NCAC 32B .0301 Medical Education

History

• Status: repealed
• Authority G.S. 90-6; 90-9; 90-10; 90-13
• Eff. February 1, 1976
• Amended Eff. January 1, 1983; October 29, 1979
• Temporary Amendment Eff. January 31, 1985 for a period of 120 days to expire on May 30, 1985
• Amended Eff. March 1, 1987; November 1, 1985; May 1, 1985
• Recodified from 21 NCAC 32B .0201 Eff. April 5, 1989; (Rule .0301)
• Recodified from 21 NCAC 32B .0202 Eff. April 5, 1989; (Rule .0302)
• Amended Eff. July 1, 2004; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0302 Ecfmg Certification

History

• Status: repealed
• Authority G.S. 90-6; 90-9; 90-10; 90-13
• Eff. February 1, 1976
• Amended Eff. January 1, 1983; October 29, 1979
• Temporary Amendment Eff. January 31, 1985 for a period of 120 days to expire on May 30, 1985
• Amended Eff. March 1, 1987; November 1, 1985; May 1, 1985
• Recodified from 21 NCAC 32B .0201 Eff. April 5, 1989; (Rule .0301)
• Recodified from 21 NCAC 32B .0202 Eff. April 5, 1989; (Rule .0302)
• Amended Eff. July 1, 2004; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0303 Citizenship

History

• Status: repealed
• Filed as a Temporary Repeal Eff. February 16,1990, for a period of 135 days to expire on
• July 1, 1990
• Filed as a Temporary Repeal Eff. September 5, 1989 for a period of 180 days to expire on
• March 3, 1990
• Statutory Authority G.S. 90-13
• Eff. February 1, 1976
• Amended Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0203 Eff. April 5, 1989
• Amended Eff. May 1, 1989
• ARRC Objection Lodged October 19, 1989
• ARRC Objection Lodged March 15, 1990
• Repealed Eff. May 1, 1990.

21 NCAC 32B .0304 Application Forms

History

• Status: repealed
• Authority G.S. 90-8.1; 90-9.1(c); 90-10; 90-13; 90-15
• Eff. February 1, 1976
• Amended Eff. November 1, 1985; December 1, 1984; November 1, 1982
• Recodified from 21 NCAC 32B .0204 Eff. April 5, 1989; (Rule .0304)
• Recodified from 21 NCAC 32B .0205 Eff. April 5, 1989; (Rule .0305)
• Recodified from 21 NCAC 32B .0206 Eff. April 5, 1989; (Rule .0306)
• Recodified from 21 NCAC 32B .0207 Eff. April 5, 1989; (Rule .0307)
• Recodified from 21 NCAC 32B .0208 Eff. April 5, 1989; (Rule .0308)
• Amended Eff. August 1, 2008; July 1, 2007; July 1, 2004; February 1, 1995; April 1, 1994; January 1, 1992; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0305 Examination Basis for Endorsement

History

• Status: repealed
• Authority G.S. 90-8.1; 90-9.1(c); 90-10; 90-13; 90-15
• Eff. February 1, 1976
• Amended Eff. November 1, 1985; December 1, 1984; November 1, 1982
• Recodified from 21 NCAC 32B .0204 Eff. April 5, 1989; (Rule .0304)
• Recodified from 21 NCAC 32B .0205 Eff. April 5, 1989; (Rule .0305)
• Recodified from 21 NCAC 32B .0206 Eff. April 5, 1989; (Rule .0306)
• Recodified from 21 NCAC 32B .0207 Eff. April 5, 1989; (Rule .0307)
• Recodified from 21 NCAC 32B .0208 Eff. April 5, 1989; (Rule .0308)
• Amended Eff. August 1, 2008; July 1, 2007; July 1, 2004; February 1, 1995; April 1, 1994; January 1, 1992; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0306 Letters of Recommendation

History

• Status: repealed
• Authority G.S. 90-8.1; 90-9.1(c); 90-10; 90-13; 90-15
• Eff. February 1, 1976
• Amended Eff. November 1, 1985; December 1, 1984; November 1, 1982
• Recodified from 21 NCAC 32B .0204 Eff. April 5, 1989; (Rule .0304)
• Recodified from 21 NCAC 32B .0205 Eff. April 5, 1989; (Rule .0305)
• Recodified from 21 NCAC 32B .0206 Eff. April 5, 1989; (Rule .0306)
• Recodified from 21 NCAC 32B .0207 Eff. April 5, 1989; (Rule .0307)
• Recodified from 21 NCAC 32B .0208 Eff. April 5, 1989; (Rule .0308)
• Amended Eff. August 1, 2008; July 1, 2007; July 1, 2004; February 1, 1995; April 1, 1994; January 1, 1992; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0307 Certified Photograph and Certification of Graduation

History

• Status: repealed
• Authority G.S. 90-8.1; 90-9.1(c); 90-10; 90-13; 90-15
• Eff. February 1, 1976
• Amended Eff. November 1, 1985; December 1, 1984; November 1, 1982
• Recodified from 21 NCAC 32B .0204 Eff. April 5, 1989; (Rule .0304)
• Recodified from 21 NCAC 32B .0205 Eff. April 5, 1989; (Rule .0305)
• Recodified from 21 NCAC 32B .0206 Eff. April 5, 1989; (Rule .0306)
• Recodified from 21 NCAC 32B .0207 Eff. April 5, 1989; (Rule .0307)
• Recodified from 21 NCAC 32B .0208 Eff. April 5, 1989; (Rule .0308)
• Amended Eff. August 1, 2008; July 1, 2007; July 1, 2004; February 1, 1995; April 1, 1994; January 1, 1992; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0308 Fee

History

• Status: repealed
• Authority G.S. 90-8.1; 90-9.1(c); 90-10; 90-13; 90-15
• Eff. February 1, 1976
• Amended Eff. November 1, 1985; December 1, 1984; November 1, 1982
• Recodified from 21 NCAC 32B .0204 Eff. April 5, 1989; (Rule .0304)
• Recodified from 21 NCAC 32B .0205 Eff. April 5, 1989; (Rule .0305)
• Recodified from 21 NCAC 32B .0206 Eff. April 5, 1989; (Rule .0306)
• Recodified from 21 NCAC 32B .0207 Eff. April 5, 1989; (Rule .0307)
• Recodified from 21 NCAC 32B .0208 Eff. April 5, 1989; (Rule .0308)
• Amended Eff. August 1, 2008; July 1, 2007; July 1, 2004; February 1, 1995; April 1, 1994; January 1, 1992; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0309 Personal Interview

History

• Status: repealed
• Authority G.S. 90-13
• Eff. February 1, 1976
• Amended Eff. November 1, 1985; November 8, 1977
• Recodified from 21 NCAC 32B .0209 Eff. April 5, 1989
• Amended Eff. May 1, 1989
• ARRC Objection Lodged October 19, 1989
• Temporary Amendment Eff. September 5, 1989 for a period of 180 days to expire on March 3, 1990
• Temporary Amendment Eff. February 16, 1990, for a period of 135 days to expire on July 1, 1990
• ARRC Objection Lodged March 15, 1990
• Amended Eff. May 1, 1990
• Temporary Amendment Eff. February 15, 1991 for a period of 180 days to expire on August 15, 1991
• ARRC Objection Lodged February 25, 1991
• Temporary Amendment Expired August 15, 1991
• Amended Eff. July 1, 2004; September 1, 1995; July 1, 1993; September 1, 1991
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0310 Deadline

Amended Eff. May 1, 1989;

Repealed Eff. July 1, 2004.

History

• Authority G.S. 90-6
• Eff. February 1, 1976
• Amended Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0210 Eff. April 5, 1989

21 NCAC 32B .0311 Endorsement Relations

History

• Status: repealed
• Authority G.S. 90-6; 90-11; 90-13
• Eff. February 1, 1976
• Amended Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0212 Eff. April 5, 1989; (Rule .0312)
• Recodified from 21 NCAC 32B .0211 Eff. April 5, 1989; (Rule .0311)
• Amended Eff. October 1, 2006; July 1, 2004; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0312 Routine Inquiries

History

• Status: repealed
• Authority G.S. 90-6; 90-11; 90-13
• Eff. February 1, 1976
• Amended Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0212 Eff. April 5, 1989; (Rule .0312)
• Recodified from 21 NCAC 32B .0211 Eff. April 5, 1989; (Rule .0311)
• Amended Eff. October 1, 2006; July 1, 2004; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0313 Graduate Medical Education and Training

History

• Status: repealed
• Authority G.S. 90-13
• Eff. November 8, 1977
• Amended Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0213 Eff. April 5, 1989
• Amended Eff. July 1, 2004; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0314 Passing Exam Score

History

• Status: repealed
• Authority G.S. 90-6; 90-10; 90-13
• Eff. January 1, 1983
• Temporary Amendment Eff. January 31, 1985 for a period of 120 days to expire on May 30, 1985
• Amended Eff. November 1, 1985; May 1, 1985
• Recodified from 21 NCAC 32B .0214 Eff. April 5, 1989
• Amended Eff. September 1, 2007; October 1, 2006; July 1, 2004; July 1, 1993; January 1, 1992; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0315 Ten-Year Qualification

Amended Eff. July 1, 2004; February 1, 1995; July 1, 1993; January 1, 1992;

Repealed August 1, 2010.

History

• Authority G.S. 90-11; 90-13
• Eff. March 1, 1991

21 NCAC 32B .0316 Spex Fee

History

• Status: repealed
• Authority G.S. 90-15
• Eff. March 1, 1991
• Repealed Eff. July 1, 2004.

21 NCAC 32B .0401 Credentials

History

• Status: repealed
• Authority G.S. 90-13; 90-15
• Eff. February 1, 1976
• Amended Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0301 Eff. April 5, 1989 (Rule .0401)
• Recodified from 21 NCAC 32B .0302 Eff. April 5, 1989 (Rule .0402)
• Amended Eff. April 1, 1994; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0402 Temporary License Fee

History

• Status: repealed
• Authority G.S. 90-13; 90-15
• Eff. February 1, 1976
• Amended Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0301 Eff. April 5, 1989 (Rule .0401)
• Recodified from 21 NCAC 32B .0302 Eff. April 5, 1989 (Rule .0402)
• Amended Eff. April 1, 1994; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0403 Hardship

History

• Status: repealed
• Authority G.S. 90-13
• Eff. February 1, 1976
• Amended Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0303 Eff. April 5, 1989
• Repealed Eff. May 1, 1989.

21 NCAC 32B .0404 Citizenship

History

• Status: repealed
• Filed as a Temporary Amendment Eff. January 31, 1985 For a Period of 120 Days to Expire
• on May 30, 1985
• Statutory Authority G.S. 90-6; 90-10; 90-13; 90-15
• Eff. February 1, 1976
• Amended Eff. May 1, 1985; December 1, 1984; January 1, 1983; October 29, 1979
• Repealed Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0304-.0313 Eff. April 5, 1989.

21 NCAC 32B .0405 State Board Inquiries

History

• Status: repealed
• Filed as a Temporary Amendment Eff. January 31, 1985 For a Period of 120 Days to Expire
• on May 30, 1985
• Statutory Authority G.S. 90-6; 90-10; 90-13; 90-15
• Eff. February 1, 1976
• Amended Eff. May 1, 1985; December 1, 1984; January 1, 1983; October 29, 1979
• Repealed Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0304-.0313 Eff. April 5, 1989.

21 NCAC 32B .0406 Ama Report

History

• Status: repealed
• Filed as a Temporary Amendment Eff. January 31, 1985 For a Period of 120 Days to Expire
• on May 30, 1985
• Statutory Authority G.S. 90-6; 90-10; 90-13; 90-15
• Eff. February 1, 1976
• Amended Eff. May 1, 1985; December 1, 1984; January 1, 1983; October 29, 1979
• Repealed Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0304-.0313 Eff. April 5, 1989.

21 NCAC 32B .0407 Dea Report

History

• Status: repealed
• Filed as a Temporary Amendment Eff. January 31, 1985 For a Period of 120 Days to Expire
• on May 30, 1985
• Statutory Authority G.S. 90-6; 90-10; 90-13; 90-15
• Eff. February 1, 1976
• Amended Eff. May 1, 1985; December 1, 1984; January 1, 1983; October 29, 1979
• Repealed Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0304-.0313 Eff. April 5, 1989.

21 NCAC 32B .0408 Military Status

History

• Status: repealed
• Filed as a Temporary Amendment Eff. January 31, 1985 For a Period of 120 Days to Expire
• on May 30, 1985
• Statutory Authority G.S. 90-6; 90-10; 90-13; 90-15
• Eff. February 1, 1976
• Amended Eff. May 1, 1985; December 1, 1984; January 1, 1983; October 29, 1979
• Repealed Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0304-.0313 Eff. April 5, 1989.

21 NCAC 32B .0409 Foreign Medical Graduates

History

• Status: repealed
• Filed as a Temporary Amendment Eff. January 31, 1985 For a Period of 120 Days to Expire
• on May 30, 1985
• Statutory Authority G.S. 90-6; 90-10; 90-13; 90-15
• Eff. February 1, 1976
• Amended Eff. May 1, 1985; December 1, 1984; January 1, 1983; October 29, 1979
• Repealed Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0304-.0313 Eff. April 5, 1989.

21 NCAC 32B .0410 Fee

History

• Status: repealed
• Filed as a Temporary Amendment Eff. January 31, 1985 For a Period of 120 Days to Expire
• on May 30, 1985
• Statutory Authority G.S. 90-6; 90-10; 90-13; 90-15
• Eff. February 1, 1976
• Amended Eff. May 1, 1985; December 1, 1984; January 1, 1983; October 29, 1979
• Repealed Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0304-.0313 Eff. April 5, 1989.

21 NCAC 32B .0411 Hardship

History

• Status: repealed
• Filed as a Temporary Amendment Eff. January 31, 1985 For a Period of 120 Days to Expire
• on May 30, 1985
• Statutory Authority G.S. 90-6; 90-10; 90-13; 90-15
• Eff. February 1, 1976
• Amended Eff. May 1, 1985; December 1, 1984; January 1, 1983; October 29, 1979
• Repealed Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0304-.0313 Eff. April 5, 1989.

21 NCAC 32B .0412 Personal Appearance

History

• Status: repealed
• Filed as a Temporary Amendment Eff. January 31, 1985 For a Period of 120 Days to Expire
• on May 30, 1985
• Statutory Authority G.S. 90-6; 90-10; 90-13; 90-15
• Eff. February 1, 1976
• Amended Eff. May 1, 1985; December 1, 1984; January 1, 1983; October 29, 1979
• Repealed Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0304-.0313 Eff. April 5, 1989.

21 NCAC 32B .0413 Board Interview

History

• Status: repealed
• Filed as a Temporary Amendment Eff. January 31, 1985 For a Period of 120 Days to Expire
• on May 30, 1985
• Statutory Authority G.S. 90-6; 90-10; 90-13; 90-15
• Eff. February 1, 1976
• Amended Eff. May 1, 1985; December 1, 1984; January 1, 1983; October 29, 1979
• Repealed Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0304-.0313 Eff. April 5, 1989.

21 NCAC 32B .0414 Postgraduate Training

History

• Status: repealed
• Authority G.S. 90-13
• Eff. November 8, 1977
• Repealed Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0314 Eff. April 5, 1989.

21 NCAC 32B .0415 Passing Flex Score

History

• Status: repealed
• Filed as a Temporary Amendment Eff. January 31, 1985 For a Period of 120 Days to Expire
• on May 30, 1985
• Statutory Authority G.S. 90-6; 90-10; 90-13
• Eff. January 1, 1983
• Amended Eff. May 1, 1985
• Repealed Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0315 Eff. April 5, 1989.

21 NCAC 32B .0501 Application Form

History

• Status: repealed
• Authority G.S. 90-15
• Eff. February 1, 1976
• Amended Eff. November 1, 1985; December 1, 1984; October 29, 1979
• Recodified from 21 NCAC 32B .0401 Eff. April 5, 1989 (Rule .0501)
• Recodified from 21 NCAC 32B .0402 Eff. April 5, 1989 (Rule .0502)
• Recodified from 21 NCAC 32B .0403 Eff. April 5, 1989 (Rule .0503)
• Recodified from 21 NCAC 32B .0404 Eff. April 5, 1989 (Rule .0504)
• Recodified from 21 NCAC 32B .0405 Eff. April 5, 1989 (Rule .0505)
• Recodified from 21 NCAC 32B .0406 Eff. April 5, 1989 (Rule .0506)
• Recodified form 21 NCAC 32B .0407 Eff. April 5, 1989 (Rule .0507)
• Amended Eff. July 1, 2007; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0502 Certification of Graduation

History

• Status: repealed
• Authority G.S. 90-15
• Eff. February 1, 1976
• Amended Eff. November 1, 1985; December 1, 1984; October 29, 1979
• Recodified from 21 NCAC 32B .0401 Eff. April 5, 1989 (Rule .0501)
• Recodified from 21 NCAC 32B .0402 Eff. April 5, 1989 (Rule .0502)
• Recodified from 21 NCAC 32B .0403 Eff. April 5, 1989 (Rule .0503)
• Recodified from 21 NCAC 32B .0404 Eff. April 5, 1989 (Rule .0504)
• Recodified from 21 NCAC 32B .0405 Eff. April 5, 1989 (Rule .0505)
• Recodified from 21 NCAC 32B .0406 Eff. April 5, 1989 (Rule .0506)
• Recodified form 21 NCAC 32B .0407 Eff. April 5, 1989 (Rule .0507)
• Amended Eff. July 1, 2007; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0503 Certified Photograph

History

• Status: repealed
• Authority G.S. 90-15
• Eff. February 1, 1976
• Amended Eff. November 1, 1985; December 1, 1984; October 29, 1979
• Recodified from 21 NCAC 32B .0401 Eff. April 5, 1989 (Rule .0501)
• Recodified from 21 NCAC 32B .0402 Eff. April 5, 1989 (Rule .0502)
• Recodified from 21 NCAC 32B .0403 Eff. April 5, 1989 (Rule .0503)
• Recodified from 21 NCAC 32B .0404 Eff. April 5, 1989 (Rule .0504)
• Recodified from 21 NCAC 32B .0405 Eff. April 5, 1989 (Rule .0505)
• Recodified from 21 NCAC 32B .0406 Eff. April 5, 1989 (Rule .0506)
• Recodified form 21 NCAC 32B .0407 Eff. April 5, 1989 (Rule .0507)
• Amended Eff. July 1, 2007; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0504 Letters of Recommendation

History

• Status: repealed
• Authority G.S. 90-15
• Eff. February 1, 1976
• Amended Eff. November 1, 1985; December 1, 1984; October 29, 1979
• Recodified from 21 NCAC 32B .0401 Eff. April 5, 1989 (Rule .0501)
• Recodified from 21 NCAC 32B .0402 Eff. April 5, 1989 (Rule .0502)
• Recodified from 21 NCAC 32B .0403 Eff. April 5, 1989 (Rule .0503)
• Recodified from 21 NCAC 32B .0404 Eff. April 5, 1989 (Rule .0504)
• Recodified from 21 NCAC 32B .0405 Eff. April 5, 1989 (Rule .0505)
• Recodified from 21 NCAC 32B .0406 Eff. April 5, 1989 (Rule .0506)
• Recodified form 21 NCAC 32B .0407 Eff. April 5, 1989 (Rule .0507)
• Amended Eff. July 1, 2007; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0505 Appointment Letter

History

• Status: repealed
• Authority G.S. 90-15
• Eff. February 1, 1976
• Amended Eff. November 1, 1985; December 1, 1984; October 29, 1979
• Recodified from 21 NCAC 32B .0401 Eff. April 5, 1989 (Rule .0501)
• Recodified from 21 NCAC 32B .0402 Eff. April 5, 1989 (Rule .0502)
• Recodified from 21 NCAC 32B .0403 Eff. April 5, 1989 (Rule .0503)
• Recodified from 21 NCAC 32B .0404 Eff. April 5, 1989 (Rule .0504)
• Recodified from 21 NCAC 32B .0405 Eff. April 5, 1989 (Rule .0505)
• Recodified from 21 NCAC 32B .0406 Eff. April 5, 1989 (Rule .0506)
• Recodified form 21 NCAC 32B .0407 Eff. April 5, 1989 (Rule .0507)
• Amended Eff. July 1, 2007; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0506 Fee

History

• Status: repealed
• Authority G.S. 90-15
• Eff. February 1, 1976
• Amended Eff. November 1, 1985; December 1, 1984; October 29, 1979
• Recodified from 21 NCAC 32B .0401 Eff. April 5, 1989 (Rule .0501)
• Recodified from 21 NCAC 32B .0402 Eff. April 5, 1989 (Rule .0502)
• Recodified from 21 NCAC 32B .0403 Eff. April 5, 1989 (Rule .0503)
• Recodified from 21 NCAC 32B .0404 Eff. April 5, 1989 (Rule .0504)
• Recodified from 21 NCAC 32B .0405 Eff. April 5, 1989 (Rule .0505)
• Recodified from 21 NCAC 32B .0406 Eff. April 5, 1989 (Rule .0506)
• Recodified form 21 NCAC 32B .0407 Eff. April 5, 1989 (Rule .0507)
• Amended Eff. July 1, 2007; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0507 Ecfmg Certification

History

• Status: repealed
• Authority G.S. 90-15
• Eff. February 1, 1976
• Amended Eff. November 1, 1985; December 1, 1984; October 29, 1979
• Recodified from 21 NCAC 32B .0401 Eff. April 5, 1989 (Rule .0501)
• Recodified from 21 NCAC 32B .0402 Eff. April 5, 1989 (Rule .0502)
• Recodified from 21 NCAC 32B .0403 Eff. April 5, 1989 (Rule .0503)
• Recodified from 21 NCAC 32B .0404 Eff. April 5, 1989 (Rule .0504)
• Recodified from 21 NCAC 32B .0405 Eff. April 5, 1989 (Rule .0505)
• Recodified from 21 NCAC 32B .0406 Eff. April 5, 1989 (Rule .0506)
• Recodified form 21 NCAC 32B .0407 Eff. April 5, 1989 (Rule .0507)
• Amended Eff. July 1, 2007; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0508 Medical Education

History

• Status: repealed
• Authority G.S. 90-15
• Eff. December 1, 1985
• Recodified from 21 NCAC 32B .0408 Eff. April 5, 1989
• Amended Eff. August 1, 2002; May 1, 1990; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0601 Application and Limitation

History

• Status: repealed
• Authority G.S. 90-12
• Eff. February 1, 1976
• Amended Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0501 Eff. April 5, 1989 (Rule .0601)
• Recodified from 21 NCAC 32B .0502 Eff. April 5, 1989 (Rule .0602)
• Amended Eff. May 1, 1989
• Repealed Eff. March 1, 2011.

21 NCAC 32B .0602 Certification of Graduation

History

• Status: repealed
• Authority G.S. 90-12
• Eff. February 1, 1976
• Amended Eff. November 1, 1985
• Recodified from 21 NCAC 32B .0501 Eff. April 5, 1989 (Rule .0601)
• Recodified from 21 NCAC 32B .0502 Eff. April 5, 1989 (Rule .0602)
• Amended Eff. May 1, 1989
• Repealed Eff. March 1, 2011.

21 NCAC 32B .0603 Certified Photograph

History

• Status: repealed
• Authority G.S. 90-11; 90-12; 90-15
• Eff. February 1, 1976
• Amended Eff. November 1, 1985; December 1, 1984; October 29, 1979
• Recodified from 21 NCAC 32B .0503 Eff. April 5, 1989 (Rule .0603)
• Recodified from 21 NCAC 32B .0504 Eff. April 5, 1989 (Rule .0604)
• Recodified from 21 NCAC 32B .0505 Eff. April 5, 1989 (Rule .0605)
• Recodified from 21 NCAC 32B .0506 Eff. April 5, 1989 (Rule .0606)
• Recodified from 21 NCAC 32B .0507 Eff. April 5, 1989 (Rule .0607)
• Recodified from 21 NCAC 32B .0508 Eff. April 5, 1989 (Rule .0608)
• Amended Eff. July 1, 2004; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0604 Letters of Recommendation

History

• Status: repealed
• Authority G.S. 90-11; 90-12; 90-15
• Eff. February 1, 1976
• Amended Eff. November 1, 1985; December 1, 1984; October 29, 1979
• Recodified from 21 NCAC 32B .0503 Eff. April 5, 1989 (Rule .0603)
• Recodified from 21 NCAC 32B .0504 Eff. April 5, 1989 (Rule .0604)
• Recodified from 21 NCAC 32B .0505 Eff. April 5, 1989 (Rule .0605)
• Recodified from 21 NCAC 32B .0506 Eff. April 5, 1989 (Rule .0606)
• Recodified from 21 NCAC 32B .0507 Eff. April 5, 1989 (Rule .0607)
• Recodified from 21 NCAC 32B .0508 Eff. April 5, 1989 (Rule .0608)
• Amended Eff. July 1, 2004; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0605 Diploma of Psychological Medicine

History

• Status: repealed
• Authority G.S. 90-11; 90-12; 90-15
• Eff. February 1, 1976
• Amended Eff. November 1, 1985; December 1, 1984; October 29, 1979
• Recodified from 21 NCAC 32B .0503 Eff. April 5, 1989 (Rule .0603)
• Recodified from 21 NCAC 32B .0504 Eff. April 5, 1989 (Rule .0604)
• Recodified from 21 NCAC 32B .0505 Eff. April 5, 1989 (Rule .0605)
• Recodified from 21 NCAC 32B .0506 Eff. April 5, 1989 (Rule .0606)
• Recodified from 21 NCAC 32B .0507 Eff. April 5, 1989 (Rule .0607)
• Recodified from 21 NCAC 32B .0508 Eff. April 5, 1989 (Rule .0608)
• Amended Eff. July 1, 2004; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0606 Fee

History

• Status: repealed
• Authority G.S. 90-11; 90-12; 90-15
• Eff. February 1, 1976
• Amended Eff. November 1, 1985; December 1, 1984; October 29, 1979
• Recodified from 21 NCAC 32B .0503 Eff. April 5, 1989 (Rule .0603)
• Recodified from 21 NCAC 32B .0504 Eff. April 5, 1989 (Rule .0604)
• Recodified from 21 NCAC 32B .0505 Eff. April 5, 1989 (Rule .0605)
• Recodified from 21 NCAC 32B .0506 Eff. April 5, 1989 (Rule .0606)
• Recodified from 21 NCAC 32B .0507 Eff. April 5, 1989 (Rule .0607)
• Recodified from 21 NCAC 32B .0508 Eff. April 5, 1989 (Rule .0608)
• Amended Eff. July 1, 2004; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0607 Ecfmg Certification

History

• Status: repealed
• Authority G.S. 90-11; 90-12; 90-15
• Eff. February 1, 1976
• Amended Eff. November 1, 1985; December 1, 1984; October 29, 1979
• Recodified from 21 NCAC 32B .0503 Eff. April 5, 1989 (Rule .0603)
• Recodified from 21 NCAC 32B .0504 Eff. April 5, 1989 (Rule .0604)
• Recodified from 21 NCAC 32B .0505 Eff. April 5, 1989 (Rule .0605)
• Recodified from 21 NCAC 32B .0506 Eff. April 5, 1989 (Rule .0606)
• Recodified from 21 NCAC 32B .0507 Eff. April 5, 1989 (Rule .0607)
• Recodified from 21 NCAC 32B .0508 Eff. April 5, 1989 (Rule .0608)
• Amended Eff. July 1, 2004; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0608 Personal Interview

History

• Status: repealed
• Authority G.S. 90-11; 90-12; 90-15
• Eff. February 1, 1976
• Amended Eff. November 1, 1985; December 1, 1984; October 29, 1979
• Recodified from 21 NCAC 32B .0503 Eff. April 5, 1989 (Rule .0603)
• Recodified from 21 NCAC 32B .0504 Eff. April 5, 1989 (Rule .0604)
• Recodified from 21 NCAC 32B .0505 Eff. April 5, 1989 (Rule .0605)
• Recodified from 21 NCAC 32B .0506 Eff. April 5, 1989 (Rule .0606)
• Recodified from 21 NCAC 32B .0507 Eff. April 5, 1989 (Rule .0607)
• Recodified from 21 NCAC 32B .0508 Eff. April 5, 1989 (Rule .0608)
• Amended Eff. July 1, 2004; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0701 Request for the Certificate of Registration

History

• Status: repealed
• Authority G.S. 90-12; 90-15
• Eff. February 1, 1976
• Amended Eff. December 1, 1985; November 1, 1985; December 1, 1984
• Recodified from 21 NCAC 32B .0601 Eff. April 5, 1989 (Rule .0701)
• Recodified from 21 NCAC 32B .0602 Eff. April 5, 1989 (Rule .0702)
• Recodified from 21 NCAC 32B .0603 Eff. April 5, 1989 (Rule .0703)
• Recodified from 21 NCAC 32B .0604 Eff. April 5, 1989 (Rule .0704)
• Recodified from 21 NCAC 32B .0605 Eff. April 5, 1989 (Rule .0705)
• Recodified from 21 NCAC 32B .0606 Eff. April 5, 1989 (Rule .0706)
• Amended Eff. July 1, 2004; September 1, 1995; April 1, 1994; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0702 Medical Licensure

History

• Status: repealed
• Authority G.S. 90-12; 90-15
• Eff. February 1, 1976
• Amended Eff. December 1, 1985; November 1, 1985; December 1, 1984
• Recodified from 21 NCAC 32B .0601 Eff. April 5, 1989 (Rule .0701)
• Recodified from 21 NCAC 32B .0602 Eff. April 5, 1989 (Rule .0702)
• Recodified from 21 NCAC 32B .0603 Eff. April 5, 1989 (Rule .0703)
• Recodified from 21 NCAC 32B .0604 Eff. April 5, 1989 (Rule .0704)
• Recodified from 21 NCAC 32B .0605 Eff. April 5, 1989 (Rule .0705)
• Recodified from 21 NCAC 32B .0606 Eff. April 5, 1989 (Rule .0706)
• Amended Eff. July 1, 2004; September 1, 1995; April 1, 1994; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0703 Limitation

History

• Status: repealed
• Authority G.S. 90-12; 90-15
• Eff. February 1, 1976
• Amended Eff. December 1, 1985; November 1, 1985; December 1, 1984
• Recodified from 21 NCAC 32B .0601 Eff. April 5, 1989 (Rule .0701)
• Recodified from 21 NCAC 32B .0602 Eff. April 5, 1989 (Rule .0702)
• Recodified from 21 NCAC 32B .0603 Eff. April 5, 1989 (Rule .0703)
• Recodified from 21 NCAC 32B .0604 Eff. April 5, 1989 (Rule .0704)
• Recodified from 21 NCAC 32B .0605 Eff. April 5, 1989 (Rule .0705)
• Recodified from 21 NCAC 32B .0606 Eff. April 5, 1989 (Rule .0706)
• Amended Eff. July 1, 2004; September 1, 1995; April 1, 1994; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0704 Duration

History

• Status: repealed
• Authority G.S. 90-12; 90-15
• Eff. February 1, 1976
• Amended Eff. December 1, 1985; November 1, 1985; December 1, 1984
• Recodified from 21 NCAC 32B .0601 Eff. April 5, 1989 (Rule .0701)
• Recodified from 21 NCAC 32B .0602 Eff. April 5, 1989 (Rule .0702)
• Recodified from 21 NCAC 32B .0603 Eff. April 5, 1989 (Rule .0703)
• Recodified from 21 NCAC 32B .0604 Eff. April 5, 1989 (Rule .0704)
• Recodified from 21 NCAC 32B .0605 Eff. April 5, 1989 (Rule .0705)
• Recodified from 21 NCAC 32B .0606 Eff. April 5, 1989 (Rule .0706)
• Amended Eff. July 1, 2004; September 1, 1995; April 1, 1994; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0705 Personal Interview

History

• Status: repealed
• Authority G.S. 90-12; 90-15
• Eff. February 1, 1976
• Amended Eff. December 1, 1985; November 1, 1985; December 1, 1984
• Recodified from 21 NCAC 32B .0601 Eff. April 5, 1989 (Rule .0701)
• Recodified from 21 NCAC 32B .0602 Eff. April 5, 1989 (Rule .0702)
• Recodified from 21 NCAC 32B .0603 Eff. April 5, 1989 (Rule .0703)
• Recodified from 21 NCAC 32B .0604 Eff. April 5, 1989 (Rule .0704)
• Recodified from 21 NCAC 32B .0605 Eff. April 5, 1989 (Rule .0705)
• Recodified from 21 NCAC 32B .0606 Eff. April 5, 1989 (Rule .0706)
• Amended Eff. July 1, 2004; September 1, 1995; April 1, 1994; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0706 Fee for Visiting Professors Certificate of Registration

History

• Status: repealed
• Authority G.S. 90-12; 90-15
• Eff. February 1, 1976
• Amended Eff. December 1, 1985; November 1, 1985; December 1, 1984
• Recodified from 21 NCAC 32B .0601 Eff. April 5, 1989 (Rule .0701)
• Recodified from 21 NCAC 32B .0602 Eff. April 5, 1989 (Rule .0702)
• Recodified from 21 NCAC 32B .0603 Eff. April 5, 1989 (Rule .0703)
• Recodified from 21 NCAC 32B .0604 Eff. April 5, 1989 (Rule .0704)
• Recodified from 21 NCAC 32B .0605 Eff. April 5, 1989 (Rule .0705)
• Recodified from 21 NCAC 32B .0606 Eff. April 5, 1989 (Rule .0706)
• Amended Eff. July 1, 2004; September 1, 1995; April 1, 1994; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0707 Certified Photograph

History

• Status: repealed
• Authority G.S. 90-12
• Eff. March 1, 1988
• Recodified from 21 NCAC 32B .0607 Eff. April 5, 1989
• Amended Eff. May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0801 Definition of Practice

History

• Status: repealed
• Authority G.S. 90-12
• Eff. October 1, 1993
• Amended Eff. July 1, 2004; September 1, 1995
• Repealed Eff. March 1, 2011.

21 NCAC 32B .0802 Eligibility Requirements

History

• Status: repealed
• Authority G.S. 90-12
• Eff. October 1, 1993
• Amended Eff. July 1, 2004; September 1, 1995
• Repealed Eff. March 1, 2011.

21 NCAC 32B .0803 Application

History

• Status: repealed
• Authority G.S. 90-12
• Eff. October 1, 1993
• Amended Eff. July 1, 2004; September 1, 1995
• Repealed Eff. March 1, 2011.

21 NCAC 32B .0804 Fee

History

• Status: repealed
• Authority G.S. 90-12
• Eff. October 1, 1993
• Amended Eff. July 1, 2004; September 1, 1995
• Repealed Eff. March 1, 2011.

21 NCAC 32B .0805 Certified Photograph and Certificate of Graduation

History

• Status: repealed
• Authority G.S. 90-12
• Eff. October 1, 1993
• Amended Eff. July 1, 2004; September 1, 1995
• Repealed Eff. March 1, 2011.

21 NCAC 32B .0806 Verification of Medical Licensure

History

• Status: repealed
• Authority G.S. 90-12
• Eff. October 1, 1993
• Amended Eff. July 1, 2004; September 1, 1995
• Repealed Eff. March 1, 2011.

21 NCAC 32B .0807 Letters of Recommendation

History

• Status: repealed
• Authority G.S. 90-12
• Eff. October 1, 1993
• Amended Eff. July 1, 2004; September 1, 1995
• Repealed Eff. March 1, 2011.

21 NCAC 32B .0808 Personal Interview

History

• Status: repealed
• Authority G.S. 90-12
• Eff. October 1, 1993
• Amended Eff. July 1, 2004; September 1, 1995
• Repealed Eff. March 1, 2011.

21 NCAC 32B .0901 Definition of Practice

History

• Status: repealed
• Authority G.S. 90-13; 90-15
• Eff. December 1, 1995
• Repealed Eff. August 1, 2010.

21 NCAC 32B .0902 Qualification for Licensure

History

• Status: repealed
• Authority G.S. 90-13; 90-15
• Eff. December 1, 1995
• Repealed Eff. August 1, 2010.

21 NCAC 32B .1001 authority to prescribe

(a) A license to practice medicine issued under this Subchapter allows the physician to prescribe medications, including controlled substances, so long as the physician complies with all state and federal laws and regulations governing the writing and issuance of prescriptions.

(b) A physician must possess a valid United States Drug Enforcement Administration ("DEA") registration in order for the physician to supervise any other health professional (physician assistant, nurse practitioner, clinical pharmacist practitioner) with prescriptive authority for controlled substances. The DEA registration of the supervising physician must include the same schedule(s) of controlled substances as the supervised health professional's DEA registration.

(c) A physician shall not prescribe controlled substances, as defined by the state and federal controlled substance acts for:

(1) the physician's own use;

(2) the use of the physician's immediate family;

(3) the use of any other person living in the same residence as the licensee; or

(4) the use of any person with whom the physician is having a sexual relationship.

As used in this Paragraph, "immediate family" means a spouse, parent, child, sibling, parent-in-law, son-in-law or daughter-in-law, brother-in-law or sister-in-law, step-parent, step-child, step-sibling.

History

• Authority G.S. 90-2(a); 90-5.1
• Eff. June 1, 2007
• Amended Eff. August 1, 2012
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32B .1101 Application Forms

History

• Status: repealed
• Authority G.S. 90-6; 90-15.1
• Eff. January 1, 2008
• Repealed Eff. August 1, 2010.

21 NCAC 32B .1102 Fee

History

• Status: repealed
• Authority G.S. 90-6; 90-15.1
• Eff. February 5, 2008
• Repealed Eff. August 1, 2010.

21 NCAC 32B .1103 Personal Interview

History

• Status: repealed
• Authority G.S. 90-6; 90-14; 90-15.1
• Eff. January 1, 2008
• Repealed Eff. August 1, 2010.

21 NCAC 32B .1104 Routine Inquiries

History

• Status: repealed
• Authority G.S. 90-6; 90-14; 90-15.1
• Eff. January 1, 2008
• Repealed Eff. August 1, 2010.

21 NCAC 32B .1105 Cme

History

• Status: repealed
• Authority G.S. 90-6; 90-14; 90-15.1
• Eff. January 1, 2008
• Repealed Eff. August 1, 2010.

21 NCAC 32B .1201 Application Forms

History

• Status: repealed
• Authority G.S. 90-6; 90-14; 90-15.1
• Eff. January 1, 2008
• Repealed Eff. August 1, 2010.

21 NCAC 32B .1202 Letters of Recommendation

History

• Status: repealed
• Authority G.S. 90-6; 90-14; 90-15.1
• Eff. January 1, 2008
• Repealed Eff. August 1, 2010.

21 NCAC 32B .1203 Fee

History

• Status: repealed
• Authority G.S. 90-6; 90-14; 90-15.1
• Eff. February 5, 2008
• Repealed August 1, 2010.

21 NCAC 32B .1204 Personal Interview

History

• Status: repealed
• Authority G.S. 90-6; 90-14; 90-15.1
• Eff. January 1, 2008
• Repealed Eff. August 1, 2010.

21 NCAC 32B .1205 Routine Inquiries

History

• Status: repealed
• Authority G.S. 90-6; 90-14; 90-15.1
• Eff. January 1, 2008
• Repealed Eff. August 1, 2010.

21 NCAC 32B .1206 Ecfmg Certification

History

• Status: repealed
• Authority G.S. 90-6; 90-14; 90-15.1
• Eff. January 1, 2008
• Repealed Eff. August 1, 2010.

21 NCAC 32B .1207 Ten-Year Qualification

History

• Status: repealed
• Authority G.S. 90-6; 90-10; 90-14; 90-15.1
• Eff. February 1, 2008
• Repealed Eff. August 1, 2010.

21 NCAC 32B .1301 Definitions

The following definitions apply to Rules within this Subchapter:

(1) ABMS - American Board of Medical Specialties;

(2) ACGME – Accreditation Council for Graduate Medical Education;

(3) AMA – American Medical Association;

(4) AMA Physician's Recognition Award – American Medical Association recognition of achievement by physicians who have voluntarily completed programs of continuing medical education;

(5) AOA – American Osteopathic Association;

(6) AOIA – American Osteopathic Information Association;

(7) Area(s) of Practice – the medical or surgical specialty in which a physician or physician assistant has practiced or intends to practice;

(8) Board –The North Carolina Medical Board;

(9) CACMS – Committee for the Accreditation of Canadian Medical Schools;

(10) CAQ – Certificate of Added Qualification conferred by a specialty board recognized by the ABMS, the AOA, CCFP, FRCP or FRCS;

(11) CCFP – Certificant of the College of Family Physicians;

(12) CFPC – College of Family Physicians of Canada;

(13) COCA – Commission on Osteopathic Colleges Accreditation;

(14) Core Competencies – patient care; medical knowledge; communication; practice-based learning; systems-based care; and professionalism as defined by the ACGME;

(15) CME – Continuing Medical Education;

(16) COMLEX – Comprehensive Osteopathic Medical Licensure Examination;

(17) COMVEX – Comprehensive Osteopathic Medical Variable-Purpose Examination;

(18) ECFMG – Educational Commission for Foreign Medical Graduates;

(19) FCVS – Federation Credential Verification Service;

(20) Fifth Pathway – an avenue for licensure as defined in the AMA's Council on Medical Education Report 1-I-07;

(21) FLEX – Federation Licensing Examination;

(22) FRCP – Fellowship of the Royal College of Physicians of Canada;

(23) FRCS – Fellowship of the Royal College of Surgeons of Canada;

(24) FSMB – Federation of State Medical Boards;

(25) GME – Graduate Medical Education;

(26) HIPDB – Healthcare Integrity and Protection Data Bank;

(27) IMG – International Medical Graduate – a physician who has graduated from a medical or osteopathic school not approved by the LCME, the CACMS or COCA;

(28) Intensity of Practice – the number of hours, the number of years and the responsibilities involved in a person's medical practice;

(29) LCME – Liaison Commission on Medical Education;

(30) LMCC – Licentiate of the Medical Council of Canada;

(31) MCCQE – Medical Council of Canada Qualifying Examination;

(32) Mentoring Physician – a licensed physician with no public disciplinary record in the last 10 years, who is certified by an American Board of Medical Specialties ("ABMS"), the American Osteopathic Association ("AOA") or a board determined by the Medical Board to be equivalent to the ABMS or AOA and who practices in the same or similar area of practice into which the applicant for reentry is reentering. A mentoring physician must have had some experience as a medical educator or mentor, and shall have no conflicts of interest with the reentry applicant that would impair the mentoring physician's ability to provide an objective evaluation of the reentering licensee's competence;

(33) NBME – National Board of Medical Examiners;

(34) NBOME – National Board of Osteopathic Medical Examiners;

(35) NPDB – National Practitioner Data Bank;

(36) RCPSC – Royal College of Physicians and Surgeons of Canada;

(37) Reentry Plan – an individualized program of assessment, education and re-assessment intended to confirm the competence to practice in an intended area of practice of an applicant for reentry;

(38) Reentry Agreement – a public, non-disciplinary agreement which incorporates by reference the Reentry Plan;

(39) Reentry Period – the duration of Reentry Plan;

(40) SPEX – Special Purpose Examination; and

(41) USMLE – United States Medical Licensing Examination.

History

• Authority G.S. 90-8.1; 90-14(a)(11a)
• Eff. August 1, 2010
• Amended Eff. March 1, 2011
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32B .1302 Scope of Practice Under Physician License

A physician holding a Physician License may practice medicine and perform surgery in North Carolina.

History

• Authority G.S. 90-1.1
• Eff. August 1, 2010
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32B .1303 Application for Physician License

(a) In order to obtain a physician license, an applicant shall:

(1) submit a completed application, attesting under oath or affirmation that the information on the application is true and complete and authorizing the release to the Board of all information pertaining to the application;

(2) submit a photograph that shows a front view of the applicant's face;

(3) submit documentation of a legal name change, if applicable;

(4) supply a certified copy of applicant's birth certificate if the applicant was born in the U.S. or a certified copy of a valid and unexpired U.S. passport. If the applicant does not possess proof of U.S. citizenship, the applicant must provide information about applicant's immigration and work status that the Board will use to verify applicant's ability to work lawfully in the U.S.;

(5) submit proof on the Board's Medical Education Certification form that the applicant has completed at least 130 weeks of medical education and received a medical degree. However, the Board shall waive the 130-week requirement if the applicant has been certified or recertified by an ABMS, CCFP, FRCP, FRCS, or AOA approved specialty board within the past 10 years;

(6) for an applicant who has graduated from a medical or osteopathic school approved by the LCME, the CACMS, or COCA, meet the requirements set forth in G.S. 90-9.1;

(7) for an applicant graduating from a medical school not approved by the LCME, meet the requirements set forth in G.S. 90-9.2;

(8) provide proof of passage of an examination testing medical knowledge. In addition to the examinations set forth in G.S. 90-10.1 the Board accepts the following examinations (or their successors) for licensure:

(A) COMLEX;

(B) MCCQE; and

(C) Current certification or current recertification by an ABMS, CCFP, FRCP, FRCS, AOA, ABOMS, or other Board approved speciality board;

(9) submit proof that the applicant has completed graduate medical education as required by G.S. 90-9.1 or 90-9.2, as follows:

(A) A graduate of a medical school approved by LCME, CACMS, or COCA shall have completed at least one year of graduate medical education approved by ACGME, CFPC, RCPSC, or AOA;

(B) A graduate of a medical school not approved by LCME shall have completed two years of graduate medical education approved by ACGME, CFPC, RCPSC, or AOA;

(C) An applicant may satisfy the graduate medical education requirements of Parts (A) or (B) of this Subparagraph by showing proof of current certification by a specialty board recognized by the ABMS, CCFP, FRCP, FRCS, or AOA;

(10) submit a FCVS profile:

(A) If the applicant is a graduate of a medical school approved by LCME, CACMS, or COCA, and the applicant previously has completed a FCVS profile; or

(B) If the applicant is a graduate of a medical school other than those approved by LCME, COCA, or CACMS;

(11) if a graduate of a medical school other than those approved by LCME, AOA, COCA, or CACMS, furnish an original ECFMG certification status report of a currently valid certification of the ECFMG. The ECFMG certification status report requirement shall be waived if: the applicant has passed the ECFMG examination and successfully completed an approved Fifth Pathway program (original ECFMG score transcript from the ECFMG required);

(12) submit an AMA Physician Profile and, if the applicant is an osteopathic physician, also submit an AOA Physician Profile;

(13) if applying on the basis of the USMLE, submit:

(A) a transcript from the FSMB showing a score on USMLE Step 1, Step 2, and Step 3; and

(B) proof that the applicant has passed each step within three attempts. However, the Board shall waive the three-attempt requirement if the applicant has been certified or recertified by an ABMS, CCFP, FRCP, FRCS, AOA, American Board of Oral Maxillofacial Surgery ("ABOMS") approved specialty board within the past 10 years;

(14) if applying on the basis of COMLEX, submit:

(A) a transcript from the NBOME showing a score on COMLEX Level 1, Level 2 (cognitive evaluation), and Level 3; and

(B) proof that the applicant has passed COMLEX within three attempts. However, the Board shall waive the three-attempt requirement if the applicant has been certified or recertified by an ABMS, CCFP, FRCP, FRCS, AOA, or ABOMS approved specialty board within the past 10 years;

(15) if applying on the basis of any other board-approved examination, submit a transcript showing a passing score;

(16) submit two completed fingerprint record cards;

(17) submit a signed consent allowing a search of local, state, and national files for any criminal record;

(18) provide two original references from persons with no family or marital relationship to the applicant. These references shall be:

(A) from physicians who have observed the applicant's work in a clinical environment within the past three years;

(B) on forms supplied by the Board;

(C) dated within six months of the submission of the application; and

(D) bearing the original signature of the writer;

(19) pay to the Board a non-refundable fee pursuant to G.S. 90-13.1(a), plus the cost of a criminal background check; and

(20) upon request, supply any additional information the Board deems necessary to evaluate the applicant's competence and character.

(b) In addition to the requirements of Paragraph (a) of this Rule, the applicant shall submit proof that the applicant has:

(1) within the past 10 years taken and passed either:

(A) an exam listed in G.S. 90-10.1 (a state board licensing examination, NBOME, USMLE, COMLEX, or MCCQE or their successors);

(B) SPEX (with a score of 75 or higher); or

(C) COMVEX (with a score of 75 or higher);

(2) within the past 10 years:

(A) obtained certification or recertification or CAQ by a specialty board recognized by the ABMS, CCFP, FRCP, FRCS, AOA or American Board of Maxillofacial Surgery;

(B) met requirements for ABMS MOC (maintenance of certification) or AOA OCC (Osteopathic continuous certification);

(3) within the past 10 years completed GME approved by ACGME, CFPC, RCPSC, or AOA; or

(4) within the past three years completed CME as required by 21 NCAC 32R .0101(a), .0101(b), and .0102.

(c) All reports must be submitted directly to the Board from the primary source.

(d) An applicant shall appear in person for an interview with the Board or its agent, if the Board determines it needs more information to evaluate the applicant based on the information provided by the applicant and the Board's concerns.

(e) An application must be completed within one year of submission. If not, the applicant shall be charged another application fee, plus the cost of another criminal background check.

History

• Authority G.S. 90-5.1(a)(3); 90-8.1; 90-9.1; 90-9.2; 90-13.1
• Eff. August 1, 2010
• Amended Eff. December 1, 2013; January 1, 2012; November 1, 2011; October 1, 2011
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. May 1, 2022; July 1, 2019.

21 NCAC 32B .1350 reinstatement of physician license

(a) "Reinstatement" is for a physician who has held a North Carolina license, but whose license either has been inactive for more than one year, or whose license became inactive as a result of disciplinary action (revocation or suspension) taken by the Board. It also applies to a physician who has surrendered a license prior to charges being filed by the Board.

(b) All applicants for reinstatement shall:

(1) submit a completed application, attesting under oath or affirmation that information on the application is true and complete, and authorizing the release to the Board of all information pertaining to the application;

(2) submit a photograph that shows a front view of the applicant's face;

(3) submit documentation of a legal name change, if applicable;

(4) supply a copy of the applicant's birth certificate if the applicant was born in the U.S. or a certified copy of a valid and unexpired U.S. passport. If the applicant does not possess proof of U.S. citizenship, the applicant shall provide information about the applicant's immigration status that the Board shall use to verify the applicant's legal presence in the U.S. Applicants who are not physically present in the U.S. and who do not plan to practice by being physically present in the U.S. shall submit a written statement to that effect;

(5) furnish an original ECFMG certification status report of a currently valid certification of the ECFMG if the applicant is a graduate of a medical school other than those approved by LCME, AOA, COCA, or CACMS. The ECFMG certification status report requirement shall be waived if: the applicant has passed the ECFMG examination and completed an approved Fifth Pathway program (original ECFMG score transcript from the ECFMG required);

(6) submit documentation of CME obtained in the last three years;

(7) submit two completed fingerprint cards;

(8) submit a signed consent allowing a search of local, state, and national files to disclose any criminal record;

(9) provide two original references from persons with no family or marital relationship to the applicant. These references shall be:

(A) from physicians who have observed the applicant's work in a clinical environment within the past three years;

(B) on forms supplied by the Board;

(C) dated within six months of submission of the application; and

(D) bearing the original signature of the author;

(10) pay to the Board a non-refundable fee pursuant to G.S. 90-13.1(a), plus the cost of a criminal background check; and

(11) upon request, provide any additional information the Board deems necessary to evaluate the applicant's qualifications.

(c) In addition to the requirements of Paragraph (b) of this Rule, the applicant shall submit proof that the applicant has:

(1) within the past 10 years taken and passed either:

(A) an exam listed in G.S. 90-10.1 (a state board licensing examination, NBOME, USMLE, COMLEX, or MCCQE or their successors);

(B) SPEX (with a score of 75 or higher); or

(C) COMLEX (with a score of 75 or higher);

(2) within the past ten years:

(A) obtained certification or recertification of CAQ by a specialty board recognized by the ABMS, CCFP, FRCP, FRCS, AOA, or American Board of Oral Maxillofacial Surgery;

(B) met requirements for ABMS MOC (maintenance of certification) or AOA OCC (Osteopathic continuous certification);

(3) within the past 10 years completed GME approved by ACGME, CFPC, RCPSC or AOA; or

(4) within the past three years completed CME as required by 21 NCAC 32R .0101(a), .0101(b), and .0102.

(d) All reports shall be submitted directly to the Board from the primary source.

(e) An applicant shall be required to appear in person for an interview with the Board or its agent to evaluate the applicant's competence and character if the Board determines it needs more information to evaluate the applicant based on the information provided by the applicant and the Board's concerns.

(f) An application must be complete within one year of submission. If not, the applicant shall be charged another application fee plus the cost of another criminal background check.

(g) Notwithstanding the provisions of this Rule, the licensure requirements established by rule at the time the applicant first received his or her equivalent North Carolina license shall apply. Information about these Rules is available from the Board.

History

• Authority G.S. 90-5.1(a)(3); 90-8.1; 90-9.1; 90-10.1; 90-13.1
• Eff. August 1, 2010
• Amended Eff. September 1, 2014; November 1, 2013; November 1, 2011
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. May 1, 2022; July 1, 2019.

21 NCAC 32B .1360 Reactivation of Physician License

(a) "Reactivation" applies to a physician who has held a physician license in North Carolina, and whose license has been inactive for up to one year except as set out in Rule .1704(e) of this Subchapter. Reactivation is not available to a physician whose license became inactive either while under investigation by the Board or because of disciplinary action by the Board.

(b) In order to reactivate a Physician License, an applicant shall:

(1) submit a completed application which can be found on the Board's website in the application section at http://www.ncmedboard.org/licensing, attesting under oath that the information on the application is true and complete, and authorizing the release to the Board of all information pertaining to the application;

(2) supply a certified copy of the applicant's birth certificate if the applicant was born in the United States or a certified copy of a valid and unexpired US passport. If the applicant does not possess proof of U.S. citizenship, the applicant shall provide information about the applicant's immigration and work status which the Board shall use to verify the applicant's ability to work lawfully in the United States; Those applicants who are not present in the US and who do not plan to practice physically in the US shall include a statement to that effect in the application.

(3) submit a FSMB Board Action Data Bank report;

(4) submit documentation of CME obtained in the last three years;

(5) submit two completed fingerprint record cards supplied by the Board;

(6) submit a signed consent form allowing search of local, state, and national files for any criminal record;

(7) pay to the Board the a non-refundable fee pursuant to G.S. 90-13.1(a), plus the cost of a criminal background check; and

(8) upon request, supply any additional information the Board deems necessary to evaluate the applicant's competence and character, if the Board needs more information to complete the application.

(c) An applicant may be required to appear in person for an interview with the Board or its agent to evaluate the applicant's competence and character.

(d) Notwithstanding the above provisions of this Rule, the licensure requirements established by rule at the time the applicant first received his or her equivalent North Carolina license shall apply. Information about these Rules is available from the Board.

History

• Authority G.S. 90-8.1; 90-9.1; 90-12.1A; 90-13.1; 90-14(a)(11a)
• Eff. August 1, 2010
• Amended Eff. September 1, 2014
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32B .1361 Military Relocation License for Physician Servicemembers and Spouses

(a) A physician who meets the qualifications listed in this Rule and G.S. 90-12.02 may apply for a military relocation license for physician servicemembers and spouses.

(b) An applicant for a military relocation license for physician servicemembers and spouses shall:

(1) complete the Board's online application and providing the applicant's:

(A) legal name;

(B) personal mailing, physical, and email address;

(C) work mailing, physical, and email address;

(D) telephone number;

(E) social security number and date of birth;

(F) practice plans and areas of practice;

(G) chronological history of education and employment from age 18 to present;

(H) history of government investigations, substance use history for the past five years, military service, professional liability insurance history, investigations for employment misclassification for the past five years, and history of regulatory actions, hospital privilege, and malpractice; and

(I) an attestation under oath or affirmation that the information on the application is true and complete, and authorizing the release to the Board of all information pertaining to the application;

(2) submit documentation of a legal name change, if applicable;

(3) submit a photograph of the applicant that was taken in the last two years;

(4) supply a certified copy of applicant's birth certificate if the applicant was born in the U.S. or certified copy of a valid and unexpired U.S. passport. If the applicant does not possess proof of U.S. citizenship, the applicant shall provide information about applicant's immigration status that the Board will use to verify applicant's eligibility for this license;

(5) provide proof that applicant is a servicemember of the United States Armed Forces or a spouse of a servicemember of the United States Armed Forces;

(6) provide a copy of military orders that indicates that the applicant is residing in this State pursuant to such military orders for military service relating to applicant or applicant's spouse;

(7) provide proof that the applicant holds a current license in another jurisdiction that has licensing requirements that are substantially equivalent or otherwise exceed the requirements for licensure in this State;

(8) provide proof that the applicant has not been disciplined in the last five years by any occupational licensing board, and has no pending investigations by any occupational licensing board;

(9) provide proof that the applicant has actively practiced medicine an average of 20 hours per week during the two years immediately preceding relocation to this State;

(10) if the applicant is a graduate of a medical school other than those approved by LCME, AOA, COCA, or CACMS, the applicant shall furnish an original ECFMG certification status report of a currently valid certification of the ECFMG. The ECFMG certification status report requirement shall be waived if the applicant has passed the ECFMG examination and successfully completed an approved Fifth Pathway program (original ECFMG score transcript from the ECFMG required);

(11) submit two completed fingerprint record cards to the Board;

(12) submit a signed consent form allowing a search of local, state and national files to disclose any criminal record;

(13) pay to the Board a non-refundable fee pursuant to G.S. 90-13.1(a), plus the cost of a criminal background check; and upon request, supply any additional information the Board deems necessary to evaluate the applicant's qualifications.

(c) When possible, all reports and Orders shall be submitted directly to the Board from the primary source.

(d) All information required by this Rule shall be provided within one year of submitting the application.

History

• Authority G.S. 90-5.1(a)(3); G.S. 90-12.02; G.S. 90-13.1
• Eff. June 1, 2025.

21 NCAC 32B .1362 Application for Internationally Trained Physician Employee License

(a) The Internationally Trained Physician License is limited to physicians who have not attended accredited medical schools or graduated from medical education programs in the United States.

(b) In order to obtain an Internationally Trained Physician License, the Board shall receive from the applicant or the primary source:

(1) a completed application containing the following information from the applicant:

(A) personal mailing, physical address;

(B) work mailing, physical, and email address;

(C) telephone number;

(D) social security number;

(E) chronological history of education and employment from your first day of medical school to present;

(F) history of government investigations, substance use history for the past five years, military service, professional liability insurance history, investigations for employment misclassification for the past five years, and history of disciplinary actions and pending investigations by any state, federal, or foreign regulatory agency, hospital privilege, and malpractice; and

(G) an attestation under oath or affirmation that the information on the application is true and complete, and authorize the release to the Board of all information pertaining to the application.

(2) a completed form from (1) a hospital located and licensed in North Carolina attesting to an offer of full-time employment, or (2) a NC licensed supervising physician located at a medical practice in a North Carolina rural county with a population of less than 500 people per square mile attesting to an offer of full-time employment where the supervising physician is physically practicing on-site;

(3) documentation of a legal name change, if applicable;

(4) a photograph, two inches by two inches, affixed to the oath or affirmation that has been attested to by a notary public;

(5) proof of licensure in good standing from the medical licensing authority in a foreign country as required by G.S. 90-12.03(a)(2);

(6) proof of 130 weeks of medical education from a medical school as described in G.S. 90-12.03(a)(3);

(7) furnish an original Educational Commission for Foreign Medical Graduates certification status report;

(8) proof of ECFMG eligibility, which shall include furnishing an original ECFMG certification status report and successful passage of United States Medical Licensing Examination Step 1 and Step 2;

(9) proof of either (1) two years of graduate medical education approved by the applicant's country of licensure or (2) active practice in country of licensure for at least 10 years after graduation. Proof of graduate medical education will require verification from both the graduate medical education program regarding attendance and applicant's country of licensure of approval. Proof of active practice will require verification from employers, with applicable dates, positions and responsibilities; if the applicant was self-employed, the Board may require business documents, tax records, and patient attestations for the 10-year period to confirm the active practice of medicine;

(10) examination transcripts from the examining body that meet one of the requirements of G.S. 90-12.03(a)(4):

(A) if applying on the basis of the USMLE, the USMLE transcript shall show a score on USMLE Step 3 and the applicant must have passed within three attempts;

(B) if applying on the basis of the COMLEX, the COMLEX transcript shall show a score on COMLEX Level 1, Level 2 (cognitive evaluation), and Level 3 and the applicant must have passed each level within three attempts;

(C) if applying on the basis of any other board-approved examination under G.S. 90-10.1 or 21 NCAC 32B .1303, the transcript must be received from the examining body and must show a passing score of each part;

(D) if applying on the basis of a comprehensive assessment, the applicant should submit a proposal to the Board prior to undergoing the assessment to ensure approval. The comprehensive assessment must be performed by independent licensed physicians or medical educators. The assessment must evaluate the applicant's clinical knowledge, skills and judgment, as well as their cognitive state and safety to practice. The assessment must perform the evaluation through multiple choice examination, neuro-cognitive screen, structured clinical interviews, simulated patient encounters, and procedure simulations. The assessment must evaluate and specify all current strengths and weaknesses in the intended area(s) of practice. The assessment must include testing and evaluation by licensed physicians or medical educators. The Board must receive an assessment report from the independent evaluators indicating the applicant's competence, all strengths and weaknesses in practice, and the ability to practice safely; or

(E) if the applicant does not qualify for any of the examinations listed in G.S. 90-12.03(a)(4), the Board may waive the requirement as long as the applicant satisfies all other requirements of G.S. 90-12.03, holds an O-1 visa, and submits the same supporting documentation provided to the US Citizenship and Immigration Services indicating their extraordinary ability is relevant to the practice of medicine. The applicant must successfully pass the Special Purpose Examination or Post Licensure Assessment Systems within one year or the temporary license is rendered inactive.

(11) confirmation from all jurisdictions where the applicant holds, or has held a license, that the applicant has not had a license revoked, suspended, restricted, denied or otherwise acted against and is not the subject of any pending investigation as required by G.S. 90-12.03(a)(5);

(12) criminal background check translated into English and submitted by country of licensure directly to the Board;

(13) submit two completed fingerprint record cards;

(14) submit a signed consent allowing a search of local, state, and national files for any criminal record;

(15) confirmation that the applicant has practiced medicine for at least five years. Proof of active practice will require verification from employers, with applicable dates, positions and responsibilities; if the applicant was self-employed, the Board may require business documents, tax records, and patient attestations;

(16) demonstration of proficiency in English by:

(A) successfully passing an examination required under G.S. 90-10.1;

(B) licensure from a country where English is the primary language utilized by medical education programs; or,

(C) completing the Occupational English Test (OET) Medicine. The transcript for OET Medicine must be received from OET.

(17) supply a certified copy of applicant's birth certificate or a certified copy of a valid and unexpired U.S. passport if the applicant was born in the U.S. If the applicant does not possess proof of U.S. citizenship, the applicant must provide information about applicant's immigration status which the Board will use to verify applicant's lawful presence in the U.S.;

(18) valid social security number;

(19) pay to the Board a non-refundable fee pursuant to G.S. 90-13.1(a) plus the costs of a United States criminal background check; and,

(20) upon request, supply any additional information the Board deems necessary to evaluate the applicant's competence and character.

(c) All information submitted under Paragraph (b) of this Rule must be delivered to the Board from the primary originating source in English in order to verify the accuracy and authenticity of the information.

(d) An applicant may be required to appear in person for an interview with the Board or its agent if the Board determines it needs more information to evaluate the applicant based on the information provided and the Board's concerns.

(e) An application must be completed within one year of the date of the applicant's oath.

(f) The holder of an internationally trained physician employee license who meets the requirements of G.S. 90-12.03(d) may submit an application to convert their license to a full license after four years of active practice . The Board must receive the following from the applicant or the primary source:

(1) a completed application containing the information listed above in Parts (b)(1)(A) through (b)(1)(H) of this Rule;

(2) submit to a criminal background check, and pay the cost of the criminal background check;

(3) submit a signed consent allowing a search of local, state, and national files for any criminal record; and

(4) report their practice plans, including geographic location of practice, practice setting, and area of specialty.

History

• Authority G.S. 90-5.1(a)(3); 90-8.1; 90-12.03; 90-13.1
• Eff. August 1, 2026.

21 NCAC 32B .1370 Reentry to Active Practice

(a) An applicant for licensure who has not actively practiced or who has not maintained continued competency for the two-year period immediately preceding the filing of an application for a license shall complete a reentry agreement as a condition of licensure.

(b) The first component of a reentry agreement involves assessing the applicant's current strengths and weaknesses in the intended area(s) of practice. The process may include testing and evaluation by colleagues, educators or others.

(c) The second component of the reentry agreement is education. Education shall address the applicant's area(s) of needed improvement and consist of a reentry period of retraining and education upon terms based on the factors set forth in Paragraph (d) of this Rule.

(d) Factors that may affect the length and scope of the reentry plan include:

(1) The applicant's amount of time out of practice;

(2) The applicant's prior intensity of practice;

(3) The reason for the interruption in practice;

(4) The applicant's activities during the interruption in practice, including the amount of practice-relevant continuing medical education;

(5) The applicant's previous and intended area(s) of practice;

(6) The skills required of the intended area(s) of practice;

(7) The amount of change in the intended area(s) of practice during the time the applicant has been out of continuous practice;

(8) The applicant's number of years of graduate medical education;

(9) The number of years since the applicant completed graduate medical education; and

(10) As applicable, the date of the most recent ABMS, AOA or National Commission on Certification of Physician Assistant certification or recertification.

(e) If the Board approves an applicant's plan for reentry, the approved plan shall be incorporated by reference into a reentry agreement and executed by the applicant, the Board, and any applicable Board agents assisting with the reentry agreement.

(f) After the reentry agreement has been executed, and the applicant has completed all other requirements for licensure, the applicant shall receive a License. The licensee may not practice outside of the scope of the reentry agreement during the reentry period.

(g) Unsatisfactory completion of the reentry agreement or practicing outside the scope of the reentry agreement shall result in the automatic inactivation of the licensee's license unless the licensee requests a hearing within 30 days of receiving notice from the Board.

(h) Upon successful completion of the reentry agreement, the Board shall terminate the reentry agreement.

History

• Authority G.S. 90-8.1; 90-14(a)(11a)
• Eff. March 1, 2011
• Amended Eff. January 1, 2016
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32B .1401 sCOPE OF PRACTICE UNDER RESIDENT'S TRAINING LICENSE

A physician holding a limited license to practice in a medical education and training program may practice only within the confines of that program and under the supervision of its director.

History

• Authority G.S. 90-12.01
• Eff. August 1, 2010
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32B .1402 Application for Resident's Training License

(a) In order to obtain a Resident's Training License, an applicant shall:

(1) submit a completed application, attesting under oath or affirmation that the information on the application is true and complete, and authorizing the release to the Board of all information pertaining to the application;

(2) submit documentation of a legal name change, if applicable;

(3) submit a photograph that shows a front view of the applicant's face;

(4) submit proof on the Board's Medical Education Certification form that the applicant has completed at least 130 weeks of medical education;

(5) furnish an original ECFMG certification status report of a currently valid ECFMG certification if the applicant is a graduate of a medical school other than those approved by LCME, AOA, COCA, or CACMS. The ECFMG certification status report requirement shall be waived if the applicant has passed the ECFMG examination and successfully completed an approved Fifth Pathway program (the applicant shall provide an ECFMG score transcript from the ECFMG);

(6) submit an appointment letter from the program director of the GME program or his or her appointed agent verifying the applicant's appointment and commencement date;

(7) submit two completed fingerprint record cards;

(8) submit a signed consent form allowing a search of local, state, and national files for any criminal record;

(9) pay a non-refundable fee pursuant to G.S. 90-13.1(b), plus the cost of a criminal background check;

(10) provide proof that the applicant has taken and passed within three attempts:

(A) COMLEX Level 1, COMLEX Level 2 (cognitive evaluation) and, if taken, COMLEX Level 3; or

(B) USMLE Step 1, USMLE Step 2 (Clinical Knowledge) and, if taken USMLE Step 3; or

(C) MCCQE Part 1 and, if taken, MCCQE Pat 2;

(11) In the event any of the above required information should indicate a concern about the applicant's qualifications, upon request, the applicant shall supply any additional information the Board deems necessary to evaluate the applicant's competence and character.

(b) In the event any of the above required information should indicate a concern about the applicant's qualifications, an applicant shall be required to appear in person for an interview with the Board or its agent to evaluate the applicant's competence and character, if the Board needs more information to complete the application.

(c) If the applicant previously held a North Carolina residency training license, the licensure requirements established by rule at the time the applicant first received his or her North Carolina residency training license shall apply. Information about these Rules is available from the Board.

History

• Authority G.S. 90-8.1; 90-12.01; 90-13.1; 90-14(a)
• Eff. August 1, 2010
• Amended Eff. January 1, 2016; September 1, 2014; November 1, 2013; August 1, 2012; November 1, 2011
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. May 1, 2022.

21 NCAC 32B .1403 Conversion Application for Physician License

(a) A resident training licensee who meets the qualifications listed in this Rule may apply to convert their resident training license to a full, unrestricted physician license.

(b) An applicant seeking to convert shall:

(1) complete the Board's online application and provide the applicant's:

(A) legal name;

(B) personal mailing, physical, and email address;

(C) work mailing, physical, and email address;

(D) telephone number;

(E) social security number and date of birth;

(F) chronological history of education and employment from your first day of residency to present;

(G) history of government investigations;

(H) substance use history for the past five years;

(I) military service;

(J) professional liability insurance history;

(K) investigations for employment misclassification for the past five years;

(L) history of regulatory actions, hospital privileges, and malpractice; and

(M) attestation under oath or affirmation that the information on the application is true and complete, and authorizing the release to the Board of all information pertaining to the application;

(2) submit documentation of a legal name change, if applicable;

(3) supply a certified copy of the applicant's birth certificate if the applicant was born in the United States (U.S.) or a certified copy of a valid and unexpired U.S. passport. If the applicant does not possess proof of their U.S. citizenship, the applicant must provide information about the applicant's immigration status. Applicants who are not present in the U.S. and who do not plan to practice physically in the U.S. shall submit a statement to that effect;

(4) submit proof that the applicant has completed graduate medical education as required by G.S. 90-9.1 or 90-9.2, as follows:

(A) A graduate of a medical school approved by LCME, CACMS, or COCA shall have completed at least one year of graduate medical education approved by ACGME, CFPC, RCPSC, or AOA;

(B) A graduate of a medical school not approved by LCME shall have completed two years of graduate medical education approved by ACGME, CFPC, RCPSC, or AOA; or

(C) An applicant may satisfy the graduate medical education requirements of Parts (A) or (B) of this subparagraph by showing proof of current certification by a specialty board recognized by the ABMS, CCFP, FRCP, FRCS, or AOA;

(5) if the applicant applied for a resident training license on the basis of COMLEX or USMLE examination, he or she shall provide proof that that the applicant has taken and passed within three attempts:

(A) the COMLEX Level 3; or

(B) the USMLE Step 3;

(6) create an AMA Physician Profile and, if the applicant is an osteopathic physician, also create an AOA Physician Profile;

(7) submit a letter from the graduate medical education program director recommending the applicant for full licensure. The letter should indicate the applicant's status in the graduate medical education program and attest that the applicant is currently in good standing with the program or was in good standing at the time of application. The letter should also include information about the applicant's dates of participation in the program; any information pertaining to leaves of absence taken by the applicant; any investigations involving the applicant; any adverse actions taken against the applicant including probations, limitations or special requirements, or disciplinary actions; and any negative reports of the applicant due to behavior;

(8) pay a non-refundable fee pursuant to G.S. 90-13.1(a); and

(9) upon request, supply any additional information the Board deems necessary to evaluate the applicant's qualifications.

(c) A resident training licensee applying to convert to a full license must satisfy all of the following from the time of submitting an application for a resident's training license:

(1) no professional liability insurance claims or payments;

(2) no regulatory board complaints, investigations, or actions, including the applicant's withdrawal of a license application;

(3) no adverse actions by a health care institution as described in G.S. 90-14.13(a); and

(4) no adverse actions taken by a federal agency, the U.S. military, or medical societies.

If the applicant fails to satisfy all of the above, they may submit an application for a physician license under 21 NCAC 32B .1303.

(d) The Board must receive all of the following directly from the primary originating source before it begins processing an application:

(1) Proof of graduate medical education from the graduate medical education program director;

(2) Transcripts of examinations scores from the examining authority;

(3) Proof of board certification from the certifying body, if applicable;

(4) Physician profile from the AMA, and if applicable, the AOA;

(5) National Practitioner Data Bank report from the U.S. Department of Health and Human Services; and

(6) Practitioner profile from the Federation of State Medical Boards.

History

• Authority G.S. 90-5.1(a)(3); 90-8.1; 90-9.1; 90-9.2; 90-13.1
• Eff. June 1, 2026.

21 NCAC 32B .1501 Scope of Practice Under Medical School Faculty License

A physician holding a Medical School Faculty License may practice only within the confines of the medical school or its affiliates. "Affiliates" means the primary medical school hospital(s) and clinic(s), as designated by the ACGME.

History

• Authority G.S. 90-12.3
• Eff. March 1, 2011
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32B .1502 Application for Medical School Faculty License

(a) The Medical School Faculty License is limited to physicians who have expertise that can be used to help educate North Carolina medical students, post-graduate residents, and fellows but who do not meet the requirements for physician licensure.

(b) In order to obtain a Medical School Faculty License, an applicant shall:

(1) submit a completed application, attesting under oath or affirmation that the information on the application is true and complete, and authorizing the release to the Board of all information pertaining to the application;

(2) submit the Board's form, signed by the Dean or the Dean's appointed representative, stating that the applicant has received a full-time paid appointment as either an instructor, lecturer, assistant professor, associate professor, or full professor at a medical school in the state of North Carolina;

(3) submit documentation of a legal name change, if applicable;

(4) submit a photograph, two inches by two inches, affixed to the oath or affirmation that has been attested to by a notary public;

(5) submit proof on the Board's Medical Education Certification form that the applicant has completed at least 130 weeks of medical education. However, the Board shall waive the 130-week requirement if the applicant has been certified or recertified by an ABMS, FRCP, or FRCS approved specialty board within the past 10 years;

(6) supply a certified copy of applicant's birth certificate or a certified copy of a valid and unexpired U.S. passport if the applicant was born in the U.S. If the applicant does not possess proof of U.S. citizenship, the applicant must provide information about applicant's immigration and work status which the Board will use to verify applicant's lawful presence in the U.S.;

(7) submit proof of satisfactory completion of at least one year of GME approved by ACGME, CFPC, RCPSC, or AOA; or evidence of other education, training or experience, determined by the Board to be equivalent;

(8) submit reports from all medical or osteopathic boards from which the applicant has ever held a medical or osteopathic license, stating the status of the applicant's license and whether or not any action has been taken against the license;

(9) submit an AMA Physician Profile; and, if applicant is an osteopathic physician, also submit an AOA Physician Profile;

(10) submit a NPDB report dated within 60 days of applicant's oath;

(11) submit a FSMB Board Action Data Bank report;

(12) submit two completed fingerprint record cards supplied by the Board;

(13) submit a signed consent form allowing a search of local, state, and national files to disclose any criminal record;

(14) provide two original reference letters from persons with no family or marital relationship to the applicant. These letters must be:

(A) from physicians who have observed the applicant's work in a clinical environment within the past three years;

(B) on forms supplied by the Board;

(C) dated within six months of the applicant's oath; and

(D) bearing the original signature of the writer;

(15) pay to the Board a non-refundable fee pursuant to G.S. 90-13.1(a), plus the cost of a criminal background check; and

(16) upon request, supply any additional information the Board deems necessary to evaluate the applicant's competence and character.

(c) All reports must be submitted directly to the Board from the primary source.

(d) An applicant may be required to appear in person for an interview with the Board or its agent if the Board determines it needs more information to evaluate the applicant based on the information provided and the Board's concerns.

(e) An application must be completed within one year of the date of the applicant's oath.

History

• Authority G.S. 90-5.1(a)(3); 90-12.3; 90-13.2
• Eff. June 28, 2011
• Amended Eff. November 1, 2013
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. July 1, 2019.

21 NCAC 32B .1601 Scope of Practice Under Special Purpose License

The Board may limit the physician's scope of practice under a Special Purpose License by geography, term, practice setting, and type of practice.

History

• Authority G.S. 90-12.2A
• Eff. August 1, 2010
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32B .1602 Special Purpose License

(a) The Special Purpose License is for physicians who wish to come to North Carolina for a limited time, scope and purpose, such as to demonstrate or learn a new technique, procedure or piece of equipment, or to educate physicians or medical students.

(b) In order to obtain a Special Purpose License, an applicant shall:

(1) submit a completed application, attesting under oath that the information on the application is true and complete, and authorizing the release to the Board of all information pertaining to the application;

(2) submit a recent photograph, at least two inches by two inches, affixed to the oath, and attested by a notary public;

(3) submit documentation of a legal name change, if applicable;

(4) supply a certified copy of applicant's birth certificate if the applicant was born in the United States or a certified copy of a valid and unexpired US passport. If the applicant does not possess proof of U.S. citizenship, the applicant must provide information about applicant's immigration and work status which the Board will use to verify applicant's ability to work lawfully in the United States;

(5) comply with all requirements of G.S. 90-12.2A;

(6) submit the Board's form, completed by the mentor, showing that the applicant has received an invitation from a medical school, medical practice, hospital, clinic or physician licensed in the state of North Carolina, outlining the need for the applicant to receive a special purpose license and describing the circumstances and timeline under which the applicant will practice medicine in North Carolina;

(7) submit an AMA Physician Profile and, if applicant is an osteopathic physician, also submit AOA Physician Profile;

(8) submit an FSMB Board Action Data Bank report;

(9) submit two completed fingerprint record cards supplied by the Board;

(10) submit a signed consent form allowing a search of local, state, and national files for any criminal record;

(11) pay to the Board a non-refundable fee pursuant to G.S. 90-13.1(a), plus the cost of a criminal background check;

(12) upon request, supply any additional information the Board deems necessary to evaluate the applicant's competence and character.

(c) All reports must be submitted directly to the Board from the primary source, when possible.

(d) An applicant may be required to appear in person for an interview with the Board or its agent to evaluate the applicant's competence and character.

(e) An application must be completed within one year of submission. If not, the applicant shall be charged another application fee, plus the cost of another criminal background check.

History

• Authority G.S. 90-8.1; 90-9.1; 90-12.2A; 90-13.1
• Eff. August 1, 2010
• Amended Eff. November 1, 2013
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32B .1701 SCOPE OF PRACTICE UNDER LIMITED VOLUNTEER LICENSE and retired limited volunteer license

The holder of a Limited Volunteer License or a Retired Volunteer Limited License may practice medicine and surgery only at clinics that specialize in the treatment of indigent patients, and may not receive any compensation for services rendered, either direct or indirect, monetary, in-kind, or otherwise for the provision of medical services.

History

• Authority G.S. 90-8.1; 90-12.1A
• Eff. August 1, 2010
• Amended Eff. November 1, 2013
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32B .1702 Application for Limited Volunteer License

(a) The Limited Volunteer License is available to physicians who hold an active license in a state or jurisdiction other than North Carolina, and who wish to volunteer at civilian indigent clinics.

(b) In order to obtain a Limited Volunteer License, an applicant shall:

(1) submit a completed application, attesting under oath or affirmation that the information on the application is true and complete, and authorizing the release to the Board of all information pertaining to the application;

(2) submit a photograph, two inches by two inches, affixed to the oath or affirmation attested to by a notary public;

(3) submit documentation of a legal name change, if applicable;

(4) submit proof of active licensure from another state or jurisdiction indicating the status of the license and whether or not any action has been taken against the license;

(5) submit a certified copy of applicant's birth certificate if the applicant was born in the United States or a certified copy of a valid and unexpired US passport. If the applicant does not possess proof of U.S. citizenship, the applicant must provide information about applicant's immigration and work status which the Board will use to verify applicant's ability to work lawfully in the United States;

(6) submit a NPDB report, dated within 60 days of submission of the application;

(7) submit a FSMB Board Action Data Bank report;

(8) submit two completed fingerprint record cards supplied by the Board;

(9) submit a signed consent form allowing a search of local, state, and national files for any criminal record;

(10) pay to the Board a non-refundable fee pursuant to G.S. 90-13.1(a) to cover the cost of a criminal background check;

(11) upon request, supply any additional information the Board deems necessary to evaluate the applicant's competence and character.

(c) All materials must be submitted directly to the Board from the primary source, when possible.

(d) An applicant may be required to appear in person for an interview with the Board or its agent to evaluate the applicant's competence and character.

(e) An application must be completed within one year of the date of submission.

History

• Authority G.S. 90-8.1; 90-12.1A
• Eff. August 1, 2010
• Amended Eff. November 1, 2013
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32B .1703 Scope of Practice Under Retired Limited Volunteer License

The holder of a Retired Limited Volunteer License may practice medicine and surgery only at clinics that specialize in the treatment of indigent patients, and may not receive any compensation for services rendered, either direct or indirect, monetary, in-kind, or otherwise for the provision of medical services.

History

• Authority G.S. 90-8.1; 90-12.1A
• Eff. August 1, 2010
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32B .1704 Application for Retired Limited Volunteer License

(a) The Retired Limited Volunteer License is available to physicians who have been licensed in North Carolina or another state or jurisdiction, have an inactive license, and who wish to volunteer at indigent clinics.

(b) An applicant who has never held a North Carolina license but held an active license in another state or jurisdiction, which is currently inactive, shall:

(1) submit a completed application, attesting under oath or affirmation that the information on the application is true and complete, and authorizing the release to the Board of all information pertaining to the application;

(2) submit a photograph, two inches by two inches, affixed to the oath or affirmation which has been attested to by a notary public;

(3) submit documentation of a legal name change, if applicable;

(4) supply a certified copy of applicant's birth certificate if the applicant was born in the United States or a certified copy of a valid and unexpired US passport. If the applicant does not possess proof of U.S. citizenship, the applicant must provide information about applicant's immigration and work status which the Board will use to verify applicant's ability to work lawfully in the United States;

(5) submit proof of licensure from another state or jurisdiction indicating the status of the license and whether or not any action has been taken against the license;

(6) submit two completed fingerprint record cards supplied by the Board;

(7) submit a signed consent form allowing a search of local, state and national files for any criminal record;

(8) pay to the Board a non-refundable fee pursuant to G.S. 90-13.1(a) to cover the cost of a criminal background check;

(9) submit a FSMB Board Action Data Bank report;

(10) submit a NPDB report, dated within 60 days of submission of the application;

(12) upon request, supply any additional information the Board deems necessary to evaluate the applicant's competence and character.

(13) All materials must be submitted to the Board from the primary source, when possible.

(c) An applicant who holds an active North Carolina physician license may convert that to a Retired Limited Volunteer License by completing the Application for Retired Volunteer License.

(d) An applicant who held a North Carolina license which has been inactive less than six months may convert to a Retired Limited Volunteer License by completing the Application for Retired Volunteer License.

(e) An applicant who held a North Carolina license which has been inactive for more than six months but less than two years shall meet the requirements set forth in 21 NCAC 32B .1360.

(f) An applicant who held a North Carolina license which has been inactive for more than two years shall meet the requirements set forth at 21 NCAC 32B .1350.

(g) A physician who has been out of practice for more than two years will be required to complete a reentry program as set forth in 21 NCAC 32B .1370.

(h) An applicant may be required to appear in person for an interview with the Board or its agent to evaluate the applicant's competence and character.

(i) An application must be completed within one year of the date of submission.

History

• Authority G.S. 90-8.1; 90-12.1A
• Eff. August 1, 2010
• Amended Eff. November 1, 2013
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32B .1705 Limited Physician License for Disasters and Emergencies

History

• Status: expired
• Authority G.S. 90-12.5
• Eff. August 1, 2010
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Expired Eff. May 1, 2026 pursuant G.S. 150B-21.3A.

21 NCAC 32B .1706 Physician Practice and Limited License for Disasters and Emergencies

(a) The Board shall waive requirements for licensure in the circumstances set forth in G.S. 90-12.5.

(b) There are two ways for physicians to practice under this Rule:

(1) Hospital to Hospital Credentialing: A physician who holds a full, unlimited, and unrestricted license to practice medicine in another U.S. state, territory, or district and has unrestricted hospital credentials and privileges in any U.S. state, territory, or district may come to North Carolina and practice medicine at a hospital that is licensed by the North Carolina Department of Health and Human Services upon the following terms and conditions:

(A) the licensed North Carolina hospital shall verify all physician credentials and privileges;

(B) the licensed North Carolina hospital shall keep a list of all physicians coming to practice and shall provide this list to the Board within 10 days of each physician practicing at the licensed North Carolina hospital. The licensed North Carolina hospital shall also provide the Board a list of when each physician has stopped practicing medicine in North Carolina under this Rule within 10 days after each physician has stopped practicing medicine under this Rule;

(C) all physicians practicing under this Rule shall be authorized to practice medicine in North Carolina and shall be deemed to be licensed to practice medicine in the State and the Board shall have jurisdiction over all physicians practicing under this Rule for all purposes set forth in or related to G.S. 90, Article 1, and such jurisdiction shall continue in effect even after any and all physicians have stopped practicing medicine under this Rule;

(D) a physician may practice under this Rule for the shorter of :

(i) 30 days from the date the physician has started practicing under this Rule; or

(ii) a statement by an appropriate authority is made that the emergency or disaster declaration has been withdrawn or ended and, at such time, the license deemed to be issued shall become inactive; and

(E) physicians practicing under this Rule shall not receive any compensation outside of their customary compensation for the provision of medical services during a disaster or emergency.

(2) Limited Emergency License: A physician who holds a full, unlimited, and unrestricted license to practice medicine in another U.S. state, territory, or district may apply for a limited emergency license on the following conditions:

(A) the applicant must complete a limited emergency license application;

(B) the Board shall verify that the physician holds a full, unlimited, and unrestricted license to practice medicine in another U.S. state, territory, or district;

(C) in response to a declared disaster or state of emergency and in order to best serve the public interest, the Board may limit the physician's scope of practice;

(D) the Board shall have jurisdiction over all physicians practicing under this Rule for all purposes set forth in or related to Article 1 of Chapter 90 of the North Carolina General Statutes, and such jurisdiction shall continue in effect even after such physician has stopped practicing medicine under this Rule or the Limited Emergency License has expired;

(E) this license shall be in effect for the shorter of:

(i) 30 days from the date it is issued; or

(ii) a statement by an appropriate authority is made that the emergency or disaster declaration has been withdrawn or ended and, at such time, the license issued shall become inactive; and

(F) physicians holding limited emergency licenses shall not receive any compensation outside of their customary compensation for the provision of medical services during a disaster or emergency.

History

• Authority G.S. 90.5.1(a)(1)(3); 90-12.5; 90-14(a)
• Emergency Adoption Eff. October 2, 2018
• Emergency Adoption Exp. Eff. December 14, 2018
• Eff. July 1, 2019.

21 NCAC 32B .1707 LIMITED LICENSE FOR DISASTERS AND EMERGENCIES for PHYSICIANS and physician assistants with inactive north Carolina licenses

History

• Status: expired
• Authority G.S. 90-5.1(a)(3); 90-12.5
• Emergency Adoption Eff. March 20, 2020
• Temporary Adoption Eff. June 26, 2020
• Temporary Adoption Expired Eff. April 11, 2021.

21 NCAC 32B .1708 Covid-19 Drug Preservation Rule

History

• Status: repealed
• Authority G.S. 90-5.1(a)(3)
• Emergency Adoption Eff. April 6, 2020
• Temporary Adoption Eff. June 26, 2020
• Eff. April 1, 2021
• Repealed Eff. June 1, 2023.

21 NCAC 32B .2001 Expedited Application for Physician License

(a) A physician who meets the qualifications listed in this Rule may apply for a license on an expedited basis.

(b) An applicant for an expedited physician license shall:

(1) complete the Board's application attesting under oath or affirmation that the information on the application is true and complete, and authorizing the release to the Board of all information pertaining to the application;

(2) submit documentation of a legal name change, if applicable;

(3) submit a photograph, two inches by two inches, affixed to the oath or affirmation that has been attested to by a notary public;

(4) supply a certified copy of applicant's birth certificate if the applicant was born in the U.S. or a certified copy of a valid and unexpired U.S. passport. If the applicant does not possess proof of U.S. citizenship, the applicant must provide information about applicant's immigration and work status that the Board will use to verify applicant's ability to work lawfully in the U.S. Applicants who are not present in the U.S. and who do not plan to practice physically in the U.S. shall submit a statement to that effect;

(5) provide proof that applicant has held an active unrestricted license to practice medicine in at least one other state, the District of Columbia, U.S. Territory or Canadian province continuously for a minimum of five years immediately preceding this application;

(6) provide proof of clinical practice providing patient care for an average of 20 hours or more per week, for at least the last two years;

(7) provide proof of:

(A) current certification or current recertification by an ABMS, CCFP, FRCP, FRCS, AOA, or American Board of Maxillofacial Surgery approved specialty board obtained within the past 10 years; or

(B) obtained certification or recertification of CAQ by a specialty board recognized by the ABMS, CCFP, FRCP, FRCS, or AOA;

(C) met requirements for ABMS MOC (maintenance of certification) or AOA OCC (Osteopathic continuous certification);

(8) if the applicant is a graduate of a medical school other than those approved by LCME, AOA, COCA, or CACMS, the applicant shall furnish an original ECFMG certification status report of a currently valid certification of the ECFMG. The ECFMG certification status report requirement shall be waived if the applicant has passed the ECFMG examination and successfully completed an approved Fifth Pathway program (original ECFMG score transcript from the ECFMG required);

(9) submit an AMA Physician Profile and, if the applicant is an osteopathic physician, also submit an AOA Physician Profile;

(10) submit two completed fingerprint record cards supplied by the Board;

(11) submit a signed consent allowing a search of local, state and national files to disclose any criminal record;

(12) pay to the Board a non-refundable fee pursuant to G.S. 90-13.1(a) plus the cost of a criminal background check; and

(13) upon request, supply any additional information the Board deems necessary to evaluate the applicant's qualifications.

(c) A physician applying for an expedited license must:

(1) not have any professional liability insurance claim(s) or payments(s) within the past 10 years;

(2) not have any criminal conviction;

(3) not have any medical conditions that could affect the physician's ability to practice safely;

(4) not have any regulatory board complaints, investigations, or actions (including applicant's withdrawal of a license application) within the past 10 years;

(5) not have any adverse actions taken by a health care institution within the past 10 years;

(6) not have any adverse actions taken by a federal agency, the U.S. military, or medical societies within the past 10 years;

.

(7) have passed an examination testing general medical knowledge. In addition to the examinations set forth in G.S. 90-10.1 (a state board licensing examination: NBME, USMLE, FLEX, or their successors), the Board accepts the following examinations (or their successors) for licensure:

(A) COMLEX;

(B) NBOME; and

(C) MCCQE.

(d) All reports must be submitted directly to the Board from the primary source.

History

• Authority G.S. 90-5.1(a)(3); 90-9.1; 90-9.2; 90-11; 90-13.1
• Eff. August 1, 2010
• Amended Eff. November 1, 2013
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. July 1, 2019.

Subchapter C

21 NCAC 32C .0101 Authority and Definitions

History

• Status: repealed
• Authority G.S. 55B-12
• Eff. February 1, 1976
• Amended Eff. December 1, 1985
• Repealed Eff. May 1, 1989.

21 NCAC 32C .0102 Name of Professional Corporation

The following requirements must be met regarding the name of a professional corporation to practice medicine:

(1) The name shall not include any adjectives or other words not in accordance with ethical customs of the medical profession as defined by the American Medical Association Code of Medical Ethics, and shall not be false, misleading, deceptive or patently offensive.

(2) The professional corporation may not be identical or so similar in name to an existing registered business entity as to be misleading.

(3) The professional corporation may not use any name other than its corporate name.

(4) The professional corporation shall specify its corporate structure in the public domain by the use of the designation "P.C.", "P.A." or "P.L.L.C."

(5) A shareholder may authorize the retention of his surname in the corporate name after his retirement or inactivity because of age or disability, even though he may have disposed of his stock. The estate of a deceased shareholder may authorize the retention of the deceased shareholder's surname in the corporate name after the shareholder's death.

(6) If a living shareholder in a professional corporation whose surname appears in the corporate name becomes a "disqualified person" as defined in the Professional Corporation Act, the name of the professional corporation shall be promptly changed to eliminate the name of the shareholder, and the shareholder shall promptly dispose of his stock in the corporation.

History

• Authority G.S. 55B-5; 55B-7; 55B-12
• Eff. February 1, 1976
• Amended Eff. May 1, 2012; July 1, 1993; May 1, 1989
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32C .0103 Prerequisites for Incorporation

(a) Before filing the articles of incorporation for a professional corporation with the Secretary of State, the incorporators shall file with the Board:

(1) the properly executed original articles of incorporation;

(2) a registration fee in the maximum allowable amount set forth in G.S. 55B-10;

(3) a certificate (N.C.M.B.-P.C. Form 1) signed by all shareholders stating that all persons employed by the corporation are licensed to practice medicine in North Carolina, and representing that the business of the corporation will be conducted in compliance with the Professional Corporation Act and the rules in this Subchapter; and

(4) a signed certificate (N.C.M.B.-P.C. Form 2) certifying that all shareholders are duly licensed to practice medicine in North Carolina or are otherwise qualified to own shares pursuant to G.S. 55B-6, 55B-14(c) or 55B-16.

(b) The Board shall review the articles of incorporation for compliance with the laws relating to professional corporations and with the rules in this Subchapter. If they comply, the Board shall approve N.C.M.B.-P.C. Form 2 and return the original articles of incorporation and the copy to the incorporators for filing with the Secretary of State. An official copy of the articles of incorporation shall be retained in the office of the Board. If the articles of incorporation are subsequently changed before they are filed with the Secretary of State, they shall be re-submitted to the Board and shall not be filed with the Secretary of State until approved by the Board.

History

• Authority G.S. 55B-4; 55B-10; 55B-12
• Eff. February 1, 1976
• Amended Eff. January 1, 2012; September 1, 1995; July 1, 1993; May 1, 1989; November 1, 1985
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32C .0104 Certificate of Registration

A Certificate of Registration for a professional corporation shall remain effective until December 31 of each year. A Certificate of Registration may be renewed annually thereafter upon written application to the Board, certifying the names and addresses of all licensed officers, directors, shareholders and employees of the corporation and representing that the corporation has complied with the rules in this Subchapter and the Professional Corporation Act. (N.C.M.B-P.C. Form 4) The application shall be accompanied by a renewal fee in the maximum allowable amount set forth in G.S. 55B-10.

History

• Authority G.S. 55B-10; 55B-11
• Eff. February 1, 1976
• Amended Eff. January 1, 2012; September 1, 1995; May 1, 1989; November 1, 1985
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32C .0105 Stock and Financial Matters

(a) The corporation may acquire and hold its own stock.

(b) No person other than a licensee of the Board shall exercise any authority or influence over the practice of medicine as defined in Article 1 of Chapter 90.

(c) Subject to the provisions of G.S. 55B-7, the corporation may make such agreement with its shareholders or its shareholders may make such agreement between themselves as they deem just for the acquisition of the shares of a deceased or retiring shareholder or of a shareholder who becomes disqualified to own shares under the Professional Corporation Act or under the rules in this Subchapter.

(d) Failure to display on the face of all stock certificates a legend that any stock transfers are subject to the provisions of the Professional Corporations Act and the rules of the Board shall be a violation of G.S. 90-14(a).

History

• Authority G.S. 55B-6; 55B-7; 55B-8; 90-1.1(5), 90-2(a); 90-5.1(a)(3); 90-14(a)(6); 90-14(a)(8)
• Eff. February 1, 1976
• Amended Eff. May 1, 2012; May 1, 1989; November 1, 1985
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32C .0106 Charter Amendments and Stock Transfers

The following provisions apply to all professional corporations to practice medicine:

(1) An agent of the corporation shall ensure all changes to the articles of incorporation of the corporation are filed with the Board for approval before being filed with the Secretary of State. An agent of the corporation shall ensure a copy of the changes filed with the Secretary of State are subsequently sent to the Board within 10 days after filing with the Secretary of State.

(2) The Board shall issue the certificate (N.C.M.B.-P.C.Form 5) required by G.S. 55B-6 when stock is transferred in the corporation. N.C.M.B.-P.C.Form 5 shall be permanently retained by the corporation. The stock books of the corporation shall be kept at the principal office of the corporation and shall be subject to inspection by the Board during business hours.

History

• Authority G.S. 55B-6; 55B-7; 55B-8; 55B-12; 90-1.1(5); 90-2(a); 90-5.1(a)(3); 90-14(a)(6); 90-14(a)(8)
• Eff. February 1, 1976
• Amended Eff. May 1, 2012; September 1, 1995; July 1, 1993; May 1, 1989
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32C .0107 Documents

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. February 1, 1976
• Amended Eff. May 1, 1989
• Repealed Eff. January 1, 2012.

21 NCAC 32C .0108 Fees

The registration and renewal fees for a professional corporation shall be the maximum allowable amount under G.S. 55B-10 and 55B-11.

History

• Authority G.S. 55B-10; 55B-11
• Eff. February 1, 1976
• Amended Eff. January 1, 2012; May 1, 1989
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32C .0109 Registration of Foreign Professional Corporation

(a) In addition to the other rules in this Subchapter, foreign professional corporations applying for a Certificate of Authority to Transact Business must meet the following requirements:

(1) provide proof that shareholders licensed in other states are currently licensed and in good standing with their respective licensing boards;

(2) at least one shareholder must be currently licensed and in good standing with the Board; and

(3) no person other than a licensee of the Board shall exercise any authority or influence over the practice of medicine as defined by Article 1 of Chapter 90.

(b) For purposes of this Rule, "in good standing" means has not been disciplined by a licensing Board and is not currently subject to disciplinary proceedings.

History

• Authority G.S. 55B-16; 90-1.1(5); 90-2(a); 90-5.1(a)(3)
• Eff. May 1, 2012
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

Subchapter D

21 NCAC 32D .0101 Definitions

History

• Status: repealed
• Authority G.S. 90-15; 90-18(13); 90-18.1
• Eff. February 1, 1976
• Readopted Eff. November 1, 1982
• Amended Eff. December 1, 1984; July 1, 1983
• February 11, 1979
• Repealed Eff. June 1, 1990.

21 NCAC 32D .0102 Application for Approval

History

• Status: repealed
• Authority G.S. 90-15; 90-18(13); 90-18.1
• Eff. February 1, 1976
• Readopted Eff. November 1, 1982
• Amended Eff. December 1, 1984; July 1, 1983
• February 11, 1979
• Repealed Eff. June 1, 1990.

21 NCAC 32D .0103 Requirements for Approval

History

• Status: repealed
• Authority G.S. 90-15; 90-18(13); 90-18.1
• Eff. February 1, 1976
• Readopted Eff. November 1, 1982
• Amended Eff. December 1, 1984; July 1, 1983
• February 11, 1979
• Repealed Eff. June 1, 1990.

21 NCAC 32D .0104 Moral Character

History

• Status: repealed
• Authority G.S. 90-15; 90-18(13); 90-18.1
• Eff. February 1, 1976
• Readopted Eff. November 1, 1982
• Amended Eff. December 1, 1984; July 1, 1983
• February 11, 1979
• Repealed Eff. June 1, 1990.

21 NCAC 32D .0105 Requirements for Recognition of Training Programs

History

• Status: repealed
• Authority G.S. 90-15; 90-18(13); 90-18.1
• Eff. February 1, 1976
• Readopted Eff. November 1, 1982
• Amended Eff. December 1, 1984; July 1, 1983
• February 11, 1979
• Repealed Eff. June 1, 1990.

21 NCAC 32D .0106 Termination of Approval

History

• Status: repealed
• Authority G.S. 90-15; 90-18(13); 90-18.1
• Eff. February 1, 1976
• Readopted Eff. November 1, 1982
• Amended Eff. December 1, 1984; July 1, 1983
• February 11, 1979
• Repealed Eff. June 1, 1990.

21 NCAC 32D .0107 Method of Performance

History

• Status: repealed
• Authority G.S. 90-15; 90-18(13); 90-18.1
• Eff. February 1, 1976
• Readopted Eff. November 1, 1982
• Amended Eff. December 1, 1984; July 1, 1983
• February 11, 1979
• Repealed Eff. June 1, 1990.

21 NCAC 32D .0108 Fees

History

• Status: repealed
• Authority G.S. 90-15; 90-18(13); 90-18.1
• Eff. February 1, 1976
• Readopted Eff. November 1, 1982
• Amended Eff. December 1, 1984; July 1, 1983
• February 11, 1979
• Repealed Eff. June 1, 1990.

21 NCAC 32D .0109 Forms

History

• Status: repealed
• Authority G.S. 90-15; 90-18(13); 90-18.1
• Eff. February 1, 1976
• Readopted Eff. November 1, 1982
• Amended Eff. December 1, 1984; July 1, 1983
• February 11, 1979
• Repealed Eff. June 1, 1990.

Subchapter E

21 NCAC 32E .0101 Definitions

History

• Status: repealed
• Authority G.S. 90-6; 90-18(14); 150A-11
• Eff. February 1, 1976
• Amended Eff. August 1, 1982; March 22, 1980
• Repealed Eff. January 1, 1991.

21 NCAC 32E .0102 Application for Approval

History

• Status: repealed
• Authority G.S. 90-6; 90-18(14); 150A-11
• Eff. February 1, 1976
• Amended Eff. August 1, 1982; March 22, 1980
• Repealed Eff. January 1, 1991.

21 NCAC 32E .0103 Requirements for Approval

History

• Status: repealed
• Authority G.S. 90-6; 90-18(14); 150A-11
• Eff. February 1, 1976
• Amended Eff. August 1, 1982; March 22, 1980
• Repealed Eff. January 1, 1991.

21 NCAC 32E .0104 Moral Character

History

• Status: repealed
• Authority G.S. 90-6; 90-18(14); 150A-11
• Eff. February 1, 1976
• Amended Eff. August 1, 1982; March 22, 1980
• Repealed Eff. January 1, 1991.

21 NCAC 32E .0105 Termination of Approval

History

• Status: repealed
• Authority G.S. 90-6; 90-18(14); 150A-11
• Eff. February 1, 1976
• Amended Eff. August 1, 1982; March 22, 1980
• Repealed Eff. January 1, 1991.

21 NCAC 32E .0106 Annual Approval

History

• Status: repealed
• Authority G.S. 90-6; 90-18(14); 150A-11
• Eff. February 1, 1976
• Amended Eff. August 1, 1982; March 22, 1980
• Repealed Eff. January 1, 1991.

21 NCAC 32E .0107 Fees

History

• Status: repealed
• Authority G.S. 90-6; 90-18(14); 150A-11
• Eff. February 1, 1976
• Amended Eff. August 1, 1982; March 22, 1980
• Repealed Eff. January 1, 1991.

21 NCAC 32E .0108 Forms

History

• Status: repealed
• Authority G.S. 90-6; 90-18(14); 150A-11
• Eff. February 1, 1976
• Amended Eff. August 1, 1982; March 22, 1980
• Repealed Eff. January 1, 1991.

Subchapter F

21 NCAC 32F .0101 Time

History

• Status: repealed
• Authority G.S. 90-15.1
• Eff. February 1, 1976
• Repealed Eff. May 1, 1989.

21 NCAC 32F .0102 Required Information

History

• Status: repealed
• Authority G.S. 90-15.1
• Eff. February 1, 1976
• Repealed Eff. May 1, 1989.

21 NCAC 32F .0103 Fee

History

• Status: repealed
• Authority G.S. 90-12; 90-15.1
• Eff. February 1, 1976
• Amended Eff. December 1, 1995; October 1, 1994; November 1, 1991; May 1, 1989
• Temporary Amendment Eff. November 25, 1996
• Temporary Amendment Eff. November 25, 1996 expired on September 12, 1997
• Temporary Amendment Eff. January 1, 1998
• Amended Eff. April 1, 2005; May 1, 1999
• Repealed Eff. May 1, 2011.

21 NCAC 32F .0104 Failure to Register

History

• Status: repealed
• Authority G.S. 90-15.1
• Eff. February 1, 1976
• Repealed Eff. September 1, 1979.

21 NCAC 32F .0105 Forms

History

• Status: expired
• Authority G.S. 90-15.1
• Eff. February 1, 1976
• Amended Eff. May 1, 1989
• Expired Eff. April 1, 2016 pursuant to G.S. 150B-21.3A.

21 NCAC 32F .0106 Waiver for Licensees Serving on Active Duty in the Armed Services of the Us

The Board shall waive continuing education, payment of renewal and other fees, and any other requirements or conditions relating to the maintenance of licensure by an individual who is:

(1) currently licensed by and in good standing with the Board;

(2) serving in the armed forces of the United States or serving in support of such armed forces; and

(3) serving in a combat zone, or serving with respect to a military contingency operation as defined by 10 U.S.C. 101(a)(13).

History

• Authority; G.S. 105-249.2; S.L. 2009-458; Section 7508 of the Internal Revenue Code; 10U.S.C. 101
• Eff. August 1, 2010
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

Subchapter G

21 NCAC 32G .0101 Authority: Intent and Goals

History

• Status: repealed
• Authority G.S. 143-514
• Eff. February 13, 1976
• Repealed Eff. October 31, 1980.

21 NCAC 32G .0102 Definitions

History

• Status: repealed
• Authority G.S. 143-514
• Eff. February 13, 1976
• Repealed Eff. October 31, 1980.

21 NCAC 32G .0103 Hospital Utilization

History

• Status: repealed
• Authority G.S. 143-514
• Eff. February 13, 1976
• Repealed Eff. October 31, 1980.

21 NCAC 32G .0104 Training Programs

History

• Status: repealed
• Authority G.S. 143-514
• Eff. February 13, 1976
• Repealed Eff. October 31, 1980.

21 NCAC 32G .0105 Mobile Intensive Care Technician Performance

History

• Status: repealed
• Authority G.S. 143-514
• Eff. February 13, 1976
• Repealed Eff. October 31, 1980.

21 NCAC 32G .0106 Emergency Medical Technician-I.v. Performance

History

• Status: repealed
• Authority G.S. 143-514
• Eff. February 13, 1976
• Repealed Eff. October 31, 1980.

21 NCAC 32G .0107 Emergency Childbirth

History

• Status: repealed
• Authority G.S. 143-514
• Eff. February 13, 1976
• Repealed Eff. October 31, 1980.

21 NCAC 32G .0108 Requirements for Certification

History

• Status: repealed
• Authority G.S. 143-514
• Eff. February 13, 1976
• Repealed Eff. October 31, 1980.

21 NCAC 32G .0109 Forms

History

• Status: repealed
• Authority G.S. 143-514
• Eff. February 13, 1976
• Repealed Eff. October 31, 1980.

Subchapter H

21 NCAC 32H .0101 Authority: Intent and Goals

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 31, 1980
• Amended Eff. April 1, 1993; May 1, 1989; May 1, 1988
• Repealed Eff. August 1, 1996.

21 NCAC 32H .0102 Definitions

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 31, 1980
• Amended Eff. August 1, 1998; August 1, 1996; July 1, 1996; April 1, 1993; May 1, 1989; May 1, 1988
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0201 Advanced Life Support Program Criteria

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 31, 1980
• Amended Eff. August 1, 1998; August 1, 1996; July 1, 1996; April 1, 1993; May 1, 1989; May 1, 1988; August 1, 1984
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0202 Program Approval

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 31, 1980
• Amended Eff. August 1, 1998; August 1, 1996; July 1, 1996; April 1, 1993; May 1, 1989; May 1, 1988; August 1, 1984
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0203 Approval Requirements: Emergency Medical Dispatcher Program

History

• Status: repealed
• Authority G.S. 143-514
• Eff. July 15, 1996
• Amended Eff. August 1, 1998
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0301 Hospital Involvement

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 31, 1980
• Amended Eff. August 1, 1998; August 1, 1996; April 1, 1993; May 1, 1989; May 1, 1988; October 1, 1985
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0302 Plan for Participating Hospitals

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 31, 1980
• Amended Eff. August 1, 1998; August 1, 1996; April 1, 1993; May 1, 1989; May 1, 1988; October 1, 1985
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0303 Sponsor Hospital

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 31, 1980
• Amended Eff. August 1, 1998; August 1, 1996; April 1, 1993; May 1, 1989; May 1, 1988; October 1, 1985
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0304 Resource Hospital

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 31, 1980
• Amended Eff. October 1, 1985; August 1, 1984
• Repealed Eff. May 1, 1988.

21 NCAC 32H .0401 Educational Programs

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 31, 1980
• Amended Eff. August 1, 1996; April 1, 1993; October 1, 1990; March 1, 1990; May 1, 1989; May 1, 1988; October 1, 1985
• Temporary Amendment Eff. July 28, 1997
• Amended Eff. August 1, 1998
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0402 Emergency Medical Technician-Paramedic Performance

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 31, 1980
• Amended Eff. August 1, 1996; April 1, 1993; October 1, 1990; March 1, 1990; May 1, 1989; May 1, 1988; October 1, 1985
• Temporary Amendment Eff. July 28, 1997
• Amended Eff. August 1, 1998
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0403 Emergency Medical Technician-Intermediate Performance

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 31, 1980
• Amended Eff. August 1, 1996; April 1, 1993; October 1, 1990; March 1, 1990; May 1, 1989; May 1, 1988; October 1, 1985
• Temporary Amendment Eff. July 28, 1997
• Amended Eff. August 1, 1998
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0404 Mobile Intensive Care Nurse Performance

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 31, 1980
• Amended Eff. August 1, 1996; April 1, 1993; October 1, 1990; March 1, 1990; May 1, 1989; May 1, 1988; October 1, 1985
• Temporary Amendment Eff. July 28, 1997
• Amended Eff. August 1, 1998
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0405 Als Professional Performance in the Presence of a Physician

History

• Status: repealed
• Authority G.S. 143-514
• Eff. February 1, 1982
• Amended Eff. August 1, 1998; April 1, 1993; May 1, 1989; May 1, 1988; October 1, 1985
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0406 Emergency Medical Technician: Advanced Intermediate Performance

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 1, 1985
• Amended Eff. August 1, 1996; April 1, 1993; October 1, 1991; October 1, 1990; March 1, 1990
• Repealed Eff. August 1, 1998.

21 NCAC 32H .0407 Emergency Medical Technician-Defibrillation Performance

History

• Status: repealed
• Authority G.S. 143-514
• Eff. May 1, 1988
• Amended Eff. August 1, 1998; August 1, 1996; April 1, 1993; May 1, 1989
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0408 Emergency Medical Dispatcher Performance

History

• Status: repealed
• Authority G.S. 143-514
• Eff. July 1, 1996
• Amended Eff. August 1, 1998; August 1, 1996
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0409 Physician Assistant or Nurse Practitioner Performance

History

• Status: repealed
• Authority G.S. 143-514
• Eff. August 1, 1996
• Amended Eff. August 1, 1998
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0501 Certification Requirements: Emt-Paramedic

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 31, 1980
• Amended Eff. August 1, 1998; August 1, 1996; April 1, 1993; May 1, 1989; May 1, 1988; October 1, 1985
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0502 Certification Requirements: Emt-Intermediate

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 31, 1980
• Amended Eff. August 1, 1998; August 1, 1996; April 1, 1993; May 1, 1989; May 1, 1988; October 1, 1985
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0503 Approval Requirements: Mobile Intensive Care Nurse

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 31, 1980
• Amended Eff. August 1, 1998; August 1, 1996; April 1, 1993; May 1, 1989; May 1, 1988; October 1, 1985
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0504 Certification Requirements: Emt-Advanced Intermediate

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 31, 1980
• Amended Eff. August 1, 1996; April 1, 1993; May 1, 1989; May 1, 1988; October 1, 1985
• Repealed Eff. August 1, 1998.

21 NCAC 32H .0505 Certification Requirements: Emt-Defibrillation

History

• Status: repealed
• Authority G.S. 143-514
• Eff. May 1, 1988
• Amended Eff. August 1, 1998; August 1, 1996; April 1, 1993; May 1, 1989
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0506 Certification Requirements: Emergency Medical Dispatcher

History

• Status: repealed
• Authority G.S. 143-514
• Eff. July 1, 1996
• Amended Eff. August 1, 1998; August 1, 1996
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0507 Approval Requirements: Physician Assistant and Nurse Practitioner

History

• Status: repealed
• Authority G.S. 143-514
• Eff. August 1, 1996
• Amended Eff. August 1, 1998
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0508 Aeromedical Medical Crew Members

History

• Status: repealed
• Authority G.S. 143-514
• Eff. August 1, 1998
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0601 Grounds for Denial, Suspension, or Revocation

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 31, 1980
• Amended Eff. August 1, 1998; August 1, 1996; July 1, 1996; September 1, 1995; April 1, 1993; May 1, 1989; May 1, 1988
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0602 Procedures for Denial, Suspension, or Revocation

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 31, 1980
• Amended Eff. August 1, 1998; August 1, 1996; July 1, 1996; September 1, 1995; April 1, 1993; May 1, 1989; May 1, 1988
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0603 Effective Date

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 31, 1980
• Amended Eff. August 1, 1984
• Repealed Eff. May 1, 1988.

21 NCAC 32H .0701 Conditions

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 31, 1980
• Amended Eff. August 1, 1996; April 1, 1993; May 1, 1989; May 1, 1988
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0702 Requests

History

• Authority G.S. 143-514
• Eff. October 31, 1980
• Amended Eff. May 1, 1988
• RRC Objection Eff. April 18, 1996 due to lack of statutory authority
• RRC returned rule to agency on June 20, 1996
• Codifier of Rules removed rule from the NCAC Eff. June 20, 1996.

21 NCAC 32H .0801 Incorporation by Reference

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 31, 1980
• Amended Eff. August 1,1998; August 1, 1996; July 1, 1996; April 1, 1993; May 1, 1989; May 1, 1988
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0802 Source of Forms and Documents

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 31, 1980
• Amended Eff. August 1,1998; August 1, 1996; July 1, 1996; April 1, 1993; May 1, 1989; May 1, 1988
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0901 Conditions

History

• Status: repealed
• Authority G.S. 143-514
• Eff. February 1, 1982
• Amended Eff. August 1, 1998; August 1, 1996; April 1, 1993; May 1, 1989; May 1, 1988; October 1, 1985
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0902 Study Project Approval

History

• Status: repealed
• Authority G.S. 143-514
• Eff. February 1, 1982
• Amended Eff. August 1, 1998; August 1, 1996; April 1, 1993; May 1, 1989; May 1, 1988; October 1, 1985
• Repealed Eff. April 1, 2003.

21 NCAC 32H .0903 Study Recommendations

History

• Status: repealed
• Authority G.S. 143-514
• Eff. February 1, 1982
• Amended Eff. August 1, 1998; August 1, 1996; April 1, 1993; May 1, 1989; May 1, 1988; October 1, 1985
• Repealed Eff. April 1, 2003.

21 NCAC 32H .1001 Medical Control Procedures

History

• Status: repealed
• Authority G.S. 143-514
• Eff. August 1, 1984
• Amended Eff. July 1, 1996; April 1, 1993; May 1, 1989; May 1, 1988
• Repealed Eff. April 1, 2003.

21 NCAC 32H .1002 Medical Control from Hospital Outside Service Area

History

• Status: repealed
• Authority G.S. 143-514
• Eff. August 1, 1984
• Amended Eff. July 1, 1996; April 1, 1993; May 1, 1989; May 1, 1988
• Repealed Eff. April 1, 2003.

21 NCAC 32H .1003 Medical Control for Transports Between Facilities

History

• Status: repealed
• Authority G.S. 143-514
• Eff. August 1, 1984
• Amended Eff. July 1, 1996; April 1, 1993; May 1, 1989; May 1, 1988
• Repealed Eff. April 1, 2003.

21 NCAC 32H .1004 Air Ambulance Program Criteria

History

• Status: repealed
• Authority G.S. 143-514
• Eff. October 1, 1986
• Amended Eff. August 1, 1998; April 1, 1993; May 1, 1989; May 1, 1988
• Repealed Eff. April 1, 2003.

Subchapter I

21 NCAC 32I .0101 Requirements for Approval

History

• Status: repealed
• Authority G.S. 143-509(9)
• Eff. August 1, 1982
• Amended Eff. September 1, 1995; May 1, 1989
• Repealed Eff. April 1, 2003.

21 NCAC 32I .0102 Training Programs

History

• Status: repealed
• Authority G.S. 143-509(9)
• Eff. August 1, 1982
• Amended Eff. September 1, 1995; May 1, 1989
• Repealed Eff. April 1, 2003.

21 NCAC 32I .0103 Approval

History

• Status: repealed
• Authority G.S. 143-509(9)
• Eff. August 1, 1982
• Amended Eff. September 1, 1995; May 1, 1989
• Repealed Eff. April 1, 2003.

21 NCAC 32I .0104 Forms

History

• Status: repealed
• Authority G.S. 143-509(9)
• Eff. August 1, 1982
• Amended Eff. September 1, 1995; May 1, 1989
• Repealed Eff. April 1, 2003.

Subchapter J

21 NCAC 32J .0101 Application for Reinstatement

History

• Status: repealed
• Authority G.S. 90-14
• Eff. August 1, 1988
• Amended Eff. September 1, 1995; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32J .0102 Consideration by Board

History

• Status: repealed
• Authority G.S. 90-14
• Eff. August 1, 1988
• Amended Eff. September 1, 1995; May 1, 1989
• Repealed Eff. August 1, 2010.

21 NCAC 32J .0103 Hearing Upon Denial

History

• Status: repealed
• Authority G.S. 90-14
• Eff. August 1, 1988
• Amended Eff. September 1, 1995; May 1, 1989
• Repealed Eff. August 1, 2010.

Subchapter K

21 NCAC 32K .0101 Definitions

In addition to the terms set forth in G.S. 90-21.22, the following definitions apply to this Subchapter:

(1) "Compliance Committee" means the committee that meets to coordinate with the Board in its oversight of licensees in the Program. It includes members of the Program Board of Directors, members appointed by the Board, and a Physician Assistant member of the Program Board of Directors. The Board shall not appoint to the Compliance Committee a current member of the Board or a past member who has served on the Board within the past two years.

(2) "Impairment" means the inability to practice medicine or perform acts, tasks, and functions with skill and safety to patients by reasons of physical or mental illness or condition, including use of alcohol, drugs, chemicals, or any other type of material.

(3) "Impaired Practitioner" means a licensee of the Board who is or could be afflicted with a condition of impairment as defined in Item (2) of this Rule.

(4) "Licensee" means a person licensed by the Board.

(5) "Chief Executive Officer" means the person employed by the Program to coordinate the activities of the Program.

(6) "Participant" means a licensee of the Board who is permitted to participate and may receive services from the Program.

History

• Authority G.S. 90-21.22
• Eff. August 1, 1988
• Amended Eff. April 1, 2009; May 1, 1989
• Readopted Eff. July 1, 2017.

21 NCAC 32K .0102 Authority

History

• Status: repealed
• Authority G.S. 90-21.22
• Eff. August 1, 1988
• Amended Eff. May 1, 1989
• Repealed Eff. April 1, 2009.

21 NCAC 32K .0103 Peer Review Agreements

History

• Status: repealed
• Authority G.S. 90-21.22
• Eff. August 1, 1988
• Amended Eff. May 1, 1989
• Repealed Eff. April 1, 2009.

21 NCAC 32K .0104 Due Process

History

• Status: repealed
• Authority G.S. 90-21.22
• Eff. August 1, 1988
• Amended Eff. May 1, 1989
• Repealed Eff. April 1, 2009.

21 NCAC 32K .0201 Receipt and Use of Information of Potential Impairment

Information concerning a Participant may be received by the Program through reports from any source. Upon receipt of information of a potential impairment, the Program shall conduct a screening interview of the Participant. This screening interview shall not create a physician-patient or other clinical relationship. The Program may conduct routine inquiries regarding potential impairments. Participants shall submit to interviews with Program staff. Records relating to the Participant's involvement with the Program shall not be medical records.

History

• Authority G.S. 90-21.22
• Eff. August 1, 1988
• Amended Eff. April 1, 2009; May 1, 1989
• Readopted Eff. July 1, 2017.

21 NCAC 32K .0202 Assessment and Referral

When an initial screening interview reveals that assessment, treatment, or monitoring is indicated, the Program shall advise the Participant and referral source of the findings and recommendations. The Program shall develop a plan designed to ensure that the Participant is safe to practice.

History

• Authority G.S. 90-21.22
• Eff. August 1, 1988
• Amended Eff. April 1, 2009; May 1, 1989
• Readopted Eff. July 1, 2017.

21 NCAC 32K .0203 Monitoring Treatment Sources

The Program shall monitor the cost of treatment. Treatment sources receiving referrals from the Program also shall be monitored as to their ability to provide:

(1) medical and non-medical staffing;

(2) treatment;

(3) facilities; and

(4) post-treatment support.

History

• Authority G.S. 90-21.22
• Eff. August 1, 1988
• Amended Eff. April 1, 2009
• Readopted Eff. July 1, 2017.

21 NCAC 32K .0204 Monitoring Rehabilitation and Performance

(a) If a Participant is referred to the Program by the Board, and if the Program finds that treatment or monitoring are appropriate, the Program shall ask the Participant to sign a monitoring contract. If the Participant chooses not to sign a monitoring contract, the Program shall refer the Participant to the Board.

(b) If a Participant is self-referred to the Program, and if the Program finds that treatment or monitoring are appropriate, the Program shall ask the Participant to sign a monitoring contract. The Program shall report the Participant to the Board as required by G.S. 90-21.22.

(c) Participants shall submit urine or other bodily specimens if requested by the Program.

(d) Participants shall submit to periodic interviews with the Program staff.

(e) Participants shall sign releases allowing their treatment providers, employers, or other individuals assigned by the Program to monitor the Participant in the workplace to submit reports regarding the Participant's rehabilitation and performance to the Program and to the Board if the Participant is known to the Board. Participants shall ensure the reports are provided to the Program and the Board if the Participant is known to the Board. The Program shall maintain case records for each Participant.

History

• Authority G.S. 90-21.22
• Eff. August 1, 1988
• Amended Eff. April 1, 2009; May 1, 1989
• Readopted Eff. July 1, 2017.

21 NCAC 32K .0205 Monitoring Post-Treatment Support

History

• Status: repealed
• Authority G.S. 90-21.22
• Eff. August 1, 1988
• Amended Eff. April 1, 2009; May 1, 1989
• Repealed Eff. July 1, 2017.

21 NCAC 32K .0206 Reports of Individual Cases to the Board

The Program shall submit a report to the Board on a bi-monthly basis regarding the status of all Participants known to the Board. The Program shall report immediately to the Board information about any licensee as required under G.S. 90-21.22(d).

History

• Authority G.S. 90-21.22
• Eff. August 1, 1988
• Amended Eff. April 1, 2009; May 1, 1989
• Readopted Eff. July 1, 2017.

21 NCAC 32K .0207 Periodic Reporting of Statistical Information

On a quarterly basis and upon request by the Board, the Program shall provide statistical and demographic information concerning potential impairments, existing impairments, self-referrals, post-treatment support, and other demographic and substantive information collected through Program operations.

History

• Authority G.S. 90-21.22
• Eff. August 1, 1988
• Amended Eff. April 1, 2009; May 1, 1989
• Readopted Eff. July 1, 2017.

21 NCAC 32K .0208 Confidentiality

History

• Status: repealed
• Authority G.S. 90-21.22
• Eff. August 1, 1988
• Amended Eff. May 1, 1989
• Repealed Eff. July 1, 2017.

21 NCAC 32K .0209 Review Committee

(a) A Review Committee exists for Participants to request reconsideration of Program staff findings and recommendations in the following areas:

(1) General nature of diagnosis;

(2) Need for additional assessment beyond Program;

(3) Need for treatment;

(4) Need for monitoring by Program; or

(5) Closure of file or loss of Program advocacy;

(b) The Review Committee shall have three primary members and three alternate members. The Program Executive Committee shall nominate all potential members. The Program Board of Directors shall appoint members to the Review Committee. Review Committee members shall not be current members of the Program Compliance Committee, the Program Board of Directors, or the North Carolina Medical Board, nor shall they have served in those organizations within two years of their appointment to the Review Committee.

(c) Two primary Review Committee members shall be clinicians, including one physician and one person with relevant clinical experience with substance use disorders. One Review Committee member, either primary or alternate, shall be a physician assistant.

(d) A Participant who wishes to challenge one of the matters included in Paragraph (a) of this Rule shall deliver to the Chair of the Board of Directors a written request for review of the matter within ten days of being notified of the matter giving rise to the disagreement. Prior to the Review Committee considering the request, the Participant shall:

(1) Sign a release allowing Program staff to share all information with Review Committee members;

(2) Agree to abide by the finding of the Review Committee;

(3) Agree that all decisions by the Review Committee shall be final; and

(4) Sign a form releasing Program and the Review Committee from legal liability for activities conducted in good faith consistent with the provisions of G.S. 90-21.22(f).

(e) At any time prior to the Review Committee undertaking the request for reconsideration, the Participant and Program staff may attempt to resolve the disagreement prior to the Review Committee meeting.

(f) The Chair of the Board of Directors shall empanel the three primary members of the Review Committee to act on the request for reconsideration. In the event one or more primary members are not available, the Chair of the Board of Directors shall select from the alternate members to constitute a panel of three members.

(g) The Review Committee shall meet and the Participant and Program staff shall appear by teleconference within 30 days after receipt of the written request for reconsideration.

(1) At least five days prior to the teleconference meeting, Program staff and the Participant shall furnish to each other and to the Review Committee any materials they would like the Review Committee to consider. However, information provided to the Program from the Board regarding a Participant shall be provided pursuant to G.S. 90-16(c), and the information, including reports of investigation and attachments thereto, shall remain confidential and shall not be provided to the Participant.

(2) The teleconference shall last no more than one hour.

(3) If the Participant is a physician assistant, a physician assistant member of the Review Committee shall be included in the Review Committee.

(4) The Review Committee, Participant, and Program staff shall announce the names of all persons present on the phone call prior to the teleconference commencing. The Participant shall be allowed not less than 15 minutes to make a presentation followed by questions of the Participant and Program staff by Review Committee members. A Participant is permitted to be represented by counsel, and that counsel may participate in the meeting. The Review Committee process is not a legal or quasi-judicial proceeding and shall not be governed by the Rules of Evidence, Rules of Civil Procedure, or the Administrative Procedures Act. Participant and Program staff have no right to question or examine Program staff or Participant. Participant and Program staff have no right to question or examine Review Committee members.

(5) After the presentation and questioning, the Review Committee shall discuss the request for reconsideration without the presence of the Participant or Program staff. After completing the discussion, the Review Committee shall announce its decision.

(6) The Review Committee shall choose among the assessment, treatment, and monitoring options provided by Program staff and the Participant. The Review Committee shall not consider options for assessment, treatment, or monitoring not provided by Program staff or the Participant, unless new information is provided to the Review Committee.

(7) The Review Committee shall reduce its decision to writing and provide a copy of its written decision to the Participant and Program staff within five business days.

(8) The Review Committee's decision shall be binding upon the Program and the Participant.

(9) The Program staff shall make an official recording of the teleconference meeting and preserve the recording. The Participant shall be allowed to make a recording of the meeting.

(h) After completion of the review, new or additional review requests may be made by the Participant if there are new findings or recommendations by the Program regarding the Participant.

History

• Authority G.S. 90-21.22
• Eff. July 1, 2017.

Subchapter L

21 NCAC 32L .0101 Definitions

History

• Status: repealed
• Filed as a Temporary Amendment Eff. May 2, 1991, For a Period of 31 Days to Expire on
• June 1, 1991
• Filed as a Temporary Amendment Eff. January 1, 1991, For a Period of 120 Days to Expire
• on May 1, 1991
• Statutory Authority G.S. 90-15; 90-15.1; 90-18(13); 90-18.1; 150B-11; 150B-14(c)
• Eff. June 1, 1990
• Amended Eff. July 1, 1991
• Repealed Eff. June 1, 1994.

21 NCAC 32L .0102 Physician Assistant Applicant Status

History

• Status: repealed
• Filed as a Temporary Amendment Eff. May 2, 1991, For a Period of 31 Days to Expire on
• June 1, 1991
• Filed as a Temporary Amendment Eff. January 1, 1991, For a Period of 120 Days to Expire
• on May 1, 1991
• Statutory Authority G.S. 90-15; 90-15.1; 90-18(13); 90-18.1; 150B-11; 150B-14(c)
• Eff. June 1, 1990
• Amended Eff. July 1, 1991
• Repealed Eff. June 1, 1994.

21 NCAC 32L .0103 Requirements for Pa Approval

History

• Status: repealed
• Filed as a Temporary Amendment Eff. May 2, 1991, For a Period of 31 Days to Expire on
• June 1, 1991
• Filed as a Temporary Amendment Eff. January 1, 1991, For a Period of 120 Days to Expire
• on May 1, 1991
• Statutory Authority G.S. 90-15; 90-15.1; 90-18(13); 90-18.1; 150B-11; 150B-14(c)
• Eff. June 1, 1990
• Amended Eff. July 1, 1991
• Repealed Eff. June 1, 1994.

21 NCAC 32L .0104 Application for Pa Approval

History

• Status: repealed
• Filed as a Temporary Amendment Eff. May 2, 1991, For a Period of 31 Days to Expire on
• June 1, 1991
• Filed as a Temporary Amendment Eff. January 1, 1991, For a Period of 120 Days to Expire
• on May 1, 1991
• Statutory Authority G.S. 90-15; 90-15.1; 90-18(13); 90-18.1; 150B-11; 150B-14(c)
• Eff. June 1, 1990
• Amended Eff. July 1, 1991
• Repealed Eff. June 1, 1994.

21 NCAC 32L .0105 Prescribing Privileges

History

• Status: repealed
• Filed as a Temporary Amendment Eff. May 2, 1991, For a Period of 31 Days to Expire on
• June 1, 1991
• Filed as a Temporary Amendment Eff. January 1, 1991, For a Period of 120 Days to Expire
• on May 1, 1991
• Statutory Authority G.S. 90-15; 90-15.1; 90-18(13); 90-18.1; 150B-11; 150B-14(c)
• Eff. June 1, 1990
• Amended Eff. July 1, 1991
• Repealed Eff. June 1, 1994.

21 NCAC 32L .0106 Requirements for Recognition of Pa Training Programs

History

• Status: repealed
• Filed as a Temporary Amendment Eff. May 2, 1991, For a Period of 31 Days to Expire on
• June 1, 1991
• Filed as a Temporary Amendment Eff. January 1, 1991, For a Period of 120 Days to Expire
• on May 1, 1991
• Statutory Authority G.S. 90-15; 90-15.1; 90-18(13); 90-18.1; 150B-11; 150B-14(c)
• Eff. June 1, 1990
• Amended Eff. July 1, 1991
• Repealed Eff. June 1, 1994.

21 NCAC 32L .0107 Termination of Pa Approval

History

• Status: repealed
• Filed as a Temporary Amendment Eff. May 2, 1991, For a Period of 31 Days to Expire on
• June 1, 1991
• Filed as a Temporary Amendment Eff. January 1, 1991, For a Period of 120 Days to Expire
• on May 1, 1991
• Statutory Authority G.S. 90-15; 90-15.1; 90-18(13); 90-18.1; 150B-11; 150B-14(c)
• Eff. June 1, 1990
• Amended Eff. July 1, 1991
• Repealed Eff. June 1, 1994.

21 NCAC 32L .0108 Method of Identification

History

• Status: repealed
• Filed as a Temporary Amendment Eff. May 2, 1991, For a Period of 31 Days to Expire on
• June 1, 1991
• Filed as a Temporary Amendment Eff. January 1, 1991, For a Period of 120 Days to Expire
• on May 1, 1991
• Statutory Authority G.S. 90-15; 90-15.1; 90-18(13); 90-18.1; 150B-11; 150B-14(c)
• Eff. June 1, 1990
• Amended Eff. July 1, 1991
• Repealed Eff. June 1, 1994.

21 NCAC 32L .0109 Supervision of a Pa

History

• Status: repealed
• Filed as a Temporary Amendment Eff. May 2, 1991, For a Period of 31 Days to Expire on
• June 1, 1991
• Filed as a Temporary Amendment Eff. January 1, 1991, For a Period of 120 Days to Expire
• on May 1, 1991
• Statutory Authority G.S. 90-15; 90-15.1; 90-18(13); 90-18.1; 150B-11; 150B-14(c)
• Eff. June 1, 1990
• Amended Eff. July 1, 1991
• Repealed Eff. June 1, 1994.

21 NCAC 32L .0110 Annual Registration of Pa Approval

History

• Status: repealed
• Filed as a Temporary Amendment Eff. May 2, 1991, For a Period of 31 Days to Expire on
• June 1, 1991
• Filed as a Temporary Amendment Eff. January 1, 1991, For a Period of 120 Days to Expire
• on May 1, 1991
• Statutory Authority G.S. 90-15; 90-15.1; 90-18(13); 90-18.1; 150B-11; 150B-14(c)
• Eff. June 1, 1990
• Amended Eff. July 1, 1991
• Repealed Eff. June 1, 1994.

21 NCAC 32L .0111 Fees

History

• Status: repealed
• Filed as a Temporary Amendment Eff. May 2, 1991, For a Period of 31 Days to Expire on
• June 1, 1991
• Filed as a Temporary Amendment Eff. January 1, 1991, For a Period of 120 Days to Expire
• on May 1, 1991
• Statutory Authority G.S. 90-15; 90-15.1; 90-18(13); 90-18.1; 150B-11; 150B-14(c)
• Eff. June 1, 1990
• Amended Eff. July 1, 1991
• Repealed Eff. June 1, 1994.

21 NCAC 32L .0112 Pa Forms

History

• Status: repealed
• Filed as a Temporary Amendment Eff. May 2, 1991, For a Period of 31 Days to Expire on
• June 1, 1991
• Filed as a Temporary Amendment Eff. January 1, 1991, For a Period of 120 Days to Expire
• on May 1, 1991
• Statutory Authority G.S. 90-15; 90-15.1; 90-18(13); 90-18.1; 150B-11; 150B-14(c)
• Eff. June 1, 1990
• Amended Eff. July 1, 1991
• Repealed Eff. June 1, 1994.

Subchapter M

21 NCAC 32M .0101 Definitions

The following definitions apply to this Subchapter:

(1) "Approval to Practice" means authorization by the Joint Subcommittee of the Medical Board and the Board of Nursing for a nurse practitioner to practice within her or his area of educational preparation and certification under a collaborative practice agreement with a physician licensed by the Medical Board in accordance with this Subchapter.

(2) "Back-up Supervising Physician" means a physician licensed by the Medical Board who, by signing an agreement with the nurse practitioner and the primary supervising physician(s), shall provide supervision, collaboration, consultation, and evaluation of medical acts by the nurse practitioner in accordance with the collaborative practice agreement when the primary supervising physician is not available. Back-up supervision shall be in compliance with the following:

(a) The signed and dated agreements for each back-up supervising physician(s) shall be maintained at each practice site.

(b) A physician in a graduate medical education program, whether fully licensed or holding only a resident's training license, shall not be named as a back-up supervising physician.

(c) A fully licensed physician in a graduate medical education program who is also practicing in a non-training situation and has a signed collaborative practice agreement with the nurse practitioner and the primary supervising physician may be a back-up supervising physician for a nurse practitioner in the non-training situation.

(3) "Board" means the North Carolina Board of Nursing.

(4) "Collaborative practice agreement" means the arrangement for nurse practitioner-physician that provides for the continuous availability to each other for ongoing supervision, consultation, collaboration, referral, and evaluation of care provided by the nurse practitioner.

(5) "Emergency" means a state of emergency as defined in G.S. 166A-19.3 and proclaimed by the Governor or by the General Assembly.

(6) "Joint Subcommittee" means the subcommittee composed of members of the Board and members of the Medical Board to whom responsibility is given by G.S. 90-8.2 and G.S. 90-171.23(b)(14) to develop rules to govern the performance of medical acts by nurse practitioners in North Carolina.

(7) "Medical Board" means the North Carolina Medical Board.

(8) "National Credentialing Body" means one of the following credentialing bodies that offers certification and re-certification in the nurse practitioner's specialty area of practice:

(a) American Nurses Credentialing Center (ANCC);

(b) American Academy of Nurse Practitioners National Certification Board (AANPNCB);

(c) American Association of Critical Care Nurses Certification Corporation (AACN);

(d) National Certification Corporation of the Obstetric, Gynecologic and Neonatal Nursing Specialties (NCC); and

(e) the Pediatric Nursing Certification Board (PNCB).

(9) "Nurse Practitioner" or "NP" means a registered nurse who holds an active unencumbered license approved to practice consistent with the nurse's area of nurse practitioner academic educational preparation and national certification under an agreement with a physician licensed by the Medical Board for ongoing supervision, consultation, collaboration, and evaluation of medical acts performed. Such medical acts are in addition to those nursing acts performed by virtue of registered nurse (RN) licensure. The NP is held accountable under the RN license for those nursing acts that he or she may perform.

(10) "Primary Supervising Physician" means a physician with an active unencumbered license with the Medical Board who shall provide on-going supervision, collaboration, consultation, and evaluation of the medical acts performed by the nurse practitioner as defined in the collaborative practice agreement. Supervision shall be in compliance with the following:

(a) The primary supervising physician shall assure both Boards that the nurse practitioner is qualified to perform those medical acts described in the collaborative practice agreement.

(b) A physician in a graduate medical education program, whether fully licensed or holding only a resident's training license, shall not be named as a primary supervising physician.

(c) A fully licensed physician in a graduate medical education program who is also practicing in a non-training situation may supervise a nurse practitioner in the non-training situation.

(11) "Registration" means authorization for a registered nurse to use the title nurse practitioner in accordance with this Subchapter.

(12) "Supervision" means the physician's function of overseeing medical acts performed by the nurse practitioner.

(13) "Volunteer Approval" means approval to practice consistent with this Subchapter except without expectation of direct or indirect compensation or payment (monetary, in kind, or otherwise) to the nurse practitioner.

History

• Authority G.S. 90-5.1(a)(3); 90-8.1; 90-8.2; 90-18(c)(14); 90-18.2
• Eff. January 1, 1991
• Amended Eff. September 1, 2012; December 1, 2009; December 1, 2006; August 1, 2004; May 1, 1999; January 1, 1996
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. June 1, 2021.

21 NCAC 32M .0102 Scope of Practice

The nurse practitioner's scope of practice is defined by academic educational preparation and national certification and maintained competence. A nurse practitioner shall be held accountable by both Boards for a broad range of personal health services managing patient care for which the nurse practitioner is educationally prepared and for which competency has been maintained, with physician supervision and collaboration as described in Rule .0110 of this Subchapter. These services include:

(1) promotion and maintenance of health;

(2) prevention of illness and disability;

(3) diagnosing, treating, and managing acute and chronic illnesses;

(4) guidance and counseling for both individuals and families;

(5) prescribing, administering, and dispensing therapeutic measures, tests, procedures, and drugs;

(6) planning for situations beyond the nurse practitioner's scope of practice and expertise by consulting with and referring to other health care providers as appropriate; and

(7) evaluating health outcomes.

History

• Authority G.S. 90-5.1(a)(3); 90-18(c)(14); 90-18.2
• Eff. January 1, 1991
• Amended Eff. August 1, 2004; May 1, 1999; January 1, 1996
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. June 1, 2021.

21 NCAC 32M .0103 Nurse Practitioner Registration

(a) The Board shall register an applicant as a nurse practitioner who:

(1) has an active unencumbered license or privilege to practice as a registered nurse in North Carolina or compact state and, when applicable, an active unencumbered approval, registration, or license as a nurse practitioner in another state, territory, or possession of the United States;

(2) has completed a nurse practitioner education program as outlined in Rule .0105 of this Subchapter;

(3) is certified as a nurse practitioner by a national credentialing body consistent with Rule .0101(8) of this Subchapter; and

(4) has supplied additional information necessary to evaluate the application as requested by the Board on a case-by-case basis.

(b) Applicants who have graduated from a nurse practitioner program after January 1, 2005 who are seeking first-time nurse practitioner registration shall:

(1) hold a Master's or higher degree in Nursing or related field with primary focus on Nursing;

(2) have completed a graduate or post-graduate level nurse practitioner education program accredited by a national accrediting body; and

(3) provide documentation of certification by a national credentialing body.

History

• Authority G.S. 90-5.1(a)(3); 90-18(c)(14); 90-18.2
• Eff. August 1, 2004
• Amended Eff. September 1, 2012; November 1, 2008; December 1, 2006
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. June 1, 2021.

21 NCAC 32M .0104 Process for Approval to Practice

(a) Prior to the performance of any medical acts, a nurse practitioner shall:

(1) meet registration requirements as specified in 21 NCAC 32M .0103;

(2) submit an application for approval to practice;

(3) submit any additional information necessary to evaluate the application as requested; and

(4) have a collaborative practice agreement with a primary supervising physician.

(b) A nurse practitioner seeking approval to practice who has not practiced as a nurse practitioner in more than two years shall complete a nurse practitioner refresher course approved by the Board of Nursing in accordance with Paragraphs (o) and (p) of 21 NCAC 36 .0220 and consisting of common conditions and their management directly related to the nurse practitioner's area of education and certification. A nurse practitioner refresher course participant shall be granted an approval to practice that is limited to clinical activities required by the refresher course.

(c) The nurse practitioner shall not practice until notification of approval to practice is received from the Board of Nursing after both Boards have approved the application.

(d) The nurse practitioner's approval to practice is terminated when the nurse practitioner discontinues working within the approved nurse practitioner collaborative practice agreement or experiences an interruption in her or his registered nurse licensure status, and the nurse practitioner shall so notify the Board of Nursing in writing. The Boards shall extend the nurse practitioner's approval to practice in cases of emergency such as sudden injury, illness or death of the primary supervising physician.

(e) Applications for approval to practice in North Carolina shall be submitted to the Board of Nursing and then approved by both Boards as follows:

(1) the Board of Nursing shall verify compliance with Rule .0103 of this Subchapter and Paragraph (a) of this Rule; and

(2) the Medical Board shall verify that the designated primary supervising physician holds a valid license to practice medicine in North Carolina and compliance with Paragraph (a) of this Rule.

(f) Applications for approval of changes in practice arrangements for a nurse practitioner currently approved to practice in North Carolina shall be submitted by the applicants as follows:

(1) addition or change of primary supervising physician shall be submitted to the Board of Nursing and proceed pursuant to protocols developed by both Boards; and

(2) request for change(s) in the scope of practice shall be submitted to the Joint Subcommittee.

(g) A registered nurse who was previously approved to practice as a nurse practitioner in this state who reapplies for approval to practice shall:

(1) meet the nurse practitioner approval requirements as stipulated in Rule .0108(c) of this Subchapter; and

(2) complete the appropriate application.

(h) Volunteer Approval to Practice. The North Carolina Board of Nursing shall grant approval to practice in a volunteer capacity to a nurse practitioner who has met the qualifications to practice as a nurse practitioner in North Carolina.

(i) The nurse practitioner shall pay the appropriate fee as outlined in Rule .0115 of this Subchapter.

(j) A Nurse Practitioner approved under this Subchapter shall keep proof of current licensure, registration and approval available for inspection at each practice site upon request by agents of either Board.

History

• Authority G.S. 90-18(c)(14); 90-18.2; 90-171.20(7); 90-171.23(b); 90-171.42
• Eff. January 1, 1991
• Paragraph (b)(1) was recodified from 21 NCAC 32M .0104 Eff. January 1, 1996
• Amended Eff. December 1, 2006; May 1, 1999; January 1, 1996
• Recodified from 21 NCAC 32M .0103 Eff. August 1, 2004
• Amended Eff. November 1, 2013; January 1, 2013; December 1, 2009; November 1, 2008; January 1, 2007; August 1, 2004
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32M .0105 Education and certification REQUIREMENTS FOR registration AND APPROVAL as a NURSE PRACTITIONER

(a) A nurse practitioner applicant seeking registration or first-time approval to practice after January 1, 2000, shall provide evidence of current certification as a nurse practitioner by a national credentialing body.

(b) A nurse practitioner applicant seeking registration or first-time approval to practice who completed a nurse practitioner education program prior to December 31, 1999 shall provide evidence of completion of a course of education that contains a core curriculum including 400 contact hours of didactic education and 400 contact hours of preceptorship or supervised clinical experience. The core curriculum shall contain the following components:

(1) health assessment and diagnostic reasoning including:

(A) historical data;

(B) physical examination data;

(C) organization of data base;

(2) pharmacology;

(3) pathophysiology;

(4) clinical management of common health problems and diseases such as the following shall be included in the nurse practitioner's academic program:

(A) respiratory system;

(B) cardiovascular system;

(C) gastrointestinal system;

(D) genitourinary system;

(E) integumentary system;

(F) hematologic and immune systems;

(G) endocrine system;

(H) musculoskeletal system;

(I) infectious diseases;

(J) nervous system;

(K) behavioral, mental health, and substance abuse problems;

(5) clinical preventative services, including health promotion and prevention of disease;

(6) client education related to Subparagraph (b)(4) and (5) of this Rule; and

(7) role development including legal, ethical, economical, health policy, and interdisciplinary collaboration issues.

(c) Nurse practitioner applicants exempt from components of the core curriculum requirements listed in Paragraph (b) of this Rule are:

(1) Any nurse practitioner approved to practice in North Carolina prior to January 18, 1981, is permanently exempt from the core curriculum requirement.

(2) A nurse practitioner certified by a national credentialing body prior to January 1, 1998, who also provides evidence of satisfying Subparagraphs (b)(1) – (3) of this Rule shall be exempt from core curriculum requirements in Sub-paragraphs (b)(4) – (7) of this Rule. Evidence of satisfying Subparagraphs (b)(1) – (3) of this Rule shall include:

(A) a narrative of course content; and

(B) contact hours.

History

• Authority G.S. 90-5.1(a)(3); 90-18(c)(14)
• Eff. January 1, 1991
• Recodified from 21 NCAC 32M .0005 Eff. January 1, 1996
• Amended Eff. May 1, 1999; January 1, 1996
• Recodified from 21 NCAC 32M .0104 Eff. August 1, 2004
• Amended Eff. December 1, 2009; December 1, 2006; August 1, 2004
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. June 1, 2021.

21 NCAC 32M .0106 Annual Renewal of Approval to Practice

(a) Each registered nurse who is approved to practice as a nurse practitioner in this State shall annually renew each approval to practice with the Board no later than the last day of the nurse practitioner's birth month by:

(1) Maintaining current North Carolina RN licensure or privilege to practice;

(2) Maintaining certification as a nurse practitioner by a national credentialing body identified in Rule .0101(8) of this Subchapter;

(3) Attesting to completion of continuing competence requirements, and submitting evidence of completion if requested by the Board, as specified in Rule .0107 of this Subchapter;

(4) Submitting the fee required in Rule .0115 of this Subchapter; and

(5) Completing the renewal application.

(b) If the nurse practitioner has not renewed by the last day of her or his birth month, the approval to practice as a nurse practitioner shall expire.

History

• Authority G.S. 90-5.1(a)(3); 90-8.1; 90-8.2(a); 90-18(c)(14)
• Eff. January 1, 1996
• Amended Eff. August 1, 2004; May 1, 1999
• Recodified from Rule .0105 Eff. August 1, 2004
• Amended Eff. December 1, 2009; November 1, 2008
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. June 1, 2021; March 1, 2017.

21 NCAC 32M .0107 Continuing Education (ce)

(a) In order to maintain nurse practitioner approval to practice, the nurse practitioner shall earn 50 contact hours of continuing education activity every two years, beginning with the first renewal after initial approval to practice has been granted. A minimum of 20 hours of the required 50 hours must be within the nurse practitioner's national certification. The 20 hours must have approval from a national credentialing body or Accreditation Council on Continuing Medical Education (ACCME). A nurse practitioner who possesses a current national certification by a national credentialing body shall be deemed in compliance with the requirement of Paragraph (a) of this Rule.

(b) Prior to prescribing controlled substances as the same are defined in 21 NCAC 36 .0809(2), nurse practitioners shall have completed a minimum of one CE hour within the preceding 12 months on 1 or more of the following topics:

(1) Controlled substances prescription practices;

(2) Prescribing controlled substances for chronic pain management;

(3) Recognizing signs of controlled substance abuse or misuse; or

(4) Non-opioid treatment options as an alternative to controlled substances.

(c) Nurse practitioners who complete the federally required training under the Medication Access and Training Expansion Act (MATE), 21 U.S.C. 823(l), shall be deemed in compliance with the controlled substance prescribing requirements of this Rule for the two-year CE period in which the MATE training was completed.

(d) Documentation of all CE completed within the previous five years shall be maintained by the nurse practitioner and made available upon request to either Board.

History

• Authority G.S. 90-5.1(a)(3); 90-8.2; 90-18(c)(14); S.L. 2015-241, s. 12F
• Eff. January 1, 1996
• Amended Eff. August 1, 2004; May 1, 1999
• Recodified from Rule .0106 Eff. August 1, 2004
• Amended Eff. December 1, 2009; April 1, 2008
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. July 1, 2024; June 1, 2023; June 1, 2021; March 1, 2017.

21 NCAC 32M .0108 Inactive Status

(a) Any nurse practitioner who wishes to place her or his approval to practice on an inactive status shall notify the Board in writing.

(b) A nurse practitioner with an inactive approval to practice status shall not practice as a nurse practitioner.

(c) A nurse practitioner with an inactive approval to practice status who reapplies for approval to practice shall meet the qualifications for approval to practice in Rules .0103(a)(1), .0104(a) and (b), .0107, and .0110 of this Subchapter and receive notification from the Board of approval prior to beginning practice after the application is approved.

(d) A nurse practitioner who has not practiced as a nurse practitioner in more than two years shall complete a nurse practitioner refresher course approved by the Board in accordance with Paragraphs (o) and (p) of 21 NCAC 36 .0220 and consisting of common conditions and management of these conditions directly related to the nurse practitioner's area of academic education and national certification. A nurse practitioner refresher course participant shall be granted an approval to practice that is limited to clinical activities required by the refresher course.

History

• Authority G.S. 90-5.1(a)(3); 90-18(c)(14); 90-18.2; 90-171.36
• Eff. January 1, 1996
• Amended Eff. November 1, 2013; January 1, 2013; December 1, 2009; December 1, 2006; August 1, 2004; May 1, 1999
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. June 1, 2021.

21 NCAC 32M .0109 Prescribing Authority

(a) The prescribing stipulations contained in this Rule apply to writing prescriptions and ordering the administration of medications.

(b) Prescribing and dispensing stipulations are as follows:

(1) Drugs and devices that may be prescribed by the nurse practitioner in each practice site shall be included in the collaborative practice agreement as outlined in Rule .0110(2) of this Section.

(2) Controlled Substances (Schedules II, IIN, III, IIIN, IV, V) defined by the State and Federal Controlled Substances Acts may be procured, prescribed, or ordered as established in the collaborative practice agreement, providing all of the following requirements are met:

(A) the nurse practitioner has an assigned DEA number that is entered on each prescription for a controlled substance;

(B) refills may be issued consistent with Controlled Substance laws and regulations; and

(C) the primary supervising physician(s) shall possess a schedule(s) of controlled substances equal to or greater than the nurse practitioner's DEA registration.

(3) The nurse practitioner may prescribe a drug or device not included in the collaborative practice agreement only as follows:

(A) upon a specific written or verbal order obtained from a primary or back-up supervising physician before the prescription or order is issued by the nurse practitioner; and

(B) the written or verbal order as described in Part (b)(3)(A) of this Rule shall be entered into the patient record with a notation that it is issued on the specific order of a primary or back-up supervising physician and signed by the nurse practitioner and the physician.

(4) Each prescription shall be noted on the patient's chart and include the following information:

(A) medication and dosage;

(B) amount prescribed;

(C) directions for use;

(D) number of refills; and

(E) signature of nurse practitioner.

(5) Prescription Format:

(A) All prescriptions issued by the nurse practitioner shall contain the name of the patient and the nurse practitioner's name and telephone number;

(B) The nurse practitioner's assigned DEA number shall be written on the prescription form when a controlled substance is prescribed as defined in Subparagraph (b)(2) of this Rule.

(6) A nurse practitioner shall not prescribe controlled substances, as defined by the State and Federal Controlled Substances Acts, for the following:

(A) nurse practitioner's own use;

(B) nurse practitioner's supervising physician;

(C) a member of the nurse practitioner's immediate family, which shall mean a:

(i) spouse;

(ii) parent;

(iii) child;

(iv) sibling;

(v) parent-in-law;

(vi) son or daughter-in-law;

(vii) brother or sister-in-law;

(viii) step-parent;

(ix) step-child; or

(x) step-siblings;

(D) any other person living in the same residence as the licensee; or

(E) anyone with whom the nurse practitioner is having a physical, sexual, or emotionally intimate relationship.

(c) The nurse practitioner may obtain approval to dispense the drugs and devices other than samples included in the collaborative practice agreement for each practice site from the Board of Pharmacy, and dispense in accordance with 21 NCAC 46 .1703 that is hereby incorporated by reference including subsequent amendments.

History

• Authority G.S. 90-5.1(a)(3); 90-18(c)(14); 90-18.2
• Eff. February 1, 1991
• Recodified from 21 NCAC 32M .0106 Eff. January 1, 1996
• Amended Eff. December 1, 2012; April 1, 2011; November 1, 2008; August 1, 2004; May 1, 1999; January 1, 1996; September 1, 1994; March 1, 1994
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. August 1, 2021; March 1, 2017.

21 NCAC 32M .0110 Quality Assurance Standards for a Collaborative Practice Agreement

The following are the quality assurance standards for a collaborative practice agreement:

(1) Availability: The primary or back-up supervising physician(s) and the nurse practitioner shall be continuously available to each other for consultation by direct communication or telecommunication.

(2) Collaborative Practice Agreement:

(a) shall be agreed upon, signed, and dated by both the primary supervising physician and the nurse practitioner, and maintained in each practice site;

(b) shall be reviewed at least yearly. This review shall be acknowledged by a dated signature sheet, signed by both the primary supervising physician and the nurse practitioner, appended to the collaborative practice agreement, and available for inspection by either Board;

(c) shall include the drugs, devices, medical treatments, tests, and procedures that may be prescribed, ordered, and performed by the nurse practitioner consistent with Rule .0109 of this Subchapter; and

(d) shall include a pre-determined plan for emergency services.

(3) The nurse practitioner shall demonstrate the ability to perform medical acts as outlined in the collaborative practice agreement upon request by members or agents of either Board.

(4) Quality Improvement Process:

(a) The primary supervising physician and the nurse practitioner shall develop a process for the ongoing review of the care provided in each practice site, including a written plan for evaluating the quality of care provided for one or more frequently encountered clinical problems.

(b) This plan shall include a description of the clinical problem(s), an evaluation of the current treatment interventions, and if needed, a plan for improving outcomes within an identified time frame.

(c) The quality improvement process shall include scheduled meetings between the primary supervising physician and the nurse practitioner for a minimum of every six months. Documentation for each meeting shall:

(i) identify clinical problems discussed, including progress toward improving outcomes as stated in Sub-Item (4)(b) of this Rule, and recommendations, if any, for changes in treatment plan(s);

(ii) be signed and dated by those who attended; and

(iii) be available for review by either Board for the previous five calendar years and be retained by both the nurse practitioner and primary supervising physician.

(5) Nurse Practitioner-Physician Consultation. The following requirements establish the minimum standards for consultation between the nurse practitioner and primary supervising physician(s):

(a) During the first six months of a collaborative practice agreement between a nurse practitioner and the primary supervising physician, there shall be monthly meetings to discuss practice-relevant clinical issues and quality improvement measures.

(b) Documentation of the meetings shall:

(i) identify clinical issues discussed and actions taken;

(ii) be signed and dated by those who attended; and

(iii) be available for review by either Board for the previous five calendar years and be retained by both the nurse practitioner and primary supervising physician.

History

• History Note Authority G.S. 90-5.1(a)(3); 90-8.1; 90-8.2; 90-18(c)(14); 90-18.2; 90-171.23(b)(14)
• Eff. January 1, 1991
• Amended Eff. August 1, 2004; May 1, 1999; January 1, 1996; March 1, 1994
• Recodified from Rule .0109 Eff. August 1, 2004
• Amended Eff. December 1, 2009
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. June 1, 2021.

21 NCAC 32M .0111 Method of Identification

When providing care to the public, the nurse practitioner shall identify herself or himself as specified in G.S. 90-640 and 21 NCAC 36 .0231.

History

• Authority G.S. 90-18(14); 90-640
• Eff. January 1, 1991
• Recodified from 21 NCAC 32M .0108 Eff. January 1, 1996
• Amended Eff. August 1, 2004; May 1, 1999; January 1, 1996
• Recodified from Rule .0110 Eff. August 1, 2004
• Readopted Eff. July 1, 2017.

21 NCAC 32M .0112 Disciplinary Action

(a) After notice and hearing in accordance with provisions of G.S. 150B, Article 3A, disciplinary action may be taken by the appropriate Board if one or more of the following is found:

(1) violation of G.S. 90-18 and G.S. 90-18.2 or the joint rules adopted by each Board;

(2) immoral or dishonorable conduct pursuant to and consistent with G.S. 90-14(a)(1);

(3) any submissions to either Board pursuant to and consistent with G.S. 90-14(a)(3);

(4) the nurse practitioner is adjudicated mentally incompetent or the nurse practitioner's mental or physical condition renders the nurse practitioner unable to safely function as a nurse practitioner pursuant to and consistent with G.S. 90-14(a)(5) and G.S. 90-171.37(3);

(5) unprofessional conduct by reason of deliberate or negligent acts or omissions and contrary to the prevailing standards for nurse practitioners in accordance and consistent with G.S. 90-14(a)(6) and G.S. 90-171.35(5);

(6) Conviction in any court of a criminal offense in accordance and consistent with G.S. 90-14(a)(7) and G.S. 90-171.37(2) and G.S. 90-171.48;

(7) payments for the nurse practitioner practice pursuant to and consistent with G.S. 90-14(a)(8);

(8) lack of professional competence as a nurse practitioner pursuant to and consistent with G.S. 90-14(a)(11);

(9) exploiting the client pursuant to and consistent with G.S. 90-14(a)(12) including the promotion of the sale of services, appliances, or drugs for the financial gain of the practitioner or of a third party;

(10) failure to respond to inquiries which may be part of a joint protocol between the Board of Nursing and Medical Board for investigation and discipline pursuant to and consistent with G.S. 90-14(a)(14);

(11) the nurse practitioner has held himself or herself out or permitted another to represent the nurse practitioner as a licensed physician; or

(12) the nurse practitioner has engaged or attempted to engage in the performance of medical acts other than according to the collaborative practice agreement.

(b) The nurse practitioner is subject to G.S. 90-171.37; 90-171.48 and 21 NCAC 36 .0217 by virtue of the license to practice as a registered nurse.

(c) After an investigation is completed, the joint subcommittee of both boards may recommend one of the following:

(1) dismiss the case;

(2) issue a private letter of concern;

(3) enter into negotiation for a Consent Order; or

(4) a disciplinary hearing in accordance with G.S. Chapter 150B, Article 3A. If a hearing is recommended, the joint subcommittee shall also recommend whether the matter should be heard by the Board of Nursing or the Medical Board.

(d) Upon a finding of violation, each Board may utilize the range of disciplinary options as enumerated in G.S. 90-14(a) or G.S. 90-171.37.

History

• Authority G.S. 90-18(14); 90-171.37; 90-171.44; 90-171.47
• Eff. February 1, 1991
• Recodified from 21 NCAC 32M .0107 Eff. January 1, 1996
• Amended Eff. August 1, 2004; May 1, 1999; January 1, 1996
• Recodified from Rule .0111 Eff. August 1, 2004
• Amended Eff. April 1, 2007
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. April 1, 2020.

21 NCAC 32M .0113 Annual Renewal of Np Approval

History

• Status: repealed
• Authority G.S. 90-6; 90-18(14)
• Eff. January 1, 1991
• Recodified from 21 NCAC 32M .0110 Eff. January 1, 1996
• Repealed Eff. January 1, 1996.

21 NCAC 32M .0114 Np Forms

History

• Status: repealed
• Authority G.S. 150B-11
• Eff. January 1, 1991
• Recodified from 21 NCAC 32M .0112 Eff. January 1, 1996
• Repealed Eff. January 1, 1996.

21 NCAC 32M .0115 Fees

(a) An application fee of one hundred dollars ($100.00) shall be paid at the time of initial application for approval to practice and each subsequent application for approval to practice. The application fee shall be twenty dollars ($20.00) for the volunteer approval.

(b) The fee for annual renewal of approval shall be fifty dollars ($50.00).

(c) The fee for annual renewal of volunteer approval shall be ten dollars ($10.00).

(d) No portion of any fee in this Rule is refundable.

History

• Authority G.S. 90-6
• Eff. January 1, 1996
• Recodified from 21 NCAC 32M .0111 Eff. January 1, 1996
• Amended Eff. August 1, 2004; May 1, 1999; January 1, 1996
• Recodified from Rule .0112 Eff. August 1, 2004
• Amended Eff. November 1, 2008
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32M .0116 Practice During a Disaster

(a) A nurse practitioner approved to practice in this State or another state may perform medical acts as a nurse practitioner under the supervision of a physician licensed to practice medicine in North Carolina during a disaster in a county in which a state of disaster has been declared or counties contiguous to a county in which a state of disaster has been declared.

(b) The nurse practitioner shall notify the Board of Nursing in writing of the names, practice locations and telephone number for the nurse practitioner and each primary supervising physician within 15 days of the first performance of medical acts as a nurse practitioner during the disaster, and the Board of Nursing shall notify the Medical Board.

(c) Teams of physician(s) and nurse practitioner(s) practicing pursuant to this Rule shall not be required to maintain on-site documentation describing supervisory arrangements and plans for prescriptive authority as otherwise required pursuant to Rules .0109 and .0110 of this Subchapter.

History

• Authority G.S. 90-18(c)(13), (14); 90-18.2; 90-171.20(7); 90-171.23(b); 90-171.42
• Eff. May 1, 1999
• Recodified from Rule .0105 Eff. August 1, 2004
• Amended Eff. December 1, 2009; August 1, 2004
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32M .0117 Reporting Criteria

(a) The Department of Health and Human Services ("Department") may report to the North Carolina Board of Nursing ("Board") information regarding the prescribing practices of those nurse practitioners ("prescribers") whose prescribing:

(1) falls within the top two percent of those prescribing 100 morphine milligram equivalents ("MME") per patient per day; or

(2) falls within the top two percent of those prescribing 100 MMEs per patient per day in combination with any benzodiazepine and who are within the top one percent of all controlled substance prescribers by volume.

(b) In addition, the Department may report to the Board information regarding prescribers who have had two or more patient deaths in the preceding 12 months due to opioid poisoning where the prescribers authorized more than 30 tablets of an opioid to the decedent and the prescriptions were written within 60 days of the patient deaths.

(c) In addition, the Department may report to the Board information regarding prescribers who meet three or more of the following criteria, if there are a minimum of five patients for each criterion:

(1) at least 25 percent of the prescriber's patients receiving opioids reside 100 miles or greater from the prescriber's practice location;

(2) the prescriber had more than 25 percent of patients receiving the same opioids and benzodiazepine combination;

(3) the prescriber had 75 percent of patients receiving opioids self-pay for the prescriptions;

(4) the prescriber had 90 percent or more of patients in a three-month period that received an opioid prescription that overlapped with another opioid prescription for at least one week;

(5) more than 50 percent of the prescriber's patients received opioid doses of 100 MME or greater per day excluding office-based treatment medications; and

(6) the prescriber had at least 25 percent of patients who used three or more pharmacies within a three-month period to obtain opioids regardless of the prescriber.

(d) The Department may submit these reports to the Board upon request and may include the information described in G.S. 90-113.73(b).

(e) The reports and communications between the Department and the Board shall remain confidential pursuant to G.S. 90-113.74.

History

• Authority G.S. 90-5.1(a)(3); 90-113.74
• Eff. April 1, 2016
• Amended Eff. August 1, 2021; May 1, 2018.

21 NCAC 32M .0118 definition of consultation for prescribing controlled TARGETED substances

For purposes of G.S. 90-18.2(b), the term "consult" shall mean a meaningful communication, occurring either in person or electronically, between the nurse practitioner and a supervising physician that is documented in the patient medical record. For the purposes of this Rule, "meaningful communication" shall mean an exchange of information sufficient for the supervising physician to make a determination that the prescription for a targeted controlled substance is medically indicated.

History

• Authority G.S. 90-18.2
• Eff. May 1, 2018.

21 NCAC 32M .0119 Covid-19 Drug Preservation Rule

History

• Status: repealed
• Authority G.S. 90-5.1(a)(3); 90-18.2
• Emergency Adoption Eff. April 21, 2020
• Temporary Adoption Eff. June 26, 2020
• Eff. April 1, 2021
• Repealed Eff. June 1, 2023.

Subchapter N

21 NCAC 32N .0101 Initiation of Formal Hearings

History

• Status: repealed
• Authority G.S. 90-14.1; 90-14.2; 90-14.3; 90-14.4; 90-14.5; 90-14.6; 90-14.7; 150B-11(1); 150B-38(h); 150B-39
• Eff. March 1, 1991
• Amended Eff. September 1, 1995
• Repealed Eff. February 1, 2012.

21 NCAC 32N .0102 Continuances

History

• Status: repealed
• Authority G.S. 90-14.1; 90-14.2; 90-14.3; 90-14.4; 90-14.5; 90-14.6; 90-14.7; 150B-11(1); 150B-38(h); 150B-39
• Eff. March 1, 1991
• Amended Eff. September 1, 1995
• Repealed Eff. February 1, 2012.

21 NCAC 32N .0103 Disqualification for Personal Bias

History

• Status: repealed
• Authority G.S. 90-14.1; 90-14.2; 90-14.3; 90-14.4; 90-14.5; 90-14.6; 90-14.7; 150B-11(1); 150B-38(h); 150B-39
• Eff. March 1, 1991
• Amended Eff. September 1, 1995
• Repealed Eff. February 1, 2012.

21 NCAC 32N .0104 Discovery

History

• Status: repealed
• Authority G.S. 90-14.1; 90-14.2; 90-14.3; 90-14.4; 90-14.5; 90-14.6; 90-14.7; 150B-11(1); 150B-38(h); 150B-39
• Eff. March 1, 1991
• Amended Eff. September 1, 1995
• Repealed Eff. February 1, 2012.

21 NCAC 32N .0105 Informal Proceedings

History

• Status: repealed
• Authority G.S. 90-14.1; 90-14.2; 90-14.3; 90-14.4; 90-14.5; 90-14.6; 90-14.7; 150B-11(1); 150B-38(h); 150B-39
• Eff. March 1, 1991
• Amended Eff. September 1, 1995
• Repealed Eff. February 1, 2012.

21 NCAC 32N .0106 Definitions

As used in this Section:

(1) "Disciplinary Proceedings" means hearings conducted pursuant to G.S. 90-14.2 through 90-14.7, and Article 3A of Chapter 150B.

(2) "Good cause" related to motions or requests to continue or for additional time for responding includes:

(a) death or incapacitating illness of a party, or attorney of a party;

(b) a court order requiring a continuance;

(c) lack of proper notice of the hearing;

(d) a substitution of the attorney of a party if the substitution is shown to be required;

(e) agreement for a continuance by all parties if either more time is demonstrated to be necessary to complete mandatory preparation for the case, such as authorized discovery, and the parties and the Board have agreed to a new hearing date or the parties have agreed to a settlement of the case that has been or is likely to be approved by the Board; and

(f) where, for any other reason, either party has shown that the interests of justice require a continuance or additional time.

(3) "Good cause" related to motions or requests to continue or for additional time for responding shall not include:

(a) intentional delay;

(b) unavailability of a witness if the witness testimony can be taken by deposition; and

(c) failure of the attorney or respondent to use effectively the statutory notice period provided in G.S. 90-14.2(a) to prepare for the hearing.

(4) "Licensee" means all persons to whom the Board has issued a license as defined in G.S. 90-1.1.

(5) "Respondent" means the person licensed or approved by the Board who is named in the Notice of Charges and Allegations.

History

• Authority G.S. 90-5.1(a)(3); 90-14.2; 150B-38(h);150B-40(c)(4)
• Eff. February 1, 2012
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32N .0107 Investigations and Complaints

(a) At the time of first oral or written communication from the Board or staff or agent of the Board to a licensee regarding a complaint or investigation, the Board shall provide the notices set forth in G.S. 90-14(i).

(b) A licensee shall submit a written response to a complaint received by the Board within 45 days from the date of a written request by Board staff. The Board shall grant up to an additional 30 days for the response where the licensee demonstrates good cause as defined in 21 NCAC 32N .0106 for the extension of time. The response shall contain accurate and complete information. Where a licensee fails to respond in the time and manner provided herein, the Board may treat that as a failure to respond to a Board inquiry in a reasonable time and manner as required by G.S. 90-14(a)(14).

(c) The licensee's written response to a complaint submitted to the Board in accordance with Paragraph (b) of this Rule shall be provided to the complainant upon written request by the complainant as permitted in G.S. 90-16(e1), except that the response shall not be provided where the Board determines that the complaint is vexatious or frivolous or that the release of the response would be harmful to the physical or mental health of the complainant who was a patient of the responding licensee.

(d) A licensee shall submit to an interview within 30 days from the date of an oral or written request from Board staff. The Board may grant up to an additional 15 days for the interview where the licensee demonstrates good cause for the extension of time. The responses to the questions and requests for information, including documents, during the interview shall be complete and accurate. Where the licensee fails to respond in the time and manner provided herein, the Board shall treat that as a failure to respond to a Board inquiry in a reasonable time and manner as required by G.S. 90-14(a)(14).

(e) The licensee who is the subject of a Board inquiry may retain and consult with legal counsel of his or her choosing in responding to the inquiries as set out in G.S. 90-14(i).

(f) For purposes of G.S. 90-14(l) an investigation is complete when the Board's Chief Investigative Officer, or his or her designee, approves an investigative report for submission to the Board's Disciplinary Committee.

History

• Authority G.S. 90-5.1(a)(3); 90-14(a); 90-14(a)(14); 90-16(e1)
• Eff. February 1, 2012
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. June 1, 2025.

21 NCAC 32N .0108 Investigative Interviews by Board Members

(a) In addition to formal hearings pursuant to G.S. 90-14 and G.S. 90-14.2, the Board may ask a licensee to attend a non-public interview with members of the Board and staff to discuss a pending complaint or investigation. The invitation letter shall describe the matters of dispute or concern and shall enclose the notices required by G.S. 90-14(i), if not previously issued. No individual shall be placed under oath to give testimony. Statements made or information provided by a licensee during this interview may, however, be used against such licensee in any subsequent formal hearing.

(b) As a result of the interview, the Board may ask that the licensee take actions as referred to in G.S. 90-14(k), may offer the licensee the opportunity to enter into a consent order or other public agreement that will be a matter of public record, may institute a formal public hearing concerning the licensee, or may take other action as the Board deems appropriate in each case.

(c) Unless ordered by the Board pursuant to G.S. 90-8, attendance at such an interview is not required. A licensee may retain legal counsel and have such counsel present during such interview.

(d) If ordered to appear for an interview, requests for continuances from interviews shall be filed with the President as soon as practicable and shall be granted only upon good cause shown.

History

• Authority G.S. 90-5.1(a)(3); 90-8; 90-14(a)(14)
• Eff. February 1, 2012
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32N .0109 Pre-Charge Conference

(a) Prior to issuing public Notice of Charges and Allegations against a licensee, the Board shall inform the licensee in writing of the right to request a pre-charge conference as set forth in G.S. 90-14(j). The written notice regarding the pre-charge conference shall be sent by certified mail, return receipt requested to the last mailing address registered with the Board.

(b) A request for a pre-charge conference must be:

(1) in writing via delivery of a letter or by facsimile or electronic mail;

(2) addressed to the coordinator identified in the written notice provided as set forth in Paragraph (a) of this Rule; and

(3) received by the Board no later than 30 days from the date appearing on the written notice provided as set forth in Paragraph (a) of this Rule.

(c) Upon receipt of a request for a pre-charge conference, the coordinator shall schedule the conference to occur within 45 days and serve notice of the date and time of the conference on the licensee or on counsel for licensee, if the Board is aware licensee is represented by counsel.

(d) The pre-charge conference shall be conducted as provided in G.S. 90-14(j). The pre-charge conference will be conducted by telephone conference unless the interests of justice require otherwise or both parties agree to conduct the conference in person. No continuances of the pre-charge conference shall be allowed except when granted by the Board for good cause shown.

(e) The licensee may provide to the Board written documents not previously submitted by delivering those documents in electronic form to the coordinator identified in the written notice up to five days prior to the pre-charge conference.

(f) The Board shall provide information to the licensee during the pre-charge conference regarding the possibility of settlement of the pending matter prior to the issuance of a public notice of charges and allegations.

History

• Authority G.S. 90-5.1(a)(3); 90-14(j)
• Eff. February 1, 2012
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32N .0110 initiation of disciplinary HEARINGs

(a) The Board shall issue a notice of charges and allegations only upon completion of an investigation, a finding by the Board or a committee of the Board that there exists a factual and legal basis for an action pursuant to any subsection of G.S. 90-14(a), and a pre-charge conference, if one was requested by the licensee.

(b) Disciplinary proceedings shall be initiated and conducted pursuant to G.S. 90-14 through G.S. 90-14.7 and G.S. 150B-38 through G.S. 150B-42.

(c) A pre-hearing conference shall be held not less than seven days before the hearing date unless waived by the Board President or designated presiding officer upon written request by either party. The purpose of the conference will be to simplify the issues to be determined, obtain stipulations in regards to testimony or exhibits, obtain stipulations of agreement on undisputed facts or the application of particular laws, consider the proposed witnesses for each party, identify and exchange documentary evidence intended to be introduced at the hearing, and consider such other matters that may be necessary or advisable for the efficient and expeditious conduct of the hearing.

(d) The pre-hearing conference shall be conducted in the offices of the Board, unless another site is designated by mutual agreement of all parties. When a face-to-face conference is impractical, the Board President or designated presiding officer may order the pre-hearing conference be conducted by telephone conference.

(e) The pre-hearing conference shall be an informal proceeding and shall be conducted by the Board President or designated presiding officer.

(f) All agreements, stipulations, amendments, or other matters resulting from the pre-hearing conference shall be in writing, signed by the presiding officer, Respondent, or Respondent's counsel, and Board counsel, and introduced into the record at the beginning of the disciplinary hearing.

(g) Motions for a continuance of a hearing shall be granted upon a showing of good cause. In determining whether to grant such motions, the Board shall consider the Guidelines for Resolving Scheduling Conflicts adopted by the State-Federal Judicial Council of North Carolina. Motions for a continuance must be in writing and received in the office of the Board no less than 14 calendar days before the hearing date. A motion for a continuance filed less than 14 calendar days from the date of the hearing shall be denied unless the reason for the motion could not have been ascertained earlier. Motions for continuance shall be ruled on by the Board President or designated presiding officer.

(h) The Respondent may challenge on the basis of personal bias or other reason for disqualification the fitness and competency of any Board member to hear and weigh evidence concerning the Respondent. Challenges must be in writing accompanied by affidavit setting forth with specificity the grounds for such challenge and must be filed with the Board President or designated presiding officer at least 14 days before the hearing except for good cause shown. Nothing contained in this Rule shall prevent a Respondent appearing before the Board at a formal hearing from making inquiry of Board members as to their knowledge of and personal bias concerning that person's case and making a motion based upon the responses to those inquiries that a Board member recuse himself or herself or be removed by the Board President or presiding officer.

(i) In any formal proceeding pursuant to G.S. 90-14.1 and G.S. 90-14.2, discovery may be obtained as provided in G.S. 90-8 and 150B-39 by either the Board or the Respondent. Any discovery request by a Respondent to the Board shall be filed with the Chief Executive Officer of the Board. Nothing herein is intended to prohibit a Respondent or Respondent's counsel from issuing subpoenas to the extent that such subpoenas are otherwise permitted by law or rule. The Board may issue subpoenas for the Board or a Respondent in preparation for or in the conduct of a contested case as follows:

(1) Subpoenas may be issued for the appearance of witnesses or the production of documents or information, either at the hearing or for the purposes of discovery;

(2) Requests by a Respondent for subpoenas shall be made in writing to the Chief Executive Officer and shall include the following:

(A) the full name and home or business address of all persons to be subpoenaed; and

(B) the identification, with specificity, of any documents or information being sought;

(3) Where Respondent makes a request for subpoenas and complies with the requirements in Subparagraph (2) of this Paragraph, the Board shall provide subpoenas promptly;

(4) Subpoenas shall include the date, time, and place of the hearing and the name and address of the party requesting the subpoena. In the case of subpoenas for the purpose of discovery, the subpoena shall include the date, time, and place for responding to the subpoena; and

(5) Subpoenas shall be served as provided by the Rules of Civil Procedure, G.S. 1A-1. The cost of service, fees, and expenses of any witnesses or documents subpoenaed shall be paid by the party requesting the witnesses.

(j) All motions, other than motions pursuant to Rules 12(b) and 56 of the North Carolina Rules of Civil Procedure related to a contested case shall be in writing and submitted to the Board at least 14 calendar days before the hearing. Pre-hearing motions shall be heard at the pre-hearing conference described in Paragraph (c) of this Rule. Motions filed fewer than 14 days before the hearing shall be considered untimely and shall not be considered unless the reason for the motion could not have been ascertained earlier. In such case, the motion shall be considered at the hearing prior to the commencement of testimony. The Board President or designated presiding officer shall hear the motions and any response from the non-moving party and rule on such motions. If the pre-hearing motions are heard by an Administrative Law Judge from the Office of Administrative Hearings the provisions of G.S. 150B-40(e) shall govern the proceedings.

(k) Dispositive motions made pursuant to Rules 12(b) and 56 of the North Carolina Rules of Civil Procedure shall be filed no later than 14 calendar days before the hearing. Dispositive motions shall be heard, and decided upon, by a quorum of the Board. The Board shall receive the assistance of independent counsel when deciding a dispositive motion.

History

• Authority G.S. 90-5.1(a)(3); 90-8; 90-14.1; 90-14.2; 90-14.3; 150B-38; 150B-39(c)
• Eff. February 1, 2012
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. July 1, 2019.

21 NCAC 32N .0111 CONDUCTING disciplinary HEARINGs

(a) Disciplinary hearings conducted before a majority of Board members shall be held at the Board's office or, by mutual consent, in another location where a majority of the Board has convened for the purpose of conducting business. For proceedings conducted by an administrative law judge, the venue shall be determined in accordance with G.S. 150B-38(e). All hearings conducted by the Medical Board are open to the public; however, portions are closed to protect the identity of patients pursuant to G.S. 90-16(b).

(b) All hearings by the Medical Board shall be conducted by a quorum of the Medical Board, except as provided in Subparagraph (1) and (2) of this Paragraph. The Medical Board President or his or her designee shall preside at the hearing. The Medical Board shall retain independent legal counsel to provide advice to the Board as set forth in G.S. 90-14.2. The quorum of the Medical Board shall hear all evidence, make findings of fact and conclusions of law, and issue an order reflecting the decision of the majority of the quorum of the Board. The final form of the order shall be determined by the presiding officer, who shall sign the order. When a majority of the members of the Medical Board is unable or elects not to hear a contested case:

(1) The Medical Board may request the designation of an administrative law judge from the Office of Administrative Hearings to preside at the hearing so long as the Board has not alleged the licensee failed to meet an applicable standard of medical care. The provisions of G.S. 150B, Article 3A shall govern a contested case in which an administrative law judge is designated as the Hearing Officer; or

(2) The Medical Board President may designate in writing three or more hearing officers to conduct hearings as a hearing committee to take evidence. The provisions of G.S. 90-14.5(a) through (d) shall govern a contested case in which a hearing committee is designated.

(c) If any party or attorney of a party or any other person in or near the hearing room engages in conduct which obstructs the proceedings or would constitute contempt if done in the General Court of Justice, the Board may apply to the applicable superior court for an order to show cause why the person(s) should not be held in contempt of the Board and its processes.

(d) During a hearing, if it appears in the interest of justice that further testimony should be received and sufficient time does not remain to conclude the testimony, the Medical Board may continue the hearing to a future date to allow for the additional testimony to be taken by deposition or to be presented orally. In such situations and to such extent as possible, the seated members of the Medical Board shall receive the additional testimony. If new members of the Board or a different independent counsel must participate, a copy of the transcript of the hearing shall be provided to them prior to the receipt of the additional testimony.

(e) All parties have the right to present evidence, rebuttal testimony, and argument with respect to the issues of law, and to cross-examine witnesses. The North Carolina Rules of Evidence in G.S. 8C apply to contested case proceedings, except as provided otherwise in this Rule, G.S. 90-14.6 and G.S. 150B-41.

History

• Authority G.S. 90-5.1(a)(3); 90-14.2; 90-14.5; 90-14.6; 90-14.7; 90-16(b); 150B-38(e)(h); 150B-40; 150B-41; 150B-42
• Eff. February 1, 2012
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32N .0112 Post Hearing Motions

(a) Following a disciplinary hearing either party may request a new hearing or to reopen the hearing for good cause as provided in G.S. 90-14.7. For the purposes of this Rule, good cause is defined as any of the grounds set out in Rule 59 of the North Carolina Rules of Civil Procedure and complying with the following requirements:

(1) Following hearings conducted by a quorum of the Board, a motion for a new hearing or to reopen the hearing to take new evidence shall be served, in writing, on the presiding officer of the disciplinary hearing no later than 20 days after service of the final order upon the respondent. Supporting affidavits, if any, and a memorandum setting forth the basis of the motion together with supporting authorities, shall be filed with the motion. The opposing party has 20 days from service of the motion to file a written response, any reply affidavits, and a memorandum with supporting authorities. A quorum of the Board shall rule on the motion based on the parties' written submissions and oral arguments, if the Board permitted any; and

(2) Following hearings conducted by a hearing panel pursuant to G.S. 90-14.5, a motion for a new hearing or to reopen the hearing to take new evidence shall be served, in writing, on the presiding officer of the hearing panel no later than 20 days after service of the recommended decision upon the respondent or respondent's counsel. Supporting affidavits, if any, and a memorandum setting forth the basis of the motion together with supporting authorities, shall be filed with the motion. The opposing party has 20 days from service of the motion to file a written response, any reply affidavits, and a memorandum with supporting authorities. The hearing panel shall rule on the motion based on the parties' written submission and oral arguments, if the Board permitted any.

(b) Either party may file a motion for relief from the final order of the Board based on any of the grounds set out in Rule 60 of the North Carolina Rules of Civil Procedure. Relief from the final order of the Board shall not be permitted later than one year after the effective date of the final order from which relief is sought. Motions pursuant to this section will be heard and decided in the same manner as motions submitted pursuant to Subparagraph (a)(1) of this Rule.

(c) The filing of a motion under Subparagraph (a)(1) or Paragraph (b) of this Rule does not automatically stay or otherwise affect the effective date of the final order.

History

• Authority G.S. 90-5.1(a)(3); 90-14.7
• Eff. February 1, 2012
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32N .0113 correction of clerical mistakes

Clerical mistakes in orders or other parts of the record from a formal hearing and errors therein arising from oversight or omission may be corrected by the Board President or designated presiding officer at any time on his or her own initiative or on the motion of any party and after such notice, if any, as the Board President or designated presiding officer orders. After the filing by a respondent of an appeal to the Superior Court of the Board's imposition of public disciplinary action as set forth in G.S. 90-14.8, such mistakes may be so corrected before the record of the case is filed by the Board with the clerk of the Superior Court as required by G.S. 90-14.8.

History

• Authority G.S. 90-5.1(a)(3); 150B-40
• Eff. February 1, 2012
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32N .0114 summary suspension

(a) If the Board finds that the public health, safety, or welfare requires emergency action, it may, pursuant to G.S. 150B-3(c), summarily suspend a license without a hearing or opportunity for the licensee to be heard.

(b) A motion to summarily suspend a license pursuant to this Rule shall be supported by competent evidence of the facts alleged requiring emergency action.

(c) The Board shall consult with independent counsel prior to issuing an order of summary suspension. The role of independent counsel shall be to advise the Board on the reliability and competency of the evidence presented in support of the motion for summary suspension.

(d) An order of summary suspension shall make preliminary findings of facts indicating why the public health, safety, or welfare requires emergency action. An order of summary suspension shall be accompanied by a notice of charges setting out the licensee's alleged violations of G.S. 90-14(a). Upon service of the order of summary suspension, the licensee to whom the order is directed shall immediately cease practicing in North Carolina.

(e) The Board shall, when it summarily suspends a license, schedule a hearing to occur at the earliest practicable date, but no later than 30 days from the date of service of the order of summary suspension. The purpose of the hearing will be to determine whether there is a preponderance of competent evidence supporting the order of summary suspension. A hearing on the order of summary suspension may be combined with a hearing on the merits of the notice of charges on a date mutually agreed upon by the parties.

(f) The order of summary suspension shall remain in effect until the Board vacates it.

(g) Neither an order of summary suspension nor a decision upholding an order of summary suspension is a final agency decision.

History

• Authority G.S. 90-5.1(a)(3); 150B-3(c)
• Eff. July 1, 2019.

Subchapter O

21 NCAC 32O .0101 Definitions

History

• Status: repealed
• Authority G.S. 90-11; 90-14; 90-14(a)(11); 90-15; 90-18(13); 90-18.1; 90-171.23(14)
• 58 Fed. Reg. 31,171 (1993) (to be codified at 21 C.F.R. 1301)
• Eff. June 1, 1994
• Amended Eff. February 1, 1995
• Repealed Eff. May 1, 1999.

21 NCAC 32O .0102 Qualifications for License

History

• Status: repealed
• Authority G.S. 90-11; 90-14; 90-14(a)(11); 90-15; 90-18(13); 90-18.1; 90-171.23(14)
• 58 Fed. Reg. 31,171 (1993) (to be codified at 21 C.F.R. 1301)
• Eff. June 1, 1994
• Amended Eff. February 1, 1995
• Repealed Eff. May 1, 1999.

21 NCAC 32O .0103 Temporary License

History

• Status: repealed
• Authority G.S. 90-11; 90-14; 90-14(a)(11); 90-15; 90-18(13); 90-18.1; 90-171.23(14)
• 58 Fed. Reg. 31,171 (1993) (to be codified at 21 C.F.R. 1301)
• Eff. June 1, 1994
• Amended Eff. February 1, 1995
• Repealed Eff. May 1, 1999.

21 NCAC 32O .0104 Inactive License Status

History

• Status: repealed
• Authority G.S. 90-11; 90-14; 90-14(a)(11); 90-15; 90-18(13); 90-18.1; 90-171.23(14)
• 58 Fed. Reg. 31,171 (1993) (to be codified at 21 C.F.R. 1301)
• Eff. June 1, 1994
• Amended Eff. February 1, 1995
• Repealed Eff. May 1, 1999.

21 NCAC 32O .0105 Annual Registration

History

• Status: repealed
• Authority G.S. 90-11; 90-14; 90-14(a)(11); 90-15; 90-18(13); 90-18.1; 90-171.23(14)
• 58 Fed. Reg. 31,171 (1993) (to be codified at 21 C.F.R. 1301)
• Eff. June 1, 1994
• Amended Eff. February 1, 1995
• Repealed Eff. May 1, 1999.

21 NCAC 32O .0106 Continuing Medical Education

History

• Status: repealed
• Authority G.S. 90-11; 90-14; 90-14(a)(11); 90-15; 90-18(13); 90-18.1; 90-171.23(14)
• 58 Fed. Reg. 31,171 (1993) (to be codified at 21 C.F.R. 1301)
• Eff. June 1, 1994
• Amended Eff. February 1, 1995
• Repealed Eff. May 1, 1999.

21 NCAC 32O .0107 Exemption from License

History

• Status: repealed
• Authority G.S. 90-11; 90-14; 90-14(a)(11); 90-15; 90-18(13); 90-18.1; 90-171.23(14)
• 58 Fed. Reg. 31,171 (1993) (to be codified at 21 C.F.R. 1301)
• Eff. June 1, 1994
• Amended Eff. February 1, 1995
• Repealed Eff. May 1, 1999.

21 NCAC 32O .0108 Scope of Practice

History

• Status: repealed
• Authority G.S. 90-11; 90-14; 90-14(a)(11); 90-15; 90-18(13); 90-18.1; 90-171.23(14)
• 58 Fed. Reg. 31,171 (1993) (to be codified at 21 C.F.R. 1301)
• Eff. June 1, 1994
• Amended Eff. February 1, 1995
• Repealed Eff. May 1, 1999.

21 NCAC 32O .0109 Prescriptive Authority

History

• Status: repealed
• Authority G.S. 90-11; 90-14; 90-14(a)(11); 90-15; 90-18(13); 90-18.1; 90-171.23(14)
• 58 Fed. Reg. 31,171 (1993) (to be codified at 21 C.F.R. 1301)
• Eff. June 1, 1994
• Amended Eff. February 1, 1995
• Repealed Eff. May 1, 1999.

21 NCAC 32O .0110 Supervision of Physician Assistants

History

• Status: repealed
• Authority G.S. 90-11; 90-14; 90-14(a)(11); 90-15; 90-18(13); 90-18.1; 90-171.23(14)
• 58 Fed. Reg. 31,171 (1993) (to be codified at 21 C.F.R. 1301)
• Eff. June 1, 1994
• Amended Eff. February 1, 1995
• Repealed Eff. May 1, 1999.

21 NCAC 32O .0111 Supervising Physicians

History

• Status: repealed
• Authority G.S. 90-11; 90-14; 90-14(a)(11); 90-15; 90-18(13); 90-18.1; 90-171.23(14)
• 58 Fed. Reg. 31,171 (1993) (to be codified at 21 C.F.R. 1301)
• Eff. June 1, 1994
• Amended Eff. February 1, 1995
• Repealed Eff. May 1, 1999.

21 NCAC 32O .0112 Notification of Intent to Practice

History

• Status: repealed
• Authority G.S. 90-11; 90-14; 90-14(a)(11); 90-15; 90-18(13); 90-18.1; 90-171.23(14)
• 58 Fed. Reg. 31,171 (1993) (to be codified at 21 C.F.R. 1301)
• Eff. June 1, 1994
• Amended Eff. February 1, 1995
• Repealed Eff. May 1, 1999.

21 NCAC 32O .0113 Satellite Settings

History

• Status: repealed
• Authority G.S. 90-11; 90-14; 90-14(a)(11); 90-15; 90-18(13); 90-18.1; 90-171.23(14)
• 58 Fed. Reg. 31,171 (1993) (to be codified at 21 C.F.R. 1301)
• Eff. June 1, 1994
• Amended Eff. February 1, 1995
• Repealed Eff. May 1, 1999.

21 NCAC 32O .0114 Exclusions of Limitations on Employment

History

• Status: repealed
• Authority G.S. 90-11; 90-14; 90-14(a)(11); 90-15; 90-18(13); 90-18.1; 90-171.23(14)
• 58 Fed. Reg. 31,171 (1993) (to be codified at 21 C.F.R. 1301)
• Eff. June 1, 1994
• Amended Eff. February 1, 1995
• Repealed Eff. May 1, 1999.

21 NCAC 32O .0115 Assumption of Professional Liability

History

• Status: repealed
• Authority G.S. 90-11; 90-14; 90-14(a)(11); 90-15; 90-18(13); 90-18.1; 90-171.23(14)
• 58 Fed. Reg. 31,171 (1993) (to be codified at 21 C.F.R. 1301)
• Eff. June 1, 1994
• Amended Eff. February 1, 1995
• Repealed Eff. May 1, 1999.

21 NCAC 32O .0116 Violations

History

• Status: repealed
• Authority G.S. 90-11; 90-14; 90-14(a)(11); 90-15; 90-18(13); 90-18.1; 90-171.23(14)
• 58 Fed. Reg. 31,171 (1993) (to be codified at 21 C.F.R. 1301)
• Eff. June 1, 1994
• Amended Eff. February 1, 1995
• Repealed Eff. May 1, 1999.

21 NCAC 32O .0117 Disciplinary Authority

History

• Status: repealed
• Authority G.S. 90-11; 90-14; 90-14(a)(11); 90-15; 90-18(13); 90-18.1; 90-171.23(14)
• 58 Fed. Reg. 31,171 (1993) (to be codified at 21 C.F.R. 1301)
• Eff. June 1, 1994
• Amended Eff. February 1, 1995
• Repealed Eff. May 1, 1999.

21 NCAC 32O .0118 Locum Tenens Permit

History

• Status: repealed
• Authority G.S. 90-18(13); 90-18.1
• Eff. June 1, 1994
• Repealed Eff. September 1, 2009.

21 NCAC 32O .0119 Title and Practice Protection

History

• Status: repealed
• Authority G.S. 90-18(13); 90-18.1
• Eff. June 1, 1994
• Repealed Eff. September 1, 2009.

21 NCAC 32O .0120 Identification Requirements

History

• Status: repealed
• Authority G.S. 90-18(13); 90-18.1
• Eff. June 1, 1994
• Repealed Eff. September 1, 2009.

21 NCAC 32O .0121 Fees

History

• Status: repealed
• Authority G.S. 90-18(13); 90-18.1
• Eff. June 1, 1994
• Repealed Eff. September 1, 2009.

Subchapter P

21 NCAC 32P .0101 Name of Limited Liability Company

The name of a limited liability company to practice medicine shall not include any adjectives or other words not in accordance with the ethics of the medical profession.

History

• Authority G.S. 55B-12; 57C-2-01; 90-14(a)(6)
• Eff. June 1, 1994
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32P .0102 Prerequisites for Organization

(a) Before filing the articles of organization for a limited liability company with the Secretary of State, the organizing members shall submit the following to the Board:

(1) a registration fee as set by Rule .0006 of this Subchapter; and

(2) a certificate certified by all organizing members, setting forth the names and addresses of each person who will be employed by the limited liability company to practice medicine, and stating that all such persons are duly licensed to practice medicine in North Carolina, and representing that the company will be conducted in compliance with the North Carolina Limited Liability Company Act and this Subchapter.

(b) A certification that each of the organizing members is licensed to practice medicine in North Carolina shall be returned to the limited liability company for filing with the Secretary of State.

History

• Authority G.S. 55B-4; 55B-10; 55B-12; 57C-2-01
• Eff. June 1, 1994
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32P .0103 Certificate of Registration

A Certificate of Registration for a limited liability company shall remain effective until December 31 of each odd-numbered year. A Certificate of Registration shall be renewed biennially on application forms supplied by the Board. The application shall be accompanied by a renewal fee as set by Rule .0006 of this Subchapter.

History

• Authority G.S. 55B-10; 55B-11; 57C-2-01
• Eff. June 1, 1994
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32P .0104 Charter Amendments and Membership Transfers

The Board shall issue the certificate authorizing transfer of membership when membership is transferred in the company. This transfer form shall be permanently retained by the company. The membership books of the company shall be kept at the principal office of the company and shall be subject to inspection by authorized agents of the Board.

History

• Authority G.S. 55B-6; 55B-12; 57C-2-01
• Eff. June 1, 1994
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32P .0105 Documents

The forms and documents regarding limited liability companies are issued by the Board.

History

• Authority G.S. 55B-2(6)
• Eff. June 1, 1994
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32P .0106 Fees

The initial registration fee for a limited liability company is fifty dollars ($50.00). The fee for renewal of a Certificate of Registration is twenty-five dollars ($25.00).

History

• Authority G.S. 55B-10; 55B-11; 57C-2-01
• Eff. June 1, 1994
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

Subchapter Q

21 NCAC 32Q .0101 Definitions

History

• Status: repealed
• Authority G.S. 90-21.22
• Eff. June 1, 1994
• Repealed Eff. April 1, 2009.

21 NCAC 32Q .0102 Authority

History

• Status: repealed
• Authority G.S. 90-21.22
• Eff. June 1, 1994
• Repealed Eff. April 1, 2009.

21 NCAC 32Q .0103 Peer Review Agreements

History

• Status: repealed
• Authority G.S. 90-21.22
• Eff. June 1, 1994
• Repealed Eff. April 1, 2009.

21 NCAC 32Q .0104 Due Process

History

• Status: repealed
• Authority G.S. 90-21.22
• Eff. June 1, 1994
• Repealed Eff. April 1, 2009.

21 NCAC 32Q .0201 Receipt and Use of Information of Suspected Impairment

History

• Status: repealed
• Authority G.S. 90-21.22
• Eff. June 1, 1994
• Repealed Eff. April 1, 2009.

21 NCAC 32Q .0202 Intervention and Referral

History

• Status: repealed
• Authority G.S. 90-21.22
• Eff. June 1, 1994
• Repealed Eff. April 1, 2009.

21 NCAC 32Q .0203 Monitoring Treatment

History

• Status: repealed
• Authority G.S. 90-21.22
• Eff. June 1, 1994
• Repealed Eff. April 1, 2009.

21 NCAC 32Q .0204 Monitoring Rehabilitation and Performance

History

• Status: repealed
• Authority G.S. 90-21.22
• Eff. June 1, 1994
• Repealed Eff. April 1, 2009.

21 NCAC 32Q .0205 Monitoring Post-Treatment Support

History

• Status: repealed
• Authority G.S. 90-21.22
• Eff. June 1, 1994
• Repealed Eff. April 1, 2009.

21 NCAC 32Q .0206 Reports of Individual Cases to the Board

History

• Status: repealed
• Authority G.S. 90-21.22
• Eff. June 1, 1994
• Repealed Eff. April 1, 2009.

21 NCAC 32Q .0207 Periodic Reporting of Statistical Information

History

• Status: repealed
• Authority G.S. 90-21.22
• Eff. June 1, 1994
• Repealed Eff. April 1, 2009.

Subchapter R

21 NCAC 32R .0101 Continuing Medical Education (cme) Required

(a) Continuing Medical Education (CME) is defined as education, training, and activities to increase knowledge and skills generally recognized and accepted by the profession as within the basic medical sciences, the discipline of clinical medicine, and the provision of healthcare to the public. The purpose of CME is to maintain, develop, or improve the physician's knowledge, skills, professional performance, and relationships a physician uses to provide services for his or her patients and practice, the public, or profession.

(b) A physician licensed to practice medicine in the State of North Carolina, except those physicians holding a residency training license, shall complete at least 60 hours of Category 1 CME relevant to the physician's current or intended specialty or area of practice every 3 years. Every physician who prescribes controlled substances, except those physicians holding a residency training license, shall complete at least 3 hours of CME from the required 60 hours of Category 1 CME designed specifically to address controlled substance prescribing practices. The controlled substance prescribing CME shall include instruction on controlled substance prescribing practices and controlled substance prescribing for chronic pain management. CME that includes recognizing signs of the abuse or misuse of controlled substances, or non-opioid treatment options shall qualify for the purposes of this Rule. Physicians who complete the federally required training under the Medication Access and Training Expansion Act (MATE), 21 U.S.C. 823(l), shall be deemed in compliance with the controlled substance prescribing requirements of this Rule for the three-year CME period in which the MATE training was completed.

(c) The three-year period described in Paragraph (b) of this Rule begins on the physician's birthday following the issuance of his or her license.

History

• Authority G.S. 90-5.1(a)(3); 90-5.1(a)(10); 90-14(a)(15); S.L. 2015-241, s. 12F.16(b) and 12F.16(c)
• Eff. January 1, 2000
• Amended Eff. August 1, 2012; January 1, 2001
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. July 1, 2024; April 1, 2020; September 1, 2016.

21 NCAC 32R .0102 Approved Categories of Cme

(a) Category 1 CME providers are:

(1) Institutions or organizations accredited by the Accreditation Council on Continuing Medical Education (ACCME) and reciprocating organizations;

(2) The American Osteopathic Association (AOA);

(3) A state medical society or association;

(4) The American Medical Association (AMA);

(5) Specialty boards accredited by the American Board of Medical Specialties (ABMS), the AOA, or Royal College of Physicians and Surgeons of Canada (RCPSC;) and

(6) The Joint Accreditation for Interprofessional Continuing Education.

(b) Category 1 CME education shall be presented, offered, or accredited by a Category 1 provider as set forth in Paragraph (a) of this Rule and shall include:

(1) Educational courses;

(2) Scientific or clinical presentations or publications;

(3) Printed, recorded, audio, video, online, or electronic educational materials for which CME credits are awarded by the provider;

(4) Journal-based CME activities within a peer-reviewed, professional journal;

(5) Skill development;

(6) Performance improvement activities;

(7) Interprofessional continuing education; or

(8) Cultural competency or implicit bias training.

History

• Authority G.S. 90-5.1
• Eff. January 1, 2000
• Amended Eff. August 1, 2012; July 1, 2007; January 1, 2001
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. January 1, 2022; September 1, 2020.

21 NCAC 32R .0103 Exceptions

(a) A physician shall be exempt from the requirements of Rule .0101 of this Section if the licensee is:

(1) Currently enrolled in an AOA or Accreditation of Council of Graduate Medical Education (ACGME) accredited graduate medical education program and holds a residency training license;

(2) In good standing with the Board and is either:

(A) serving in the armed forces of the United States or serving in support of such armed forces, and serving in a combat zone; or

(B) serving with respect to a military contingency operation as defined by 10 U.S.C.101(a)(13); or

(3) Serving as a member of the General Assembly's House or Senate Health Committee.

(b) A physician who obtains initial certification from an ABMS, AOA or RCPSC specialty board shall be deemed to have satisfied his or her entire CME requirement for the three year cycle in which the physician obtains board certification. However, if the physician prescribes controlled substances, then the physician shall complete at least three hours of CME that is designed to address controlled substance prescribing practices as required in 21 NCAC 32R .0101 during that three year cycle. If the physician completed CME as part of their initial certification that satisfies the requirement in 21 NCAC 32R .0101, then the physician shall not be required to take controlled-substance prescribing CME beyond that included in their initial certification process.

(c) A physician who attests that he or she is engaged in a program of recertification or maintenance of certification from an ABMS, AOA or RCPSC specialty board shall be deemed to have satisfied his or her entire CME requirement for that three year cycle. However, if the physician prescribes controlled substances, then the physician shall complete at least three hours of CME that is designed to address controlled substance prescribing practices as required in 21 NCAC 32R .0101 during that three year cycle. If the physician completed CME as part of their program for recertification or maintenance of certification process that satisfies the requirement in 21 NCAC 32R .0101, then the physician shall not be required to take controlled-substance prescribing CME beyond that included in their recertification or maintenance of certification process.

History

• Authority G.S. 90-14(a)(15); 90B-15
• Eff. January 1, 2000
• Amended Eff. August 1, 2012; January 1, 2001
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. July 1, 2018.

21 NCAC 32R .0104 Reporting

At the time of annual renewal, each Licensee shall report on the Board's annual renewal form compliance with, or exemption from, Rule .0101 of this Section. Records documenting compliance or exemption must be maintained for six consecutive years and may be inspected by the Board or its agents.

History

• Authority G.S. 90-14(a)(15)
• Eff. January 1, 2000
• Amended Eff. August 1, 2012; January 1, 2001
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32R .0105 Waiver for Licensees Serving on Active Duty in the Armed Services of the Us

History

• Status: repealed
• Authority G.S. 105-249.2; S. L. 2009-458; Section 7508 of the Internal Revenue Code; 10 U.S.C. 101
• Eff. August 1, 2010
• Repealed Eff. August 1, 2012.

Subchapter S

21 NCAC 32S .0101 Definitions

History

• Status: repealed
• Authority G.S. 90-11; 90-18(c)(13); 90-18.1
• Eff. May 1, 1999
• Amended Eff. June 1, 2006
• Repealed Eff. September 1, 2009.

21 NCAC 32S .0102 Qualifications for License

History

• Status: repealed
• Authority G.S. 90-11; 90-18(c)(13); 90-18.1
• Eff. May 1, 1999
• Amended Eff. June 1, 2006
• Repealed Eff. September 1, 2009.

21 NCAC 32S .0103 Temporary License

History

• Status: repealed
• Authority G.S. 90-18(13); 90-18.1
• Eff. May 1, 1999
• Repealed Eff. April 1, 2006.

21 NCAC 32S .0104 Inactive License Status

History

• Status: repealed
• Authority G.S. 90-13(c)(13); 90-14; 90-14(a)(11); 90-14.2; 90-15; 90-18(c)(13); 90-18.1; 90-171.23(14); 58 Fed. Reg. 31,171(1993) (to be codified at 21 C.F.R. 301)
• Eff. May 1, 1999
• Amended Eff. July 1, 2006; June 1, 2006; April 1, 2006; April 1, 2005; May 1, 2004; April 1, 2004
• Repealed Eff. September 1, 2009.

21 NCAC 32S .0105 Annual Registration

History

• Status: repealed
• Authority G.S. 90-13(c)(13); 90-14; 90-14(a)(11); 90-14.2; 90-15; 90-18(c)(13); 90-18.1; 90-171.23(14); 58 Fed. Reg. 31,171(1993) (to be codified at 21 C.F.R. 301)
• Eff. May 1, 1999
• Amended Eff. July 1, 2006; June 1, 2006; April 1, 2006; April 1, 2005; May 1, 2004; April 1, 2004
• Repealed Eff. September 1, 2009.

21 NCAC 32S .0106 Continuing Medical Education

History

• Status: repealed
• Authority G.S. 90-13(c)(13); 90-14; 90-14(a)(11); 90-14.2; 90-15; 90-18(c)(13); 90-18.1; 90-171.23(14); 58 Fed. Reg. 31,171(1993) (to be codified at 21 C.F.R. 301)
• Eff. May 1, 1999
• Amended Eff. July 1, 2006; June 1, 2006; April 1, 2006; April 1, 2005; May 1, 2004; April 1, 2004
• Repealed Eff. September 1, 2009.

21 NCAC 32S .0107 Exemption from License

History

• Status: repealed
• Authority G.S. 90-13(c)(13); 90-14; 90-14(a)(11); 90-14.2; 90-15; 90-18(c)(13); 90-18.1; 90-171.23(14); 58 Fed. Reg. 31,171(1993) (to be codified at 21 C.F.R. 301)
• Eff. May 1, 1999
• Amended Eff. July 1, 2006; June 1, 2006; April 1, 2006; April 1, 2005; May 1, 2004; April 1, 2004
• Repealed Eff. September 1, 2009.

21 NCAC 32S .0108 Scope of Practice

History

• Status: repealed
• Authority G.S. 90-13(c)(13); 90-14; 90-14(a)(11); 90-14.2; 90-15; 90-18(c)(13); 90-18.1; 90-171.23(14); 58 Fed. Reg. 31,171(1993) (to be codified at 21 C.F.R. 301)
• Eff. May 1, 1999
• Amended Eff. July 1, 2006; June 1, 2006; April 1, 2006; April 1, 2005; May 1, 2004; April 1, 2004
• Repealed Eff. September 1, 2009.

21 NCAC 32S .0109 Prescriptive Authority

History

• Status: repealed
• Authority G.S. 90-13(c)(13); 90-14; 90-14(a)(11); 90-14.2; 90-15; 90-18(c)(13); 90-18.1; 90-171.23(14); 58 Fed. Reg. 31,171(1993) (to be codified at 21 C.F.R. 301)
• Eff. May 1, 1999
• Amended Eff. July 1, 2006; June 1, 2006; April 1, 2006; April 1, 2005; May 1, 2004; April 1, 2004
• Repealed Eff. September 1, 2009.

21 NCAC 32S .0110 Supervision of Physician Assistants

History

• Status: repealed
• Authority G.S. 90-13(c)(13); 90-14; 90-14(a)(11); 90-14.2; 90-15; 90-18(c)(13); 90-18.1; 90-171.23(14); 58 Fed. Reg. 31,171(1993) (to be codified at 21 C.F.R. 301)
• Eff. May 1, 1999
• Amended Eff. July 1, 2006; June 1, 2006; April 1, 2006; April 1, 2005; May 1, 2004; April 1, 2004
• Repealed Eff. September 1, 2009.

21 NCAC 32S .0111 Supervising Physicians

History

• Status: repealed
• Authority G.S. 90-13(c)(13); 90-14; 90-14(a)(11); 90-14.2; 90-15; 90-18(c)(13); 90-18.1; 90-171.23(14); 58 Fed. Reg. 31,171(1993) (to be codified at 21 C.F.R. 301)
• Eff. May 1, 1999
• Amended Eff. July 1, 2006; June 1, 2006; April 1, 2006; April 1, 2005; May 1, 2004; April 1, 2004
• Repealed Eff. September 1, 2009.

21 NCAC 32S .0112 Notification of Intent to Practice

History

• Status: repealed
• Authority G.S. 90-13(c)(13); 90-14; 90-14(a)(11); 90-14.2; 90-15; 90-18(c)(13); 90-18.1; 90-171.23(14); 58 Fed. Reg. 31,171(1993) (to be codified at 21 C.F.R. 301)
• Eff. May 1, 1999
• Amended Eff. July 1, 2006; June 1, 2006; April 1, 2006; April 1, 2005; May 1, 2004; April 1, 2004
• Repealed Eff. September 1, 2009.

21 NCAC 32S .0113 Violations

History

• Status: repealed
• Authority G.S. 90-13(c)(13); 90-14; 90-14(a)(11); 90-14.2; 90-15; 90-18(c)(13); 90-18.1; 90-171.23(14); 58 Fed. Reg. 31,171(1993) (to be codified at 21 C.F.R. 301)
• Eff. May 1, 1999
• Amended Eff. July 1, 2006; June 1, 2006; April 1, 2006; April 1, 2005; May 1, 2004; April 1, 2004
• Repealed Eff. September 1, 2009.

21 NCAC 32S .0115 Title and Practice Protection

History

• Status: repealed
• Authority G.S. 90-12.1; 90-12.2; 90-15; 90-18(c)(13); 90-18.1; 166A-6
• Eff. May 1, 1999
• Amended Eff. April 1, 2006; April 1, 2005
• Repealed Eff. September 1, 2009.

21 NCAC 32S .0116 Identification Requirements

History

• Status: repealed
• Authority G.S. 90-12.1; 90-12.2; 90-15; 90-18(c)(13); 90-18.1; 166A-6
• Eff. May 1, 1999
• Amended Eff. April 1, 2006; April 1, 2005
• Repealed Eff. September 1, 2009.

21 NCAC 32S .0117 Fees

History

• Status: repealed
• Authority G.S. 90-12.1; 90-12.2; 90-15; 90-18(c)(13); 90-18.1; 166A-6
• Eff. May 1, 1999
• Amended Eff. April 1, 2006; April 1, 2005
• Repealed Eff. September 1, 2009.

21 NCAC 32S .0118 Practice During a Disaster

History

• Status: repealed
• Authority G.S. 90-12.1; 90-12.2; 90-15; 90-18(c)(13); 90-18.1; 166A-6
• Eff. May 1, 1999
• Amended Eff. April 1, 2006; April 1, 2005
• Repealed Eff. September 1, 2009.

21 NCAC 32S .0201 Definitions

The following definitions apply to this Subchapter:

(1) "Board" means the North Carolina Medical Board.

(2) "Examination" means the Physician Assistant National Certifying Examination.

(3) "Family member" means a spouse, parent, grandparent, child, grandchild, sibling, aunt, uncle or first cousin, or persons to the same degree by marriage.

(4) "Physician Assistant" means a person licensed by the Board under the provisions of G.S. 90-9.3.

(5) "Physician Assistant License" means approval for the physician assistant to perform medical acts, tasks, or functions under North Carolina law.

(6) "Physician Assistant Educational Program" is the educational program set out in G.S. 90-9.3(a)(1).

(7) "License Renewal" means paying the annual fee and providing the information requested by the Board as outlined in this Subchapter.

(8) "Supervise" or "Supervision" means the physician's function of overseeing the medical acts performed by a physician assistant.

(9) "Supervisory Arrangement" is the written statement that describes the medical acts, tasks, and functions delegated to the physician assistant by the primary supervising physician appropriate to the physician assistant's education, qualification, training, skills, and competence.

(10) "Supervising Physician" means the licensed physician who shall provide on-going supervision, consultation, and evaluation of the medical acts performed by the physician assistant as defined in the in the Supervisory Arrangement. The physician may serve as a primary supervising physician or as a back-up supervising physician.

(a) "Primary Supervising Physician" is the physician who is accountable to the Board for the physician assistant's medical activities and professional conduct at all times, whether the physician personally is providing supervision or the supervision is being provided by a Back-up Supervising Physician. The Primary Supervising Physician shall assure the Board that the physician assistant is qualified by education, training, and competence to perform all medical acts required of the physician assistant in the particular field or fields that the physician assistant is expected to perform medical acts. The Primary Supervising Physician shall also be accountable to the Board for his or her physician assistant’s compliance with the rules of this Subchapter.

(b) "Back-up Supervising Physician" means the physician who is accountable to the Board for supervision of the physician assistant's activities in the absence of the Primary Supervising Physician and while actively supervising the physician assistant.

(11) "Volunteer practice" means performance of medical acts, tasks, or functions without expectation of any form of payment or compensation.

History

• Authority G.S. 90-9.3; 90-18(c)(13); 90-18.1
• Eff. September 1, 2009
• Amended Eff. May 1, 2015
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32S .0202 Qualifications and Requirements for License

(a) Except as otherwise provided in this Subchapter, an individual shall obtain a license from the Board before practicing as a physician assistant. An applicant for a physician assistant license shall:

(1) submit a completed application, available at www.ncmedboard.org, to the Board;

(2) meet the requirements set forth in G.S. 90-9.3 and has not committed any of the acts listed in G.S. 90-14;

(3) supply a certified copy of the applicant's birth certificate if the applicant was born in the United States or a certified copy of an unexpired U.S. passport. If the applicant does not possess a certified birth certificate or unexpired U.S. passport, the applicant shall provide information about the applicant's immigration and work status that the Board shall use to verify applicant's ability to work lawfully in the United States;

(4) submit to the Board an education form that the applicant completed a Physician Assistant Educational Program. He or she shall also show proof of achieving a passing score of completion of the Physician Assistant National Certifying Examination;

(5) pay to the Board a non-refundable fee of two hundred thirty dollars ($230.00) plus the cost of a criminal background check. There is no fee to apply for a physician assistant limited volunteer license;

(6) submit National Practitioner Data Bank (NPDB) and Healthcare Integrity and Protection Data Bank (HIPDB) reports. These reports shall be requested by the applicant and submitted to the Board within 60 days of the request;

(7) submit a Board Action Data Bank Inquiry report from the Federation of State Medical Boards (FSMB). This report shall be requested by the applicant and submitted to the Board within 60 days of the request;

(8) submit to the Board, at P. O. Box 20007, Raleigh, NC 27619, two complete original fingerprint record cards, on fingerprint record cards supplied by the Board upon request;

(9) submit to the Board, at P. O. Box 20007, Raleigh, NC 27619 or license@ncmedboard.org, a signed consent form allowing a search of local, state, and national files to disclose any criminal record;

(10) disclose whether he or she has ever been suspended from, placed on academic probation, expelled, or required to resign from any school, including a PA educational program;

(11) attest that he or she has no license, certificate, or registration as a physician assistant currently under discipline, revocation, suspension, probation, or any other action resulting from a health care licensing board;

(12) certify that he or she is mentally and physically able to practice as a physician assistant;

(13) provide the Board with two original recommendation forms dated within six months of the application, at P. O. Box 20007, Raleigh, NC 27619, These recommendations shall come from persons under whom the applicant has worked or trained who are familiar with the applicant's academic competence, clinical skills, and character. At least one reference form shall be from a physician and the other reference form must be from a physician assistant peer under whom the applicant has worked or trained. References shall not be from any family member or, in the case of applicants who have not been licensed anywhere, references shall not be from fellow students of the applicant's Physician Assistant Educational Program;

(14) if two years or more have passed since graduation from a Physician Assistant Educational Program, document that he or she has completed at least 100 hours of continuing medical education (CME) during the preceding two years, at least 50 hours of which must be recognized by the National Commission on Certification of Physician Assistants as Category I CME. An applicant who is currently certified with the NCCPA shall be deemed in compliance with this Subparagraph; and

(b) In the event any of the information required by Paragraph (a) of this Rule indicates a concern about the applicant's qualifications, the applicant shall supply any other information the Board deems necessary to evaluate the applicant's qualifications, including explanation or documentation of the information required in this Rule. In addition, an applicant may be required to appear in person for an interview with the Board, if the Board determines that more information is needed to evaluate the application.

History

• Authority G.S. 90-9.3; 90-11; 90-13.2; 90-14(a); 90-18(c)(13); 90-18.1
• Eff. September 1, 2009
• Amended Eff. January 1, 2016; May 1, 2015; March 1, 2011
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. April 1, 2019.

21 NCAC 32S .0203 Mandatory Notification of Intent to Practice

(a) Prior to the performance of any medical acts, tasks, or functions under the supervision of a primary supervising physician, a physician assistant shall submit notification of such intent using the Board's Intent to Practice form located on the Board's website. The notification of intent to practice shall include:

(1) the name, practice addresses, and telephone number of the physician assistant; and

(2) the name, practice addresses, and telephone number of the primary supervising physician(s).

(b) The physician assistant shall not commence practice until he/she receives acknowledgment from the Board that the Board has received and processed the Intent to Practice Form. By checking the Board's website, the physician assistant can confirm that the primary supervising physician has been added to the physician assistant's personal information page on the Board's website.

(c) The physician assistant shall notify the Board of any changes to the information required in Paragraph (a) of this Rule within 15 days of the occurrence.

History

• Authority G.S. 90-9.3; 90-14(a)(11); 90-18(c)(13); 90-18.1
• Eff. September 1, 2009
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32S .0204 Annual Renewal

(a) A physician assistant shall renew his or her license each year no later than 30 days after his or her birthday by:

(1) completing the Board's renewal form; and

(2) submitting a nonrefundable fee of one hundred sixty-five dollars ($165.00), except that a physician assistant who renews not later than 30 days after his or her birthday shall pay an annual renewal fee of one hundred forty dollars ($140.00);

(b) If a physician assistant fails to renew his or her license, the Board shall send a certified notice, return receipt requested. If the physician assistant does not renew his or her license within 30 days of the date of the mailing of that notice, his or her license shall automatically be inactive.

History

• Authority G.S. 90-9.3(c); 90-13.2
• Eff. September 1, 2009
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. April 1, 2019.

21 NCAC 32S .0205 Inactive License Status

History

• Status: expired
• Authority G.S. 90-9.3; 90-18(c)(13); 90-18.1
• Eff. September 1, 2009
• Expired Eff. April 1, 2016 pursuant to G.S. 150B-21.3A.

21 NCAC 32S .0206 License Reactivation

(a) A physician assistant may apply to reactivate his/her license if:

(1) he/she had a license in North Carolina;

(2) the license was placed on inactive status within the past calendar year; and

(3) the licensee did not become inactive as a result of disciplinary action or to avoid disciplinary action.

(b) A physician assistant requesting reactivation shall:

(1) complete the board's reactivation application;

(2) pay to the board a nonrefundable fee of one hundred twenty dollars ($120), plus the cost of a criminal background check;

(3) submit to the board two completed original fingerprint record cards, on fingerprint record cards provided by the Board;

(4) submit to the board a completed signed and dated original Authority for Release of Information Form allowing a search of local, state, and national files to disclose any criminal record;

(5) submit National Practitioner Data Bank (NPDB) and Healthcare Integrity and Protection Data Bank (HIPDB) reports, dated within 60 days of their submission to the board;

(6) submit a board action data bank inquiry from the Federation of State Medical Boards (FSMB), dated within 60 days of its submission to the board;

(7) provide documentation to the board verifying completion of 100 hours of continuing medical education during the preceding two years; and

(8) supply any other information the board deems necessary to evaluate the applicant's qualifications.

(c) An applicant may be required to appear in person for an interview.

History

• Authority G.S. 90-9.3; 90-18(c)(13); 90-18.1
• Eff. September 1, 2009
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32S .0207 License Reinstatement

(a) A physician assistant may apply to reinstate his/her license if the license has been inactive for more than one calendar year, or if the inactive status resulted from disciplinary action or was taken to avoid disciplinary action.

(b) A physician assistant requesting reinstatement shall satisfy all the requirements set forth in 21 NCAC 32S .0202.

(c) An applicant may be required to appear in person for an interview with the Board.

History

• Authority G.S. 90-9.3; 90-13(c)(13); 90-18.8
• Eff. September 1, 2009
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32S .0208 Limited Volunteer License

History

• Status: repealed
• Authority G.S. 90-9.3; 90-18(c)(13); 90-18.1
• Eff. September 1, 2009
• Repealed Eff. December 1, 2012.

21 NCAC 32S .0209 Exemption from License

Nothing in this Subchapter shall be construed to require licensure for:

(1) a student enrolled in a Physician Assistant Educational Program accredited by the Commission on Accreditation of Allied Health Education Programs or its successor organizations;

(2) a physician assistant employed by the federal government while performing duties incident to that employment; or

(3) an agent or employee of a physician who performs delegated tasks in the office of a physician but who is not rendering services as a physician assistant and identifying him/herself as a physician assistant.

History

• Authority G.S. 90-9.3; 90-18(c)(13); 90-18.1
• Eff. September 1, 2009
• Amended Eff. November 1, 2013
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32S .0210 Identification Requirements

A physician assistant shall keep proof of current licensure and renewal available for inspection at the primary place of practice and shall, when engaged in professional activities, wear a name tag consistent with G.S. 90-640.

History

• Authority G.S.90-9.3; 90-18(c)(13); 90-640
• Eff. September 1, 2009
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32S .0211 Agency

History

• Status: repealed
• Authority G.S. 90-9.3; 90-18(c)(13); 90-18.1
• Eff. September 1, 2009
• Repealed Eff. May 1, 2015.

21 NCAC 32S .0212 Prescriptive Authority

A physician assistant may prescribe, order, procure, dispense, and administer drugs and medical devices subject to the following conditions:

(1) The physician assistant complies with all State and federal laws regarding prescribing, including G.S. 90-18.1(b);

(2) Each supervising physician and physician assistant incorporates within his or her written supervisory arrangements, as defined in Rule .0201(9) of this Section, instructions for prescribing, ordering, and administering drugs and medical devices and a policy for periodic review by the physician of these instructions and policy;

(3) In order to compound and dispense drugs, the physician assistant complies with G.S. 90-18.1(c);

(4) In order to prescribe controlled substances:

(a) the physician assistant must have a valid Drug Enforcement Administration (DEA) registration and prescribe in accordance with DEA rules;

(b) refills shall be issued consistent with Controlled Substance Law and regulations; and

(c) the supervising physician shall possess at least the same schedule(s) of controlled substances as the physician assistant's DEA registration;

(5) Each prescription issued by the physician assistant contains, in addition to other information required by law, the following:

(a) the physician assistant's name, practice address, and telephone number; and

(b) if applicable, the physician assistant's DEA number for controlled substances prescriptions;

(6) The physician assistant documents prescriptions in writing on the patient's record, including the medication name and dosage, amount prescribed, directions for use, and number of refills;

(7) A physician assistant who requests, receives, and dispenses medication samples to patients complies with all applicable State and federal regulations; and

(8) A physician assistant shall not prescribe controlled substances, as defined by the State and federal controlled substances acts, for:

(a) the physician assistant's own use;

(b) the use of the physician assistant's supervising physician;

(c) the use of the physician assistant's immediate family;

(d) the use of any person living in the same residence as the physician assistant; or

(e) the use of any anyone with whom the physician assistant is having a sexual relationship.

As used in this Item, "immediate family" means a spouse, parent, child, sibling, parent-in-law, son-in-law or daughter-in-law, brother-in-law or sister-in-law, step-parent, step-child, or step-sibling.

History

• Authority G.S. 90-5.1(a)(3); 90-18.1
• Eff. September 1, 2009
• Amended Eff. May 1, 2015; August 1, 2012
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. February 1, 2021; Amended Eff. May 1, 2018.

21 NCAC 32S .0213 Physician Supervision of Physician Assistants

(a) A physician wishing to serve as a primary supervising physician shall exercise supervision of the physician assistant in accordance with rules adopted by the Board.

(b) A physician assistant may perform medical acts, tasks, or functions only under the supervision of a physician. Supervision shall be continuous but, except as otherwise provided in the rules of this Subchapter, shall not be construed as requiring the physical presence of the supervising physician at the time and place that the services are rendered.

(c) Each team of physician(s) and physician assistant(s) shall ensure:

(1) the physician assistant's scope of practice is identified;

(2) delegation of medical tasks is appropriate to the skills of the supervising physician(s) as well as the physician assistant's level of competence;

(3) the relationship of, and access to, each supervising physician is defined; and

(4) a process for evaluation of the physician assistant's performance is established.

(d) Each supervising physician and physician assistant shall sign a statement, as defined in Rule .0201(9) of this Subchapter, that describes the supervisory arrangements in all settings. The physician assistant shall maintain written prescribing instructions at each site. This statement shall be kept on file at all practice sites, and shall be available upon request by the Board.

(e) A primary supervising physician and a physician assistant in a new practice arrangement shall meet monthly for the first six months to discuss practice relevant clinical issues and quality improvement measures. Thereafter, the primary supervising physician and the physician assistant shall meet at least once every six months. A written record of these meetings shall be signed and dated by both the supervising physician and the physician assistant, and shall be available upon request by the Board. The written record shall include a description of the relevant clinical issues discussed and the quality improvement measures taken.

(f) Physician assistants enrolled and participating in a postgraduate training program shall designate on their intent to practice form as required by Rule .0203 of this Subchapter a single physician as their primary supervising physician as determined by the postgraduate training program. For purposes of this Rule, a postgraduate training program shall mean a professional development program of at least 12 months sponsored or co-sponsored by a licensed hospital and healthcare system in which the participants rotate through at least three or more distinct medical specialties. As the participants rotate through the program's various specialties, all other supervising physicians shall be designated as Back-Up Supervising Physicians.

History

• Authority G.S. 90-9.3; 90-18(c)(13); 90-18.1
• Eff. September 1, 2009
• Amended Eff. May 1, 2015
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. May 1, 2022.

21 NCAC 32S .0214 Supervising Physician

History

• Status: repealed
• Authority G.S. 90-9.3; 90-18(c)(13); 90-18.1
• Eff. September 1, 2009
• Repealed Eff. May 1, 2015.

21 NCAC 32S .0215 Responsibilities of Primary Supervising Physicians in Regard to Back-Up Supervising Physicians

(a) The primary supervising physician shall ensure that a supervising physician, either primary or back-up, is accessible for the physician assistant to consult whenever the physician assistant is performing medical acts, tasks, or functions.

(b) A back-up supervising physician shall be licensed to practice medicine by the Board, not prohibited by the Board from supervising a physician assistant, and approved by the primary supervising physician as a person willing and qualified to oversee the medical acts performed by the physician assistant in the absence of the primary supervising physician. A current list of all approved back-up supervising physicians, signed and dated by each back-up supervising physician, the primary supervising physician, and the physician assistant, shall be retained as part of the Supervisory Arrangement.

History

• Authority G.S. 90-18(c)(13); 90-18.1
• Eff. September 1, 2009
• Amended Eff. May 1, 2015
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32S .0216 Continuing Medical Education

(a) A physician assistant shall complete at least 50 hours of Continuing Medical Education (CME) every two years. The CME shall be recognized by the National Commission on Certification of Physician Assistants (NCCPA) as Category I CME. The physician assistant shall provide CME documentation for inspection by the Board or its agent upon request. The two-year period shall begin on the physician assistant's birthday following the issuance of his or her license.

(b) A physician assistant who prescribes controlled substances shall complete at least two hours of CME, from the required 50 hours, designed specifically to address controlled substance prescribing practices. The controlled substance prescribing CME shall include instruction on controlled substance prescribing practices and controlled substance prescribing for chronic pain management. CME that includes recognizing signs of the abuse or misuse of controlled substances, or non-opioid treatment options shall qualify for purposes of this Rule.

(c) A physician assistant who possesses a current certification with the NCCPA shall be deemed in compliance with the requirement of Paragraph (a) of this Rule. The physician assistant shall attest on his or her annual renewal he or she is currently certified by the NCCPA. Physician assistants who attest he or she possesses a current certificate with the NCCPA shall not be exempt from the controlled substance prescribing CME requirement of Paragraph (b) of this Rule. A physician assistant shall complete the required two hours of controlled substance CME unless the CME is a component part of their certification activity. Physician assistants who complete the federally required training under the Medication Access and Training Expansion Act (MATE), 21 U.S.C 823(l), shall be deemed in compliance with the controlled substance prescribing requirements of this Rule for the two-year CME period in which the MATE training was completed.

(d) Courses pertaining to interprofessional continuing education and courses pertaining to cultural competency or implicit bias training shall qualify for any CME hours required under this Rule so long as such courses are approved by the NCCPA.

History

• Authority G.S. 90-5.1(a)(3); 90-5.1(a)(10); 90-18.1; S.L. 2015-241, 12F.16(b) and 12F.16(c)
• Eff. September 1, 2009
• Amended Eff. May 1, 2015; November 1, 2010
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. July 1, 2024; January 1, 2022; April 1, 2020; September 1, 2016.

21 NCAC 32S .0217 Violations

It is unprofessional conduct for a physician assistant to violate the rules of this Subchapter, or to represent himself or herself as a physician. The Board may take disciplinary action against a supervising physician or a physician assistant pursuant to G.S. 90-14(a)(6) and (7) for violations of the rules of this Subchapter.

History

• Authority G.S. 90-9.3; 90-14; 90-14.2
• Eff. September 1, 2009
• Amended Eff. May 1, 2015
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32S .0218 Title and Practice Protection

(a) Any person not licensed by the Board violates G.S. 90-18.1 if he or she:

(1) falsely identifies him/herself as a physician assistant;

(2) uses any combination or abbreviation of the term "physician assistant" to indicate or imply that he or she is a physician assistant; or

(3) acts as a physician assistant without being licensed by the Board.

(b) An unlicensed physician may not use the title of "physician assistant" or practice as a physician assistant unless he/she fulfills the requirements of this Subchapter.

History

• Authority G.S. 90-9.3; 90-18(c)(13); 90-18.1
• Eff. September 1, 2009
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32S .0219 Physician Assistant Practice and Limited License for Disasters and Emergencies

(a) The Board shall waive requirements for licensure in the circumstances set forth in G.S. 90-12.5.

(b) There are two ways for physician assistants to practice under this Rule:

(1) Hospital to Hospital Credentialing: A physician assistant who holds a full, unlimited, and unrestricted license to practice medicine in another U.S. state, territory, or district and has unrestricted hospital credentials and privileges in any U.S. state, territory, or district may come to North Carolina and practice medicine at a North Carolina hospital that is licensed by the North Carolina Department of Health and Human Services upon the following terms and conditions:

(A) the licensed North Carolina hospital shall verify all physician assistant credentials and privileges;

(B) the licensed North Carolina hospital shall keep a list of all physician assistants coming to practice and their respective supervising physicians and shall provide this list to the Board within 10 days of each physician assistant practicing at the licensed North Carolina hospital. The licensed North Carolina hospital shall also provide the Board a list of when each physician assistant has stopped practicing medicine in North Carolina under this Rule within 10 days after each physician assistant has stopped practicing medicine under this Rule;

(C) all physician assistants practicing under this Rule shall be authorized to practice medicine in North Carolina and deemed to be licensed to practice medicine in the State and the Board shall have jurisdiction over all physician assistants practicing under this Rule for all purposes set forth in or related to Article 1 of Chapter 90 of the North Carolina General Statutes, and such jurisdiction shall continue in effect even after any and all physician assistants have stopped practicing medicine under this Rule;

(D) the physician assistant must practice under the direct supervision of an on-site physician and the supervising physician must be licensed in this State or approved to practice in this State during a disaster or state of emergency pursuant to G.S. 90-12.5;

(E) a physician assistant may practice under this Rule for the shorter of:

(i) 30 days from the date the physician assistant has started practicing under this Rule; or

(ii) a statement by an appropriate authority is made that the emergency or disaster declaration has been withdrawn or ended and, at such time, the license deemed to be issued shall become inactive; and

(F) physician assistants practicing under this Rule shall not receive any compensation outside of their customary compensation for the provision of medical services during a disaster or emergency.

(2) Limited Emergency License: A physician assistant who holds a full, unlimited, and unrestricted license to practice medicine in another U.S. state, territory, or district may apply for a limited emergency license on the following conditions:

(A) the applicant must complete a limited emergency license application;

(B) the Board shall verify that the physician assistant holds a full, unlimited, and unrestricted license to practice medicine in another U.S. state, territory, or district;

(C) in response to a declared disaster or state of emergency and in order to best serve the public interest, the Board may limit the physician assistant's scope of practice;

(D) the physician assistant must practice under the direct supervision of an on-site physician and the supervising physician must be licensed in this State or approved to practice in this State during a disaster or state of emergency pursuant to G.S. 90-12.5;

(E) the Board shall have jurisdiction under G.S. 90-14(a) over all physician assistants practicing under this Rule for all purposes set forth in or related to G.S. 90, Article 1, and such jurisdiction shall continue in effect even after such physician assistant has stopped practicing medicine under this Rule or the Limited Emergency License has expired;

(F) this license shall be in effect for the shorter of:

(i) 30 days from the date it is issued; or

(ii) a statement by an appropriate authority is made that the emergency or disaster declaration has been withdrawn or ended and, at such time, the license issued shall become inactive; and

(G) physician assistants holding limited emergency licenses shall not receive any compensation outside of their customary compensation for the provision of medical services during a disaster or emergency.

(3) physician assistants and physicians practicing pursuant to this Rule are not required to maintain onsite documentation describing supervisory arrangements and instructions for prescriptive authority as otherwise required by 21 NCAC 32S .0213.

(4) National Guard supervision waiver. The rules of this Subchapter are waived during a declared state of emergency by the Governor of the State of North Carolina or by a resolution of the North Carolina General Assembly for members of the North Carolina National Guard who are actively licensed as physician assistants in the State of North Carolina and are serving in a State Active Duty status.

History

• Authority G.S. 90-5.1(a)(3); 90-12.5; 90-13.2(e); 90-14(a)
• Eff. September 1, 2009
• Amended Eff. November 1, 2010
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Emergency Amendment Eff. October 2, 2018
• Emergency Amendment Expired Eff. December 14, 2018
• Amended Eff. July 1, 2019.

21 NCAC 32S .0220 Expedited Application for Physician Assistant Licensure

(a) A physician assistant who has been licensed, certified, or authorized to practice in at least one other state, the District of Columbia, U.S. Territory or Canadian province for at least five years, has been in active clinical practice during the past two years and who has a clean license application, as defined in Paragraph (c) of this Rule, may apply for a license on an expedited basis.

(b) In order to apply for an expedited Physician Assistant License, an applicant shall:

(1) submit a completed application, using the Board's form, attesting under oath that the information on the application is true and complete, and authorizing the release to the Board of all information pertaining to the application;

(2) submit documentation of a legal name change, if applicable;

(3) on the Board's form, submit a photograph, at least two inches by two inches, certified as a true likeness of the applicant by a notary public;

(4) supply a certified copy of applicant's birth certificate if applicant was born in the United States or a certified copy of a valid and unexpired US passport. If the applicant does not possess a certified birth certificate or an unexpired U.S. passport, the applicant must provide information about applicant's immigration and work status, which the Board will use to verify applicant's ability to work lawfully in the United States;

(5) provide a certified copy of any license, certification or authorization as a physician assistant the applicant has acquired in at least one other state or jurisdiction for the last five years immediately preceding this application;

(6) submit proof of achieving a passing score of completion of the Physician Assistant National Certifying Examination;

(7) submit proof of unexpired certification by the National Commission on Certification of Physician Assistants;

(8) provide proof of clinical practice, providing patient care for an average of 20 hours or more per week, for at least the last two years;

(9) submit National Practitioner Data Bank (NPDB) and Healthcare Integrity and Protection Data Bank (HIPDB) reports. These reports shall be requested by the applicant and submitted to the Board within 60 days of the request;

(10) submit a Board Action Data Bank Inquiry report from the Federation of State Medical Boards (FSMB). This report shall be requested by the applicant and submitted to the Board within 60 days of the request;

(11) submit to the Board, at P. O. Box 20007, Raleigh, NC 27619, two complete original fingerprint record cards, on fingerprint record cards supplied by the Board upon request;

(12) submit to the Board, at P. O. Box 20007, Raleigh, NC 27619 or license@ncmedboard.org, a signed consent form allowing a search of local, state, and national files to disclose any criminal record;

(13) pay to the Board a non-refundable fee of two hundred thirty dollars ($230.00), as required by 21 NCAC 32S .0202, plus the cost of a criminal background check;

(14) upon request, supply any additional information the Board deems necessary to evaluate the applicant's qualifications.

(c) A clean license application means that the physician assistant has none of the following:

(1) professional liability insurance claims or payments;

(2) misdemeanor or felony conviction;

(3) medical conditions which could affect the physician assistant's ability to practice safely;

(4) regulatory board complaints, investigations, or actions (including applicant's withdrawal of a license application);

(5) action taken by a health care institution;

(6) investigations or actions taken by a federal agency, the US military, medical societies or associations; or

(7) suspension or expulsion from any school, including an educational program for physician assistants.

(d) When possible, all reports must be submitted to the Board from the entity that created the report.

(e) All information required by this Rule shall be provided within one year of submitting the application.

History

• Authority G.S. 90-9.3; 90-13.1
• Eff. November 1, 2010
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. April 1, 2019.

21 NCAC 32S .0221 Limited Volunteer License

(a) A physician assistant who holds a regular license in North Carolina may convert that license to a Limited Volunteer License by notifying the Board in writing.

(b) The Board may issue a Limited Volunteer License to a physician assistant who holds an active license or registration in another state. In order to obtain a Limited Volunteer License, an applicant shall;

(1) submit a completed application, attesting under oath that the information on the application is true and complete, and authorizing the release to the Board of all information pertaining to the application;

(2) submit a recent photograph, at least two inches by two inches, affixed to the oath, and attested by a notary public;

(3) submit documentation of a legal name change, if applicable;

(4) supply a certified copy of applicant's birth certificate if the applicant was born in the United States or a certified copy of a valid and unexpired U.S. passport. If the applicant does not possess proof of U.S. citizenship, the applicant must provide information about applicant's immigration and work status which the Board will use to verify applicant's ability to work lawfully in the United States;

(5) submit proof of active licensure from another state or jurisdiction indicating the status of the license and whether or not any action has been taken against it;

(6) submit two completed fingerprint record cards supplied by the Board;

(7) submit a signed consent form allowing a search of local, state and national files for any criminal record;

(8) pay a non-refundable fee to cover the cost of a criminal background check;

(9) submit a FSMB Board Action Data Bank report;

(10) submit a NPDB/HIPDB report, dated within 60 days of submission of the application;

(11) submit documentation of CME obtained in the last three years;

(12) upon request, supply any additional information the Board deems necessary to evaluate the applicant’s competence and character.

(c) All materials must be submitted to the Board from the primary source, when possible.

(d) An applicant may be required to appear in person for an interview with the Board or its agent to evaluate the applicant's competence and character.

(e) An application must be completed within one year of the date of submission.

History

• Authority G.S. 90-9.3; 90-18(c)(13); 90-18.1
• Eff. December 1, 2012
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32S .0222 Retired Limited Volunteer License

(a) The Retired Limited Volunteer License is available to a physician assistant who has been licensed in North Carolina or another state or jurisdiction, has an inactive license, and wishes to volunteer at civilian indigent clinics.

(b) A physician assistant with an inactive North Carolina license who wishes to return to practice on a volunteer basis must first reactivate or reinstate his or her license, whichever applies, by complying with 21 NCAC 32S .0206 or 21 NCAC 32S .0207. Once reactivated or reinstated, a physician assistant may convert that license to a limited volunteer license without paying an additional fee. A physician assistant who has been inactive for more than two years will be required to complete a reentry program.

(c) In order to obtain a Retired Limited Volunteer License an applicant who has not held a North Carolina license shall:

(1) submit a completed application, attesting under oath that the information on the application is true and complete, and authorizing the release to the Board of all information pertaining to the application;

(2) submit a recent photograph, at least two inches by two inches, affixed to the oath, and attested by a notary public;

(3) submit documentation of a legal name change, if applicable;

(4) supply a certified copy of applicant's birth certificate if the applicant was born in the United States or a certified copy of a valid and unexpired U.S. passport. If the applicant does not possess proof of U.S. citizenship, the applicant must provide information about applicant's immigration and work status which the Board will use to verify applicant's ability to work lawfully in the United States;

(5) submit proof of licensure from another state or jurisdiction indicating the status of the license and whether or not any action has been taken against it;

(6) submit two completed fingerprint record cards supplied by the Board;

(7) submit a signed consent form allowing a search of local, state and national files for any criminal record;

(8) pay a non-refundable fee to cover the cost of a criminal background check;

(9) submit a FSMB Board Action Data Bank report;

(10) submit a NPDB/HIPDB report, dated within 60 days of submission of the application;

(11) submit documentation of CME obtained in the last three years; and

(12) upon request, supply any additional information the Board deems necessary to evaluate the applicant's competence and character

(c) All materials must be submitted to the Board from the primary source, when possible.

(d) An applicant may be required to appear in person for an interview with the Board or its agent to evaluate the applicant's competence and character.

(e) An application must be completed within one year of the date of submission.

History

• Authority G.S. 90-8.1; 90-12.1B
• Eff. December 1, 2012
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32S .0223 Scope of Practice

History

• Status: expired
• Authority G.S. 90-8.1; 90-12.4B
• Eff. December 1, 2012
• Expired Eff. April 1, 2016 pursuant to G.S. 150B-21.3A.

21 NCAC 32S .0224 Scope of Rules

The rules in this Subchapter are intended for the purpose of fulfilling the Board's statutory directive with regard to the regulation, supervision, and disciplining of physician assistants and their supervising physicians, and for no other purpose.

History

• Authority G.S. 90-5.1(a)(2); 90-5.1(a)(3); 90-18.1
• Eff. May 1, 2015.

21 NCAC 32S .0225 definition of consultation for prescribing TARGETED controlled substances

For purposes of G.S. 90-18.1(b), the term "consult" shall mean a meaningful communication, occurring either in person or electronically, between the physician assistant and a supervising physician that is documented in the patient medical record. For the purposes of this Rule, "meaningful communication" shall mean an exchange of information sufficient for the supervising physician to make a determination that the prescription for a targeted controlled substance is medically indicated.

History

• Authority G.S. 90-18.1
• Eff. May 1, 2018.

21 NCAC 32S .0226 Military Relocation License for Physician Assistant Servicemembers and Spouses

(a) A physician assistant who meets the qualifications listed in this Rule and G.S. 90-12.02 may apply for a military relocation license for physician assistant servicemembers and spouses.

(b) An applicant for a military relocation license for physician assistant servicemembers and spouses shall:

(1) complete the Board's online application and providing the applicant's:

(A) legal name;

(B) personal mailing, physical, and email address;

(C) work mailing, physical, and email address;

(D) telephone number;

(E) social security number and date of birth;

(F) practice plans and areas of practice;

(G) chronological history of education and employment from age 18 to present;

(H) history of government investigations, substance use history for the past five years, military service, professional liability insurance history, investigations for employment misclassification for the past five years, and history of regulatory actions, hospital privilege, and malpractice; and

(I) an attestation under oath or affirmation that the information on the application is true and complete, and authorizing the release to the Board of all information pertaining to the application;

(2) submit documentation of a legal name change, if applicable;

(3) submit a photograph of the applicant that was taken in the last two years;

(4) supply a certified copy of applicant's birth certificate if the applicant was born in the U.S. or a certified copy of a valid and unexpired U.S. passport. If the applicant does not possess proof of U.S. citizenship, the applicant shall provide information about applicant's immigration status that the Board will use to verify applicant's eligibility for this license;

(5) provide proof that applicant is a servicemember of the United States Armed Forces or a spouse of a servicemember of the United States Armed Forces;

(6) provide a copy of military orders that indicates that the applicant is residing in this State pursuant to such military orders for military service relating to applicant or applicant's spouse;

(7) provide proof that the applicant holds a current license in another jurisdiction that has licensing requirements that are substantially equivalent or otherwise exceed the requirements for licensure in this State;

(8) provide proof that the applicant has not been disciplined in the last five years by any occupational licensing board, and has no pending investigations by any occupational licensing board;

(9) provide proof that the applicant has actively practiced medicine an average of 20 hours per week during the two years immediately preceding relocation to this State;

(10) submit two completed fingerprint record cards to the Board;

(11) submit a signed consent form allowing a search of local, state and national files to disclose any criminal record;

(12) pay to the Board a non-refundable fee as required by 21 NCAC 32S .0202, plus the cost of a criminal background check;

(13) upon request, supply any additional information the Board deems necessary to evaluate the applicant's qualifications.

(c) When possible, all reports and Orders shall be submitted directly to the Board from the primary source.

(d) All information required by this Rule shall be provided within one year of submitting the application.

History

• Authority G.S. 90-5.1(a)(3); 90-12.02
• Eff. June 1, 2025.

21 NCAC 32S .0227 team-based settings practice

(a) For purposes of G.S. 90-1.1(4d), "consistent and meaningful participation in the design and implementation of health services to patients" means that a physician on the team:

(1) provides health services to patients in the team-based setting or team-based practice;

(2) is available, whether in person or by telecommunication, for collaboration, consultation, or referral during the times the team-based physician assistant is performing medical acts, tasks, or functions;

(3) participates in determining and documenting of how the team will continuously function, including (i) the roles of each member of the team; (ii) the manner in which the team will collaborate, consult, and refer; (iii) a continuous process for ensuring patient safety; and (iv) implementation of any quality improvement measures. These records and documents shall be shared and acknowledged by all team members. The records and documents shall be provided to the Board upon request. For purposes of this section, "team" shall refer to team-based physician assistants and physicians; and

(4) is engaged in shared governance within the organization that enables site-based decision-making.

(b) For purposes of G.S. 90-9.3A(a)(2), "clinical practice experience" means direct patient care as a physician assistant performing medical acts, tasks, and functions, including diagnosing, treating, and prescribing.

(c) For purposes of G.S. 90-9.3A(a)(b), in determining whether team-based physician assistants have appropriately collaborated, consulted, and referred to members of the health care team, the Board will take into consideration all documents and records under Subparagraph (a)(3) of this Rule. These records and documents shall be made available to the Board if requested.

(d) Prior to practicing as a team-based physician assistant, a physician assistant shall submit to the Board a registration for a Team-Based Practice , by logging into their Licensure Gateway account at https://portal.ncmedboard.org/index.aspx, that includes the following information:

(1) the physician assistant's name, mailing address, and telephone number;

(2) the address of all the team-based settings in which the physician assistant practices;

(3) an attestation, signed by the physician assistant, under oath and affirmation that the physician assistant:

(A) has at least 4,000 documented hours of clinical practice experience as a licensed physician assistant. Documentation shall be made available to the Board if requested;

(B) has at least 1,000 documented hours of clinical practice experience within each specified medical specialty area of practice in which the team-based physician assistant will be practicing. Documentation shall be made available to the Board if requested; and

(C) will be working in a team-based setting or team-based practice as defined by G.S. 90-1.1(4d).

(e) The physician assistant shall not commence practice as team-based physician assistant until they receive acknowledgement from the Board, or confirm on its website, that the Board has received and processed the Team-Based Practice Registration. The Team-Based Practice Registration is limited to the medical specialty and team-based setting registered with the Board. A team-based physician assistant shall notify the Board of any changes to the information required in Subparagraphs (d)(1) and (d)(2) of this Rule within 60 days of the change. Physician assistants shall update all information under Paragraph (d) when the team-based physician assistant changes team-based practices under a different employer or their medical specialty before initiating practice.

(f) A team-based physician assistant who changes employment to a medical practice that does not qualify as a team-based setting, or who changes to a specialty practice area, within which they do not have 1,000 hours of practice in a specialty practice area shall be subject to the requirements of Rules .0203, .0212(2), .0212(4)(c), and .0213 of this Section.

(g) The team-based physician assistant shall ensure that in the team-based setting:

(1) the physician assistant practices within the scope of their education, experience, competence, as well as within the functions of the team as established in Subparagraph (a)(3) of this Rule;

(2) that there are physicians who have consistent and meaningful participation in the design and implementation of health services to patients as defined in Paragraph (a) of this Rule; and

(3) that there are means for collaboration, consultation, and referral, as indicated by the patient's condition, as well as the education, experience, and competencies of the physician assistant, and the applicable standard of care.

(h) Nothing in this Rule requires a physician assistant to be in the same physical location as a physician on the team.

(i) For purposes of G.S. 90-9.3A(c), "supervised" or "supervision" shall mean that a physician is accountable to the Board for the team-based physician assistant who performs medical acts, tasks, and functions in a perioperative setting. A perioperative setting includes all patient care that is provided at a hospital, surgical center, or the office of a health care provider from the time of the patient's admission to the time of the patient's discharge from the surgical suite. The supervising physician shall ensure that the team-based physician assistant is qualified by their education, training, and experience to perform medical acts, tasks, and functions within the perioperative setting. The supervising physician must have written protocols to determine the team-based physician assistant's scope of practice in the perioperative setting when the physician is present onsite or remote.

(j) For purposes of G.S. 90-18.1(e2), "supervised" or "supervision" shall mean that a physician is accountable to the Board for the team-based physician assistant who provides final interpretations of plain film radiographs, or X-rays. The supervising physician shall ensure that the team-based physician assistant is qualified by their education, training, and experience to provide final interpretations of plain film radiographs, or X-rays. Nothing in this Paragraph shall be construed to require a team-based physician assistant to comply with Rules .0203, .0212(2), .0212(4)(c), and .0213 of this Section. For purposes of this Paragraph, a plain film radiograph includes a Dual-Energy X-Ray Absorptiometry ("DEXA") scan.

(k) For purposes of G.S. 90-18.1(e2), a physician assistant's use of portable point-of-care ultrasonography for purposes of clinical evaluation shall not be construed as the physician assistant performing a final interpretation of diagnostic imaging studies.

(l) For purposes of G.S. 90-18.1(c), "supervision" for compounding and dispensing shall mean compliance with Rules .0203, .0212(2), .0212(4)(c), and .0213 of this Section.

(m) The requirements set out in Rules .0203, .0212(2), .0212(4)(c), and .0213 of this Section shall not apply to a team-based physician assistant at any registered team-based setting or practice where the team-based physician assistant is offering services within their registered medical specialty.

History

• Authority G.S. 90-1.1; 90-5.1(a)(3); 90-9.3A; 90-18.1
• Eff. August 1, 2026.

Subchapter T

21 NCAC 32T .0101 Clinical Pharmacist Practitioner

(a) Definitions as used in the Rule:

(1) "Medical Board" means the North Carolina Medical Board.

(2) "Pharmacy Board" means the North Carolina Board of Pharmacy.

(3) "Clinical Pharmacist Practitioner" or "CPP" means a licensed pharmacist who is approved to provide drug therapy management, including controlled substances, under the direction or supervision of a Supervising Physician pursuant to a CPP Agreement Only a pharmacist approved by the Pharmacy Board and the Medical Board may legally identify himself as a CPP.

(4) "Supervising Physician" means a licensed physician who, by signing the CPP Agreement, is held accountable for the on-going supervision and evaluation of the drug therapy management performed by the CPP as defined in written CPP Agreement. This term includes both Primary Supervising Physician and Back-up Supervising Physician.

(5) "Primary Supervising Physician" means the Supervising Physician who shall provide on-going supervision, collaboration, consultation, and evaluation of the drug therapy management performed by the CPP as defined in the CPP Agreement.

(6) "Back-up Supervising Physician" means a Supervising Physician who shall provide supervision, collaboration, consultation, and evaluation of the drug therapy management performed by the CPP as defined in the CPP Agreement when the Primary Supervising Physician is not available.

(7) "Approval" means authorization by the Medical Board and the Pharmacy Board for a pharmacist to practice as a CPP in accordance with this Rule.

(8) "Continuing Education or CE" is defined as courses or materials which have been approved for credit by the American Council on Pharmaceutical Education.

(9) "Clinical Experience approved by the Boards" means work in a pharmacy practice setting which includes experience consistent with the following components as listed in Parts (b)(2)(A), (B), (C), (D), (E), (H), (I), (J), (N), (O), and (P) of this Rule. Clinical experience requirements must be met only through activities separate from the certificate programs referred to in Parts (b)(1)(B) of this Rule.

(10) "CPP Agreement" means a written agreement between the CPP, Primary Supervising Physician and any Back-Up Supervising Physician by which the Supervising Physician(s) have provided written instructions to the CPP for patient-specific and disease-specific drug therapy, which may include ordering, changing, or substituting therapies or ordering tests.

(b) CPP application for approval.

(1) The requirements for application for CPP approval include that the pharmacist:

(A) has an unrestricted and current license to practice as a pharmacist in North Carolina;

(B) meets one of the following qualifications:

(i) has earned Certification from the Board of Pharmaceutical Specialties, is a Certified Geriatric Pharmacist as certified by the Commission for Certification in Geriatric Pharmacy, or has completed an American Society of Health System Pharmacists (ASHP) accredited residency program with two years of Clinical Experience approved by the Boards; or

(ii) holds the academic degree of Doctor of Pharmacy, has three years of Clinical Experience approved by the Boards, and has completed a North Carolina Center for Pharmaceutical Care (NCCPC) or American Council on Pharmaceutical Education (ACPE) approved certificate program in the area of practice covered by the CPP Agreement; or

(iii) holds the academic degree of Bachelor of Science in Pharmacy, has five years of Clinical Experience approved by the Boards, and has completed two NCCPC or ACPE approved certificate programs with at least one program in the area of practice covered by the CPP Agreement;

(C) submits the required application and fee to the Pharmacy Board;

(D) submits any information deemed necessary by the Pharmacy Board in order to evaluate the application; and

(E) has a signed CPP Agreement.

If for any reason a CPP discontinues working under an approved CPP Agreement, the clinical pharmacist practitioner shall notify the Pharmacy Board in writing within 10 days, and the CPP's approval shall automatically terminate or be placed on inactive status until such time as a new application is approved in accordance with this Subchapter.

(2) All certificate programs referred to in Subpart (b)(1)(B)(i) of this Rule must contain a core curriculum, including the following components:

(A) communicating with healthcare professionals and patients regarding drug therapy, wellness, and health promotion;

(B) designing, implementing, monitoring, evaluating, and modifying or recommending modifications in drug therapy to insure effective, safe, and economical patient care;

(C) identifying, assessing, and solving medication-related problems and providing a clinical judgment as to the continuing effectiveness of individualized therapeutic plans and intended therapeutic outcomes;

(D) conducting physical assessments, evaluating patient problems, and ordering and monitoring medications and laboratory tests;

(E) referring patients to other health professionals as appropriate;

(F) administering medications;

(G) monitoring patients and patient populations regarding the purposes, uses, effects, and pharmacoeconomics of their medication and related therapy;

(H) counseling patients regarding the purposes, uses, and effects of their medication and related therapy;

(I) integrating relevant diet, nutritional, and non-drug therapy with pharmaceutical care;

(J) recommending, counseling, and monitoring patient use of non-prescription drugs, herbal remedies, and alternative medicine practices;

(K) ordering of and educating patients regarding proper usage of devices and durable medical equipment;

(L) providing emergency first care;

(M) retrieving, evaluating, utilizing, and managing data and professional resources;

(N) using clinical data to optimize therapeutic drug regimens;

(O) collaborating with other health professionals;

(P) documenting interventions and evaluating pharmaceutical care outcomes;

(Q) integrating pharmacy practice within healthcare environments;

(R) integrating national standards for the quality of healthcare; and

(S) conducting outcomes and other research.

(3) The completed application for approval to practice as a CPP shall be reviewed by the Pharmacy Board upon verification of a full and unrestricted license to practice as a pharmacist in North Carolina. The Pharmacy Board shall:

(A) approve the application and, at the time of approval, issue a number which shall be printed on each prescription written by the CPP;

(B) deny the application; or

(C) approve the application with restrictions, in the even that restrictions are appropriate in order to protect the public health, safety, and welfare in light of information received and reviewed in the CPP application in Subparagraph (b)(1) of this Rule.

(c) Annual Renewal.

(1) Each CPP shall register annually on or before December 31 by:

(A) verifying that the CPP holds a current Pharmacist license;

(B) submitting the renewal fee as specified in Subparagraph (j)(2) of this Rule;

(C) completing the Pharmacy Board's renewal form; and

(D) reporting continuing education credits as required by subsection (d) of this Rule.

(2) If the CPP has not renewed the CPP's annual registration pursuant to Subparagraph (c)(1) of this Rule, within 60 days of December 31, the approval to practice as a CPP shall lapse.

(d) Continuing Education.

(1) Each CPP shall earn 35 hours of practice-relevant CE each year, approved by the Pharmacy Board.

(2) Documentation of these hours shall be kept at the CPP practice site and made available for inspection by agents of the Medical Board or Pharmacy Board.

(e) A Supervising Physician who has a CPP Agreement with a CPP shall be readily available for consultation with the CPP and, at the meetings required by Subparagraph (f)(6) of this Rule, shall review each order written by the CPP.

(f) The CPP Agreement shall:

(1) be approved and signed by the Primary Supervising Physician, and Back-Up Supervising Physician, and the CPP, and a copy shall be maintained in each practice site for inspection by agents of either Board upon request;

(2) be specific in regards to the physician, the pharmacist, the patient, and the disease;

(3) specify the predetermined drug therapy, which shall include the diagnosis and product selection by the patient's physician and any modifications which may be permitted, dosage forms, dosage schedules and tests which may be ordered;

(4) prohibit the substitution of a chemically dissimilar drug product by the CPP for the product prescribed by the physician without first obtaining written consent of the physician;

(5) include a pre-determined plan for emergency services;

(6) for the first six months of the CPP Agreement include a plan and schedule for monthly meetings to discuss the operation of the CPP Agreement and quality improvement measures between the Primary Supervising Physician and CPP, and thereafter include a plan and schedule for meetings between the Primary Supervising Physician and CPP at least once every six months to discuss the operation of the CPP Agreement and quality improvement measures. Documentation of the meetings between the CPP and the Primary Supervising Physician shall:

(A) identify clinical issues discussed and actions taken;

(B) be signed and dated by those who attended; and

(C) be retained by both the CPP and Primary Supervising Physician and be available for review by members or agents of either Board for five calendar years;

(7) require that the patient be notified of the collaborative relationship under the CPP Agreement; and

(8) be terminated when patient care is transferred to another physician and new orders will be written by the succeeding physician.

(g) The Supervising Physician of the CPP shall:

(1) be fully licensed with the Medical Board and engaged in clinical practice;

(2) not be serving in a postgraduate medical training program;

(3) be approved in accordance with this Subchapter before the CPP supervision occurs; and

(4) supervise no more than three pharmacists.

(h) The CPP shall wear a nametag spelling out the words "Clinical Pharmacist Practitioner".

(i) The CPP may be censured or reprimanded or the CPP's approval may be restricted, suspended, revoked, annulled, denied, or terminated by the Medical Board or the Pharmacy Board. In addition or in the alternative, the pharmacist may be censured or reprimanded or the pharmacist's license may be restricted, suspended, revoked, annulled, denied, or terminated by the Pharmacy Board, in accordance with provisions of G.S. 150B. The Pharmacy Board or the Medical Board may take the actions set forth in this Paragraph with respect to the pharmacist, the CPP approval, or the pharmacist's license, if either Board finds one or more of the following:

(1) the CPP has held himself or herself out as, or permitted another to represent that the CPP is, a licensed physician;

(2) the CPP has engaged or attempted to engage in the provision of drug therapy management other than at the direction of, or under the supervision of, a physician licensed and approved by the Medical Board to be that CPP's Supervising Physician;

(3) the CPP has provided or attempted to provide medical management outside the approved CPP Agreement or for which the CPP is not qualified by education and training to provide;

(4) The CPP commits any act prohibited by any provision of G.S. 90-85.38 as determined by the Pharmacy Board or G.S. 90-14(a)(1), (a)(3) through (a)(14) and (c) as determined by the Medical Board; or

(5) the CPP has failed to comply with any of the provisions of this Rule.

Any modification of treatment for financial gain on the part of the Supervising Physician or CPP shall be grounds for denial of Board approval of the CPP Agreement.

(j) Fees:

(1) An application fee of one hundred dollars ($100.00) shall be paid at the time of initial application for approval and each subsequent application for approval to practice as a CPP.

(2) The fee for annual renewal of approval, due at the time of annual renewal pursuant to Paragraph (c) of this Rule, is fifty dollars ($50.00).

(3) No portion of any fee in this Rule is refundable.

History

• History Note Authority G.S. 90-8.2(b); 90-18(c)3a; 90-18.4
• Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2026
• Amended Eff. July 1, 2016; March 1, 2007; October 1, 2001.

Subchapter U

21 NCAC 32U .0101 Administration of Vaccines by Pharmacists

Pharmacist personnel may administer vaccines in accordance with 21 NCAC 46 .2507.

History

• Authority G.S. 90-85.3(r); 90-85.15B; S.L. 2021-110
• Emergency Adoption Eff. September 10, 2004
• Temporary Adoption Eff. December 29, 2004
• Eff. November 1, 2005
• Amended Eff. February 1, 2008
• Emergency Amendment Eff. October 9, 2009
• Temporary Amendment Eff. December 29, 2009
• Temporary Amendment Expired on October 12, 2010
• Amended Eff. September 1, 2014; March 1, 2012
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. July 1, 2022.

21 NCAC 32U .0102 Adminisration of Long-Acting Injectables

Pharmacists may administer long-acting injectables in accordance with 21 NCAC 46 .2514.

History

• Authority G.S. 90-85.15B; S.L. 2021-110
• Eff. July 1, 2022.

21 NCAC 32U .0103 influenza test and treat

Pharmacists may, in accordance with 21 NCAC 46 .2517, initiate Clinical Laboratory Improvement Amendments waived testing and treatment for influenza, as defined in G.S. 90-85.3(b2), per the protocols available at the Board of Pharmacy's office and on its website, (www.ncbop.org/protocols), including prophylactic treatment for high-risk patients who have been exposed to influenza, as set forth in the protocols.

History

• Authority G.S. 90-85.3(b2), S.L. 2025-37, s. 5.3
• Eff. August 1, 2026.

Subchapter V

21 NCAC 32V .0101 Scope

History

• Status: expired
• Authority G.S. 90-681; 90-682; 90-685(1)(3)
• Eff. September 1, 2007
• Expired Eff. April 1, 2016 pursuant to G.S. 150B-21.3A.

21 NCAC 32V .0102 Definitions

The following definitions apply to this Subchapter:

(1) Approved educational program – Any program within the United States that, at the time of the Applicant's attendance, was approved by the Commission on Accreditation of Allied Health Education Programs (CAAHEP) or the Accreditation Committee for Perfusion Education (AC-PE); any Canadian educational program recognized by the Conjoint Committee on Accreditation of the Canadian Medical Association (CMA); or any program attended by applicant that was subsequently approved by CAAHEP, ACPE, or CMA within seven years of the Applicant's graduation.

(2) Board –The North Carolina Medical Board and its agents.

(3) Committee – The Perfusionist Advisory Committee and its agents.

(4) Provisional licensed perfusionist - The person who is authorized to practice perfusion pursuant to 90-698.

(5) Registering - Renewing the license by paying the biennial fee and complying with Rule .0104 of this Subchapter.

(6) Supervising - Overseeing the activities and accepting the responsibility for the perfusion services rendered by a provisional licensed perfusionist. Supervision means that the supervising perfusionist shall be available for consultation and assistance while the provisional licensee is performing or providing perfusion services. The availability requirement shall not require physical presence in the operating room. Supervision shall be continuous, except as otherwise provided in the rules of this Subchapter.

(7) Supervising Perfusionist – A perfusionist licensed by the Committee and who serves as a primary supervising perfusionist or as a back-up supervising perfusionist.

(a) The "Primary Supervising Perfusionist" means the perfusionist who, by signing the designation of supervising perfusionist form provided by the Committee, accepts responsibility for the provisional licensed perfusionist medical activities and professional conduct at all times, whether the Primary Supervising Perfusionist is personally providing supervision or the supervision is being provided by a Back-up Supervising Perfusionist. Conduct that violates the laws governing perfusionists may subject the supervising perfusionists to sanctions.

(b) The "Back-up Supervising Perfusionist" means the perfusionist who accepts responsibility for the supervision of the provisional licensed perfusionist's activities in the absence of the Primary Supervising Perfusionist. The Back-up Supervising Perfusionist is responsible for the activities of the provisional licensed perfusionist only when providing supervision.

History

• Authority G.S. 90-681; 90-682; 90-685(1)(3); 90-691
• Eff. September 1, 2007
• Amended Eff. November 1, 2014
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32V .0103 application FOR LICENSE

(a) Except as otherwise provided in this Subchapter, an individual shall obtain a license from the Committee before the individual may practice as a licensed perfusionist. The Committee may grant a license or provisional license, reactivate a license or provisional license, or reinstate a license or provisional license to an applicant who has met the following criteria:

(1) satisfies the requirements of G.S. 90-686;

(2) is not disqualified for any reason set out in G.S. 90-691;

(3) completes the application;

(4) pays the fee as specified in 21 NCAC 32V .0115, plus the cost of a criminal background check;

(5) submits to the Committee two completed original fingerprint record cards, on fingerprint record cards provided by the Board;

(6) submits to the Committee a signed and dated original Authority for Release of Information Form allowing a search of local, state, and national files to disclose any criminal record;

(7) except for applications for a provisional license, submits proof of current certification with the American Board of Cardiovascular Perfusionists (ABCP); and

(8) supplies any other information the Committee deems necessary to evaluate the applicant's qualifications.

(b) If the Committee determines it needs more information to evaluate the applicant based on information provided by the applicant, the applicant may be required to appear, in person, for an interview with the Committee.

(c) For purposes of this Rule, an "application for reactivation" is for those applicants whose license was placed on inactive status within the past calendar year.

(d) For purposes of this Rule, an "application for reinstatement" is for those applicants whose license has been inactive for more than one calendar year, or if the inactive status resulted from disciplinary action or was taken to avoid disciplinary action.

History

• Authority G.S. 90-5.1(a)(3); 90-685(3)(4a)(5)(6) and (7); 90-686
• Eff. September 1, 2007
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. February 1, 2020.

21 NCAC 32V .0104 Registration

(a) Each person who holds a license as a perfusionist in this state, other than a provisional licensed perfusionist, shall register his or her perfusionist license every two years prior to its expiration date by:

(1) completing the Committee's registration form;

(2) submitting the required fee.

(b) A perfusionist who indicates on the registration form that he or she is not currently certified by the American Board of Cardiovascular Perfusion (ABCP) may be asked to appear before the Committee.

History

• Authority G.S. 90-685(1)(3)(5) and (6); 90-690
• Eff. September 1, 2007
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32V .0105 Continuing Education

(a) The licensed perfusionist must maintain documentation of 30 hours of continuing education (CE) completed for every two year period. Of the 30 hours, at least 10 hours must be Category I hours as recognized by the American Board of Cardiovascular Perfusion (ABCP), the remaining hours may be Category II or III hours as recognized by the ABCP. CE documentation must be available for inspection by the Committee or Board or an agent of the Committee or Board upon request.

(b) A perfusionist who possesses a current certification with the ABCP shall be deemed in compliance with the requirement of Paragraph (a) of this Rule. The perfusionist must attest on his or her biennial renewal that he or she is currently certified by the ABCP.

History

• Authority G.S. 90-685(3) and (8)
• Eff. September 1, 2007
• Amended Eff. November 1, 2011
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32V .0106 Supervision of Provisional Licensed Perfusionists

The supervising perfusionist shall exercise supervision of a provisional licensed perfusionist as defined in Rule .0102(6) of this Subchapter, assume responsibility for the services provided by the provisional licensee, be responsible for determining the nature and level of supervision required for the provisional licensee, and be responsible for evaluating and documenting the professional skill and competence of the provisional licensee.

History

• Authority G.S. 90-685(1)(2) and (3)
• Eff. September 1, 2007
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32V .0107 Supervising Perfusionist

(a) A licensed perfusionist wishing to serve as a primary supervising perfusionist must be licensed to practice perfusion by the Board and not prohibited by the Board from supervising a provisional licensed perfusionist.

(b) A perfusionist wishing to serve as a back-up supervising perfusionist must be licensed to practice perfusion by the Board, not prohibited by the Board from supervising a provisional licensed perfusionist, and approved by the primary supervising perfusionist as a person willing and qualified to assume responsibility for the care rendered by the provisional licensed perfusionist in the absence of the primary supervising perfusionist. The primary supervising perfusionist must maintain an ongoing list of all approved back-up supervising perfusionist(s), signed and dated by each back-up supervising perfusionist, the primary supervising perfusionist, and the provisional licensed perfusionist, and this list must be retained and made available for inspection upon request by the Committee or Board.

History

• Authority G.S. 90-685(1)(2) and (3)
• Eff. September 1, 2007
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32V .0108 Designation of Primary Supervising Perfusionist for Provisional Licensee

(a) Prior to the performance of perfusion under the supervision of any primary supervising perfusionist, or new primary supervising perfusionist, a provisional licensed perfusionist shall submit a designation of primary supervising perfusionist(s) on forms provided by the Committee. The provisional licensed perfusionist shall not commence practice until acknowledgment of the designation of primary supervising perfusionist(s) form is received from the Committee. Such designation shall include:

(1) the name, practice addresses, and telephone number of the provisional licensed perfusionist; and

(2) the name, practice addresses, and telephone number of the primary supervising perfusionist(s).

(b) The primary supervising perfusionist shall notify the Committee of any terminations or cessations of practice of a provisional licensed perfusionist under his or her supervision in a previously acknowledged designation within 15 days of the occurrence.

History

• Authority G.S. 90-685(1) and (3)
• Eff. September 1, 2007
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32V .0109 Civil Penalties

(a) In carrying out its duties and obligations under G.S. 90-691 and G.S. 90-693, the following shall constitute aggravating factors:

(1) Prior disciplinary actions

(2) Patient harm

(3) Dishonest or selfish motive

(4) Submission of false evidence, false statements, or other deceptive practices during the disciplinary process

(5) Vulnerability of victim

(6) Refusal to admit wrongful nature of conduct

(7) Willful or reckless misconduct

(8) Pattern of misconduct (repeated instances of the same misconduct)

(9) Multiple offenses (more than one instance of different misconduct)

(b) The following shall constitute mitigating factors:

(1) Absence of a prior disciplinary record

(2) No patient harm

(3) Absence of a dishonest or selfish motive

(4) Full cooperation with the Committee

(5) Physical or mental disability or impairment

(6) Rehabilitation or remedial measures

(7) Remorse

(8) Remoteness of prior discipline

(c) Before imposing and assessing a civil penalty, the Committee shall make a determination of whether the aggravating factors outweigh the mitigating factors, or whether the mitigating factors outweigh the aggravating factors. After making such a determination, and if the Committee decides to impose a civil penalty, the Committee shall impose the civil penalty consistent with the following schedule:

(1) First Offense:

Presumptive Fine - $250.

Finding of Mitigation $0 to $249.

Finding of Aggravation $251 to $1,000.

(2) Second Offense:

Presumptive Fine - $500.

Finding of Mitigation $0 to $499.

Finding of Aggravation $501 to $1,000.

(3) Third or More Offense:

Presumptive Fine - $1000.

Finding of Mitigation $0 to $999.

Finding of Aggravation $1,000.

History

• Authority G.S. 90-685(1) and (3); 90-693(b)(4)
• Eff. September 1, 2007
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32V .0110 Identification Requirements

A licensed perfusionist shall keep proof of current licensure and registration available for inspection at the primary place of practice and shall, when engaged in professional activities, wear a name tag identifying the licensee as a perfusionist consistent with G.S. 90-640(a).

History

• Authority G.S. 90-640(a); 90-685(3)
• Eff. September 1, 2007
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32V .0111 Practice During a State of Emergency

(a) The Board shall waive the requirements for licensure in the circumstances set forth in G.S. 90-12.5.

(b) The following individuals may practice under this Rule if he or she either:

(1) holds a full, unlimited, and unrestricted license to practice perfusion in another U.S. state, territory or district; or

(2) is a current, active certified clinical perfusionist who practices in a state where licensure is not required who practices perfusion at a North Carolina hospital that is licensed by the North Carolina Department of Health and Human Services and the hospital meets the following requirements:

(A) verifies the perfusionist's credentials and privileges; and

(B) maintains a list of all perfusionists coming to practice and provides this list to the Board within 10 days of each perfusionist practicing at the hospital. The hospital shall also provide the Board a list of when each perfusionist has stopped practicing perfusion in North Carolina under this Rule within 10 days after each perfusionist has stopped practicing perfusion under this Rule.

(c) A perfusionist may practice under this Rule for the shorter of either:

(1) thirty days from the date the perfusionist has started practicing under this Rule; or

(2) thirty days after a statement by an appropriate authority is made that the state of emergency has been withdrawn or ended.

(d) All perfusionists practicing under this Rule shall be authorized to practice perfusion in North Carolina and shall be deemed to be licensed in this State. The Board shall have jurisdiction over perfusionists practicing under this Rule for all purposes set forth in or related to G.S. 90, Articles 1 and 40, and such jurisdiction shall continue in effect even after the perfusionist has stopped practicing under this Rule.

History

• Authority G.S. 90-12.5; 90-685
• Eff. September 1, 2007
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. August 1, 2020.

21 NCAC 32V .0112 Temporary Licensure

The Board may grant temporary licensure to a licensed or certified clinical perfusionist in good standing from another state who appears to be qualified for licensure in this State pursuant to G.S. 90-686 and who enters North Carolina to work on an emergency basis. The temporary license shall be valid for a period not to exceed 60 days. Within 10 days of receiving a temporary license, the temporary licensed perfusionist must make application for a full license, including payment of the requisite application fee. If the temporary licensed perfusionist fails to submit a full application within the 10 day period, his or her temporary license shall immediately expire. After making application for a full license, the Committee and Board must decide the application before the expiration of the temporary license. For purposes of this Rule, "emergency" shall mean the sudden death or illness, or unforeseen and unanticipated absence, of a licensed perfusionist working at a North Carolina hospital that leaves the hospital unable to provide surgical care to patients in a manner that compromises patient safety. As part of the temporary license process, the hospital must certify to the Committee, on forms provided by the Committee that an emergency exists. "Good standing" for purposes of this Rule shall mean that the applicant is currently able to practice perfusion in another state without any restriction or condition.

History

• Authority G.S. 90-685(3); 90-686
• Eff. September 1, 2007
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32V .0113 Orders for Assessments and Evaluations

(a) The Committee and Board may require a perfusionist or applicant to submit to a mental or physical examination by physicians designated by the Committee or Board before or after charges may be presented against the perfusionist if the Committee or Board has reason to believe a perfusionist may be unable to perform perfusion with reasonable skill and safety to patients by reason of illness, drunkenness, excessive use of alcohol, drugs, chemicals, or any other type of material or by reason of any physical, mental or behavioral abnormality.

(b) The results of the examination shall be admissible in evidence in a hearing before the Committee.

(c) The Committee or Board may require a perfusionist to submit to inquiries or examinations, written or oral, by members of the Committee or by other perfusionists, as the Committee or Board deems necessary to determine the professional qualifications of such licensee.

History

• Authority G.S. 90-685(3)(5)(11)
• Eff. September 1, 2007
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32V .0114 Provisional License to Full License

A provisional licensed perfusionist who becomes a certified clinical perfusionist as defined by G.S. 90-682(1) at any time while he or she holds a provisional license may request that his or her provisional license be converted to a full license. The provisional licensee must make the request upon forms provided by the Committee and must make payment of an additional one hundred seventy-five dollars ($175.00) fee. The Committee may request additional information or conduct an interview of the applicant to determine the applicant's qualifications.

History

• Authority G.S. 90-685(3)(5); 90-689
• Eff. December 12, 2007
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32V .0115 Fees

(a) A fee of three hundred and fifty dollars ($350.00) is due at the time of application for a perfusion license and a fee of one hundred and seventy five dollars ($175.00) is due at the time of application for a provisional perfusion license. No portion of the application fee is refundable.

(b) A fee of three hundred and fifty dollars ($350.00) shall be paid to the North Carolina Medical Board for biennial renewal of a perfusion license and a fee of one hundred and seventy five dollars ($175.00) for annual renewal of a provisional perfusion license.

(c) A late fee of one hundred dollars ($100.00) shall be charged to those who fail to renew timely a perfusion license or a provisional perfusion license.

History

• Authority G.S. 90-685(7); 90-688; 90-689; 90-690
• Eff. March 1, 2008
• Amended Eff. November 1, 2011
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

Subchapter W

21 NCAC 32W .0101 Definitions

The following definitions apply to this Subchapter:

(1) "Anesthesiologist" means a physician who has successfully completed an anesthesiology training program approved by the Accreditation Committee on Graduate Medical Education or the American Osteopathic Association or who is credentialed to practice anesthesiology by a Hospital or an Ambulatory Surgical Facility.

(2) "Anesthesiologist Assistant" means a person licensed by and registered with the Board pursuant to Rule .0102 of this Subchapter to provide anesthesia services under the supervision of a Supervising Anesthesiologist.

(3) "Anesthesiologist Assistant License" means the authority for the Anesthesiologist Assistant to provide anesthesia services under North Carolina law.

(4) "Board" means the North Carolina Medical Board.

(5) "Certifying Examination" means the Certifying Examination for Anesthesiologist Assistants administered by the National Commission for Certification of Anesthesiologist Assistants or its successor organization.

(6) "Primary Supervising Anesthesiologist" means the Supervising Anesthesiologist who accepts primary responsibility for the Anesthesiologist Assistant's professional activities, including developing and implementing the Anesthesiologist Assistant's Supervision Agreement and assuring the Board that the Anesthesiologist Assistant is qualified by education and training to perform all anesthesia services delegated to the Anesthesiologist Assistant.

(7) "Renewal" means paying the annual renewal fee and providing the information requested by the Board as outlined in Rule .0104 of this Subchapter.

(8) "Supervising Anesthesiologist" means an anesthesiologist who is responsible for supervising the Anesthesiologist Assistant in providing anesthesia services. A Supervising Anesthesiologist must be licensed by the Board, actively engaged in clinical practice as an anesthesiologist, and immediately available onsite to provide assistance to the Anesthesiologist Assistant.

(9) "Supervision" means overseeing the activities of, and accepting responsibility for, the anesthesia services rendered by an Anesthesiologist Assistant.

(10) "Supervision Agreement" means a written agreement between the Primary Supervising Anesthesiologist(s) and an Anesthesiologist Assistant that describes the anesthesia services delegated to the Anesthesiologist Assistant consistent with the Anesthesiologist Assistant's qualifications, training, skill, competence, and the rules in this Subchapter.

History

• Authority G.S. 90-9.4; 90-18(c)(20); 90-18.5
• Temporary Adoption Eff. January 28, 2008
• Eff. April 1, 2008
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32W .0102 Qualifications for License

(a) Except as otherwise provided in this Subchapter, an individual shall obtain a license from the Board before practicing as an Anesthesiologist Assistant. An applicant for an anesthesiologist assistant license shall:

(1) submit a completed license application on forms provided by the Board;

(2) supply a certified copy of applicant's birth certificate if the applicant was born in the United States or a certified copy of a valid and unexpired U.S. passport. If the applicant does not possess proof of U.S. citizenship, the applicant must provide information about applicant's immigration and work status which the Board will use to verify applicant's ability to work lawfully in the United States;

(3) pay the license fee established by Rule .0113 in this Subchapter;

(4) submit to the Board proof of completion of a training program for Anesthesiologist Assistants accredited by the Commission on Accreditation of Allied Health Education Programs or its preceding or successor organization;

(5) submit to the Board proof of current certification by the National Commission for Certification of Anesthesiologist Assistants (NCCAA) or its successor organization, including passage of the Certifying Examination for Anesthesiologist Assistants administered by the NCCAA within 12 months after completing training;

(6) certify that he or she is mentally and physically able to safely practice as an Anesthesiologist Assistant;

(7) have no license, certificate, or registration as an Anesthesiologist Assistant currently under discipline, revocation, suspension, or probation;

(8) have good moral character; and

(9) submit to the Board any other information the Board deems necessary to determine if the applicant meets the requirements of the rules in this Subchapter.

(b) The Board may deny any application for licensure for any enumerated reason contained in G.S. 90-14 or for any violation of the Rules of this Subchapter.

(c) An applicant may be required to appear, in person, for an interview with the Board, or its representatives upon completion of all credentials.

History

• Authority G.S. 90-9.4; 90-18(c)(20); 90-18.5
• Temporary Adoption Eff. January 28, 2008
• Eff. April 1, 2008
• Amended Eff. March 1, 2011
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32W .0103 Inactive License Status

(a) By notifying the Board in writing, any Anesthesiologist Assistant may elect to place his or her license on inactive status. An Anesthesiologist Assistant with an inactive license shall not practice as an Anesthesiologist Assistant. Any Anesthesiologist Assistant who engages in practice while his or her license is on inactive status shall be considered to be practicing without a license.

(b) An Anesthesiologist Assistant who has been inactive for less than six months may request reactivation of his or her license. He or she shall pay the current annual fee as defined in Rule .0113 of this Subchapter, provide documentation to the Board verifying current certification by the National Commission for Certification of Anesthesiologist Assistants and shall complete the Board's registration form.

(c) An Anesthesiologist Assistant who has been inactive for more than six months shall submit an application for a license and pay the application fee as defined in Rule .0113 of this Subchapter. The Board may deny any such application for any enumerated reason contained in G.S. 90-14 or for any violation of the Rules of this Subchapter.

History

• Authority G.S. 90-18(c)(20); 90-18.5
• Temporary Adoption Eff. January 28, 2008
• Eff. April 1, 2008
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32W .0104 Annual Renewal

(a) Each person who holds a license as an Anesthesiologist Assistant in this state shall renew his or her Anesthesiologist Assistant License each year no later than 30 days after his or her birthday by:

(1) completing the Board's registration form;

(2) verifying that he or she is currently certified by the National Commission for Certification of Anesthesiologist Assistants (NCCAA), or its successor organization; and

(3) submitting the annual renewal fee under Rule .0113 of this Subchapter.

(b) The license of any Anesthesiologist Assistant who does not renew for a period of 30 days after certified notice of the failure to the licensee's last known address of record shall automatically become inactive.

History

• Authority G.S. 90-9.4; 90-13.1(f); 90-18(c)(20); 90-18.5
• Temporary Adoption January 28, 2008
• Eff. April 1, 2008
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32W .0105 Continuing Medical Education

(a) In order to maintain Anesthesiologist Assistant licensure, each Anesthesiologist Assistant shall complete at least 40 hours of continuing medical education (CME) as required by the National Commission for Certification of Anesthesiologist Assistants (NCCAA), or its successor organization, for every two year period. CME documentation must be available for inspection by the Board or an agent of the Board upon request.

(b) Each licensed Anesthesiologist Assistant shall comply with all recertification requirements of the NCCAA, or its successor organization, including registration of CME credit and successful completion of the Examination for Continued Demonstration of Qualifications of Anesthesiologist Assistants administered by the NCCAA.

History

• Authority G.S. 90-18(c)(20); 90-18.5
• Temporary Adoption Eff. January 28, 2008
• Eff. April 1, 2008
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32W .0106 Student Anesthesiologist Assistants

Student Anesthesiologist Assistants may provide anesthesia services under the supervision of a Supervising Anesthesiologist, provided a qualified anesthesia provider is present at all times while the patient is under anesthesia care.

History

• Authority G.S. 90-18.5
• Temporary Adoption Eff. January 28, 2008
• Eff. April 1, 2008
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32W .0107 Exemption from License

Nothing in this Subchapter shall be construed to require licensure for:

(1) a Student Anesthesiologist Assistant enrolled in an Anesthesiologist Assistant training program accredited by the Commission on Accreditation of Allied Health Education Programs or its successor organization; or

(2) agents or employees of physicians who perform delegated tasks in the office of a physician consistent with G.S. 90-18(c)(13) and who are not rendering services as Anesthesiologist Assistants or identifying themselves as Anesthesiologist Assistants.

History

• Authority G.S. 90-18.5
• Temporary Adoption Eff. January 28, 2008
• Eff. April 1, 2008
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32W .0108 Scope of Practice

(a) Anesthesiologist Assistants may provide anesthesia services only under the supervision of a Supervising Anesthesiologist and consistent with the Anesthesiologist Assistant's Supervision Agreement as defined by Rule .0101(10) of this Subchapter and the rules of this Subchapter. No Anesthesiologist Assistant shall practice where a Supervising Anesthesiologist is not immediately available onsite to provide assistance to the Anesthesiologist Assistant.

(b) Anesthesiologist Assistants may perform those duties and responsibilities that are delegated by their Supervising Anesthesiologist(s). The duties and responsibilities delegated to an Anesthesiologist Assistant shall be consistent with the Anesthesiologist Assistant's Supervision Agreement and the rules of this Subchapter.

History

• Authority G.S. 90-18(c)(20); 90-18.5
• Temporary Adoption Eff. January 28, 2008
• Eff. April 1, 2008
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32W .0109 Supervision of Anesthesiologist Assistants

(a) The Primary Supervising Anesthesiologist shall ensure that the Anesthesiologist Assistant's scope of practice is identified; that delegation of anesthesia services is appropriate to the level of competence of the Anesthesiologist Assistant; that the relationship of, and access to, each Supervising Anesthesiologist is defined; and that a process for evaluation of the Anesthesiologist Assistant's performance is established.

(b) The Supervision Agreement defined in Rule .0101(10) of this Subchapter must be signed by the Primary Supervising Anesthesiologist(s) and Anesthesiologist Assistant and shall be made available upon request by the Board or its agents. A list of all Supervising Anesthesiologists, signed and dated by each Supervising Anesthesiologist, the Primary Supervising Anesthesiologist, and the Anesthesiologist Assistant, must be retained as part of the Supervision Agreement and shall be made available upon request by the Board or its representatives.

(c) A Supervising Anesthesiologist, who need not be the Primary Supervising Anesthesiologist, shall supervise the Anesthesiologist Assistant and ensure that all anesthesia services delegated to the Anesthesiologist Assistant are consistent with the Anesthesiologist Assistant's Supervision Agreement.

(d) A Supervising Anesthesiologist may supervise up to four Anesthesiologist Assistants at one time.

(e) Entries by an Anesthesiologist Assistant into patient charts of inpatients (hospital, long term care institutions) must comply with the rules and regulations of the institution.

History

• Authority G.S. 90-18(c)(20); 90-18.5
• Temporary Adoption Eff. January 28, 2008
• Eff. April 1, 2008
• Amended Eff. April 1, 2010
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32W .0110 Limitations on Practice

An Anesthesiologist Assistant shall not:

(1) perform a task which has not been listed and delegated in the Supervision Agreement;

(2) prescribe drugs, medications, or devices of any kind; however, this Rule does not preclude the Anesthesiologist Assistant from implementing or administering a treatment or pharmaceutical regimen prescribed by the Supervising Anesthesiologist.

History

• Authority G.S. 90-18.5
• Temporary Adoption Eff. January 28, 2008
• Eff. April 1, 2008
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32W .0111 Title and Practice Protection

Any person who is licensed to provide anesthesia services as an Anesthesiologist Assistant under this Subchapter may use the title "Anesthesiologist Assistant," "AA," "Anesthesiologist Assistant–Certified," or "AA-C." An Anesthesiologist Assistant who is doctorally prepared shall not use the title "Doctor," or the appellation "Dr.," on a name badge or other form of identification when practicing in a clinical setting.

History

• Authority G.S. 90-18(c)(20); 90-18.5; 90-640
• Temporary Adoption Eff. January 28, 2008
• Eff. April 1, 2008
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32W .0112 Identification Requirements

An Anesthesiologist Assistant licensed under this Subchapter shall keep proof of current licensure and registration available for inspection at the primary place of practice and shall, when engaged in professional activities, wear a name tag identifying the licensee as an "Anesthesiologist Assistant," which may be abbreviated as "AA," or as a "Certified Anesthesiologist Assistant," which may be abbreviated as "CAA."

History

• Authority G.S. 90-18.5; 90-640
• Temporary Adoption Eff. January 28, 2008
• Eff. April 1, 2008
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. March 1, 2019.

21 NCAC 32W .0113 Fees

The Board requires the following fees:

(1) Anesthesiologist Assistant License Application Fee—one hundred fifty dollars ($150.00).

(2) Annual Renewal Fee—one hundred fifty dollars ($150.00), except that an Anesthesiologist Assistant who registers not later than 30 days after his or her birthday shall pay an annual registration fee of one hundred twenty-five dollars ($125.00).

History

• Authority G.S. 90-13.1(f); 90-18.5
• Temporary Adoption Eff. January 28, 2008
• Eff. April 1, 2008
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32W .0114 Violations

The Board pursuant to G.S. 90-14 may place on probation with or without conditions, impose limitations and conditions on, publicly reprimand, assess monetary redress, issue public letters of concern, mandate free medical services, require satisfactory completion of treatment programs or remedial or educational training, fine, deny, annul, suspend, or revoke the license, or other authority to function as a anesthesiologist assistant in this State. The following acts constitute violations:

(1) Failure to function in accordance with the rules of this Subchapter or with any provision of G.S. 90-14;

(2) Representing oneself as a physician; or

(3) Allowing one's certification with the National Commission for Certification of Anesthesiologist Assistants (NCCAA) or its successor organization to lapse at any time.

History

• Authority G.S. 90-18.5
• Temporary Adoption Eff. January 28, 2008
• Eff. April 1, 2008
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32W .0115 Practice During a Disaster

An Anesthesiologist Assistant licensed in this State or in any other state may practice as an Anesthesiologist Assistant under the supervision of an Anesthesiologist licensed to practice medicine in North Carolina during a disaster within a county in which a state of disaster has been declared or counties contiguous to a county in which a state of disaster has been declared (in accordance with G.S. 166A-6). A team of Anesthesiologist(s) and Anesthesiologist Assistant(s) practicing pursuant to this Rule shall not be required to maintain on-site documentation describing supervisory arrangements as otherwise required in Rules .0109 of this Subchapter. The Board may waive other regulatory requirements regarding licensure and practice to facilitate an Anesthesiologist Assistant practicing during a disaster consistent with G.S. 90-12.2.

History

• Authority G.S. 90-12.2; 166A-6
• Temporary Adoption Eff. January 28, 2008
• Eff. April 1, 2008
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32W .0116 Anesthesiologist Assistant Practice and Limited License for Disasters and Emergencies

(a) The Board shall waive requirements for licensure in the circumstances set forth in G.S. 90-12.5.

(b) There are two ways for anesthesiologist assistants to practice under this Rule:

(1) Hospital to Hospital Credentialing: An anesthesiologist assistant who holds an unrestricted license in good standing to practice as an anesthesiologist assistant in another U.S. state, territory, or district and has unrestricted hospital credentials and privileges in any U.S. state, territory, or district may practice at a licensed North Carolina hospital upon the following terms and conditions:

(A) the licensed North Carolina hospital shall verify all anesthesiologist assistant credentials and privileges;

(B) the licensed North Carolina hospital shall keep a list of all anesthesiologist assistants coming to practice and shall provide this list to the Board within 10 days of each anesthesiologist assistant practicing at the licensed North Carolina hospital. The licensed North Carolina hospital shall also provide the Board a list of when each anesthesiologist assistant has stopped practicing at the hospital under this Rule within 10 days after each anesthesiologist assistant has ceased practicing under this Rule;

(C) all anesthesiologist assistants practicing under this Rule shall be authorized to practice in North Carolina and deemed to be licensed in North Carolina and the Board shall have jurisdiction under G.S. 90-14(a) over all anesthesiologist assistants practicing under this Rule for all purposes set forth in or related to Article 1 of Chapter 90 of the North Carolina General Statutes, and the Board shall retain jurisdiction over any and all anesthesiologist assistants after they have stopped practicing under this Rule;

(D) anesthesiologist assistants may practice under this section for the shorter of:

(i) 30 days from the date the anesthesiologist assistant has started practicing under this Rule; or

(ii) a statement is made by an appropriate authority that the emergency or disaster declaration has been withdrawn or ended and, at such time, the license issued shall become inactive; and

(E) anesthesiologist assistants practicing under this Rule shall not receive any compensation outside of their customary compensation for the provision of medical services during a disaster or emergency.

(2) Limited Emergency License: An anesthesiologist assistant who holds an unrestricted license in good standing to practice as an anesthesiologist assistant in another U.S. state, territory, or district may apply for a limited emergency license on the following conditions:

(A) the applicant must complete an application;

(B) the Board shall verify that the anesthesiologist assistant holds an unrestricted license in good standing to practice in another U.S. state, territory, or district;

(C) in response to a declared disaster or state of emergency and in order to best serve the public interest, the Board may limit the anesthesiologist assistant's scope of practice;

(D) the Board shall have jurisdiction under G.S. 90-14(a) over all anesthesiologist assistants practicing under this Rule for all purposes set forth in or related to Article 1 of Chapter 90 of the North Carolina General Statutes, and the Board shall retain jurisdiction over any and all anesthesiologist assistants after they have stopped practicing under this Rule;

(E) this license shall be in effect for the shorter of:

(i) 30 days from the date the anesthesiologist assistant has started practicing under this Rule; or

(ii) a statement is made by an appropriate authority that the emergency or disaster declaration has been withdrawn or ended and, at such time the license issued shall become inactive; and

(F) anesthesiologist assistants holding limited emergency licenses shall not receive any compensation outside of their customary compensation for the provision of [medical services during a disaster or emergency.

History

• Authority G.S. 90-5.1(a)(3); 90-12.5; 90-14(a)
• Emergency Adoption Eff. October 2, 2018
• Emergency Adoption Exp. Eff. December 14, 2018
• Eff. July 1, 2019.

Subchapter X

21 NCAC 32X .0101 Required Information

(a) All physicians and physician assistants licensed by the Board or applying for licensure by the Board shall provide the information required by G.S. 90-5.2(a) on an application for licensure or annual renewal. Additionally, all physicians and physician assistants shall provide the Board with notice of any change in the information within 60 days.

(b) In addition to the information required by G.S. 90-5.2, a physician or physician assistant shall inform the Board about any misdemeanor convictions other than minor traffic offenses. "Minor traffic offenses" shall not include driving while intoxicated, driving under the influence, careless or reckless driving, or any other offense involving serious injury or death. The report must include the nature of the conviction, the jurisdiction in which the conviction occurred, and the punishment imposed. A person shall be considered convicted for purposes of this rule if they pled guilty, were found guilty by a court of competent jurisdiction, or entered a plea of nolo contendere.

History

• Authority G.S. 90-5.2; 90-14.3
• Eff. August 11, 2009
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32X .0102 Voluntary Information

Physicians and physician assistants may provide additional information such as hours of continuing education earned, subspecialties obtained, academic appointments, volunteer work in indigent clinics, and honors or awards received.

History

• Authority G.S. 90-5.2; 90-14.3
• Eff. August 11, 2009
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32X .0103 Contents of the Report

A physician or physician assistant shall report the following information about a judgment, award, payment or settlement:

(1) The date of judgment, award, payment or settlement;

(2) The specialty in which the physician or physician assistant was practicing at the time the incident occurred that resulted in the judgment, award, payment or settlement;

(3) The city, state, and country in which the judgment, award, payment or settlement occurred; and

(4) The date of the occurrence of the events leading to the judgment, award, payment or settlement.

History

• Authority G.S. 90-5.2; 90-14.3
• Eff. August 11, 2009
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32X .0104 Publishing Certain Misdemeanor Convictions

(a) The Board shall publish misdemeanor convictions involving offenses against a person including manslaughter, assault, battery, sexual crimes, hazing, false imprisonment, stalking, abuse and neglect.

(b) The Board shall publish misdemeanor convictions involving moral turpitude including fraud, arson, blackmail, burglary, embezzlement, extortion, false pretenses, forgery, larceny, malicious destruction of property, receiving stolen goods with guilty knowledge, robbery, theft, transporting stolen goods with guilty knowledge, bribery, counterfeiting, tax fraud, mail fraud, perjury, harboring a fugitive from justice with guilty knowledge, tax evasion, abandonment of a minor child, bigamy, gross indecency, incest, solicitation, and prostitution; attempting, aiding and abetting, or serving as an accessory in the commission of a crime involving moral turpitude; and taking part in or attempting to take part in a conspiracy involving moral turpitude where the underlying crime would not involve moral turpitude.

(c) The Board shall publish all misdemeanor convictions involving drugs or alcohol where the conviction was entered after the licensee's enrollment in medical school or a Physician Assistant education program.

(d) The Board shall publish misdemeanor convictions involving violations of public health and safety codes.

(e) The Board shall publish misdemeanor convictions for failure to file state and federal tax returns.

(f) The Board shall publish misdemeanor convictions set forth above for ten years from the date of conviction.

(g) Publish means publishing on the Board's website or any other way the Board deems appropriate.

History

• Authority G.S. 90-5.2; 90-14.3
• Eff. August 11, 2009
• Amended Eff. April 1, 2011
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 32X .0105 Noncompliance or Falsification of Information

Failure to provide the information as required by this subchapter or knowingly providing false information to the Board shall constitute unprofessional conduct.

History

• Authority G.S. 90-5.2; 90-14.3
• Eff. August 11, 2009
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

Subchapter Y

21 NCAC 32Y .0101 Reporting Criteria

(a) The Department of Health and Human Services ("Department") may report to the North Carolina Medical Board ("Board") information regarding the prescribing practices of those physicians and physician assistants ("prescribers") whose prescribing:

(1) falls within the top two percent of those prescribing 100 morphine milligrams equivalents ("MME") per patient per day; or

(2) falls within the top two percent of those prescribing 100 MME's per patient per day in combination with any benzodiazepine and who are within the top one percent of all controlled substance prescribers by volume.

(b) In addition, the Department may report to the Board information regarding prescribers who have had two or more patient deaths in the preceding twelve months due to opioid poisoning where the prescribers authorized more than 30 tablets of an opioid to the decedent and the prescriptions were written within 60 days of the patient deaths.

(c) In addition, the Department may report to the Board information regarding prescribers who meet three or more of the following criteria, if there are a minimum of five patients for each criterion:

(1) At least 25 percent of the prescriber's patients receiving opioids reside 100 miles or greater from the prescriber's practice location;

(2) The prescriber had more than 25 percent of patients receiving the same opioids and benzodiazepine combination;

(3) The prescriber had 75 percent of patients receiving opioids self-pay for the prescriptions;

(4) The prescriber had 90 percent or more of patients in a three-month period that received an opioid prescription that overlapped with another opioid prescription for at least one week;

(5) More than 50 percent of the prescriber's patients received opioid doses of 100 MME or greater per day excluding office based treatment medications; and

(6) The prescriber had at least 25 percent of patients who used three or more pharmacies within a three-month period to obtain opioids regardless of the prescriber.

(d) The Department may submit these reports to the Board upon request and may include the information described in G.S. 90-113.73(b).

(e) The reports and communications between the Department and the Board shall remain confidential pursuant to G.S. 90-16 and G.S. 90-113.74.

History

• Authority G.S. 90-5.1; 90-113.74
• Eff. May 1, 2015
• Amended Eff. December 1, 2018; July 1, 2017.

Chapter 33 Midwifery Joint Committee

21 NCAC 33 .0101 Administrative Body and Definitions

(a) Pursuant to G.S. 90, Article 10A, the Midwifery Joint Committee, hereinafter referred to as the "Committee" is the administrative body responsible for the regulation of midwifery. The certified nurse midwife shall hereinafter be referred to as "CNM".

(b) In addition to the definitions set forth in G.S. 90-178.2, the following shall apply to the rules in this Chapter:

(1) "American Midwifery Certification Board (AMCB)" means the national certifying body for candidates in nurse-midwifery and midwifery who have received their graduate level education in programs accredited by the Accreditation Commission for Midwifery Education.

(2) "Accreditation Commission for Midwifery Education (ACME)" means an accreditation agency established to advance and promote midwifery education.

(3) "American College of Nurse-Midwives (ACNM)" means the professional association that represents CNMs and certified midwives (CMs) in the United States.

(4) "American College of Obstetricians and Gynecologists (ACOG)" means the professional membership organization for obstetrician-gynecologists that produces practice guidelines for health care professionals and educational materials for patients, provides practice management and career support, facilitates program and initiatives to improve women's health, and advocates for members and patients.

(5) "Obstetrics" means the branch of medicine that deals with birth and with its antecedents and sequels, including prenatal, intrapartum, postpartum, newborn or gynecology, and otherwise unspecified primary health services for women.

(6) "Professional competence" means the continuing education courses required for the CNM to maintain their national certification. It also includes the additional continuing education courses which provide education and skills specific to midwifery practice.

History

• Authority G.S. 90-178.4
• Eff. February 1, 1984
• Amended Eff. July 1, 2000; October 1, 1988
• Readopted Eff. November 1, 2018
• Amended Eff. April 1, 2020.
• Temporary Amendment Eff. October 1, 2023
• Temporary Amendment Exp. Eff. July 12, 2024
• Amended Eff. October 1, 2024.

21 NCAC 33 .0102 Fees

(a) The fee for a new application and initial approval shall be one hundred dollars ($100.00).

(b) The fee for annual renewal shall be fifty dollars ($50.00).

(c) The fee for reinstatement for an expired approval shall be five dollars ($5.00).

History

• Authority G.S. 90-178.4(b)
• Eff. February 1, 1984
• Amended Eff. July 1, 2000
• Readopted Eff. November 1, 2018
• Amended Eff. April 1, 2020.

21 NCAC 33 .0103 eligibility and APPLICATION

(a) Applications for approval to practice as a CNM in accordance with G.S. 90-178.5 are posted on the Board of Nursing's website at www.ncbon.com. The application shall contain the following:

(1) the applicant's name, telephone number and email address;

(2) the applicant's primary address of residence;

(3) the educational degrees obtained by the applicant with the program name and completion date;

(4) the number and expiration date of the applicant's national certification from the AMCB;

(5) other professional or occupational licenses with the license number and jurisdiction in which the license was issued, if applicable;

(6) the name, license number, telephone number, email address, and practice location of the collaborating provider, if applicable;

(7) the full address of the practice location where the applicant intends to practice midwifery; and

(8) the approval to practice number shall be provided on the application if the application is for the renewal or reinstatement of an existing approval to practice.

(b) To be eligible for an approval for independent practice without a collaborating provider as a CNM, an applicant shall:

(1) submit a completed application for approval to practice, attesting under oath or affirmation that the information on the application is true and complete, and authorizing the release to the Committee of all information pertaining to the application;

(2) submit the approval to practice application fee as established in G.S. 90-178.4(b)(1) and Rule .0102 of this Section;

(3) have an unencumbered registered nurse ("RN") license or privilege to practice in all jurisdictions in which a license is or has ever been held;

(4) hold an active, unencumbered North Carolina RN license or privilege to practice;

(5) hold an unencumbered CNM license or an approval to practice in all jurisdictions in which a license or an approval to practice is or has ever been held;

(6) provide an official copy of the educational transcript and certification from AMCB;

(7) attest by oath or affirmation to completion of at least 24 months experience and 4,000 practice hours as a CNM. Documentation of successful completion of this requirement shall be provided to the Committee upon request; and

(8) have no pending court conditions as a result of any misdemeanor or felony conviction(s). Applicant shall provide a written explanation and any investigative report or court documents evidencing the circumstances of the crime(s) if requested by the Committee. The Committee shall use these documents when determining if an approval to practice should be denied pursuant to G.S. 90-178.6.

(c) An applicant seeking approval to practice as a CNM with less than 24 months experience and 4,000 hours of practice as a CNM is required to practice in collaboration with a collaborating provider pursuant to G.S. 90-178.3(b1) and shall:

(1) submit an application for an approval to practice, attesting under oath or affirmation that the information on the application is true and complete, and authorizing the release to the Committee of all information pertaining to the application.

(2) submit the approval to practice application fee as established in G.S. 90-178.4(b) and Rule .0102 of this Section;

(3) hold an unencumbered license or privilege to practice in all jurisdictions in which a license is or has ever been held;

(4) hold an active, unencumbered North Carolina RN license or privilege to practice;

(5) hold an unencumbered CNM license or an approval to practice in all jurisdictions in which a license or an approval to practice is or has ever been held;

(6) provide an official copy of the education transcript and certificate from AMCB;

(7) submit the name and licensure number of the collaborating provider with whom the applicant will collaborate;

(8) have no pending court conditions as a result of any misdemeanor or felony conviction(s). Applicant shall provide a written explanation and any investigative report or court documents evidencing the circumstances of the crime(s) if requested by the Committee. The Committee shall use these documents when determining if an approval to practice should be denied pursuant to G.S. 90-178.6.

(d) Once a CNM has attained 24 months experience and 4,000 hours of practice as a CNM, the CNM shall apply for independent practice by submitting an application attesting under oath or affirmation that the information on the application is true and complete, and authorizing the release to the Committee of all information pertaining to the application and required fee.

(e) Educational transcripts shall be submitted directly to the Committee from the educational institution, National Student Clearinghouse or Parchment. National certification for CNMs shall be submitted directly to the Committee from AMCB.

(f) An applicant shall be required to appear in person for an interview with the Committee if there is a discrepancy in the information submitted.

History

• Authority G.S. 90-178.4(b); 90-178.5
• Eff. February 1, 1984
• Amended Eff. March 1, 2017; January 1, 1989
• Readopted Eff. November 1, 2018
• Amended Eff. April 1, 2020
• Temporary Amendment Eff. October 2023
• Temporary Amendment Exp. July 12, 2024
• Amended Eff. October 1, 2024.

21 NCAC 33 .0104 provider collaboration required

(a) A CNM who has practiced fewer than 24 months and 4,000 hours of practice as a CNM shall practice in consultation with a collaborating provider in accordance with a collaborative provider agreement in compliance with Rule .0116 of this Section.

(b) The approval to practice of the CNM practicing under the supervision of a collaborative provider agreement is terminated when the CNM discontinues working within the approved collaborative provider agreement or experiences an interruption in their RN licensure status. The CNM shall notify the Committee in writing within five days of the termination of the collaborative provider agreement.

(c) When there is a change in collaborative providers, the CNM shall have 90 days to submit a newly-executed collaborative provider agreement with a collaborative provider to the Committee. During this 90-day period, the CNM may continue to practice midwifery in accordance with the Midwifery Practice Act and this Chapter. Should the 90-day period expire without a newly-executed collaborative provider agreement being submitted to the Committee, the approval to practice is rendered inactive and the CNM shall be required to submit an application for reinstatement of the approval to practice consistent with Rule .0103 and Rule .0115 of this Section. The Committee shall notify the CNM when the application has been approved and the approval to practice is reinstated.

(d) To be eligible a collaborative provider shall meet the requirements of G.S. 90-178.2(1a) and:

(1) hold an active, unencumbered approval to practice as a CNM; or

(2) hold an active, unencumbered license to practice medicine in North Carolina.

(e) A CNM who has practiced over 24 months and has 4,000 hours of practice as a CNM shall be issued an approval to practice midwifery independently and shall consult and collaborate with and refer patients to such other health care providers as appropriate for the care of the patient.

History

• Authority G.S. 90-178.4(b)
• Eff. February 1, 1984
• Amended Eff. July 1, 2000; October 1, 1988; April 1, 1985
• Readopted Eff. November 1, 2018
• Temporary Amendment Eff. October 1, 2023
• Temporary Amendment Exp. Eff. July 12, 2024
• Amended Eff. October 1, 2024.

21 NCAC 33 .0105 Disciplinary Action

(a) The CNM is subject to G.S. 90-171.37, 90-171.48, and 21 NCAC 36 .0217 by virtue of the license to practice as an RN.

(b) After notice and hearing in accordance with provisions of G.S. 150B, Article 3A, the Committee shall take disciplinary action if it finds one or more of the following:

(1) practicing without a valid approval to practice as a CNM;

(2) presenting false information to the Committee in procuring or attempting to procure an approval to practice as a CNM;

(3) the CNM is adjudicated mentally incompetent by a court of competent jurisdiction or the CNM's mental or physical condition renders the CNM unable to safely function as a CNM;

(4) unprofessional conduct by reason of deliberate or negligent acts or omissions and contrary to the prevailing standards for CNMs as set forth by ACNM;

(5) conviction of a criminal offense where the CNM has deceived or defrauded the public;

(6) soliciting or attempting to solicit payments for the CNM practice with false representations;

(7) failure to maintain professional competence as a CNM such that the CNM would no longer be eligible for certification by the ACMB or the ACNM;

(8) exploiting the patient for the financial gain of the CNM or of a third party, including the promotion of the sale of services, appliances or drugs;

(9) failure to respond to inquiries of the Committee for investigation and discipline;

(10) the CNM has engaged or attempted to engage in the performance of midwifery acts other than according to the collaborative provider agreement or without being approved by the Committee to practice independently;

(11) failure to obtain a written, informed consent agreement from a patient pursuant to G.S. 90-187.4(a1) and Rule .0118 of this Section;

(12) practiced or offered to practice beyond the scope of CNM practice as defined in Rule .0112 of this Section;

(13) failure to comply with any order of the Committee;

(14) violating any term of probation, condition, or limitation imposed on the CNM by the Committee; or

(15) any violation within this Chapter.

(c) After an investigation is completed, the Committee shall administer one of the following actions:

(1) dismiss the case;

(2) issue a private letter of concern;

(3) enter into negotiation for a Consent Order; or

(4) a disciplinary hearing in accordance with G.S. 150B, Article 3A.

(d) Upon a finding of a violation of Chapter 90, Article 10A of the North Carolina General Statutes and the rules of this Chapter, the Committee shall utilize the range of disciplinary options as enumerated in G.S. 90-178.6 and 90-178.7.

History

• Authority G.S. 90-178.6
• Eff. February 1, 1985
• Amended Eff. August 1, 2002; October 1, 1988
• Readopted Eff. November 1, 2018
• Amended Eff. April 1, 2020
• Temporary Amendment Eff. October 1, 2023
• Temporary Amendment Exp. Eff. July 12, 2024
• Amended Eff. October 1, 2024.

21 NCAC 33 .0106 NURSE MIDWIFE APPLICANT STATUS (repealed)

History

• Authority G.S. 90-178.2; 90-178.5
• Eff. March 1, 1991
• RRC Objection Eff. May 18, 2000 due to lack of statutory authority
• RRC returned rule to agency on June 19, 2000
• Codifier of Rules removed rule from the NCAC Eff. June 19, 2000.

21 NCAC 33 .0107 Nurse Midwife Applicant Status

History

• Status: repealed
• Authority G.S. 90-178.2; 90-178.3; 90-178.5; 90-171.83
• Eff. April 1, 2001
• Repealed Eff. March 1, 2017.

21 NCAC 33 .0108 Suspension of Authority to Expend Funds

In the event the Midwifery Joint Committee's authority to expend funds is suspended pursuant to G.S. 93B-2(d), the Committee shall continue to issue and renew licenses and all fees tendered shall be placed in an escrow account maintained by the Committee for this purpose. Once the Committee's authority is restored, the funds shall be moved from the escrow account into the general operating account.

History

• Authority G.S. 93B-2
• Eff. May 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 33 .0109 Termination of Approval to Practice

History

• Status: expired
• Authority G.S. 90-178.2; 90-178.3; 90-178.4; 90-178.5
• Emergency Adoption Eff. June 18, 2012
• Emergency Adoption expired August 31, 2012.

21 NCAC 33 .0110 Reporting Criteria

(a) The Department of Health and Human Services ("Department") may report to the Committee information regarding the prescribing practices of those midwives ("prescribers") whose prescribing:

(1) falls within the top two percent of those prescribing 100 morphine milligram equivalents ("MME") per patient per day; or

(2) falls within the top two of those prescribing 100 MMEs per patient per day in combination with any benzodiazepine and who are within the top one percent of all controlled substance prescribers by volume.

(b) The Department may report to the Committee information regarding midwives who have had two or more patient deaths in the preceding 12 months due to opioid poisoning where the prescribers authorized more than 30 tablets of an opioid to the decedent and the prescriptions were written within 60 days of the patient deaths.

(c) The Department may report to the Committee information regarding prescribers who meet three or more of the following criteria, if there are a minimum of five patients for each criterion:

(1) at least 25 percent of the prescriber's patients receiving opioids reside 100 miles or greater from the prescriber's practice location;

(2) the prescriber had more than 25 percent of patients receiving the same opioids and benzodiazepine combination;

(3) the prescriber had 75 percent of patients receiving opioids self-pay for the prescriptions;

(4) the prescriber had 90 percent or more of patients in a three-month period that received an opioid prescription that overlapped with another opioid prescription for at least one week;

(5) more than 50 percent of the prescriber's patients received opioid doses of 100 MME or greater per day excluding office based treatment medications;

(6) the prescriber had at least 25 percent of patients who used three or more pharmacies within a three-month period to obtain opioids regardless of the prescriber.

(d) The Department may submit these reports to the Committee upon request and may include the information described in G.S. 90-113.73(b).

(e) The reports and communications between the Department and the Committee shall remain confidential pursuant to G.S. 90-113.74.

History

• Authority G.S. 90-113.74; 90-178.4
• Eff. May 1, 2016
• Amended Eff. December 1, 2017
• Readopted Eff. November 1, 2018
• Amended Eff. April 1, 2020.

21 NCAC 33 .0111 Continuing Education (ce)

(a) In order to maintain an approval to practice midwifery, a CNM shall meet the requirements of the Certificate Maintenance Program of the AMCB, including continuing education requirements. These requirements are hereby incorporated by reference, including subsequent amendments or editions, and may be accessed at no cost at: https://www.amcbmidwife.org/certificate-maintenance-program/purpose-objectives.

(b) Prior to prescribing Controlled Substances (Schedules II, IIN, III, IIIN, IV, V) defined by the State and Federal Controlled Substances Act, CNMs shall complete a minimum of one CE hour within the preceding 12 months on one or more of the following topics:

(1) Controlled substances prescription practices;

(2) Prescribing controlled substances for chronic pain management;

(3) Recognizing signs of controlled substance abuse or misuse; or

(4) Non-opioid treatment options as an alternative to controlled substances.

(c) CNMs who complete the federally required training under the Medication Access and Training Expansion Act (MATE) shall be deemed in compliance with the controlled substance prescribing requirements of this rule for the two year CE period in which the MATE training is completed.

(d) The CNM shall maintain documentation of all CE completed within the previous five years and provide a copy of all Certificates of Completion from the CE to the Committee upon request.

History

• Authority: G.S. 90-5.1; 90-14(a)(15); 90-178.5(2); S.L. 2015-241, s. 12F .16(b)
• Eff. March 1, 2017
• Readopted Eff. November 1, 2018
• Temporary Amendment Eff. October 1, 2023
• Temporary Amendment Exp. Eff. July 12, 2024
• Amended Eff. October 1, 2024.

21 NCAC 33 .0112 Scope of Practice

(a) The CNM's scope of practice is midwifery, interceptional care, intrapartum care, newborn care, postpartum care and prenatal care, each as defined in G.S. 90-178.2, provided that the CNM:

(1) has graduated from any program accredited by ACME; and

(2) has current certification by the AMCB or its successor; and

(3) maintains professional competence.

(b) Interconceptional care as defined in G.S. 90-187.2(1c), includes treating patients and their partners for sexually transmitted infections.

History

• Authority G.S. 90-18.8; 90-178.2; 90-178.3
• Temporary Adoption Eff. October 1, 2023
• Temporary Adoption Exp. Eff. July 12, 2024
• Eff. October 1, 2024.

21 NCAC 33 .0113 Covid-19 Drug Preservation Rule

History

• Status: expired
• Authority G.S. 90-5.1; 90-8.2; 90-12.5; 90-171.23; 90-171.49
• Emergency Adoption Eff. April 21, 2020
• Emergency Adoption Expired on June 18, 2020 pursuant to G.S. 150B-21.1A(d)(3).

21 NCAC 33 .0114 Annual Renewal

(a) The CNM shall apply for renewal of the approval to practice annually no later than the last day of the applicant's birth month by:

(1) maintaining an active, unencumbered North Carolina RN license or privilege to practice;

(2) submitting a completed application as outlined in Rule .0103 of this Section for renewal, attesting under oath or affirmation that the information on the application is true and complete, and authorizing the release to the Committee of all information pertaining to the application;

(3) attesting to having completed the requirements of the Certificate Maintenance Program of the AMCB or its successor, including continuing education requirements, and submit evidence of completion if requested by the Committee as specified in Rule .0111 of this Section; and

(4) submitting the approval to practice renewal fee as established in G.S. 90-178.4(b)(2) and this Chapter.

(b) The CNM shall keep the Committee informed of a current mailing address, telephone number, and email address.

(c) Each CNM's approval to practice expires annually on the last day of the CNM's birth month unless previously renewed by the Committee pursuant to Rule .0103 of this Section.

History

• Authority G.S. 90-178.4(b); 90-178.5
• Temporary Adoption Eff. October 1, 2023.
• Temporary Adoption Exp. Eff. July 12, 2024
• Eff. October 1, 2024.

21 NCAC 33 .0115 Inactive Status

History

• Authority G.S. 90-178.3; 90-178.5
• Temporary Adoption Eff. October 1, 2023
• Temporary Adoption Exp. Eff. July 12, 2024.

21 NCAC 33 .0116 Collaborative Provider Agreement

(a) A CNM with less than 24 months and 4,000 hours of practice as a CNM is required to have a written collaborative provider agreement to practice midwifery. The collaborative provider agreement shall:

(1) be agreed upon, signed, and dated by both the collaborating provider and the CNM, and maintained in each provider site;

(2) be reviewed by the CNM and collaborating provider at least annually, to ensure that the CNM and collaborating provider continue to practice under the terms of the agreement, and determine whether any changes to the agreement are necessary. This review shall be acknowledged by a dated signature sheet, signed by both the collaborating provider and the CNM, appended to the collaborative provider agreement, and available for inspection by the Committee;

(3) include mutually agreed upon written clinical practice guidelines for the drugs, devices, medical treatments, tests, and procedures that may be prescribed, ordered, and performed by the CNM, which are within the scope of practice for the CNM pursuant to Rule .0112 of this Section; and

(4) include a pre-determined plan for emergency services in accordance with G.S. 90-178.4(a2).

(b) The collaborating provider and the CNM shall be available to each other as needed for consultation by in-person communication or telecommunication.

(c) The CNM shall maintain copies of all collaborative provider agreements executed within the previous five years and make available to the Committee upon request.

History

• Authority G.S. 90-18.8; 90-178.3; 90-178.4; 90-178.5
• Temporary Adoption Eff. October 1, 2023
• Temporary Adoption Exp. Eff. July 12, 2024
• Eff. October 1, 2024.

21 NCAC 33 .0117 Prescribing Authority

(a) The prescribing stipulations contained in this rule apply to writing prescriptions and ordering the administration of medications by a CNM.

(b) A CNM shall possess a valid United States Drug Enforcement Administration ("DEA") registration in order to prescribe controlled substances.

(c) To act as a collaborating provider for a CNM, the DEA registration of the collaborating provider shall include the same schedule or schedules of controlled substances as the CNM practicing under a collaborative provider agreement.

(d) Prescribing and dispensing stipulations for the CNM authorized to practice under a collaborative provider agreement are as follows:

(1) The collaborative provider agreement outlined in Rule .0116 of this Section shall include the drugs and devices that the CNM may prescribe.

(2) The CNM has an assigned DEA number that is entered on each prescription for a controlled substance.

(3) Refills shall be issued consistent with Controlled Substances (Schedules II, IIN, III, IIIN, IV, V) defined by the State and Federal Controlled Substances Act.

(4) The collaborative provider shall possess a schedule(s) of controlled substances equal to or greater than the CNM's DEA registration.

(5) The CNM may prescribe a drug or device not included in the collaborative provider agreement only as follows:

(A) Upon a specific written or verbal order obtained from the collaborating provider before the prescription or order is issued by the CNM; and

(B) The written or verbal order as described in Part (d)(5)(A) of this Rule shall be entered into the patient record by the CNM with a notation that it is issued on the specific order of a collaborating provider and signed by the CNM and the collaborating provider.

(e) All prescribing requirements shall be written in the patient's record and shall include the medication and dosage, the amount prescribed, the directions for use, the number of refills, and the signature of the CNM.

(f) The prescriptions issued by the CNM shall contain:

(1) the name of the patient;

(2) the CNM's name, approval to practice number issued by the Committee, and telephone number; and

(3) the CNM's assigned DEA number shall be written on the prescription when a controlled substance is prescribed.

(g) A CNM shall not prescribe controlled substances for the CNM's own use, the use of the CNM's collaborating provider, the use of the CNM's immediate family, the use of any other person living in the same residence as the CNM, or for the use of any person with whom the CNM is having a sexual relationship. As used in this Paragraph, "immediate family" means a spouse, parent, child, sibling, parent-in-law, son-in-law or daughter-in-law, brother-in-law or sister-in-law, step-parent, step-child, or step-sibling.

History

• Authority G.S. 90-18.8; 90-178.3
• Temporary Adoption Eff. October 1, 2023
• Temporary Adoption Exp. Eff. July 12, 2024
• Eff. October 1, 2024.

21 NCAC 33 .0118 Birth Outside Hospital Setting

(a) Prior to initiating care for a patient planning a birth outside of a hospital setting, the CNM shall:

(1) obtain a signed, written informed consent agreement with the patient that details:

(A) identifying information of the patient to include name, date of birth, address, phone number, and email address if available;

(B) identifying information of the CNM to include the name, RN license number, approval to practice number, practice name, if applicable, and email address;

(C) information about the procedures, benefits, and risks of planned births outside of hospital settings;

(D) an acknowledgment and understanding of the clear assumption of these risks by the patient;

(E) when and if deemed necessary by the CNM, an acknowledgment by the patient to consent to transfer to a health care facility licensed under Chapter 122C or Chapter 131E of the General Statutes that has at least one operating room; and

(F) a disclosure that the CNM is not covered under a policy of liability insurance, if applicable.

(2) provide a detailed, written plan of care consistent with G.S. 90-178.4(a2).

(b) After a decision of non-emergent transfer care has been made, the CNM shall:

(1) call the relevant receiving health care facility to notify them of transfer;

(2) provide a copy of the patient's medical record to the receiving health care facility; and

(3) provide a verbal summary of the care provided by the CNM to the patient and newborn, if applicable, to the receiving health care facility.

(c) In an emergent situation, the CNM shall initiate emergency care as indicated by the situation and immediately transfer care by making a reasonable effort, dependent upon the circumstances and nature of the emergency, to contact the health care professional or facility to whom the patient or patients will be transferred and to follow the health care professional's instructions; remain with the patient(s) until transfer of care is completed; and continue emergency care as needed while:

(1) transporting the patient(s) by private vehicle; or

(2) calling 911 and reporting the need for immediate transfer.

(d) Copies of the informed consent agreement developed in accordance with G.S. 90-178.4(a2) and emergent and non-emergent transfer of care plans developed pursuant to G.S. 90-178.4(a2) shall be maintained by the CNM in the patient's record and provided to the Committee upon request.

(e) In addition to the requirements in this Rule, a CNM who attends and provides midwifery services for a planned home birth are prohibited from providing services in the following settings/situations:

(1) fetal, malpresentation;

(2) multiple gestation; and

(3) prior cesarean.

History

• Authority G.S. 90-18.8; 90-178.3; 90-178.4
• Temporary Adoption Eff. October 1, 2023
• Temporary Adoption Exp. July 12, 2024
• Eff. October 1, 2024.

21 NCAC 33 .0119 Petitioning for rulemaking

(a) Any person wishing to submit a petition to the Midwifery Joint Committee requesting the adoption, amendment, or repeal of a rule shall file the petition with the Midwifery Joint Committee's Chair. Petitions shall be mailed to the Midwifery Joint Committee at Post Office Box 2129, Raleigh, NC 27602-2129.

(b) The petition shall contain the following information:

(1) a proposed draft of the rule to be adopted, amended, or a citation to the rule to be repealed;

(2) a statement of the reason for the proposal including statutory authority;

(3) effect of the proposed rule change on the practice of midwifery;

(4) any data supporting the proposal including cost factors; and

(5) name, address, and telephone number of each petitioner.

(c) The Midwifery Joint Committee shall determine whether the public interest would be served by the adoption, amendment, or repeal of the requested rule. Prior to making this determination, the Midwifery Joint Committee may:

(1) request additional information from the petitioner;

(2) contact interested persons or those likely to be affected by the proposed rule and request comments; and

(3) use any other method for obtaining information on which to base its determination. It shall consider all the contents of the petition submitted plus any other information obtained by the means described herein.

(d) The Midwifery Joint Committee shall act on a petition within the timeframe outlined in G.S. 150B-20.

History

• Authority G.S. 150B-20; 90-171.23(b)(3)
• Eff. October 1, 2024.

21 NCAC 33 .0120 contact

The mailing address for the Midwifery Joint Committee is Post Office Box 2129, Raleigh, NC, 27602-2129.

History

• Authority G.S. 150B-20; 90-171.23(b)(3)
• Eff. October 1, 2024.

Chapter 34 Funeral Service

Subchapter A

21 NCAC 34A .0101 AGENCY NAME and ADDRESS

The name of the agency promulgating the rules in this Chapter is the North Carolina Board of Funeral Service. As used in these Rules, the word "Board" shall refer to this agency. The office of the Board is located at 1033 Wade Avenue, Suite 108, Raleigh, North Carolina 27605. The Board's website address is ncbfs.org.

History

• Authority G.S. 90-210.18A; 90-210.23(a)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. July 1, 2004; November 1, 2001; December 1, 1993; July 1, 1991; October 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. February 1, 2026.

21 NCAC 34A .0102 Purpose of Board

History

• Status: repealed
• Authority G.S. 90-210.23(a),(i)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. August 1, 2004; May 1, 1993; July 1, 1991
• Repealed Eff. August 1, 2012.

21 NCAC 34A .0103 Petition for Nomination

History

• Status: expired
• Authority G.S. 90-210.23(a); 90-210.122(c); 90-210.134(a)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. January 1, 2009; August 1, 2004; July 1, 1991; September 1, 1979
• Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 34A .0104 Voting Records

History

• Status: expired
• Authority G.S. 90-210.23(a); 90-210.122(c); 90-210.134(a)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. January 1, 2009; August 1, 2004; July 1, 1991; September 1, 1979
• Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 34A .0105 Public Inspection of Materials

History

• Status: repealed
• Authority G.S. 90-210.23(a),(i)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. August 1, 1988; September 1, 1979
• Repealed Eff. August 1, 2012.

21 NCAC 34A .0106 Requests for Reasons for Adoption of Rule

History

• Status: expired
• Authority G.S. 90-210.23(a); 150B-11(1); 150B-12(e); 150B-20
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. July 1, 2004; August 1, 1988
• Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 34A .0107 Requests for Promulgation: Amendment or Repeal

History

• Status: expired
• Authority G.S. 90-210.23(a); 150B-11(1); 150B-12(e); 150B-20
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. July 1, 2004; August 1, 1988
• Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 34A .0108 Requests for Declaratory Ruling

(a) For the purpose of dealing with a request by a person aggrieved for a declaratory ruling, pursuant to G.S. 150B-4, the following procedures shall apply:

(1) The request shall be in writing on a form provided by the Board, dated and verified by the person submitting the same, and shall be submitted in person or by mail to the office of the Board.

(2) The form shall require the individual to submit the name and address of the person submitting the same; his or her license number or numbers if licensed by the Board; his or her current employment; a description of the rule or statute referred to; a statement of any facts the applicability of which to a rule or statute the person is questioning; and a statement of the manner in which the person is aggrieved by the rule or statute or its potential application to him or her.

(3) Within 30 days after receiving such a request completed form, the Board shall meet, at which meeting at least a quorum of its members shall be present, to consider the request. At such meeting the Board shall make a decision by majority vote of those present as to whether to issue the ruling. The Board shall issue a ruling except:

(A) when it finds that the person making the request is not a "person aggrieved", as defined in G.S. 150B-2(6); or

(B) when it finds, in a request concerning the validity of a rule, that the circumstances are so unchanged since the adoption of the rule in question that a ruling would not be warranted; or

(C) when it finds, in a request concerning the validity of a rule, that the rulemaking record shows that the Board considered all specified relevant factors when it adopted the rule in question.

(b) The Board shall, not later than the 60th day after it received such a request, deposit in the United States mail, postage prepaid, a written statement addressed to the person making the request and setting forth the Board's ruling on the merits of the request for a declaratory ruling, or setting forth the reason the ruling was not made, as the case may be. If the Board decides to make the ruling, it may make the ruling at the meeting convened to consider the request, or it may defer its ruling until a later date, but not later than the 60th day after the request for a ruling is received. Before making the ruling the Board may gather additional information, may give notice to other persons and may permit such other persons to submit information or arguments under such conditions as are set forth in such notice. Such ruling shall be made by the Board at a meeting at which at least a quorum of its members shall be present and by majority vote of those present.

History

• Authority G.S. 90-210.23(a); 150B-4
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. January 1, 2009; July 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34A .0109 Administrative Hearing Procedures

History

• Status: expired
• Authority G.S. 90-210.23(a),(d); 150B-21.6; 150B-38(h)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. July 1, 2004; December 1, 1988; July 1, 1988
• Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 34A .0110 Request for Hearing in Contested Case

History

• Status: repealed
• Authority G.S. 90-210.23(a),(d); 150B-11; 150B-23; 150B-27; 150B-32(a)
• 150B-34; 150B-36
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. July 1, 1988.

21 NCAC 34A .0111 Granting: Denying Hearing Request: Contested Case

History

• Status: repealed
• Authority G.S. 90-210.23(a),(d); 150B-11; 150B-23; 150B-27; 150B-32(a)
• 150B-34; 150B-36
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. July 1, 1988.

21 NCAC 34A .0112 Notice of Hearing in Contested Case

History

• Status: repealed
• Authority G.S. 90-210.23(a),(d); 150B-11; 150B-23; 150B-27; 150B-32(a)
• 150B-34; 150B-36
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. July 1, 1988.

21 NCAC 34A .0113 Who Shall Hear

History

• Status: repealed
• Authority G.S. 90-210.23(a),(d); 150B-11; 150B-23; 150B-27; 150B-32(a)
• 150B-34; 150B-36
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. July 1, 1988.

21 NCAC 34A .0114 Petition for Intervention in Contested Case

History

• Status: repealed
• Authority G.S. 90-210.23(a),(d); 150B-11; 150B-23; 150B-27; 150B-32(a)
• 150B-34; 150B-36
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. July 1, 1988.

21 NCAC 34A .0115 Types of Intervention

History

• Status: repealed
• Authority G.S. 90-210.23(a),(d); 150B-11; 150B-23; 150B-27; 150B-32(a)
• 150B-34; 150B-36
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. July 1, 1988.

21 NCAC 34A .0116 Subpoenas

History

• Status: repealed
• Authority G.S. 90-210.23(a),(d); 150B-11; 150B-23; 150B-27; 150B-32(a)
• 150B-34; 150B-36
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. July 1, 1988.

21 NCAC 34A .0117 Form of Subpoena

History

• Status: expired
• Authority G.S. 90-210.23(a)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. August 1, 2004; August 1, 1988
• Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 34A .0118 Form of Subpoena to Produce Document or Object

History

• Status: expired
• Authority G.S. 90-210.23(a)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. August 1, 2004; August 1, 1988
• Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 34A .0119 Final Decision in Contested Case

(a) Immediately upon the conclusion of a disciplinary proceeding conducted pursuant to G.S. 150B-38 and upon an adopted motion by the Board, the Board shall deliberate on whether an applicant, licensee, or permit holder involved has violated a statute or rule for which the Board has the authority to enforce, and what disciplinary action, if any, should be taken against the applicant, licensee, or permit holder.

(b) If the Board reaches a decision on the issues set forth in Paragraph (a) of this Rule immediately upon the conclusion of the disciplinary proceeding, the Board shall announce the decision but shall provide the parties with an opportunity to submit proposed findings of fact and exceptions to the decision to the Board's office within 15 days, unless additional time is allowed by the Board for good cause shown or upon mutual agreement by the parties. For purposes of this Rule, "good cause" shall mean the length of the hearing, the complexity of the issues involved, and the availability of the parties.

(c) If the Board does not reach a decision on the issues set forth in Paragraph (a) of this Rule immediately upon the conclusion of the disciplinary proceeding, the Board shall provide the parties an opportunity to submit proposed findings of fact and conclusions of law to the Board's office within 15 days, unless additional time is allowed by the Board for good cause shown or upon mutual agreement by the parties. The Board shall deliberate on the issues set forth in Paragraph (a) of this Rule at its next Board meeting following the parties' deadline to submit the proposed findings of fact and conclusions of law.

(d) Following the expiration of the time allowed for the parties to submit proposed findings and exceptions, the Board shall make a written final agency decision in accordance with G.S. 150B-42.

(e) Disciplinary costs shall be assessed against an applicant, licensee, or permit holder in a written final agency decision that results in disciplinary action following a show cause hearing, as set forth in G.S. 90-210.23(d1). For purposes of this Rule, "disciplinary costs" are actual costs incurred by the Board to prosecute the case, including per diems and expenses paid to Board members and witnesses, costs for a court reporter and transcripts, and costs associated with preparing exhibits.

History

• Authority G.S. 90-210.23(a), (d); 90-210.23(d1); 150B-38(h); 150B-42
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. July 1, 1988
• Eff. October 1, 2021 (Codifier approved request from agency to reuse rule number).

21 NCAC 34A .0120 Proposal for Decision in Contested Case

History

• Status: repealed
• Authority G.S. 90-210.23(a),(d); 150B-11; 150B-23; 150B-27; 150B-32(a); 150B-34; 150B-36
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. July 1, 1988.

21 NCAC 34A .0121 Notice Mailing List

History

• Status: expired
• Authority G.S. 90-210.23(a); 150B-11(1)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 34A .0122 Character Affidavit Form

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.26
• Eff. September 1, 1979
• Amended Eff. August 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Temporary Repeal Eff. November 7, 2025
• Repealed Eff. April 1, 2026.

21 NCAC 34A .0123 Consumer Complaint Form

(a) Initiation. Any individual (the "Complainant") with personal knowledge that any person has violated statutes or rules governed by the Board may file a complaint by submitting a complaint form through the Board's website, by emailing a complaint form to complaints@ncbfs.org, or by mailing a copy of the complaint to the Board's office.

(b) Form. The complaint shall contain a narrative of the acts or omissions about which the Complainant is concerned and shall be signed by the Complainant. The complaint shall include:

(1) the name, address, email address, and telephone number of the Complainant;

(2) the name, telephone number, license number, and address of the person or business against which the complaint is made (the "Respondent");

(3) a statement of the facts that describe the allegations against the Respondent, along with any supporting documentation that the Complainant wishes to provide;

(4) Complainant's attestation that:

(A) the information in the complaint is true and accurate to the best of the Complainant's recollection;

(B) the Complainant agrees to cooperate with the Board's investigation of the complaint by furnishing to the Board all pertinent or requested information and records in the Complainant's possession concerning the alleged misconduct of the Respondent;

(C) the Complainant shall testify as a witness if a hearing is held concerning the alleged misconduct of the Respondent;

(D) the Complainant understands his or her identity will be disclosed to the Respondent;

(E) the Complainant understands that anonymous complaints will not be processed by the Board;

(F) the Complainant understands that the Board cannot provide him or her with legal advice, cannot represent the Complainant or intervene on his or her behalf in court proceedings, and cannot provide any opinions or make any determinations regarding civil liability;

(G) the Complainant understands that he or she should not wait for the Board's disposition of the complaint before pursuing any legal claim or seeking legal advice, if he or she believes that damages have been incurred because of an alleged act or omission by Respondent.

(5) whether the Complainant wishes to be notified of status updates regarding the complaint by electronic correspondence only.

(c) The Board shall process complaints in accordance with 21 NCAC 34A .0126.

History

• Authority G.S. 90-210.23(a); 90-210.25(e); 90-210.134(a)
• Eff. September 1, 1979
• Recodified from 21 NCAC 34 .0124 Eff. February 7, 1991
• Amended Eff. August 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. February 1, 2026.

21 NCAC 34A .0124 Solicitation

(a) Definitions. As used in this Rule:

(1) "Licensee" shall mean a person licensed by the Board as a funeral service, funeral director, or embalmer.

(2) "Real-time communication" shall mean any in-person, live telephone, or real-time electronic contact.

(3) "Solicit" shall mean engaging in the act of solicitation.

(4) "Solicitation," shall mean any uninvited, intentional contact with an individual for the purpose of procuring the right to provide funeral services or merchandise, either immediately or at a future date when financial gain is a significant motive.

(b) All licensees of the Board must comply with the following in order to avoid committing solicitation as prohibited by G.S. 90-210.25(e)(1)d:

(1) A licensee of the Board shall not solicit professional employment from a prospective customer by real-time communication when a significant motive for the licensee's doing so is the licensee's pecuniary gain, unless the person contacted:

(A) is a licensee; or

(B) has a family, close personal, or prior professional relationship with the licensee.

(2) A licensee shall not solicit professional employment from a prospective customer by real-time communication or by written, recorded or electronic communication that is not a real-time communication even when allowed by Parts (b)(1)(A) or (b)(1)(B) of this Rule if:

(A) the prospective customer has made known to the licensee a desire not to be solicited by the licensee; or

(B) the solicitation involves coercion, duress, harassment, compulsion, intimidation, or threats.

(3) Every written, recorded or electronic communication that is not a real-time communication from a licensee soliciting professional employment from a prospective customer known to be in need of funeral services for an imminent or recent death shall include the words "This is an advertisement for funeral services" on the outside envelope, if a written communication sent by mail, and at the beginning of the body of a written or electronic communication in print as large or larger than the licensee's or licensee's business name, and at the beginning and ending of any recorded or electronic communication, unless the recipient of the communication is a person specified in Parts (b)(1)(A) or (b)(1)(B) of this Rule.

(c) A licensee shall violate this Rule whenever any agent, employee, or assistant of the licensee violates Subparagraphs (b)(1), (b)(2), or (b)(3) of this Rule with the knowledge, direction, or consent of the licensee.

History

• Authority G.S. 90-210.23(a); 90-210.25(e)(1)d
• Eff. April 1, 1987
• Recodified from 21 NCAC 34 .0126 Eff. February 7, 1991
• Amended Eff. February 1, 2009; July 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34A .0125 Fingerprints

History

• Status: expired
• Authority G.S. 90-210.23(a); 90-210.25(a)(1), (2), (3), (4); 90-210.25(e)(1); 90-210.43(f); 90-210.50(a); 90-210.67(b), (c); 90-210.69(a), (c)
• Eff. August 2, 1993
• Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 34A .0126 Complaints; Preliminary Determinations

(a) A person who believes that any person, firm or corporation is in violation of any provision of G.S. 90, Article 13A, 13D, 13E, or 13F or Title 21, Chapter 34, of the North Carolina Administrative Code, may file a written complaint with the Board's staff. If the accused is subject to the jurisdiction of the Board, the complaint shall be handled pursuant to this Rule.

(b) A complaint shall be handled initially by the Board's Executive Director, or staff designated by him or her. If a complaint on its face appears to be outside the jurisdiction of the Board, the Executive Director or his or her staff designees may forward the complaint to the Board's disciplinary committee without following the procedures of Paragraphs (c) through (e) of this Rule and may forward the matter to any federal or state agency with the appropriate jurisdiction.

(c) The Executive Director or his or her staff designees shall notify the accused of the complaint in writing. Such notice shall be served by hand or by certified mail, return receipt requested; shall state the allegations as contained in the complaint, or may enclose a copy of the complaint; and shall contain a request that the accused submit a response in writing within 10 days from the date the notice of the complaint is received by the accused.

(d) If the accused responds to the allegations, the Executive Director or his or her staff designees shall forward a summary of the response, or the response itself, to the person who filed the complaint and give him or her 15 days to respond. Following a receipt of a rebuttal by the complainant or after 15 days without having received a rebuttal and any additional investigation deemed necessary by the Executive Director or his or her staff designees, the matter shall then be referred to the disciplinary committee.

(e) If the accused does not respond to the allegations, the Executive Director or his or her staff designees shall investigate the allegations and refer the complaint and any other available evidence to the Board's disciplinary committee for review.

(f) In accordance with Paragraphs (d) through (e) of this Rule, the disciplinary committee shall review the complaint file. The disciplinary committee may request additional investigation of a file or make a preliminary determination to recommend that the Board take one of the following actions:

(1) that the complaint be dismissed because of insufficient grounds to believe one or more licensees has violated any law or regulation of the Board or other grounds requiring dismissal;

(2) that a letter of caution be issued;

(3) that the case be compromised pursuant to G.S. 90-210.25(e)(1), 90-210.123(g), or 90-210.69(c);

(4) that the case be set for a contested case hearing because sufficient grounds exist to believe one or more licensees may have violated a law or regulation of the Board justifying disciplinary action; or

(5) Any other action the Board may take that is authorized by law.

(g) The Board may accept or reject, in whole or in part, the recommendations of the disciplinary committee.

History

• Authority G.S. 90-210.23(a),(d); 90-210.25(e); 90-210.69(a),(c); 90-210.80; 90-210.123(g); 90-210.134(a)
• Eff. October 1, 1993
• Amended Eff. February 1, 2009; July 1, 2004; August 1, 1998; November 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34A .0127 Submission of Documents

Documents shall be considered submitted to the Board on the date of receipt by the Board or, if sent by U.S. mail or private courier service, on the date of postmark or date stamp used by the private courier respectively.

History

• Authority G.S. 90-210.23(a)
• Eff. January 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. February 1, 2026.

21 NCAC 34A .0128 Waiver

(a) The Board may waive any rule in this Chapter that is not statutorily required if a licensee, trainee, or continuing education course provider submits a written request. Factors the Board shall use in determining whether to grant the waiver are:

(1) degree of disruption to the Board;

(2) cost to the Board;

(3) degree of benefit to the public;

(4) whether the requesting party had control over the circumstances that required the requested waiver;

(5) notice to and opposition by the public;

(6) need for the waiver; and

(7) previous requests for waivers submitted from the requesting party.

(b) The Board may waive any rule in this Chapter that is not statutorily required upon its own initiative during a disaster declaration by the President of the United States or the Governor, a national emergency declaration by the President of the United States, or a state of emergency declaration issued under G.S. 166A-19.3(19), based on the factors set forth in Paragraph (a)(1), (2), (3), (5) and (6) of this Rule. If the Board wishes to waive a rule, it shall provide notice by posting a link on their website and sending out information to their interested persons mailing list.

(c) Any waiver granted by the Board in accordance with this Rule based upon a declared state of emergency shall include a date certain upon which the waiver will expire, not to exceed 12 months from the date that the waiver is granted.

History

• Authority G.S. 90-210.23(a); 150B-19(6)
• Emergency Adoption Eff. April 14, 2020
• Temporary Adoption Eff. July 24, 2020
• Eff. March 1, 2021.

21 NCAC 34A .0201 FEES ANd other payments

(a) Fees for funeral service shall be as follows:

Funeral Establishment and Branch Funeral Establishment permit

Application $250.00

Annual renewal $200.00

Late renewal fee $100.00

Establishment and embalming facility reinspection fee $100.00

Courtesy card

Application $ 75.00

Annual renewal $ 50.00

Out-of-state licensee

Application $200.00

Embalmer, funeral director, funeral service

Application, North Carolina resident $150.00

Application, non-resident $200.00

Annual renewal

Embalmer $ 75.00

Funeral Director $ 75.00

Total fee, embalmer and funeral director, when both are held by same person $ 100.00

Funeral service $ 100.00

Inactive status $ 30.00

Reinstatement fee $ 50.00

Resident trainee permit

Application $ 50.00

Voluntary change in supervisor $ 50.00

Annual renewal $ 35.00

Late renewal $ 25.00

Duplicate License certificate $ 25.00

Chapel registration

Application $150.00

Annual renewal $100.00

Late renewal $ 75.00

(b) Fees for crematory and hydrolysis licensees shall be as follows:

License

Application $400.00

Annual renewal $150.00

Late renewal fee $ 75.00

Crematory or hydrolysis reinspection fee $100.00

Per-cremation or hydrolysis fee $ 10.00

Late filing or payment fee for each cremation or hydrolysis $ 10.00

Late filing fee for cremation or hydrolysis report, per month $ 75.00

Crematory or Hydrolysis Manager Permit

Application $150.00

Annual renewal $ 40.00

(c) Fees for preneed funeral contract regulation shall be as follows:

Preneed funeral establishment license

Application $150.00

Annual renewal $150.00

Late renewal fee $100.00

Reinspection fee $100.00

Preneed sales license

Application $ 20.00

Annual renewal $ 20.00

Late renewal fee $ 25.00

Preneed contract filings

Filing fee for each contract $ 20.00

Late filing or payment fee for each contract $ 25.00

Late filing fee for each certificate of performance $ 25.00

Late filing fee for annual report $150.00

(d) Fees for Removal and Transportation Permits shall be as follows:

Individual Transporter Permit Application $125.00

Transportation Service Permit Application $200.00

Annual renewal for Individual Transporter or Transportation Service Permit $ 75.00

Late fee $ 50.00

(e) Registration fee for Board-sponsored continuing education shall be $50.00.

(f) All fees remitted to the Board are non-refundable.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(5)(f); 90-210.25(c); 90-210.28; 90-210.67(b),(c),(d),(d1); 90-210.68(a); 90-210.132
• Eff. September 1, 1979
• Amended Eff. January 1, 1991; July 1, 1988; January 1, 1988; October 1, 1983
• Recodified from 21 NCAC 34 .0123 Eff. February 7, 1991
• Amended Eff. December 1, 1993; August 2, 1993; May 1, 1993, July 1, 1991
• Temporary Amendment Eff. October 1, 1997
• Amended Eff. August 20, 2014; March 1, 2004; August 1, 1998
• Readopted Eff. January 8, 2020
• Temporary Amendment Eff. November 17 2025
• Amended Eff. April 1, 2026.

21 NCAC 34A .0202 Worthless Checks

(a) Any person, firm or corporation submitting to the Board a check which is dishonored and returned shall be charged a processing fee in the maximum amount per check as permitted by the North Carolina law in effect at the time.

(b) Until the worthless check has been made good and the processing fee and any applicable late payment penalties have been paid, any license, permit, authority or privilege which as been issued or given based on the worthless check shall be invalid.

(c) All documents delivered by the Board requesting payment of fees shall contain a notice of the processing fee as required by North Carolina law.

History

• Authority G.S. 90-210.23(a); 25-3-512; 150B-11
• Eff. October 1, 1983
• Amended Eff. July 1, 1988
• Recodified from 21 NCAC 34 .0125 Eff. February 7, 1991
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34A .0203 Report to General Assembly

History

• Status: expired
• Authority G.S. 90-210.23(a); 93B-2(d)
• Eff. September 1, 2010
• Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 34A .0204 Petition for Predetermination

(a) General. An individual seeking predetermination pursuant to G.S. 93B-8.1(b6) and this Rule may file with the Board a petition form located on the Board's website, www.ncbfs.org.

(b) Petition Procedure. The petition form shall include all of the following information:

(1) The person's name;

(2) The last four digits of the person's social security number;

(3) The person's current residential address;

(4) The person's current mailing address;

(5) A nationwide criminal history record report from a reporting service designated by the Board, the cost of which shall be borne by the petitioner;

(6) For each crime identified in the criminal history record report, the following information:

(A) Whether the crime was a felony or misdemeanor;

(B) The date that the crime occurred;

(C) The date the person was convicted of, or plead guilty or nolo contendere to, the crime;

(D) The age of the person at the time of the crime;

(E) The circumstances surrounding the commission of the crime;

(F) The sentence imposed for the crime;

(G) The period of time during which the person was incarcerated for the crime, if any;

(H) The period of time during which the person was on probation or parole for the crime, if any;

(I) Any documentation related to the person's rehabilitation or employment since the date of the crime, if any;

(J) Whether the person has undergone any rehabilitative drug or alcohol treatment since the date of the crime;

(K) Whether a Certificate of Relief has been granted regarding the crime, pursuant to G.S. 15A 173.2; and

(L) Any affidavits or other written documents, including character references, for the person; and

(7) An affirmation under oath that the person has read the statutes and rules governing the practice of funeral service and that the information contained in the petition is true and accurate.

Incomplete petitions shall not be considered by the Board. If incomplete petitions received by the Board are not made complete within 30 days of receipt, the incomplete petitions will be returned to the person from whom the request was made.

(c) Petition Fee. A non-refundable petition fee of forty-five dollars ($45.00) shall accompany each petition. This fee may be paid by certified bank check or money order made payable to the North Carolina Board of Funeral Service. Cash shall not be accepted.

(d) Delegation of Authority for Predetermination. The Board delegates authority for rendering predeterminations under this Rule to a committee of the Board that is tasked with reviewing disciplinary matters.

History

• Authority G.S. 90-210.25; 93B-8.1
• Eff. August 1, 2020.

Subchapter B

21 NCAC 34B .0101 Case Volume of Establishment

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.25(a)(4); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0102 Traineeship

Each trainee must work at least 2,000 hours during the trainee's resident traineeship. Daytime and nighttime employment shall be acceptable so long as the trainee receives training in all aspects of the license sought, as defined in G.S. 90-210.20(e), (f), and (k).

History

• Authority G.S. 90-210.23(a),(f); 90-210.25(a)(1)d.,(2)d.,(3)d.,(4)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1997
• Amended Eff. December 1, 2004; August 1, 1998; August 1, 1988; October 1, 1983; September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34B .0103 Authorized Practice: Supervision

(a) Resident trainees in training for funeral service, resident trainees in training for funeral directing, and resident trainees in training for embalming, as defined by G.S. 90-210.20(20), while supervised by a person licensed by the Board as a funeral service licensee, funeral director, or embalmer, may assist in the practice of funeral service, funeral directing, or embalming, as limited by this Rule.

(b) A licensee wishing to supervise a trainee shall meet the following requirements:

(1) Have either practiced continuously in North Carolina for a minimum of one year before the date of the application; and

(2) Not have any disciplinary action takenp by the Board, or the licensing board of any other jurisdiction, to suspend or revoke his or her license during the five years preceding the application.

(c) Resident trainees in training for funeral service or for funeral directing, while supervised by a person licensed by the Board as a preneed sales licensee, may also assist in the preneed funeral planning activities described in 21 NCAC 34D .0202(b)(1), (2), (4), and (5).

(d) No credit shall be given for the resident trainee's work that is unsupervised or performed under the supervision of a person not registered with the Board as the resident trainee's supervisor. If the registered supervisor does not supervise the resident trainee for a continuous period of more than two weeks, the traineeship under that supervisor shall terminate, requiring a new traineeship application. When a resident trainee assists in funeral service, funeral directing, embalming, or preneed funeral planning on the funeral home premises, a licensed supervisor shall be on the funeral home premises where and while such activities are performed; provided that a licensed supervisor shall be present in the same room whenever a resident trainee accepts any initial payment or negotiates any contract for funeral services either at-need or pre-need with the public. When a resident trainee assists in funeral service, funeral directing, embalming, or any funeral planning off the funeral home premises, such activities shall be performed only in the presence of a licensed supervisor employed with the establishment with which the resident trainee is registered.

(e) A licensed supervisor shall review with the purchaser any contract negotiated by a resident trainee, and then the licensed supervisor shall obtain the purchaser's signature on the contract in the licensed supervisor's presence.

(f) The resident trainee's license certificate for indicating the trainee's authority to assist in the activities described and authorized in this Rule and in 21 NCAC 34D .0202(b) is the resident trainee pocket certificate, which is a wallet-sized card issued by the Board to the resident trainee that bears the following:

(1) The resident trainee's name;

(2) The resident trainee's registration number;

(3) The resident trainee's signature;

(4) The date on which resident trainee was registered with the Board;

(5) Whether the resident trainee is registered in a traineeship for funeral service, funeral directing, or embalming; and

(6) The name of the resident trainee's supervisor.

History

• Authority G.S. 90-210.23(a),(f); 90-210.25(a)(4),(5)d.; 90-210.67(a); 90-210.69(a)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. January 1, 2009; November 1, 2004; August 1, 1998; June 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Temporary Amendment Eff. November 7, 2025
• Amended Eff. April 1, 2026.

21 NCAC 34B .0104 Change in Employment

Each resident trainee shall complete an application form prescribed by the Board prior to making any change in employment during the resident traineeship. The form shall be signed and dated by the resident trainee and shall require the resident trainee to furnish the name of the resident trainee, the former funeral establishment and supervisor, the dates of services with the former funeral establishment, the proposed funeral establishment and supervisor, the proposed effective date of the change, and the reason for the change in employment. A resident trainee must pay a fee of fifty dollars ($50.00) upon submission of any voluntary supervisor change request to the Board, as set forth in G.S. 90-210.28.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(4)c.; 90-210.28
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. December 1, 2004; September 27, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. February 1, 2026.

21 NCAC 34B .0105 Funeral Director Trainee Application Form

Applications for a funeral director resident trainee shall be made on forms available on the Board's website at ncbfs.org. Applications not completed within 30 days following submission to the Board shall be denied. All applications for registration as a funeral director resident trainee shall contain the following:

(1) The applicant's full name, date of birth, place of birth, and social security number;

(2) The applicant's email address, residential address, and phone number(s);

(3) The high school from which the applicant graduated and the date of graduation and a copy of an original certified transcript attesting to the applicant's graduation from high school;

(4) Whether the applicant attended a funeral director program at a mortuary science college and, if so, the name of the mortuary science college, dates of attendance, date of graduation if any, and how many semester hours the applicant completed;

(5) Whether the applicant has taken the National Board Examination – Arts and, if so, the date on which the examination was taken and whether the applicant passed the examination;

(6) Whether the applicant has taken the National Board Examination – Sciences and, if so, the date on which the examination was taken and whether the applicant passed the examination;

(7) The name, address, licensed manager, mailing address, email address, telephone number, and facsimile number of the funeral establishment at which the applicant's traineeship will be performed;

(8) The applicant's employment history over the preceding five years, to include the name and address of the employer, the dates of employment, and the nature of the work performed;

(9) Whether the applicant ever has been certified, licensed, or registered to practice funeral service by the Board or by another occupational licensing board and, if so, the type of credential, the jurisdiction of issuance, the issuance date, the expiration date, and any examinations taken to obtain the credential;

(10) Whether the applicant ever has been denied a credential in another state and, if so, the jurisdiction and the reason for the denial of the credential;

(11) Whether the applicant has been convicted of a felony or misdemeanor crime and, if so, a statement providing the jurisdiction, charge, date of disposition, and sentence imposed of each conviction;

(12) Whether the applicant has any criminal charges currently pending and, if so, the nature of the charge and the jurisdiction in which the charge is pending;

(13) Whether the applicant has had an occupational or business license suspended or revoked by any local, state, or federal agency and, if so, a statement providing the reason for the action and the date, location, and circumstances of any violation that led to action against the license;

(14) Whether any court, board, agency, or professional organization has found applicant guilty of misconduct, unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the tribunal and the date of the finding;

(15) Whether the applicant has any charges pending before any court, board, agency, or professional organization for unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the tribunal in which the charge is pending;

(16) The applicant's notarized signature to certify that:

(a) he or she has prepared the application and has read the answers;

(b) the information provided in the application is true;

(c) he or she understands that the Board may make inquiries about the applicant, including criminal record checks, and any of the information given in support of the application; and

(d) he or she understands that any credential issued shall be governed by the provisions of Article 13A, Chapter 90 of the North Carolina General Statutes and the rules promulgated by the Board.

(17) The proposed supervisor's attestation that:

(a) he or she is a duly licensed funeral director or funeral service licensee in North Carolina;

(b) he or she is employed by the establishment at which the traineeship will occur;

(c) he or she has been licensed for at least one year and has not had any disciplinary action taken against his or her credential to practice funeral service within the previous five years; and

(d) he or she will notify the Board when the applicant ceases training under the proposed supervisor;

(18) The application fee, as prescribed by G.S. 90-210.28 and 21 NCAC 34A .0201. If the application fee is dishonored by the licensee's drawee bank for any reason, the Board shall suspend the license until the renewal fees and non-sufficient fund charges are paid; and

(19) A photograph of the applicant that is two inches by two inches in size, depicting the applicant facing the camera and without digital alteration.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(4)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Temporary Amendment Eff. November 7, 2025
• Amended Eff. April 1, 2026.

21 NCAC 34B .0106 Embalmer Trainee Application Form

Applications for registration as an embalmer resident trainee shall be made on forms available on the Board's website at ncbfs.org. Applications not completed within 30 days following submission to the Board shall be denied. All applications for registration as a funeral service resident trainee shall contain the following:

(1) The applicant's full name, date of birth, place of birth, and social security number;

(2) The applicant's email address, residential address, and phone number(s);

(3) The high school from which the applicant graduated and the date of graduation and a copy of an original certified transcript attesting to the applicant's graduation from high school;

(4) Whether the applicant attended a mortuary science college and, if so, the name of the mortuary science college, dates of attendance, date of graduation if any, and how many semester hours the applicant completed;

(5) Whether the applicant has taken the National Board Examination – Arts and, if so, the date on which the examination was taken and whether the applicant passed the examination;

(6) Whether the applicant has taken the National Board Examination – Sciences and, if so, the date on which the examination was taken and whether the applicant passed the examination;

(7) The name, address, licensed manager, mailing address, email address, telephone number, and facsimile number of the funeral establishment at which the applicant's traineeship will be performed;

(8) The applicant's employment history over the preceding five years, to include the name and address of the employer, the dates of employment, and the nature of the work performed;

(9) Whether the applicant has ever been certified, licensed, or registered to practice funeral service by the Board or by another occupational licensing board and, if so, the type of credential, the jurisdiction of issuance, the issuance date, the expiration date, and any examinations taken to obtain the credential;

(10) Whether the applicant ever has been denied a credential in another state and, if so, the jurisdiction and the reason for the denial of the credential;

(11) Whether the applicant has been convicted of a felony or misdemeanor crime and, if so, a statement providing the jurisdiction, charge, date of disposition, and sentence imposed of each conviction;

(12) Whether the applicant has any criminal charges currently pending and, if so, the nature of the charge and the jurisdiction in which the charge is pending;

(13) Whether the applicant has had an occupational or business license suspended or revoked by any local, state, or federal agency and, if so, a statement providing the reason for the action and the date, location, and circumstances of any violation that led to action against the license;

(14) Whether any court, board, agency, or professional organization has found applicant guilty of misconduct, unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the tribunal and the date of the finding;

(15) Whether the applicant has any charges pending before any court, board, agency, or professional organization for unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the tribunal in which the charge is pending;

(16) The applicant's notarized signature to certify that:

(a) he or she has prepared the application and has read the answers;

(b) the information provided in the application is true;

(c) he or she understands that the Board may make inquiries about the applicant, including criminal record checks, and any of the information given in support of the application; and

(d) he or she understands that any credential issued shall be governed by the provisions of Article 13A, Chapter 90 of the North Carolina General Statutes and the rules promulgated by the Board.

(17) The proposed supervisor's attestation that:

(a) he or she is a duly licensed funeral service licensee in North Carolina;

(b) he or she is employed by the establishment at which the traineeship will occur;

(c) he or she has been licensed for at least one year and has not had any disciplinary action taken against his or her credential to practice funeral service within the previous five years; and

(d) he or she will notify the Board when the applicant ceases training under the proposed supervisor;

(18) The application fee, as prescribed by G.S. 90-210.28 and 21 NCAC 34A .0201. If the application fee is dishonored by the licensee's drawee bank for any reason, the Board shall suspend the license until the renewal fees and non-sufficient fund charges are paid; and

(19) A photograph of the applicant that is two inches by two inches in size, depicting the applicant facing the camera and without digital alteration.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(4)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Temporary Amendment Eff. November 7, 2025
• Amended Eff. April 1, 2026.

21 NCAC 34B .0107 Funeral Service Trainee Application Form

Applications for registration as a funeral service resident trainee shall be made on forms available on the Board's website at ncbfs.org. Applications not completed within 30 days following submission to the Board shall be denied. All applications for registration as an funeral service resident trainee shall contain the following:

(1) The applicant's full name, date of birth, place of birth, and social security number;

(2) The applicant's email address, residential address, and phone number(s);

(3) The high school from which the applicant graduated and the date of graduation and a copy of an original certified transcript attesting to the applicant's graduation from high school;

(4) Whether the applicant attended a mortuary science college and, if so, the name of the mortuary science college, dates of attendance, date of graduation if any, and how many semester hours the applicant completed;

(5) Whether the applicant has taken the National Board Examination – Arts and, if so, the date on which the examination was taken and whether the applicant passed the examination;

(6) Whether the applicant has taken the National Board Examination – Sciences and, if so, the date on which the examination was taken and whether the applicant passed the examination;

(7) The name, address, licensed manager, mailing address, email address, telephone number, and facsimile number of the funeral establishment at which the applicant's traineeship will be performed;

(8) The applicant's employment history over the preceding five years, to include the name and address of the employer, the dates of employment, and the nature of the work performed;

(9) Whether the applicant has ever been certified, licensed, or registered to practice funeral service by the Board or by another occupational licensing board and, if so, the type of credential, the jurisdiction of issuance, the issuance date, the expiration date, and any examinations taken to obtain the credential;

(10) Whether the applicant ever has been denied a credential in another state and, if so, the jurisdiction and the reason for the denial of the credential;

(11) Whether the applicant has been convicted of a felony or misdemeanor crime and, if so, a statement providing the jurisdiction, charge, date of disposition, and sentence imposed of each conviction;

(12) Whether the applicant has any criminal charges currently pending and, if so, the nature of the charge and the jurisdiction in which the charge is pending;

(13) Whether the applicant has had an occupational or business license suspended or revoked by any local, state, or federal agency and, if so, a statement providing the reason for the action and the date, location, and circumstances of any violation that led to action against the license;

(14) Whether any court, board, agency, or professional organization has found applicant guilty of misconduct, unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the tribunal and the date of the finding;

(15) Whether the applicant has any charges pending before any court, board, agency, or professional organization for unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the tribunal in which the charge is pending;

(16) The applicant's notarized signature to certify that:

(a) he or she has prepared the application and has read the answers;

(b) the information provided in the application is true;

(c) he or she understands that the Board may make inquiries about the applicant, including criminal record checks, and any of the information given in support of the application; and

(d) he or she understands that any credential issued shall be governed by the provisions of Article 13A, Chapter 90 of the North Carolina General Statutes and the rules promulgated by the Board.

(17) The proposed supervisor's attestation that:

(a) he or she is a duly licensed funeral service licensee in North Carolina;

(b) he or she is employed by the establishment at which the traineeship will occur;

(c) he or she has been licensed for at least one year and has not had any disciplinary action taken against his or her credential to practice funeral service within the previous five years; and

(d) he or she will notify the Board when the applicant ceases training under the proposed supervisor;

(18) The application fee, as prescribed by G.S. 90-210.28 and 21 NCAC 34A .0201. If the application fee is dishonored by the licensee's drawee bank for any reason, the Board shall suspend the license until the renewal fees and non-sufficient fund charges are paid; and

(19) A photograph of the applicant that is two inches by two inches in size, depicting the applicant facing the camera and without digital alteration.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(4)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Eff. November 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Temporary Amendment Eff. November 7, 2025
• Amended Eff. April 1, 2026.

21 NCAC 34B .0108 Trainee Pocket Certificate

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.25(a)(4)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. November 1, 1994.

21 NCAC 34B .0109 Effective Date of Certificate

History

• Status: expired
• Authority G.S. 90-210.23(a); 90-210.25(a)(4); 150B-11(1)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 34B .0110 Work Reports and Checklists

(a) Active resident trainees shall submit a work report to the Board every month on a form provided by the Board no later than the 10th day of the calendar month that immediately follows the month during which the work was performed. On the work report, the resident trainee shall provide:

(1) The trainee's name, trainee number, and email address;

(2) The month during which the work was performed;

(3) The number of hours worked during that month;

(4) The name, address, and permit number of the funeral establishment where the resident trainee is working;

(5) A description of the work performed in the practice of funeral service during that month, as described in Paragraph (g) of this Rule;

(6) The name, license number, and notarized signature of the trainee's supervisor; and

(7) The name, license number, and notarized signature of the licensed manager of the funeral establishment where the resident trainee is working. A trainee supervisor who also serves as the licensed manager shall sign the work report once, in his or her capacity as the trainee supervisor, provided that he or she designates the dual role held as both trainee supervisor and licensed manager on the work report.

(b) By signing the work report, the trainee's supervisor shall certify that the data contained in the report is correct. Neither the trainee nor the trainee's supervisor shall be permitted to amend or revise the work report after it is submitted to the Board. The Board shall not accept incomplete work reports and a trainee who fails to submit a complete work report by the due date shall be subject to the provisions of Paragraph (c) of this Rule.

(c) A late fee of twenty-five dollars ($25.00) shall be assessed against the trainee for each work report that is submitted to the Board after the due date. Following a trainee's first failure to timely submit a work report, the Board shall issue the trainee a letter that cautions against future non-compliance with this Rule. Following a trainee's second failure to timely submit a work report, the work set forth in the second untimely work report shall not be credited toward the certification of the trainee's resident traineeship. Following a trainee's third failure to timely submit a work report, the Board shall revoke the trainee's resident traineeship.

(d) Resident trainees shall maintain a checklist for each decedent for whom he or she performs funeral services on a form provided by the Board. The checklist shall contain the following information:

(1) The name of the deceased person;

(2) The date when the services were provided;

(3) The trainee's name and signature;

(4) A description of the funeral services provided; and

(5) The supervisor's signature.

(e) Resident trainees shall maintain a list of the preneed funeral contracts with which the resident trainees participated.

(f) Copies of all documents and information set forth in this Rule shall be retained by the trainee until his or her traineeship requirement has been certified by the Board. During this time, the reports and information shall be subject to inspection by the Board.

(g) When providing a description of work performed in the practice of funeral service for purposes of Paragraph (a) of this Rule, resident trainees shall provide the following:

(1) For resident trainees in embalming, the number of embalming cases performed in which the resident trainee completed five or more of the following tasks:

(A) setting features;

(B) mixing fluids;

(C) raising vessels and inserting tubes;

(D) injecting fluids;

(E) suturing incisions; and

(F) cavity treatment;

(2) For resident trainees in funeral directing, the number of following activities performed:

(A) at-need or preneed arranging;

(B) imminent or hospice death arranging;

(C) observing the sale of funeral service;

(D) assisting with funeral, memorial, interment, or committal ceremonies for casketed remains; and

(E) assisting with funeral, memorial, interment, or committal ceremonies for reduced remains;

(3) For resident trainees in funeral service, the number of embalming cases as set forth in Subparagraph (g)(1) of this Rule and the number of activities performed as set forth in Subparagraph (g)(2) of this Rule.

History

• Authority G.S. 90-210.23(a); 90-210.23(d); 90-210.23(f); 90-210.25(a)(4)e.; 90-210.25(a)(4)g.; 90-210.67(a); 90-210.69(a)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004; June 1, 1994; August 1, 1988; September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. February 1, 2026; November 1, 2020.

21 NCAC 34B .0111 Work Report Form

History

• Status: repealed
• Authority G.S. 90-210.23(a),(d),(f); 90-210.25(a)(4)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. August 1, 1988; September 1, 1979
• Repealed Eff. November 1, 2004.

21 NCAC 34B .0112 Funeral Service and Funeral Directing Case Report Form

History

• Status: repealed
• Authority G.S. 90-210.23(a),(f); 90-210.25(a)(4); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0113 Trainee's Summary Case Report Form

History

• Status: repealed
• Authority G.S. 90-210.23(a),(f); 90-210.25(a)(4); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0114 Trainee's Activity Report Form

History

• Status: repealed
• Authority G.S. 90-210.23(a),(f); 90-210.25(a)(4); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0115 Reports on Study Schedule

History

• Status: repealed
• Authority G.S. 90-210.23(a),(f); 90-210.25(a)(4); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0116 Description of Study Schedule

History

• Status: repealed
• Authority G.S. 90-210.23(a),(f); 90-210.25(a)(4); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0117 Anatomical Diagram

History

• Status: repealed
• Authority G.S. 90-210.23(a),(f); 90-210.25(a)(4); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0118 Board Check Sheet for Trainee

History

• Status: repealed
• Authority G.S. 90-210.23(a),(f); 90-210.25(a)(4); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0119 Final Affidavit: Renewal Certificate

History

• Status: repealed
• Authority G.S. 90-210.23(a),(f); 90-210.25(a)(4); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0120 Trainee Final Affidavits

(a) Within 30 days following the conclusion of a resident traineeship with a licensed supervisor, the supervisor shall submit to the Board an affidavit to certify that the trainee has served and performed certain work under the supervisor as required by G.S. 90-210.25(a)(4). The affidavit shall be submitted on forms provided by the Board and shall provide the supervisor's license number and notarized attestation to the following information:

(1) the name of the trainee and the dates during which the trainee worked under the supervisor's supervision;

(2) whether the trainee has completed the minimum number of funeral service activities during his or her traineeship required by G.S. 90-210.25(a)(4)(f) and, if not, the number of funeral service activities that the trainee completed; and

(3) whether the trainee has completed the minimum number of hours as a resident trainee in the practice of funeral service required by 21 NCAC 34B .0102 and, if not, the number of hours completed during the resident traineeship.

(b) Within 30 days following the conclusion of a resident traineeship with a licensed supervisor, the supervisor shall submit to the Board an affidavit on a form prescribed by the Board, attesting to his or her opinion regarding the trainee's ability to competently perform the tasks related to the practice of funeral service set forth in Rule .0126 of this Subchapter.

(c) The supervisor shall provide the trainee with a copy of the affidavits set forth in Paragraphs (a) and (b) of this Rule within five days of their submission to the Board.

History

• Authority G.S. 90-210.23(a),(d),(f); 90-210.25(a)(4)f.; 90-210.67(a); 90-210.69(a)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. January 1, 2009; November 1, 2004; June 1, 1994; August 1, 1988; September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Temporary Amendment Eff. November 7, 2025
• Amended Eff. April 1, 2026.

21 NCAC 34B .0121 Expiration Notice

Prior to expiration of a resident trainee certificate, the Board may notify the resident trainee that if eligible, the traineeship may be renewed or may be certified as completed. The notice shall notify the trainee of the date of expiration, a recital of the renewal fee and late renewal penalty, the date the fee must be received, and a recital that the affidavit form is available to have the traineeship certified as completed, if applicable.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(4)d
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004; September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34B .0122 Trainee Incomplete Affidavit Form

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.25(a)(1),(2),(3),(4); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0123 Resident Trainee Fees

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.25(a)(1),(2),(3),(4); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0124 Authorized Practice of Student

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.25(a)(1),(2),(3),(4); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0125 Mortuary Science Student Permit Card

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.29
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. August 1, 1988; September 1, 1979
• Repealed Eff. November 1, 1994.

21 NCAC 34B .0126 Embalming, Funeral Directing, and Funeral Service Training

(a) To fulfill the requirements that funeral director and funeral service trainees shall substantially assist in directing at least 25 funerals during their resident traineeship, such trainees shall, under supervision, assist in all of the components of "funeral directing," as defined in G.S. 90-210.20(12). To achieve this end such trainees shall substantially assist in at least 25 cases involving activities of arranging (whether performed at time of need or by assisting in preneed funeral planning activities or a combination) and at least 25 cases involving activities pertaining to the funeral ceremony and disposition of the body. To fulfill the requirements that embalming and funeral service trainees shall substantially assist in embalming at least 25 bodies during their resident traineeship, such trainees shall, under supervision, substantially assist in all of the components of "embalming," as defined in G.S. 90-210.20(9).

(b) For purposes of this Rule, activities of arranging are defined as the following tasks:

(1) At-need or preneed arranging, including preparing all documents and records;

(2) Imminent or pending death (hospice) arranging;

(3) Observe sale of funeral service;

(4) Prepare death notices or obituaries;

(5) Ship-in or ship-out arrangements;

(6) Prepare death certificates;

(7) Secure permits, prepare VA or social security forms;

(8) Witness or arrange cremation services;

(9) Complete cremation authorization forms;

(10) Identify authorizing agent or next-of-kin; and

(11) Evaluate cases for medical examiner jurisdiction.

(c) For purposes of this Rule, activities of funeral ceremony and disposition of the body are defined as the following task:

(1) Assist with funeral, memorial, interment, or committal ceremonies for casketed remains;

(2) Assist with funeral, memorial, interment, or committal ceremonies for cremated remains;

(3) Receive visitors at viewing or funeral service;

(4) Funeral procession and arrangement; and

(5) Transport survivors and clergy.

(d) For purposes of this Rule, embalming components are defined as the following tasks:

(1) Setting features;

(2) Mixing fluids;

(3) Raising vessels and inserting tubes;

(4) Injecting fluids;

(5) Suturing incisions;

(6) Cavity treatment;

(7) Removal and disinfecting of body;

(8) Positioning of body;

(9) Restorative art treatment including hypodermic treatment;

(10) Preparation of autopsied body including treatment of viscera;

(11) Treatment of remains following organ or tissue donation;

(12) Application of cosmetics;

(13) Dressing and casketing;

(14) Cleaning and disinfection of preparation room; and

(15) Handling or disposing of biomedical waste.

(e) For purposes of this Rule and G.S. 90-210.25(a)(4)(f), to "substantially assist" shall mean to assist in a way that materially affects the outcome of the work performed.

History

• Authority G.S. 90-210.20(f); 90-210.23(a), (d), (f); 90-210.25(a)(4); 90-210.67(a); 90-210.69(a)
• Eff. June 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. February 1, 2026.

21 NCAC 34B .0201 Dates of Examinations

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.22; 150B-11(1)
• Eff. February 1, 1976
• Amended Eff. September 9 ,1976
• Readopted Eff. September 27, 1977
• Amended Eff. September 1, 1979
• Repealed Eff. August 1, 1998.

21 NCAC 34B .0202 Applications

(a) Applicants to take the examination administered by the International Conference of Funeral Service Examining Boards, Inc. ("ICFSEB") for a license shall apply for examination registration through the ICFSEB website, available at https://theconferenceonline.org/apply-now/.

(b) Applicants must submit an Exam Eligibility Form to the Board contemporaneously with their application for examination registration as set forth in Paragraph (a) of this Rule. All Exam Eligibility Forms shall include:

(1) The applicant's full name, residential address, phone number, and email address;

(2) The license type for which the applicant is seeking eligibility;

(3) The name of each college or university attended by the applicant, the dates of attendance, and the graduation date and degree(s) obtained, if any; and

(4) Whether the applicant has requested that a certified transcript from each college or university attended by the applicant be sent to the Board and, if so, the date on which the applicant ordered the transcript.

(c) Applications for licensure as a funeral service licensee, embalmer, or funeral director shall be made on applications available on the Board's website at ncbfs.org. Applications not completed within ninety (90) days following submission to the Board shall be denied. All applications for such licensure shall contain the following:

(1) The applicant's full name, date of birth, place of birth, sex, and social security number;

(2) The applicant's email address, residential address, mailing address, and phone number(s);

(3) The name and address of the applicant's current employer and past employers over the three years preceding the application, to include the dates of employment and nature of the work performed by the applicant;

(4) Whether the applicant is applying for a funeral service license, a funeral director license, or embalmer license;

(5) The name of each college or university attended by the applicant, the dates of attendance, and the graduation date and degree(s) obtained, if any;

(6) A certified transcript from each college or university at which the applicant attended courses toward his or her attainment of the educational degree required for the type of license sought, as set forth in G.S. 90-210.25(a)(1), (2), (3);

(7) Official score reports showing passage of the required examination for the type of licensure sought pursuant to G.S. 90-210.25(a)(1), (2), (3) that are provided to the Board by the examination testing provider;

(8) Whether the applicant has ever been certified, licensed, or registered to practice funeral service by the Board or by another occupational licensing board and, if so, the type of credential, the jurisdiction of issuance, the issuance date, the expiration date, and any examinations taken to obtain the credential;

(9) Whether the applicant has been denied a credential in another state and, if so, the jurisdiction and the reason for the denial of the credential;

(10) Whether the applicant has been convicted of a felony or misdemeanor crime and, if so, a statement providing the jurisdiction, charge, date of disposition, and sentence imposed of each conviction;

(11) Whether the applicant has any criminal charges currently pending and, if so, the nature of the charge and the jurisdiction in which the charge is pending;

(12) Whether the applicant has had an occupational or business license suspended or revoked by any local, state, or federal agency and, if so, a statement providing the reason for the action and the date, location, and circumstances of any violation that led to action against the license;

(13) Whether any court, board, agency, or professional organization has found the applicant guilty of misconduct, unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the tribunal and the date of the finding;

(14) Whether the applicant has any charges pending before any court, board, agency, or professional organization for unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the tribunal in which the charge is pending;

(15) Whether, within the preceding two years, the applicant has been the subject of any investigation for employee misclassification and, if so, the results of the investigation;

(16) The applicant's notarized signature to certify that:

(A) he or she has prepared and read the application;

(B) the information provided in the application is true;

(C) the applicant has read and understands the public notice statement on employee misclassification that is set forth in the application and has disclosed any investigations for employee misclassification, and its results, over the preceding two year period, as prescribed by G.S. 143-789; and

(D) he or she understands that any credential issued shall be governed by the provisions of Article 13A, Chapter 90 of the North Carolina General Statutes and the rules promulgated by the Board; and

(17) The application fee, as prescribed by G.S. 90-210.28 and 21 NCAC 34A .0201. If the application fee is dishonored by the licensee's drawee bank for any reason, the Board shall suspend the license until the renewal fees and non-sufficient fund charges are paid.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(1),(2), (3); 143-789
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. January 1, 2009; October 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. February 1, 2026.

21 NCAC 34B .0203 Application Form for Funeral Director's License

History

• Status: expired
• Authority G.S. 90-210.23(a); 90-210.25(a)(1); 90-210.25(a)(2); 90-210.25(a)(3)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004; July 1, 1991; September 1, 1979
• Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 34B .0204 Application Form for Embalmer's License

History

• Status: expired
• Authority G.S. 90-210.23(a); 90-210.25(a)(1); 90-210.25(a)(2); 90-210.25(a)(3)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004; July 1, 1991; September 1, 1979
• Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 34B .0205 Application Form for Funeral Service License

History

• Status: expired
• Authority G.S. 90-210.23(a); 90-210.25(a)(1); 90-210.25(a)(2); 90-210.25(a)(3)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004; July 1, 1991; September 1, 1979
• Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 34B .0206 Fingerprint Cards

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.25(a)(1),(2),(3); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0207 Instructions for Completing Fingerprint Card

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.25(a)(1),(2),(3); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0208 Passing Score

(a) For purposes of G.S. 90-210.25(a)(5), the passing score on all examinations administered by the International Conference of Funeral Service Examining Boards, Inc. shall be such passing score that is established by the International Conference of Funeral Service Examining Boards, Inc. and in effect at the time such examinations are administered.

(b) A score of at least 75 percent on a final examination taken in a pathology course offered through a school that has a mortuary science program accredited by the American Board of Funeral Service Education shall be deemed equivalent to a passing score on the examination of pathology required for licensure as a funeral director, pursuant to G.S. 90-210.25(a)(1)(e)(4).

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(1),(2),(3); 90-210.25(a)(5)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004; September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. April 1, 2024.

21 NCAC 34B .0209 When Examinations May Be Taken

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.25(a)(1),(2),(3); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0210 Request for Review of Examination

For the purpose of dealing with a request by an applicant who has failed an examination for a review of his examination, the following procedures shall apply:

(1) If the examination was prepared by the Board:

(a) The applicant shall make the request to the Board orally or in writing.

(b) Not later than 10 days following the receipt of such request the Board shall notify the applicant, either orally or in writing, of the date and time the applicant may appear in the offices of the Board to review the examination in the presence of the Board or in the presence of one or more duly designated representatives of the Board.

(c) Nothing in this Rule shall be construed to give the applicant the right to take from the Board offices any copies of the examination or of the answers thereto.

(2) If the examination was prepared and graded by the International Conference of Funeral Service Examining Boards, Inc. (ICFSEB):

(a) The applicant shall make his request to the ICFSEB in writing.

(b) The ICFSEB shall notify the applicant, either orally or in writing, of the date and time the applicant may appear in the offices of the ICFSEB to review the examination in the presence of the ICFSEB or in the presence of one or more duly designated representatives of the ICFSEB.

(c) Nothing in this Rule shall be construed to give the applicant the right to take from the ICFSEB offices any copies of the examination or of the answers thereto.

History

• Authority G.S. 90-210.23(a)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004; September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34B .0211 National Board Certificate

(a) Pursuant to G.S. 90-210.25(a)(5), a National Board Certificate for Arts, certifying the successful completion of the National Board Examination for Arts of the International Conference of Funeral Service Examining Boards Inc., is the equivalent of the Board's entry-level examination in funeral directing, as defined by G.S. 90-210.20(11).

(b) Pursuant to G.S. 90-210.25(a)(5), a National Board Certificate for Sciences, certifying the successful completion of the National Board Examination for Sciences of the International Conference of Funeral Service Examining Boards Inc., is the equivalent of that portion of the Board's examination on the topics of embalming, restorative arts, chemistry, pathology, microbiology, and anatomy.

(c) National Board Certificates shall be accepted for five years from the date of issue for eligibility toward licenses issued under G.S. 90-210.25(a)(1), (2), or (3).

History

• Authority G.S. 90-210.20(11); 90-210.23(a); 90-210.25(a)(5)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. February 1, 2009; November 1, 2004; September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. April 1, 2024
• Temporary Amendment Eff. November 7, 2025
• Amended Eff. April 1, 2026.

21 NCAC 34B .0212 Disabilities of Applicants for Examinations

History

• Status: expired
• Authority G.S. 90-210.23(a); 90-210.25(a)(1), (2), (3)
• Eff. November 1, 1994
• Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 34B .0213 Expiration of Test Scores

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.25(a)(1),(2),(3)
• Eff. February 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Repealed Eff. April 1, 2024.

21 NCAC 34B .0301 Issuance of License: Expiration

Editor's Note: 21 NCAC 34B .0301 - .0309 was recodified from 21 NCAC 34 .0401 - .0409 Eff. February 7, 1991.

History

• Status: expired
• Authority G.S. 90-210.23(a); 90-210.25(a)(1),(2),(3),(5); 150B-11(1)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004; August 1, 1988
• Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 34B .0302 License Certificate for Practice of Funeral Directing

History

• Status: expired
• Authority G.S. 90-210.23(a); 90-210.25(a)(1),(2),(3),(5); 150B-11(1)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004; August 1, 1988
• Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 34B .0303 License Certificate for Practice of Embalming

History

• Status: expired
• Authority G.S. 90-210.23(a); 90-210.25(a)(1),(2),(3),(5); 150B-11(1)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004; August 1, 1988
• Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 34B .0304 License Certificate for Practice of Funeral Service

History

• Status: expired
• Authority G.S. 90-210.23(a); 90-210.25(a)(1),(2),(3),(5); 150B-11(1)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004; August 1, 1988
• Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 34B .0305 Change of License Request

History

• Status: expired
• Authority G.S. 90-210.23(a); 90-210.25(a)(1),(2),(3),(5); 150B-11(1)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004; August 1, 1988
• Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 34B .0306 License Fees

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.25 (a)(1),(2),(3); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0307 Reinstatements

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.25 (a)(1),(2),(3); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0308 Renewals: Notices

The Executive Director of the Board shall, on or about December 1 of each year, send by electronic mail to each licensee or permit holder a written notice that the license, permit, or courtesy card shall expire as provided in G.S. 90-210.25 unless renewed. The notice shall contain instructions on how to renew said license, permit, or courtesy card online.

History

• Authority G.S. 90-210.23(a); 90-210.25
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. March 1, 2021.

21 NCAC 34B .0309 License Renewal Form

(a) To renew a funeral director, funeral service, or embalmer's license, the licensee annually shall complete and submit to the Board a renewal application. Failure to submit a completed renewal application by February 1 shall cause the licensee's license to be forfeited.

(b) The renewal form shall contain the following:

(1) The licensee's full name and license number;

(2) The licensee's physical address of personal residence, mailing address, and phone number(s);

(3) The licensee's current place of employment, work address, and telephone number;

(4) Whether the licensee's place of employment changed since the previous renewal application was submitted;

(5) Whether the licensee is on active or inactive status pursuant to G.S. 90-210.25(2);

(6) Whether the licensee is requesting to be on active or inactive status pursuant to G.S. 90-210.25(2) for the next year;

(7) Whether the licensee has been convicted of a felony or misdemeanor crime (excluding traffic infractions) since the previous renewal application was submitted and, if so, a statement providing the jurisdiction, charge, and disposition of each conviction;

(8) Whether the licensee has had an occupational or business license denied, suspended, or revoked by any local, state, or federal agency since the previous renewal application was submitted and, if so, a statement providing the reason for the denial and the date, location, and circumstances of any violation that led to action against your license, the terms of any discipline imposed by the licensing authority, and whether said terms have been satisfied;

(9) Whether the licensee has been subject to any investigation for employee misclassification since the previous renewal application was submitted;

(10) Whether the licensee has received credit for attending at least five continuing education credits of courses approved by the Board since the previous renewal application was submitted and, if so, copies of all continuing education forms showing courses attending that have not been already submitted to the Board;

(11) If the licensee is claiming an exemption from continuing education requirements, the basis for which the licensee is claiming the exemption;

(12) The licensee's signature to certify that he or she has prepared the application and has read the answers; that the information provided in the application is true; and that he or she has read the NC Industrial Commission Public Notice Statement; and

(13) The application fee, as prescribed by G.S. 90-210.28 and 21 NCAC 34A .0201. If the application fee is dishonored by the licensee's drawee bank for any reason, the Board shall suspend the license until the renewal fees and non-sufficient fund charges are paid.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(5); 90-210.28
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. April 1, 2021.

21 NCAC 34B .0310 Practice of Funeral Service or Funeral Directing Not as an Owner, Employee or Agent of a Licensed Funeral Establishment

(a) A funeral director or funeral service licensee registered to practice under G.S. 90-210.25(a2) shall not use its business office required by G.S. 90-210.25(a2)(2)a. to conduct the practice of funeral service or funeral directing. A funeral director or funeral service licensee shall not hold out to the public that its business office is a funeral establishment and shall not use a business name that misleads the public to believe that its business office is a funeral establishment or operates or maintains a facility that is a funeral establishment.

(b) An applicant to practice under the provisions of G.S. 90-210.25(a2) shall submit a form provided by the Board as set forth in Paragraph (c) of this Rule with an application fee of two hundred fifty dollars ($250.00). Applications that are not completed within 90 days following submission to the Board shall be denied.

(c) Applications for an unaffiliated practice permit shall be made on applications available on the Board's website at ncbfs.org. Applications not completed within 90 days following submission to the Board shall be denied. All applications for an unaffiliated practice permit shall contain the following:

(1) The applicant's full name and license number;

(2) The applicant's email address, residential address, mailing address, and phone number(s);

(3) The name of the individual or entity that owns the unaffiliated practice;

(4) Whether the entity or individual owning the unaffiliated practice is a sole proprietorship, partnership, corporation, or limited liability company;

(5) If owned by a sole proprietor, the legal name of the sole proprietor;

(6) If owned by a partnership, a copy of the applicant's partnership agreement;

(7) If owned by a corporation, a copy of the applicant's Articles of Incorporation;

(8) If owned by a limited liability company, a copy of the applicant's Articles of Organization;

(9) If the applicant will conduct business in a different name than that of its owning entity, a copy of the applicant's Certificate of Assumed Name;

(10) The names and respective ownership interest percentages of each sole proprietor, partner, LLC members, or corporate officers;

(11) The name and address of the funeral establishment or embalming facility where embalming will occur;

(12) The address of the location at which unaffiliated practice records will be held;

(13) The name and address of the location where sheltering of remains will occur prior to moving remains to the location at which funeral services will be held;

(14) The names, license type, and license number of each funeral director, funeral service licensee, and embalmer working for the unaffiliated practice and whether said licensee is working on a full-time, part-time, or per case basis;

(15) A copy of the General Price List, Casket Price List, Outer Burial Container Price List, and Statement of Funeral Goods and Services Selected intended for use by the applicant, as required by the FTC Funeral Rule, 16 C.F.R. 453.2;

(16) Proof of the applicant's professional liability insurance with a minimum coverage amount of one million dollars ($1,000,000.00);

(17) Whether the applicant currently is in good standing with the North Carolina Secretary of State and, if so, documentation to establish proof of the same;

(18) Whether, within the preceding two years, the applicant has been the subject of any investigation for employee misclassification and, if so, the results of the investigation;

(19) The licensed manager's notarized signature to certify that:

(A) he or she has prepared the application and has read the answers;

(B) the information provided in the application is true;

(C) the applicant has read and understands the public notice statement on employee misclassification that is set forth in the application and has disclosed any investigations for employee misclassification, and its results, over the preceding two year period, as prescribed by G.S. 143-789;

(D) he or she understands that any credential issued shall be governed by the provisions of Article 13A, Chapter 90 of the North Carolina General Statutes and the rules promulgated by the Board; and

(E) the applicant owns, or was employed by, a funeral establishment directly damaged or destroyed by Hurricane Helene, to include the name of said funeral establishment and the type of damage or destruction that said funeral establishment suffered.

(20) The application fee, as prescribed by G.S. 90-210.28 and 21 NCAC 34A .0201. If the application fee is dishonored by the licensee's drawee bank for any reason, the Board shall suspend the license until the renewal fees and non-sufficient fund charges are paid.

(d) Renewal applications for an unaffiliated practice permit shall be made on applications available on the Board's website at ncbfs.org. All renewal applications for an unaffiliated practice permit shall contain all information required by Paragraph (c)(1)-(4), (c)(9)-(20) of this Rule.

History

• Authority G.S. 90-210.23(a); 90-210.25(a2)(2)a., b.; 90-210.27A(a), (i)
• Eff. February 1, 2009
• Temporary Amendment Eff. November 7, 2025
• Amended Eff. April 1, 2026.

21 NCAC 34B .0311 Special Procedures for Licensing of Active Military Personnel

(a) Definitions. As used in this Rule:

(1) "Active military person" shall mean any person holding an applicable license or permit from the Board who meets the conditions of G.S. 105-249.2(a) and would be subject to any continuing education requirement, renewal fee, or renewal application to renew or reinstate any permit or license issued by the Board.

(2) "Active military status" shall mean any active military person who is not practicing funeral service, funeral directing, or embalming because of military service.

(3) "Active status" shall mean any person holding a license to practice funeral directing, funeral service, or embalming in good standing who has not been approved for an inactive license under the provisions of G.S. 90-210.25(a1).

(4) "Applicant" shall mean the active military person or any person authorized to conduct business affairs for the active military person under the authority granted by a power of attorney executed under the laws of any state.

(b) The following provisions shall apply to funeral director, funeral service, and embalmer licenses only:

(1) Any active military person wishing to claim active military status shall file a form provided by the Board. The applicant shall furnish the full name of the active military person; license number, address and telephone number of the active military person; date of active military service; anticipated date the active military person will resume practice, if known; and documentation from the branch of service demonstrating entitlement to active military status. The Board shall notify the applicant in writing of its decision on the application and shall place the active military person on active military status upon approving the application.

(2) No fees or renewal applications shall be required during the period of active military status. Continuing education shall not be required for any calendar year when active military status is effective. Any calendar year in which continuing education is not required of the active military person shall be credited toward the total years of continuing education required by G.S. 90-210.25(a)(5)e.

(3) Active military status shall terminate upon the earlier of return to active status or upon six months after severance from active military duty.

(4) Any active military person may claim active military status retroactively within six months from severance from active military duty.

(5) Any active military person whose license lapses for failing to timely claim active military status shall be subject to the provisions of reinstatement under G.S. 90-210.25(a)(5)b. and shall not be entitled to any waivers of continuing education, renewal fees, or reinstatement fees.

(6) To return to active status, the active military person shall file an application for renewal and renewal fee for the calendar year regardless of the date of application.

(c) If any funeral establishment, crematory, or preneed establishment ceases operations because the active military person claims active military status, all such licenses or permits shall terminate upon transfer of the active military person to active military status. If the active military person resumes active status, any funeral establishment, preneed establishment, or crematory shall be required to apply for a new license or permit but shall only be required to pay the renewal fee to issue the new license or permit.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(5),(a1); 93B-15(b)
• Eff. October 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34B .0312 Members Required Before Licensing

Before any new burial association can be licensed, the proposed burial association's sponsor must obtain 800 members within six months of the charter date. If, at the end of six months, it is determined that sufficient progress has been made toward obtaining 800 members, then an additional 90 days may be granted.

History

• Authority G.S. 58-241; 58-241.8
• Eff. February 1, 1976
• Recodified from 04 NCAC 04 .0301 Eff. January 13, 2017
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34B .0313 Procedures for Provisional Licensure

(a) Definitions. As used in this Rule:

(1) "Applicant" shall mean the person submitting an Application for Provisional License on a form made available by the Board on its website at ncbfs.org. Applicants shall provide the following information on the Application for Provisional License:

(A) The applicant's full name, date of birth, place of birth, sex, and social security number;

(B) The applicant's email address, residential address, mailing address, and phone number(s);

(C) The name and address of the applicant's current employer and past employers over the five years preceding the application, to include the dates of employment and nature of the work performed by the applicant;

(D) The name, address, phone number, and email address of the funeral establishment at which the applicant's provisional funeral directing will be performed, as well as the establishment's licensed manager;

(E) The name of each college or university attended by the applicant, the dates of attendance, and the graduation date and degree(s) obtained, if any;

(F) A certified transcript from each college or university at which the applicant attended courses toward his or her attainment of the educational degree required by G.S. 90-210.25(a)(1), (2), (3);

(G) Whether the applicant has completed an unexpired certified resident traineeship with the Board or is eligible for certification of a resident traineeship with the Board;

(H) Whether the applicant has ever been certified, licensed, or registered to practice funeral service by the Board or by another occupational licensing board and, if so, the type of credential, the jurisdiction of issuance, the issuance date, the expiration date, and any examinations taken to obtain the credential;

(I) Whether the applicant ever has been denied a credential in another state and, if so, the jurisdiction and the reason for the denial of the credential;

(J) Whether the applicant has been convicted of a felony or misdemeanor crime and, if so, a statement providing the jurisdiction, charge, date of disposition, and sentence imposed of each conviction;

(K) Whether the applicant has any criminal charges currently pending and, if so, the nature of the charge and the jurisdiction in which the charge is pending;

(L) Whether the applicant has had an occupational or business license suspended or revoked by any local, state, or federal agency and, if so, a statement providing the reason for the action and the date, location, and circumstances of any violation that led to action against the license;

(M) Whether any court, board, agency, or professional organization has found applicant guilty of misconduct, unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the tribunal and the date of the finding;

(N) Whether the applicant has any charges pending before any court, board, agency, or professional organization for unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the tribunal in which the charge is pending;

(O) Whether, within the preceding two years, the applicant has been the subject of any investigation for employee misclassification and, if so, the results of the investigation;

(P) The applicant's notarized signature to certify that he or she has prepared the application and has read the answers, the information provided in the application is true, the applicant has read and understands the public notice statement on employee misclassification that is set forth in the application and has disclosed any investigations for employee misclassification, and its results, over the preceding two year period, as prescribed by G.S. 143-789, and he or she understands that any credential issued shall be governed by the provisions of Article 13A, Chapter 90 of the North Carolina General Statutes and the rules promulgated by the Board; and

(Q) The application fee, as prescribed by G.S. 90-210.25(a)(3a). If the application fee is dishonored by the licensee's drawee bank for any reason, the Board shall suspend the license until the renewal fees and non-sufficient fund charges are paid.

(2) "Entry-Level Examination" shall mean an examination as defined by G.S. 90-210.20(11) and as recognized by the Board in 21 NCAC 34B .0211.

(3) "Laws and Rules Examination" shall mean an examination prepared by the Board to evaluate an applicant's knowledge of Articles 13A, 13D, 13E, and 13F of Chapter 90 of the North Carolina General Statutes, Chapter 34 of Title 21 of the North Carolina Administrative Code, and the federal Funeral Rule as expressed in the standards set forth in Funeral Industry Practices, 16 C.F. R. 453 (1984), pursuant to its most recent version.

(4) "Professional Experience" shall mean work providing knowledge, skill, and proficiency resulting from the performance of funeral-related duties and responsibilities; work requiring knowledge attained through academic education beyond high school; and work that is intellectual in nature.

(5) "Provisional Licensee" shall mean any individual satisfying the provisional licensure requirements pursuant to G.S. 90-210.25(a)(3a).

(b) The following provisions shall apply to provisional license applicants and licensees only:

(1) Applicants shall submit with their application for provisional licensure proof of satisfying the education requirements pursuant to G.S. 90-210.25(a)(3a)(d). Such proof shall include certified transcripts from an accredited post-secondary institution, or, if applicable, a certified transcript from a funeral director program accredited by the American Board of Funeral Service Education (ABFSE) or a funeral director program offered at a post-secondary institution that is accredited by ABFSE. Certified transcripts shall come from the educational institution directly to the Board.

(2) Applicants not otherwise qualified as a certified trainee or eligible for a certified traineeship shall submit with their application for provisional licensure an employment history on a form provided by the Board on its website at ncbfs.org, which shall supplement the provisional license application and requires a listing of funeral-related work including name and contact information of employer, dates of employment, and duties and responsibilities performed.

(3) Prior to licensure as a Funeral Director, provisional licensees shall have attained a passing score of 75 percent on the Entry-Level Examination. Applicants shall have attained a passing score of 75 percent on the Laws and Rules Examination.

(4) Applicants shall be subject to a criminal history background check pursuant to the requirements of G.S. 90-210.25(a)(5)(h) and may be approved for licensure in the absence of any disqualifying conditions pursuant to G.S. 90-210.25(e)(1)(a) and G.S. 93B-8.1.

(5) Provisional licensees shall be subject to the same license renewal requirements as licensees in funeral directing, including completion of a renewal application as set forth in Rule .0309 of this Section by December 31st of each year but not later than February 1st of the year immediately following the expiration of the license and submission of a non-refundable renewal fee of two hundred fifty dollars ($250.00).

(6) Provisional licensees shall be subject to the same requirements for continuing education as for licensees in funeral directing including a minimum of five continuing education credits annually. All continuing education credits shall be awarded only for Board-approved courses of instruction provided through an accredited sponsor or other approved provider, as set forth in Section .0400 of this Subchapter.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(3a)
• Eff. March 17, 2021
• Temporary Amendment Eff. November 7, 2025
• Amended Eff. April 1, 2026.

21 NCAC 34B .0401 Establishment and Approval of Courses

Editor's Note: 21 NCAC 34B .0401 - .0405 was recodified from 21 NCAC 34 .0501 - .0505 Eff. February 7, 1991.

The Board shall cause at least eight hours of continuing education courses to be offered to the licensees annually, either directly or through other organizations or persons procured for such purpose. Information about Board-approved courses shall be posted on the Board's website at ncbfs.org.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(5)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004; November 1, 1994; September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. February 1, 2026.

21 NCAC 34B .0402 Requirement for License Renewal

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.25(a)(5); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0403 Requirement for License Reinstatement

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.25(a)(5); 150B-11(1)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. September 1, 1979
• Repealed Eff. August 1, 1998.

21 NCAC 34B .0404 Continuing Education Card

All licensees shall complete a card provided by the Board to certify that the licensee has taken continuing education courses. The form shall require the licensee to furnish the name of the licensee, "in time" and "out time" at the course, the license number, total hours, date, attestation by an authorized official who may be an official of the entity sponsoring the course or a member of the Board or its designated agent, and any other information the Board deems necessary as required by law. The form must be filed with the Board no later than the time when evidence of having taken such courses is required for license renewal or reinstatement.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(5)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004; September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34B .0405 Application Form for Approval of Course

Applications for approval of a course of continuing education shall be made on forms provided by the Board. The applicant shall furnish the date, name of the organization or person making the application, description of the course, name and credentials of the instructor, and a statement by the applicant of how the course will aid the licensee in serving the public. The form must be filed with the Board, when making application, at least 30 days prior to the date of enrollment established for the course.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(5)
• Eff. September 1, 1979
• Amended Eff. November 1, 2004; November 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34B .0406 Application Form for Approval of Sponsor

Applications for approval of a sponsor of continuing education shall be made on forms provided by the Board. The applicant shall furnish the date, name of the organization or person making the application, description of the sponsor and the types of courses it offers as well as its requirements to be an instructor for its courses, and a statement by the applicant of how its courses will aid the licensee in serving the public. The form must be filed with the Board, when making application, at least 90 days prior to the first course the sponsor intends to offer for CE credit.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(5)
• Eff. July 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34B .0407 Definitions

For purposes of Section .0400, the following definitions shall apply:

(1) "Accredited sponsor" shall mean an organization whose continuing education offerings have been accredited by the Board.

(2) "Approved activity" shall mean a specific, individual continuing education activity presented by an accredited sponsor or presented by other than an accredited sponsor if such activity is approved as a continuing education activity under the Rules in this Section by the Continuing Education Committee of the Board.

(3) "Continuing education" or "CE" is any educational activity accredited by the Board. CE includes educational activities designed principally to maintain or increase the professional competence of licensees or the understanding of the professional responsibilities of licensees.

(4) "Continuing Education Committee" shall mean the Continuing Education Committee of the North Carolina Board of Funeral Service.

(5) "Credit hour" means an increment of time of 50 minutes which may be divided into segments of 25 minutes, but no smaller.

(6) "Inactive licensee" shall mean a licensee of the North Carolina State Board of Funeral Service who is on inactive status.

(7) "Licensee" shall include any person who is licensed by the Board to practice funeral directing, embalming, or funeral service in the state of North Carolina and whose license is active.

(8) "Participatory CE" shall mean courses or segments of courses that encourage the participation of attendees in the educational experience through, for example, the analysis of hypothetical situations, role playing, mock trials, roundtable discussions, or debates.

(9) "Self-study" shall mean the reading of professional articles, journals, magazines, and books or the watching of programs on the topics of funeral directing, embalming and funeral services that will increase the licensee's professional competence and proficiency as a licensee.

(10) "Sponsor" is any person or entity presenting or offering to present one or more continuing education programs, whether or not an accredited sponsor.

(11) "Year" shall mean calendar year.

(12) "Course" shall mean the instructional content of the material being presented.

(13) "CE Program" shall mean the date, time, and location of the presentation of a CE course.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(5)
• Eff. July 1, 2005
• Amended Eff. March 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34B .0408 Continuing Education Program

(a) For licensees required to complete continuing education ("CE") as a prerequisite to annual license renewal, the five hours of approved CE shall meet the following requirements:

(1) CE courses taken at the direction of the Board as memorialized in a consent order, final agency decision, or taken voluntarily by the licensee to resolve a pending disciplinary matter, shall not be credited toward CE hours needed for annual licensure renewal. If the Board requires licensees to take a particular required course or courses, the Board shall notify licensees no later than October 1 of the year preceding the calendar year in which the course(s) will be required.

(2) Licensees shall not receive credit toward completed CE hours for taking the same CE course within two years.

(b) A person who has received his or her license within the past 12 months and who currently holds an active license shall receive CE credit toward annual licensure renewal for any CE hours earned after that licensee's mortuary science college graduation provided that the CE hours were earned within the preceding 12 months.

(c) Licensees desiring to attend a Board-sponsored CE course taught by a member of Board staff shall pay to the Board a non-refundable registration fee of fifty dollars ($50.00) in advance of the CE course, as set forth in Rule 34A .0201(e) of this Chapter.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(5); 150B-41(c)
• Eff. July 1, 2005
• Amended Eff. January 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. March 17, 2021
• Temporary Amendment Eff. November 7, 2025
• Amended Eff. April 1, 2026.

21 NCAC 34B .0409 COURSE Accreditation Standards

(a) The content of a CE activity must have intellectual or practical content designed to maintain or increase the participant's professional competence and proficiency as a licensee or the participant's understanding of the professional responsibilities of a licensee. The activity shall constitute an organized program course of learning dealing with matters directly related to the practice of funeral directing, embalming, or funeral service. The activity shall include an opportunity for the participants to ask questions of the presenter about its content. Courses that cross academic lines, such as insurance seminars, may be considered for approval by the Board. However, the Board must be satisfied that the content of the activity is directly related to preneed or would otherwise enhance funeral directing and funeral service skills.

(b) Credit may be given for continuing education activities where live instruction is used or mechanically or electronically recorded or reproduced material is used, including videotape or satellite transmitted programs. Subject to the limitations set forth in 21 NCAC 34B .0408(a) and 21 NCAC 34B .0414, credit may also be given for continuing education activities on CD-ROM and on a computer website accessed via the Internet.

(c) Continuing education materials shall be prepared, and activities conducted, by an individual or group able to lead the CE activity and to answer questions from the participants about its content. Examples of individuals and groups able to lead the CE activity and to answer questions from the participants about its content include:

(1) Funeral professionals licensed by the Board or by the authority of another jurisdiction who are actively engaged full time in a capacity consistent with the individual's license designation for at least three years immediately preceding the date of the CE activity.

(2) Instructors employed by a program or college of mortuary science in a capacity consistent with the courses of study required as a prerequisite to licensing, as defined in G.S. 90-210.25(a)(1)e1., (2)e1., and (3)e1. and 2.

(3) Instructors employed by academic institutions in a capacity consistent with the instruction of the courses of study required as a prerequisite to licensing, as defined by G.S. 90-210.25(a)(1)e1., (2)e1., and (3)e1. and 2.

(d) Continuing education activities shall be conducted in a setting physically suitable to the educational activity of the program and equipped with suitable writing surfaces and sufficient space for taking notes.

(e) Thorough, high quality, and carefully prepared, written materials must be distributed to all attendees at or before the time the course is presented. As used in this Paragraph, "thorough, high quality, and carefully prepared written materials" means materials that correspond to the content of the CE activity and are free from errors, including written materials printed from a computer website or CD-ROM, but excluding any materials that refer to a product of a specific manufacturer or to a service offered by a specific provider. The Board may waive the requirement that written materials be provided if written materials would not be suitable or readily available for the CE activity.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(5)
• Eff. July 1, 2005
• Amended Eff. March 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34B .0410 Accreditation of Sponsors and Programs

(a) Accreditation of Sponsors. An organization desiring accreditation as an accredited sponsor of courses, programs, or other continuing education activities may apply for accredited sponsor status to the Board. The Board shall approve a sponsor as an accredited sponsor if it is satisfied that the sponsor's programs have met the standards set forth in 21 NCAC 34B .0409.

(b) Presumptive Approval for Accredited Sponsors.

(1) Once an organization is approved as an accredited sponsor, the continuing education programs sponsored by that organization are presumptively approved for credit and no application must be made to the Board for approval. The Board may at any time revoke the accreditation of an accredited sponsor for failure to satisfy the Rules in this Section.

(2) The Board may evaluate a program presented by an accredited sponsor and, upon a determination that the program does not satisfy the requirements of 21 NCAC 34B .0409, notify the accredited sponsor that any presentation of the same program, the date for which was not included in the announcement required by 21 NCAC 34B .0411(e) below, is not approved for credit. Such notice shall be sent by the Board to the accredited sponsor within 30 days after the receipt of the announcement. The accredited sponsor may request reconsideration of such a decision by submitting a letter of appeal to the Board within 15 days of receipt of the notice of disapproval. The decision by the Board on an appeal is final.

(c) Unaccredited Sponsor Request for Program Approval. Any organization not accredited as an accredited sponsor that desires approval of a course or program shall apply to the Board. The Board shall administer the accreditation of such programs consistent with the provisions of 21 NCAC 34B .0409. Applicants denied approval of a program may request reconsideration of such a decision by submitting a letter of appeal to the Board within 15 days of receipt of the notice of disapproval. The decision by the Board on an appeal is final.

(d) Licensee Request for Program Approval. An active licensee desiring approval of a course or program that has not otherwise been approved shall apply to the Board. Applicants denied approval of a program may request reconsideration of such a decision by submitting a letter of appeal to the Board within 15 days of the receipt of the notice of disapproval. The decision by the Board on an appeal is final.

(e) Program Announcements of Accredited Sponsors. At least 30 days prior to the presentation of a program, an accredited sponsor shall file an announcement, on a form prescribed by the Board, notifying the Board of the dates and locations of presentations of the program, the sponsor's calculation of the CE credit hours for the program, and the cost of the program to attendees.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(5)
• Eff. July 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34B .0411 General Course Approval

(a) Mortuary Science College Courses – Courses covering subjects required by G.S. 90-210.25(a)(1)e1., (2)e1., and (3)e1. and 2 that are offered for academic credit by a mortuary science college approved by the Board or accredited by the American Board of Funeral Service Education shall be approved activities unless the course is taken to obtain a funeral director, embalmer, or funeral service license. Computation of CE credit for such courses shall be as prescribed in 21 NCAC 34B .0415. No more than five CE hours in any year may be earned by such courses except in the cases of an inactive licensee who is seeking to earn enough CE credit to return to active status or an individual whose license has lapsed and who is seeking to reinstate the license. No credit is available for mortuary science college courses attended prior to becoming an active licensee of the North Carolina Board of Funeral Service, except in the case of an inactive licensee who is seeking to earn enough CE credits to return to an active status.

(b) Approval – CE activities shall be approved upon the written application of a sponsor, other than an accredited sponsor, or of an active licensee on an individual program basis. An application for the approval of such CE courses and programs shall meet the following requirements:

(1) The application and supporting documentation, including one complete set of the written materials to be distributed at the course or program, shall be submitted at least 30 days prior to the date on which the course or program is scheduled.

(2) The application shall be submitted on a form furnished by the Board. The form shall require the applicant to furnish the name and address of the course sponsor, the title, date, length, and location of the course, and any other information the Board deems necessary as required by law.

(3) The application shall be accompanied by a course outline or brochure that describes the content, identifies the teachers, lists the time devoted to each topic and shows each date and location at which the course or program will be offered.

(4) The application shall include a calculation of the total number of CE hours using the method prescribed in 21 NCAC 34B .0415.

(c) Course Quality – The application and written materials provided shall reflect that the program to be offered meets the requirements of 21 NCAC 34B .0409. Written materials consisting merely of an outline without citation or explanatory notations shall not be sufficient for approval. Any sponsor, including an accredited sponsor, who expects to conduct a CE activity for which suitable written materials will not be made available to all attendees may obtain approval for that activity only by application to the Board at least 30 days in advance of the presentation showing why written materials are not suitable or readily available for such a program.

(d) Records – Sponsors, including accredited sponsors, shall within 30 days after the course is concluded:

(1) furnish to the Board a list in alphabetical order, on electronic media if available, of the names of all North Carolina attendees and their North Carolina Board of Funeral Service license numbers;

(2) furnish to the Board a complete set of all written materials distributed to attendees at the course or program.

(e) Announcement – Accredited sponsors and other sponsors who have approval for courses may include in their brochures or other course descriptions the information contained in the following illustration:

This course [or seminar or program] has been approved by the North Carolina Board of Funeral Service for continuing education credit in the amount of ____ hours. This course is not sponsored by the Board.

(f) Notice - Sponsors not having approval shall make no representation concerning the approval of the course for CE credit by the Board. The Board shall mail a notice of its decision on CE activity approval requests within 15 days of their receipt. Approval thereof shall be deemed if the notice is not mailed within 30 days. This automatic approval will not operate if the sponsor contributes to the delay by failing to provide all information requested by the Board or if the Board notifies the sponsor that the matter has been tabled and the reason therefore.

(g) Facilities - Sponsors must provide a facility conducive to learning with sufficient space for taking notes. Sponsors must also ensure the following requirements are met:

(1) Access to the facility shall be controlled so that attendees actually attend the entire program or portion of the program for which they are seeking credit. Attendees who are late or who leave early shall not be given credit for the portion of the program that they missed.

(2) All licensees who attend a program and desire credit for attendance must present their license pocket card to gain admission to the program.

(3) The individual or organization conducting the continuing education program must use registration sign in/sign out sheets to ensure attendance by all participants.

(4) The reading of outside material, such as newspapers and magazines, is prohibited during a CE program.

(5) Cell phones and other disruptive devices must be turned off or switched to a silent mode of operation during instructional periods of the CE program.

(6) Persons obtaining CE hours for license reinstatement shall be provided a temporary card, valid for one year from the date of issue, from the Board in order to be allowed entrance to CE programs.

(h) Course Materials - In addition to the requirements of 21 NCAC 34B .0411(d) and (f) above, sponsors, including accredited sponsors, and active licensees seeking credit for an approved activity shall furnish upon request of the Board a copy of all materials presented and distributed at a CE course or program.

(i) Non-funeral service Educational Activities - Approval of courses shall not be given for general and personal educational activities. For example, the following types of courses shall not receive approval:

(1) courses within the normal college curriculum such as English, history, and social studies;

(2) courses that deal with sales and advertising only and would not further educate a licensee as to his or her product knowledge and development of funeral procedures and management models designed to increase the level of service provided to the consumer.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(5)
• Eff. July 1, 2005
• Amended Eff. March 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34B .0412 Accredited Sponsors

In order to receive designation as an accredited sponsor of courses, programs or other continuing education activities under 21 NCAC 34B .0410(a), the application of the sponsor must meet the following requirements:

(1) The application for accredited sponsor status shall be submitted on a form prescribed by the Board. The form shall require the applicant to furnish the name and address of the sponsor, the contact person within the organization, and any other information the Board deems necessary as required by law.

(2) The application shall be accompanied by course outlines or brochures that describe the content, identify the instructors, list the time devoted to each topic, show each date and location at which three programs have been sponsored in each of the last three consecutive years, and enclose the actual course materials.

(3) The application shall include a detailed calculation of the total CE hours specified in each of the programs sponsored by the organization.

(4) The application shall reflect that the previous programs offered by the organization in continuing education would have met the standards set forth in 21 NCAC 34B .0409.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(5)
• Eff. July 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34B .0413 Accreditation of Prerecorded Programs and Live Programs Broadcast to Remote Locations by Telephone, Satellite, or Video Conferencing Equipment

(a) A licensee may receive up to two hours of CE credit each year for attendance at, or participation in, a presentation where prerecorded material is used.

(b) A licensee may receive credit for participation in a live presentation which is simultaneously broadcast by telephone, satellite, or video conferencing equipment. The licensee may participate in the presentation by listening to or viewing the broadcast from a location that is remote from the origin of the broadcast.

(c) A licensee attending a prerecorded presentation is entitled to credit hours if:

(1) the presentation from which the program is recorded would, if attended by an active licensee, be an accredited course; and

(2) all other conditions imposed by the rules in this Subchapter are met.

(d) A licensee attending a presentation broadcast by telephone, satellite, or video conferencing equipment is entitled to credit if:

(1) the live presentation of the program would, if attended by a licensee, be an accredited course;

(2) there is a question and answer session with the presenter or presenters subject to the limitations set forth in 21 NCAC 34B .0415(b)(5); and

(3) all other conditions imposed by the rules in this Subchapter are met.

(e) To receive approval for attendance at programs described in Paragraphs (a) and (b) of this Rule, the following conditions must be met:

(1) Unless the entire program was produced by an accredited sponsor, the person or organization sponsoring the program must receive advance approval and accreditation from the Board;

(2) The person or organization sponsoring the program must have a method for recording and verifying attendance. Attendance at a telephone broadcast may be verified by assigning a personal identification number to a licensee. The person or organization sponsoring the program must forward a copy of the record of attendance of active licensees to the Board within 30 days after the presentation of the program is completed. Proof of attendance may be made by the verifying person on a form provided by the Board;

(3) Unless inappropriate for the particular course, detailed papers, manuals, study materials, or written outlines are presented to the persons attending the program which only pertain to the subject matter of the program. Any materials made available to persons attending the original or live program must be made available to those persons attending the prerecorded or broadcast program who desire to receive credit under the rules in this Section; and

(4) A room suitable for viewing the program and taking notes must be available.

(f) A minimum of five licensees must physically attend the presentation of a prerecorded program in the same location. This requirement does not apply to participation from a remote location in the presentation of a live broadcast by telephone, satellite, or video conferencing equipment.

(g) EXAMPLES:

EXAMPLE (1): Licensee X attends a videotape seminar sponsored by an accredited sponsor. If a person attending the program from which the videotape is made would receive credit, Licensee X is also entitled to receive credit, if the additional conditions under this Rule are also met.

EXAMPLE (2): Licensee Y desires to attend a videotape program. However, the proposed videotape program (a) is not presented by an accredited sponsor, and (b) has not received individual course approval from the Board. Licensee Y shall not receive any credit hours for attending that videotape presentation.

EXAMPLE (3): Licensee Z attends a videotape program. The presentation of the program from which the videotape was made has already been held and approved by the Board for credit. However, no person is present at the videotape program to record attendance. Licensee Z shall not obtain credit for viewing the videotape program unless it is viewed in the presence of a person who is not attending the videotape program for credit and who verifies the attendance of Licensee Z and of other licensees at the program. All other conditions of this Rule must also be met.

EXAMPLE (4): Licensee A listens to a live telephone seminar using the telephone in the conference room of her funeral establishment. To record her attendance, Licensee A was assigned a person identification number (PIN) by the seminar sponsor. Once connected, Licensee A punched in the PIN number on her touch tone phone and her attendance was recorded. The seminar received individual course approval from the Board. Licensee A shall receive credit if the additional conditions under this Rule are also met.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(5)
• Eff. July 1, 2005
• Amended Eff. September 1, 2009; March 1, 2008.
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34B .0414 Accreditation of Computer-Based CE

(a) To be accredited, a computer-based CE course must meet all of the conditions imposed by the rules in this Subchapter, except where otherwise noted, and be interactive, permitting the participant to communicate, via telephone, electronic mail, or methods of synchronous communication, with the presenter or other participants.

(b) An on-line course is an educational seminar available on a provider's website reached via the internet. The sponsor of an on-line course must have a reliable method for recording and verifying attendance. A participant may log on and off of a computer-based CE course provided the total time spent participating in the course is equal to or exceeds the credit hours assigned to the program. Within 30 days after the conclusion of a course, the sponsor or the instructor must forward to the Board the name of each licensee who attended the course and the length of time in instruction that each licensee received.

(c) After approval of a computer-based CE course, the sponsor may replay the computer-based CE course indefinitely until any change is made to the course content. Any modification to an approved computer-based CE course shall require the sponsor to submit a new application for approval but the sponsor may continue to show the previously approved version of the course.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(5)
• Eff. July 1, 2005
• Amended Eff. January 1, 2009; March 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017:
• Amended Eff. February 1, 2026.

21 NCAC 34B .0415 Computation of Credit

(a) Computation Formula - CE and professional responsibility hours shall be computed by the following formula:

Sum of the total minutes of actual instruction divided by 50 = Total Hours.

For example, actual instruction totaling 175 minutes would equal 3.5 hours toward CE.

(b) Actual Instruction - Only actual education shall be included in computing the total hours of actual instruction. The following shall not be included:

(1) introductory remarks;

(2) breaks;

(3) business meetings;

(4) speeches in connection with banquets or other events which are primarily social in nature;

(5) question and answer sessions at a ratio in excess of 15 minutes per CE hour and programs less than 30 minutes in length provided, however, that the limitation on question and answer sessions shall not limit the length of time that may be devoted to participatory CE.

(c) Teaching - As a contribution to professionalism, credit may be earned for teaching in an approved continuing education activity. Presentations accompanied by written materials approved under this Subchapter shall qualify for CE credit on the basis of three hours of credit for each 50 minutes of presentation. Repeat presentations qualify for one-half of the credits available for the initial presentation. For example, an initial presentation of 50 minutes would qualify for three hours of credit while a subsequent presentation of the same material would qualify the instructor for 1.5 hours of credit.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(5)
• Eff. December 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34B .0501 Application for License

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.25(b)(1); 150B-11(1)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Repealed Eff. February 1, 2026.

21 NCAC 34B .0502 APPLICATION FORM AND EQUIVALENT EXAMINATIONS FOR reciprocal LICENSE

(a) Applications for licensure as a funeral service licensee, embalmer, or funeral director by individuals licensed in other jurisdictions shall be made on applications available on the Board's website at ncbfs.org. Applications not completed within 90 days following submission to the Board shall be denied. All applications for such licensure shall contain the following:

(1) The applicant's full name, date of birth, place of birth, sex, and social security number;

(2) The applicant's email address, residential address, mailing address, and phone number(s);

(3) The name and address of the applicant's current employer and past employers over the three years preceding the application, to include the dates of employment and nature of the work performed by the applicant;

(4) Whether the applicant is applying for a funeral service license, a funeral director license, or embalmer license;

(5) The name of each college or university attended by the applicant, the dates of attendance, and the graduation date and degree(s) obtained, if any;

(6) A certified transcript from each college or university at which the applicant attended courses toward his or her attainment of the educational degree required by G.S. 90-210.25(a)(1), (2), (3);

(7) Whether the applicant currently holds a funeral service license, funeral director license, or embalmer license in any jurisdiction outside of North Carolina and if so, the name of the jurisdiction, the date that the license was issued, the license number, and the expiration date of the license;

(8) Whether the applicant has any military training or military experience in the practice of funeral service and, if so, for how many years the applicant has practiced funeral service in the five years preceding the application;

(9) Whether the applicant is a spouse of a military servicemember and, if so, for how many years the applicant has practiced funeral service in the five years preceding the application;

(10) Whether the applicant ever has been denied a credential in another state and, if so, the jurisdiction and the reason for the denial of the credential;

(11) Whether the applicant has been convicted of a felony or misdemeanor crime and, if so, a statement providing the jurisdiction, charge, date of disposition, and sentence imposed of each conviction;

(12) Whether the applicant has any criminal charges currently pending and, if so, the nature of the charge and the jurisdiction in which the charge is pending;

(13) Whether the applicant has had an occupational or business license suspended or revoked by any local, state, or federal agency and, if so, a statement providing the reason for the action and the date, location, and circumstances of any violation that led to action against the license;

(14) Whether any court, board, agency, or professional organization has found applicant guilty of misconduct, unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the tribunal and the date of the finding;

(15) Whether the applicant has any charges pending before any court, board, agency, or professional organization for unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the tribunal in which the charge is pending;

(16) Whether, within the preceding two years, the applicant has been the subject of any investigation for employee misclassification and, if so, the results of the investigation;

(17) The applicant's notarized signature to certify that:

(A) he or she has prepared the application and has read the answers;

(B) the information provided in the application is true;

(C) the applicant has read and understands the public notice statement on employee misclassification that is set forth in the application and has disclosed any investigations for employee misclassification, and its results, over the preceding two year period, as prescribed by G.S. 143-789; and

(D) he or she understands that any credential issued shall be governed by the provisions of Article 13A, Chapter 90 of the North Carolina General Statutes and the rules promulgated by the Board.

(18) The application fee, as prescribed by G.S. 90-210.28 and 21 NCAC 34A .0201. If the application fee is dishonored by the licensee's drawee bank for any reason, the Board shall suspend the license until the renewal fees and non-sufficient fund charges are paid.

(b) The form shall require the licensing board of the other jurisdiction(s) to certify that the applicant is licensed and in good standing in that jurisdiction and to furnish the Board with the name of the applicant, licenses held and dates granted, and the name and address of the Board in such other jurisdiction.

(c) The applicant shall provide an employment history to show at least three consecutive years of professional practice performed in the other jurisdictions to demonstrate professional competency.

(d) Applicants for reciprocal licensure pursuant to G.S. 90-210.25(b)(1) or G.S. 93B-15.3 shall be deemed to have satisfied the examination requirements for reciprocal licensure if they have completed with passing scores the Laws and Rules Examination defined in 21 NCAC 34B .0313(a)(3).

History

• Authority G.S. 90-210.23(a); 90-210.25(b)(1); 93B-15.1; 93B-15.3
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004; September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. March 17, 2021
• Temporary Amendment Eff. November 7, 2025
• Amended Eff. April 1, 2026.

21 NCAC 34B .0503 Affidavit of State Endorsement

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.25(b); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0504 Affidavit of State Endorsement

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.25(b); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0505 Recommendations by Licensee for Reciprocal Licensure

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.25(b); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0506 Verification of Practice

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.25(b); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0507 Courtesy Cards

Applications by out-of-state licensees for courtesy cards pursuant to G.S. 90-210.25(b)(3) shall be submitted to the Board on forms furnished by the Board, as described in Rule .0508 of this Section. Such cards shall be issued by license category corresponding to the license held by the applicant, shall be non-transferable, and shall be renewable from year to year. A courtesy card shall expire and terminate upon the suspension, revocation, forfeiture, expiration, or other termination of the holder's license issued by the licensing board of the other jurisdiction, or on the 31st day of December of each year, whichever shall first occur. The holder of a courtesy card shall be subject to the provisions of G.S. 90-210.25(e). The application must be verified by the applicant, as described in Rule .0508 of this Section, and must include verification from the licensing board of the other jurisdiction that attests to the applicant's licensure status with the board.

History

• Authority G.S. 90-210.23(a); 90-210.25(b)(3)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. February 1, 2026.

21 NCAC 34B .0508 Application Form for Courtesy Card

Applications for a courtesy card shall be made on forms available on the Board's website at ncbfs.org. Applications not completed within 30 days following submission to the Board shall be denied. All applications for a courtesy card shall contain the following:

(1) The applicant's full name, date of birth, place of birth, sex, and social security number;

(2) The applicant's email address, residential address, mailing address, and phone number(s);

(3) The name and address of the applicant's current employer;

(4) Whether the applicant is applying for a funeral service, a funeral director, or embalmer courtesy card;

(5) Whether the applicant currently holds a funeral service license, funeral director license, or embalmer license in any jurisdiction outside of North Carolina and if so, the name of the jurisdiction, the date that the license was issued, the license number, and the expiration date of the license;

(6) Whether the applicant has been denied a credential in another state and, if so, the jurisdiction and the reason for the denial of the credential;

(7) Whether the applicant has been convicted of a felony or misdemeanor crime and, if so, a statement providing the jurisdiction, charge, date of disposition, and sentence imposed of each conviction;

(8) Whether the applicant has any criminal charges currently pending and, if so, the nature of the charge and the jurisdiction in which the charge is pending;

(9) Whether the applicant has had an occupational or business license suspended or revoked by any local, state, or federal agency and, if so, a statement providing the reason for the action and the date, location, and circumstances of any violation that led to action against the license;

(10) Whether any court, board, agency, or professional organization has found the applicant guilty of misconduct, unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the tribunal and the date of the finding;

(11) Whether the applicant has any charges pending before any court, board, agency, or professional organization for unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the tribunal in which the charge is pending;

(12) Whether, within the preceding two years, the applicant has been the subject of any investigation for employee misclassification and, if so, the results of the investigation;

(13) The applicant's notarized signature to certify that:

(A) he or she has prepared and read the application;

(B) the information provided in the application is true;

(C) the applicant has read and understands the public notice statement on employee misclassification that is set forth in the application and has disclosed any investigations for employee misclassification, and its results, over the preceding two year period, as prescribed by G.S. 143-789; and

(D) he or she understands that any credential issued shall be governed by the provisions of Article 13A, Chapter 90 of the North Carolina General Statutes and the rules promulgated by the Board.

(14) The application fee, as prescribed by G.S. 90-210.28 and 21 NCAC 34A .0201. If the application fee is dishonored by the licensee's drawee bank for any reason, the Board shall suspend the license until the renewal fees and non-sufficient fund charges are paid.

History

• Authority G.S. 90-210.23(a); 90-210.25(b)(3); 143-789
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004; August 1, 1988; September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. February 1, 2026.

21 NCAC 34B .0509 Courtesy Card Form

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.25(b)(3)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. August 1, 1988; September 1, 1979
• Repealed Eff. November 1, 1994.

21 NCAC 34B .0510 Courtesy Card Renewal Form

Applications for annual renewal of a courtesy card shall be made on forms available on the Board's website at ncbfs.org. All renewal applications for a courtesy card shall contain the following:

(1) The applicant's full name, date of birth, place of birth, sex, and social security number;

(2) The applicant's email address, residential address, mailing address, and phone number(s);

(3) The name and address of the applicant's current employer;

(4) Whether the applicant is applying for a funeral service, a funeral director, or embalmer courtesy card;

(5) Whether the applicant currently holds a funeral service license, funeral director license, or embalmer license in any jurisdiction outside of North Carolina and if so, the name of the jurisdiction, the date that the license was issued, the license number, and the expiration date of the license;

(6) Whether the applicant has been denied a credential in another state and, if so, the jurisdiction and the reason for the denial of the credential;

(7) Whether the applicant has been convicted of a felony or misdemeanor crime since the last renewal and, if so, a statement providing the jurisdiction, charge, date of disposition, and sentence imposed of each conviction;

(8) Whether the applicant has any criminal charges currently pending and, if so, the nature of the charge and the jurisdiction in which the charge is pending;

(9) Whether the applicant has had an occupational or business license suspended or revoked by any local, state, or federal agency since the last renewal and, if so, a statement providing the reason for the action and the date, location, and circumstances of any violation that led to action against the license;

(10) Whether any court, board, agency, or professional organization has found the applicant guilty of misconduct, unprofessional conduct, dishonest or fraudulent practice, or incompetent practice since the last renewal and, if so, the tribunal and the date of the finding;

(11) Whether the applicant has any charges pending before any court, board, agency, or professional organization for unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the tribunal in which the charge is pending;

(12) Whether, since the last renewal, the applicant has been the subject of any investigation for employee misclassification and, if so, the results of the investigation;

(13) The applicant's notarized signature to certify that:

(A) he or she has prepared and read the application;

(B) the information provided in the application is true;

(C) the applicant has read and understands the public notice statement on employee misclassification that is set forth in the application and has disclosed any investigations for employee misclassification, and its results, over the preceding two year period, as prescribed by G.S. 143-789; and

(D) he or she understands that any credential issued shall be governed by the provisions of Article 13A, Chapter 90 of the North Carolina General Statutes and the rules promulgated by the Board.

(14) The application fee, as prescribed by G.S. 90-210.28 and 21 NCAC 34A .0201. If the application fee is dishonored by the licensee's drawee bank for any reason, the Board shall suspend the license until the renewal fees and non-sufficient fund charges are paid.

History

• Authority G.S. 90-210.23(a); 90-210.25(b)(3); 143-789
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004; September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. February 1, 2026.

21 NCAC 34B .0601 Distinction Between Establishment and Chapel

History

• Status: repealed
• Authority G.S. 90-210.23(a),(e); 90-210.20(h); 90-210.25(d); 150B-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. September 1, 1979
• Repealed Eff. August 1, 1988.

21 NCAC 34B .0602 Manager of Establishment

History

• Status: repealed
• Authority G.S. 90-210.23(a),(e); 90-210.20(h); 90-210.25(d); 150B-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. September 1, 1979
• Repealed Eff. August 1, 1988.

21 NCAC 34B .0603 Manager May Manage Two Establishments

History

• Status: repealed
• Authority G.S. 90-210.23(a),(e); 90-210.25(d); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0604 Partner or Officer as Manager

History

• Status: repealed
• Authority G.S. 90-210.23(a),(e); 90-210.25(d); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0605 Permits: Transfer of Ownership of Establishment

Funeral establishment permits shall not be transferable. When the ownership of a funeral establishment changes, as defined by G.S 90-210.25(d)(5), a new application for an establishment permit shall be made to the Board on forms provided by the Board that are made available on the Board's website, ncbfs.org, within the timeframe set forth in G.S. 90-210.25(d)(5). The application shall contain the information required by Paragraph (a) Rule .0608(a) of this Section.

History

• Authority G.S. 90-210.23(a),(e); 90-210.25(d)(5)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. February 1, 2026.

21 NCAC 34B .0606 Permit Fees

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.25(d); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0607 Expiration and Renewal of Permits

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.25(d); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0608 APPLICATION FORM FOR FUNERAL ESTABLISHMENT PERMIT and branch establishment permit

(a) Applications for a new funeral establishment permit shall be made on forms provided by the Board that are made available on the Board's website, ncbfs.org. Applications for a new funeral establishment permit not completed within 90 days following submission to the Board shall be denied. All applications for a new funeral establishment permit shall contain the following:

(1) The legal name of the individual or entity that owns the funeral establishment;

(2) The email address, physical address, mailing address, phone number(s), and facsimile number of the funeral establishment;

(3) Other names under which the funeral establishment conducts business;

(4) Whether the entity or individual owning the funeral establishment is a sole proprietorship, partnership, corporation, or limited liability company;

(5) If owned by a sole proprietor, the legal name of the sole proprietor;

(6) If owned by a partnership, a copy of the applicant's partnership agreement, the name of each partner and his or her respective ownership interests;

(7) If owned by a corporation, a copy of the applicant's Articles of Incorporation, the name of each corporate officer, his or her position, and the respective ownership interests of each person or entity holding an ownership interest in the corporation;

(8) If owned by a limited liability company, a copy of the applicant's Articles of Organization and the name of each member and his or her respective percentage of ownership;

(9) If the applicant will conduct business in a different name than that of its owning entity, a copy of the applicant's Certificate of Assumed Name;

(10) The name and address of any funeral establishment, crematory, cemetery, mutual burial association, or embalming facility under common ownership of the funeral establishment;

(11) Whether the preparation room within the funeral establishment complies with the requirements of G.S. 90-210.27A(a);

(12) Whether embalming will be performed in an embalming facility located outside of the funeral establishment and, if so, the name and address of the location at which embalming will be performed;

(13) The name and license number of the individual who will serve as the licensed location manager for the funeral establishment in accordance with G.S. 90-210.25(d)(1);

(14) The facility at which refrigeration of unembalmed human remains on behalf of the funeral establishment will occur, if refrigeration will be performed in an off-site facility;

(15) The names, license type, and license number of each funeral director, funeral service licensee, and embalmer working for the establishment and whether said licensee is working on a full-time, part-time, or per case basis;

(16) A copy of the General Price List, Casket Price List, Outer Burial Container Price List, and Statement of Funeral Goods and Services Selected intended for use by the applicant, as required by the FTC Funeral Rule, 16 C.F.R. 453.2;

(17) Proof of the applicant's right of occupancy for the premises at which the funeral establishment will be located;

(18) Whether the applicant currently is in good standing with the North Carolina Secretary of State and, if so, documentation to establish proof of the same;

(19) Whether, within the preceding two years, the applicant has been the subject of any investigation for employee misclassification and, if so, the results of the investigation;

(20) The licensed manager's notarized signature to certify that:

(A) he or she has prepared the application and has read the answers;

(B) the information provided in the application is true;

(C) the applicant has read and understands the public notice statement on employee misclassification that is set forth in the application and has disclosed any investigations for employee misclassification, and its results, over the preceding two year period, as prescribed by G.S. 143-789; and

(D) he or she understands that any credential issued shall be governed by the provisions of Article 13A, Chapter 90 of the North Carolina General Statutes and the rules promulgated by the Board;

(21) The signature of each owner, partner, manager, member, operator, and officer of the business entity applying for licensure, consenting to the Board's ability to conduct a background check on his or her criminal history; and

(22) The application fee, as prescribed by G.S. 90-210.28 and 21 NCAC 34A .0201. If the application fee is dishonored by the licensee's drawee bank for any reason, the Board shall suspend the license until the renewal fees and non-sufficient fund charges are paid.

(b) Upon receipt of an application as set forth in this Rule, the Board shall provide to the individuals identified in Subparagraph (a)(19) of this Rule instructions on how to submit his or her fingerprints for a criminal background check, in accordance with G.S. 90-210.25(a)(5)(h). The individuals shall sign and return to the Board a form provided by the Board, consenting to the check of the criminal records and to the use of his or her fingerprints and other identifying information required by the State or national repositories. If the background check is performed by the State Bureau of Investigation, the individuals shall remit payment to the Board in the form of an official check, money order, or cashier's check, made payable to the State Bureau of Investigation, the actual costs charged by the Department of Public Safety for performing the criminal background check. If the background check is performed by another vendor, the individuals shall remit payment to the Board payment of actual costs charged by the vendor for performing the criminal background check.

(c) Applications for a new funeral branch establishment permit shall be made on forms provided by the Board that are made available on the Board's website, ncbfs.org. Applications for a new funeral branch establishment permit not completed within 90 days following submission to the Board shall be denied. All applications for a new funeral branch establishment permit shall contain the same information required in Paragraph (a) of this Rule. No branch establishment to which a permit is issued by the Board shall engage in the practice of embalming unless the branch establishment contains a preparation room that is compliant with G.S. 90-210.27A(a).

History

• Authority G.S. 90-210.23(a),(d),(e); 90-210.25(d); 90-210.27A
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. December 1, 2004; August 1, 1988; September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Temporary Amendment Eff. November 7, 2025
• Amended Eff. April 1, 2026.

21 NCAC 34B .0609 Funeral Establishment Permit Form

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.25(d)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. August 1, 1988
• Repealed Eff. November 1, 1994.

21 NCAC 34B .0610 Funeral Establishment Permit and Branch Establishment Renewal Form

All funeral establishments and branch establishments shall annually submit a renewal application on forms provided by the Board that are available on the Board's website, ncbfs.org. All renewal applications for a funeral establishment or a branch establishment permit shall contain the following:

(1) The legal name of the individual or entity that owns the funeral establishment;

(2) The email address, physical address, mailing address, phone number(s), and facsimile number of the funeral establishment;

(3) Other names under which the funeral establishment conducts business;

(4) Whether the entity or individual owning the funeral establishment is a sole proprietorship, partnership, corporation, or limited liability company;

(5) If owned by a sole proprietor, the legal name of the sole proprietor;

(6) If owned by a partnership, the name of each partner and his or her respective ownership interests;

(7) If owned by a corporation, the name of each corporate officer and his or her position and his or her respective ownership interest;

(8) If owned by a limited liability company, the name of each member and his or her respective percentage of ownership;

(9) Whether the establishment has continuously held a funeral establishment permit since January 1, 1988;

(10) Whether more than fifty percent of the ownership interest has changed at any time since last year's renewal;

(11) Whether the preparation room within the funeral establishment complies with the requirements of G.S. 90-210.27A(a) and whether any changes have been made to the preparation room since the previous renewal application;

(12) Whether embalming will be performed in an embalming facility located outside of the funeral establishment and, if so, the name and address of the location at which embalming will be performed;

(13) The name and license number of the individual who will serve as the licensed location manager for the funeral establishment in accordance with G.S. 90-210.25(d)(1);

(14) The facility at which refrigeration of unembalmed human remains on behalf of the funeral establishment will occur, if refrigeration will be performed in an off-site facility;

(15) The names, license type, and license number of each funeral director, funeral service licensee, and embalmber working for the establishment and whether said licensee is working on a full-time, part-time, or per case basis;

(16) Whether the applicant currently is in good standing with the North Carolina Secretary of State and, if so, documentation to establish proof of the same;

(17) Whether, since the previous renewal application, the applicant has been the subject of any investigation for employee misclassification and, if so, the results of the investigation;

(18) The licensed manager's notarized signature to certify that:

(a) he or she has prepared the application and has read the answers;

(b) the information provided in the application is true;

(c) the applicant has read and understands the public notice statement on employee misclassification that is set forth in the application and has disclosed any investigations for employee misclassification, and its results, since the last renewal application, as prescribed by G.S. 143-789; and

(d) he or she understands that any credential issued shall be governed by the provisions of Article 13A, Chapter 90 of the North Carolina General Statutes and the rules promulgated by the Board.

(19) If requested by the Board, the signature of each owner, partner, manager, member, operator, and officer of the business entity applying for renewal of licensure, consenting to the Board's ability to conduct a background check on his or her criminal history; and

(20) The application fee, as prescribed by G.S. 90-210.28 and 21 NCAC 34A .0201. If the application fee is dishonored by the licensee's drawee bank for any reason, the Board shall suspend the license until the renewal fees and non-sufficient fund charges are paid.

History

• Authority G.S. 90-210.23(a); 90-210.25(d)(3)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. December 1, 2004; September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Temporary Amendment Eff. November 7, 2025
• Amended Eff. April 1, 2026.

21 NCAC 34B .0611 Part-Time Employees and Independent Contractors

History

• Status: expired
• Authority G.S. 90-210.23(a),(d),(e); 90-210.25(d); 150B-11(1)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004; July 1, 1991; August 1, 1988
• Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 34B .0612 Part-Time and Independent Contractors Affidavit

History

• Status: expired
• Authority G.S. 90-210.23(a),(d),(e); 90-210.25(d); 150B-11(1)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004; July 1, 1991; August 1, 1988
• Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 34B .0613 Disclosure Statements

One copy of each disclosure statement, as required by G.S. 90-210.25(e), shall be kept by the funeral establishment for a period of three years and shall, during said period of time, be subject to inspection by the Board, its inspector, or other duly authorized representative.

History

• Authority G.S. 90-210.23(a),(d),(e); 90-210.25(e)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. February 1, 2026.

21 NCAC 34B .0614 Free Ambulance Service as Solicitation

History

• Status: repealed
• Authority G.S. 90-210.23(a); 90-210.25(e)(2)c; 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0615 Funeral Establishment Inspection Form

Board inspectors shall record the findings of all funeral establishment inspections on report forms provided by the Board. The funeral establishment shall furnish the name and address of the establishment; names of the owner, manager, licensees, and resident trainees; and other information requested by a Board inspector in accordance with G.S. 90-210.23(d). The type of information that may be requested by a Board inspector in accordance with G.S. 90-210.23(d) includes information about the funeral establishment's physical premises; transportation, storage, and handling of human remains; price lists; and records documenting funeral goods and services sold or performed.

History

• Authority G.S. 90-210.23(a),(d),(e); 90-210.24
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. January 1, 2009; November 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. February 1, 2026.

21 NCAC 34B .0616 Body Identification Tags

A funeral establishment shall place a body identification tag as set forth in G.S. 90-210.29A on a dead human body at the time the body enters the funeral establishment's physical premises. Unused body identification tags shall be kept on the premises of each funeral establishment at all times and are subject to inspection by the Board and its authorized agents.

History

• Authority G.S. 90-210.23(a),(e); 90-210.27A(a)(10); 90-210.29A
• Eff. September 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Temporary Amendment Eff. November 7, 2025
• Amended Eff. April 1, 2026.

21 NCAC 34B .0617 Practicing During Disasters

(a) A funeral establishment that is destroyed by fire, weather event, or other natural disaster is eligible to request a waiver pursuant to G.S. 90-210.27A(a1) of the statutory requirements set forth in G.S. 90-210.27A(a) and (c).

(b) Any funeral establishment seeking a waiver pursuant to this Rule shall request the same on a form prescribed by the Board, which is available on the Board's website at ncbfs.org, and shall contain the following:

(1) name and permit number of the funeral establishment making the waiver request;

(2) a description of the circumstances giving rise to the request;

(3) a plan for correcting any violations of G.S. 90-210.27A and 21 NCAC 34B .0702-.0706 caused by the emergency;

(4) the location at which the licensee's business records shall be maintained and available for inspection by the Board; and

(5) the anticipated time frame that the funeral establishment will return to full compliance with G.S. 90-210.27A and 21 NCAC 34B .0702-.0706.

History

• Authority G.S. 90-210.23(d),(e); 90-210.25(d); 90-210.27A
• Eff. September 1, 2017
• Temporary Amendment Eff. November 7, 2025
• Amended Eff. April 1, 2026.

21 NCAC 34B .0618 Practicing During Emergencies

History

• Status: repealed
• Authority G.S. 90-210.23(d),(e); 90-210.25(d); 90-210.27A
• Eff. September 1, 2017
• Temporary Repeal Eff. November 7, 2025
• Repealed Eff. April 1, 2026.

21 NCAC 34B .0619 Change of Funeral Establishment Manager

(a) Funeral establishments as defined by G.S. 90-210.20(h) and individuals or entities to whom the Board has issued a permit to engage in the practice of funeral service pursuant to G.S. 90-210.25(a2)(2)("Unaffiliated Practices") shall have in charge a manager licensed by the Board for the practice of funeral directing or funeral service, in accordance with G.S. 90-210.25(d)(2).

(b) Funeral establishments and Unaffiliated Practices shall notify the Board by email to permitapplications@ncbfs.org within five (5) days of its licensed manager ceasing his or her service as licensed manager.

(c) To register the name of a replacement manager with the Board, funeral establishments and Unaffiliated Practices shall submit by email to permitapplications@ncbfs.org a form containing the following information:

(1) The name of the funeral establishment or Unaffiliated Practice;

(2) The permit number of the funeral establishment or Unaffiliated Practice;

(3) The name and license number of the funeral director or funeral service licensee being named as manager of the funeral establishment or Unaffiliated Practice;

(4) The effective date of replacement manager's appointment as manager;

(5) Whether the outgoing manager still is employed by the funeral establishment or Unaffiliated Practice;

(6) The name and license number of the sole proprietor, partner, LLC member, or corporate officer in accordance with the requirements of G.S. 90-210.27A(e);

(7) The dated signature of the replacement manager; and

(8) The dated signature of the sole proprietor, partner, LLC member, or corporate officer in accordance with the requirements of G.S. 90-210.27A(e).

History

• Authority G.S. 90-210.23(a); 90-210.25(d)(2)
• Eff. May 1, 2025.

21 NCAC 34B .0701 Preparation Room: Requirements

History

• Status: repealed
• Authority G.S. 90-210.23(a),(d),(e); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0702 Storage in Preparation Room

The only articles and materials which shall be permitted to be stored in the preparation room are supplies, materials and equipment actually maintained for use in embalming.

History

• Authority G.S. 90-210.23(a),(d),(e); 90-210.27A
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34B .0703 Disposal of Refuse: Ventilation

Every preparation room shall be provided with receptacles for refuse, bandages, cotton, and other waste materials and supplies, which shall be disposed of in a sanitary manner at the conclusion of each embalming case. Every preparation room shall comply, with respect to ventilation, with state and local laws, ordinances, and regulations. No obnoxious or deleterious odors shall be allowed to remain therein nor to enter into any other part of the premises of the funeral establishment or into any adjoining premises.

History

• Authority G.S. 90-210.23(a),(d),(e); 90-210.27A
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. July 1, 1991; September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. February 1, 2026.

21 NCAC 34B .0704 Sanitation in Preparation of Bodies

In the safeguard of the public health, every person while engaged in the actual preparation of a dead human body shall be attired in a clean and sanitary smock or gown and shall wear protective gloves. When a smock or gown has been worn in the preparation of a body, it shall not be worn again before being laundered. No sheets, linens, materials, or supplies of any kind, which shall have come in contact with a dead human body, shall be used more than once without being laundered. Such materials shall be kept in a covered container until laundered. All instruments and appliances used in the preparation of a body shall be thoroughly cleansed and sterilized immediately at the conclusion of each individual case and stored in an enclosed cabinet or drawer.

History

• Authority G.S. 90-210.23(a),(d),(e); 90-210.27A
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34B .0705 Embalming Materials

History

• Status: repealed
• Authority G.S. 90-210.23(a),(d),(e); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Repealed Eff. September 1, 1979.

21 NCAC 34B .0706 Registration of Embalming Facility Located Outside of a Funeral Establishment

(a) An embalming facility located outside of a funeral establishment shall contain a preparation room that complies with the requirements of G.S. 90-210.27A(a)(1) through (10).

(b) An embalming facility located outside of a funeral establishment shall be registered to a funeral establishment holding a permit from the Board. Each embalming facility must be managed by an embalmer or funeral service licensee. A person managing an embalming facility must also manage the funeral establishment location registering the facility.

(c) Applications to register an embalming facility located outside of a funeral establishment shall be made on forms provided by the Board that are available at the Board's website, ncbfs.org. The applicant shall furnish the address and telephone number of the facility; a description of the preparation room; the names and license numbers of all part-time and full-time licensees employed by the facility; the person or business entity owning the facility; the person managing the facility; a certification that the facility will not be used for any other purpose other than embalming or used for activities requiring a funeral establishment permit; and the applicant shall verify the contents of the application before a notary public.

(d) Upon Board approval of the registration, the embalming facility may be used to embalm dead human bodies and shall not be used for any other purpose. The owner of the facility must obtain a funeral establishment permit under G.S. 90-210.25(d) if the facility is to be held out to the public or used to engage in any other activity defined as the practice of funeral service under G.S. 90-210.20(k) other than embalming.

History

• Authority G.S. 90-210.23(a),(e); 90-210.25(d1); 90-210.27A
• Eff. September 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. February 1, 2026.

21 NCAC 34B .0707 Refrigeration

(a) Any refrigeration unit procured and maintained by a funeral establishment must satisfy the following requirements:

(1) be capable of storing at least three adult human bodies, each measuring up to seven feet in length and three hundred pounds in weight, in the holding facility;

(2) be capable of maintaining an interior temperature of 40 degrees Fahrenheit while loaded with the maximum number of bodies for which it is designed;

(3) shall have sealed concrete, stainless steel, galvanized, aluminum, or other flooring in walk-in units;

(4) shall have stainless steel, aluminum, or other non-corrosive materials for the remainder of all units; and

(5) be subject to inspection by Board inspectors at all times.

(b) The Board shall allow funeral establishments to procure and maintain one or more temporary refrigeration units. Any such temporary refrigeration unit must satisfy the requirements set forth in Subparagraphs (a)(2)-(5) of this Rule. Any such temporary refrigeration unit not located inside the funeral establishment shall be kept locked at all times when human remains are stored inside.

(c) Human remains stored in a refrigeration unit, as set forth in Paragraphs (a) and (b) of this Rule, must be kept in a container that complies with G.S. 90-210.121(9)(b)-(f).

(d) Prior to using a refrigeration unit that is not located on its premises, a funeral establishment shall provide the Board with a written document that sets forth the following:

(1) the name, contact information, and license number, if applicable, of the entity that owns the property on which the refrigeration unit is located;

(2) the physical address of the property on which the refrigeration unit is located;

(3) the name, contact information, and license number, if applicable, of the entity responsible for maintaining the refrigeration unit that meets the requirements of Paragraphs (a) and (b) of this Rule;

(4) certification from both the licensed manager of the funeral establishment and an officer, owner, member, or partner of the entity responsible for maintaining the refrigeration unit in compliance with Paragraphs (a) and (b) of this Rule, acknowledging that:

(A) the funeral establishment shall use the refrigeration unit for the storage of human remains;

(B) the refrigeration unit complies with Paragraphs (a) and (b) of this Rule;

(C) a log documenting the chain of possession of human remains shall be maintained, which sets forth the name of the decedent, the funeral establishment or other entity for whom the human remains are being stored, and the date and time that human remains are placed inside and removed from the refrigeration unit;

(D) the Board inspectors shall have access to the refrigeration unit at all times; and

(E) any licensee or permit holder that uses or maintains a refrigeration unit that is not compliant with this Rule is subject to disciplinary action pursuant to G.S. 210.25(d)(4) and 90-210.25(e)(1)(j).

History

• Authority G.S. 90-210.23; 90-210.27A(h), (l)
• Emergency Adoption Eff. February 19, 2021
• Temporary Adoption Eff. May 28, 2021
• Eff. October 1, 2021.

21 NCAC 34B .0801 Definitions

For purposes of Section .0800, the following definitions shall apply:

(1) "Decedent" shall mean any dead human body or remains believed to be human.

(2) "Disinfect" shall mean a process that eliminates pathogenic microorganisms on inanimate objects using liquid chemicals or wet pasteurization.

(3) "Impervious" shall mean constructed from material that does not allow another substance to pass through or to penetrate the material.

(4) "Licensee" shall mean an individual or entity holding any type of licensure from the Board that allows the individual or entity to engage in the removal or transportation of a dead human body. As used in this section, "licensee" shall include employees or authorized representatives of any person or entity exempt from obtaining a transporter permit pursuant to G.S. 90-210.25(c)(5).

(5) "Location of origin" shall mean the location from which the licensee is authorized to transport or remove a dead human body.

(6) "ME" shall mean a local Medical Examiner appointed by the Office of the Chief Medical Examiner, pursuant to G.S. 130A-382.

(7) "NC OSH" shall mean the North Carolina Occupational Safety and Health Division, North Carolina Department of Labor.

(8) "OCME" shall mean the Office of the Chief Medical Examiner.

(9) "OSHA" shall mean the federal Occupational Safety and Health Administration.

(10) "Permit holder" shall mean an individual who holds a permit issued by the Board to engage in the removal or transportation of a dead human body, as defined in G.S. 90-210.25(c)(3).

(11) "Removal vehicle" shall mean a vehicle of a size, dimensions, and specifications capable of removing and transporting, in accordance with G.S. 90-210.25(c)(9), at least one adult human body measuring up to seven feet in length and three hundred pounds in weight.

(12) "State" shall mean the State of North Carolina.

(13) "Removal or Transportation" shall mean the removal or transportation of a dead human body, or part thereof.

(14) "Transporter Permit" shall mean a permit issued to an individual by the Board pursuant to Rule .0802 of this Section to engage in the removal or transportation of a dead human body, as defined in G.S. 90-210.25(c)(3).

(15) "Transportation Service" shall mean any business that employs or contracts with individuals to engage in the removal or transportation of a dead human body unless otherwise exempt pursuant to G.S. 90-210.25(c)(5) and (6).

(16) "Transportation Service Permit" shall mean a permit issued to a Transportation Service pursuant to Rule .0807 of this Section that conducts, maintains, manages, or operates a business engaged in "Removal or Transportation."

History

• Authority G.S. 90-210.23(a); 90-210.25(c)(10)
• Eff. February 1, 2025
• Temporary Amendment Eff. November 7, 2025
• Amended Eff. April 1, 2026.

21 NCAC 34B .0802 Initial Transporter Permit Application Form

(a) Pursuant to G.S. 90-210.25(c)(7), any person desiring to obtain a Transporter Permit from the Board shall make application to the Board. Applications not completed within 90 days of submission to the Board shall be denied. Application forms and instructions may be found on the Board's website at ncbfs.org.

(b) All applications for a Transporter Permit shall contain the following:

(1) The applicant's full name;

(2) The applicant's physical and mailing address of residence;

(3) The name, address, and permit number of the Transportation Service for which the applicant will work;

(4) The applicant's work phone number, home phone number, and cell phone number;

(5) The applicant's social security number and sex;

(6) The applicant's date and place of birth;

(7) The applicant's email address;

(8) A copy of the applicant's valid driver's license issued by the State;

(9) The make, model, year, and license plate number of the removal vehicle to be used by the applicant;

(10) A copy of all liability insurance required for the registration of the removal vehicle to be used by the applicant;

(11) A copy of professional liability insurance covering the applicant's acts and omissions while engaging in the removal or transportation, with liability limits not less than required by G.S. 90-210.25(c)(7)f;

(12) Whether the applicant has been convicted of any felony or misdemeanor crimes and, if so, a statement providing the jurisdiction, charge, and disposition of each conviction;

(13) Whether the applicant has had an occupational or business license denied, suspended, or revoked by any local, state, or federal agency and, if so, a statement providing the reason for the denial and the date, location, and circumstances of any violation that led to action against the applicant, the terms of any discipline imposed by the licensing authority, and whether said terms have been satisfied;

(14) Whether OCME ever has terminated the applicant's ability to provide removal or transportation services on behalf of OCME and, if so, the reasons for said termination, if known;

(15) Whether the applicant has been subject to any investigation for employee misclassification as defined by G.S. 143-786(a)(5) in the preceding two years;

(16) The applicant's signature to certify under oath that he or she has prepared the application and has read the answers; that the information provided in the application is true; and that he or she has read the NC Industrial Commission Public Notice Statement;

(17) The applicant's signature to certify under oath that he or she has read and understands the statutes and rules relating to the removal or transportation found in G.S. 90-210.25(c) and Section .0800 of this Subchapter, as well as the standards of OSHA for universal precautions and blood-borne pathogens found in 29 C.F.R. 1910.1030; and

(18) The application fee, as prescribed by G.S. 90-210.25(c)(8) and 21 NCAC 34A .0201.

(c) Upon receipt of an applicant's application for a Transporter Permit, the Board shall provide to the applicant instructions on how to submit his or her fingerprints for a criminal background check, in accordance with G.S. 90-210.25(a)(5)(h). The applicant shall sign and return to the Board a form provided by the Board, consenting to the check of the criminal records and to the use of his or her fingerprints and other identifying information required by the State or national repositories. The applicant shall remit payment to the Board in the form of an official check, money order, or cashier's check, made payable to the State Bureau of Investigation, the actual costs charged by the Department of Public Safety for performing the criminal background check.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(5)(h); 90-210.25(c)(7) and (10)
• Eff. February 1, 2025
• Temporary Amendment Eff. November 7, 2025
• Amended Eff. April 1, 2026.

21 NCAC 34B .0803 Transporter Permit Renewal Application Form

(a) To renew a Transporter Permit, the permit holder shall complete and submit to the Board a renewal application available on the Board's website at ncbfs.org on or before February 1 of each calendar year.

(b) The renewal application shall contain the following:

(1) The permit holder's full name;

(2) The permit holder's physical and mailing address of residence;

(3) The name, address, and permit number of the Transportation Service for which the permit holder works;

(4) The permit holder's work phone number, home phone number, and cell phone number;

(5) The permit holder's email address;

(6) A copy of the permit holder's valid driver's license issued by the State;

(7) A copy of all liability insurance required for the registration of the removal vehicle to be used by the permit holder;

(8) A copy of professional liability insurance covering the permit holder's acts and omissions while engaging in the removal or transportation, with liability limits not less than required by G.S. 90-210.25(c)(7)(f);

(9) Whether the make, model, year, and license plate number of the permit holder's removal vehicle has changed since the previous renewal year and, if so, the make, model, year, and license plate number of the removal vehicle currently used by the applicant;

(10) Whether the permit holder has been convicted of any felony or misdemeanor crimes since the previous renewal application was submitted and, if so, a statement providing the jurisdiction, charge, and disposition of each conviction;

(11) Whether the permit holder has had an occupational or business license denied, suspended, or revoked by any local, state, or federal agency since the previous renewal application was submitted and, if so, a statement providing the reason for the denial and the date, location, and circumstances of any violation that led to action against the permit holder, the terms of any discipline imposed by the licensing authority, and whether said terms have been satisfied;

(12) Whether OCME ever has terminated the permit holder's ability to provide removal or transportation services on behalf of OCME and, if so, the reasons for said termination, if known;

(13) Whether the permit holder has been subject to any investigation for employee misclassification as defined by G.S. 143-786(a)(5) since the previous renewal application was submitted;

(14) The permit holder's signature to certify that he or she has prepared the application and has read the answers; that the information provided in the application is true; and that he or she has read the NC Industrial Commission Public Notice Statement;

(15) The permit holder's signature to certify under oath that he or she has read and understands the statutes and rules relating to the removal or transportation found in G.S. 90-210.25(c) and Section .0800 of this Subchapter, as well as the standards of OSHA for universal precautions and blood-borne pathogens found in 29 C.F.R. 1910.1030;

(16) The permit holder's consent to a check of the permit holder's criminal background by the Board; and

(17) The application fee, as prescribed by G.S. 90-210.25(c)(8) and 21 NCAC 34A .0201. If the application fee is dishonored by the drawee bank for any reason, the Board shall suspend the Transporter Permit until the renewal fees and non-sufficient fund charges are paid.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(5)(h); 90-210.25(c)(8) and (10)
• Eff. February 1, 2025
• Temporary Amendment Eff. November 7, 2025
• Amended Eff. April 1, 2026.

21 NCAC 34B .0804 Standards for Removal and Transportation of Dead Human Bodies

(a) Removal and transportation shall be conducted in accordance with the standards of OSHA for universal precautions and blood-borne pathogens set forth at 29 C.F.R. 1910.1030. Before engaging in removal or transportation, a permit holder shall attest in writing to the Board that he or she has taken a training course on universal precautions and blood-borne pathogens offered by OSHA or NC OSH.

(b) Upon arrival at a location to engage in removal or transportation, a permit holder shall:

(1) Display on the dashboard of the removal vehicle the permit issued by the Board allowing the removal or transportation service;

(2) Verbally identify himself or herself as a permit holder;

(3) Identify the entity for whom he or she is engaged in removal or transportation.

(c) Decedents shall be placed face up when secured in the removal vehicle or into a casket or a container that is commercially manufactured for the storage of dead human bodies.

(d) Belongings found at the location of origin (such as tools, bedding, or towels that are not supplied by the licensee) shall not be used to assist with a decedent's removal or transportation if such use is contrary to the directives of the decedent's family members, OCME, ME, or a law enforcement official.

History

• Authority G.S. 90-210.23(a); 90-210.25(c)(9), (10) and (14)
• Eff. February 1, 2025.

21 NCAC 34B .0805 Requiments for Removal Vehicles

(a) Licensees shall conduct removal or transportation in a removal vehicle. The removal vehicle shall have a cargo bay that:

(1) has curtains or tinting on any windows displaying the cargo bay, to obscure the decedent from public view;

(2) prevents co-mingling or shifting of the decedent while in transit; and

(3) has flooring that is impervious.

(b) The removal vehicle used by a licensee shall contain the following when removal or transportation is performed:

(1) Mortuary cot, ambulance cot, casket, or container that is commercially manufactured for the storage of dead human bodies;

(2) Pillow or head block;

(3) Sheets and cot cover;

(4) Rubber or plastic sheeting;

(5) Towels;

(6) Zippered mortuary body bag or disaster pouch;

(7) Straps;

(8) Impervious tags;

(9) Pen or marker with indelible ink;

(10) A universal precaution kit, which shall contain the following:

(A) A bio-waste bag;

(B) A heavy-duty disaster pouch;

(C) Goggles;

(D) Impervious foot coverings;

(E) Masks;

(D) Disposable gloves;

(F) Impervious apron or gown;

(G) Antiseptic hand cleaner;

(H) Disinfectant spray; and

(I) A first-aid kit.

(c) A licensee shall disinfect the entire interior of the removal vehicle, including the driver's cabin, as soon as reasonably possible after each removal or transportation of a decedent.

(d) A licensee shall not eat, drink, or smoke in the removal vehicle while engaged in removal or transportation.

(e) A licensee shall not stack decedents inside a removal vehicle unless using shelves designed for such purpose and capable of transporting decedents in a manner consistent with Subparagraph (a)(2) of this Rule.

History

• Authority G.S. 90-210.23(a); 90-210.25(c)(9) and (10)
• Eff. February 1, 2025.

21 NCAC 34B .0806 Chain of Custody and Control

(a) When removing or transporting a decedent from the location of origin, unless otherwise instructed by a law enforcement official, a licensee shall place an impervious tag on the decedent or the decedent's body bag or disaster pouch, if the decedent is so sealed therein by a law enforcement official prior to the licensee's arrival. The impervious tag shall contain the following:

(1) The decedent name, if known. Otherwise, the word "unidentified;"

(2) The name of the county in which the death occurred, if known;

(3) The date on which the death occurred, if known; and

(4) The date on which decedent was discovered.

(b) If the licensee places the decedent in a body bag or disaster pouch, the licensee shall place on the bag or pouch an impervious tag, or otherwise indelibly mark the bag or pouch, with the licensee's name and the information set forth in Subparagraphs (a)(1)-(4) of this Rule.

(c) When conducting removal or transportation at the authorization of OCME or an ME, the licensee shall not transport or remove a decedent from a location of origin that has been designated by a law enforcement official as a crime scene unless the decedent has been sealed in a body bag or disaster pouch by a law enforcement official, OCME, or an ME.

(d) A licensee shall transport directly, with no intervening stops unrelated to the transportation, the decedent from the location of origin to the location requested by the individual or entity for whom the licensee has engaged in the removal or transportation. If the licensee is engaged in the removal or transportation of multiple decedents simultaneously, the licensee shall transport each decedent to its respective destination consecutively, without any intervening stops unrelated to the transportation.

(e) For each removal or transportation performed, a licensee shall give to each individual or entity for whom the removal or transportation is authorized an inventory of all personal belongings found on the decedent, if such an inventory is provided to the licensee upon removal of the decedent from the location of origin, which shall be signed by the licensee. A licensee shall not touch or take possession of any weapon, or controlled substances or paraphernalia that is found among the decedent's personal belongings.

(f) A licensee shall place any written documentation related to the decedent for which the licensee is entrusted with custody during transportation and removal in an impervious container, if said written documents are in physical contact with the decedent.

History

• Authority G.S. 90-210.23(a); 90-210.25(c)(9) and (10)
• Eff. February 1, 2025.

21 NCAC 34B .0807 Initial Transportation Service Permit Application Form

(a) Pursuant to G.S. 90-210.25(c)(7), any business desiring to obtain a Transportation Service Permit from the Board shall make application to the Board. Applications not completed within 90 days of submission to the Board shall be denied. Application forms and instructions may be found on the Board's website at ncbfs.org.

(b) All applications for a Transportation Service Permit shall contain the following:

(1) The applicant's full name and Transporter Permit number, if one exists;

(2) The applicant's email address, physical address, mailing address, and phone number(s);

(3) The name of the individual or entity that owns the Transportation Service;

(4) Whether the entity or individual owning the Transportation Service is a sole proprietorship, partnership, corporation, or limited liability company;

(5) If owned by a sole proprietor, the legal name of the sole proprietor;

(6) If owned by a partnership, a copy of the applicant's partnership agreement;

(7) If owned by a corporation, a copy of the applicant's Articles of Incorporation;

(8) If owned by a limited liability company, a copy of the applicant's Articles of Organization;

(9) If the applicant will conduct business in a different name than that of its owning entity, a copy of the applicant's Certificate of Assumed Name;

(10) The names and respective ownership interest percentages of each sole proprietor, partner, LLC members, or corporate officers;

(11) A copy of valid driver's licenses issued by the State for all licensees who will be working for the Transportation Service;

(12) The address of the location at which Transportation Service business records will be held;

(13) The make, model, year, and license plate number of all removal vehicles to be used by the Transportation Service and a copy of all liability insurance required for the registration of the removal vehicles to be used by the Transportation Service;

(14) The names, license or permit type, and license or permit number of each licensee working for the Transportation Service and whether said licensee is working on a full-time, part-time, or per case basis;

(15) A copy of the professional liability insurance covering the acts and omissions of all licensees engaged in Removal or Transportation on behalf of the Transportation Service, with liability limits not less than required by G.S. 90-210.25(c)(7)(f);

(16) Whether the applicant currently is in good standing with the North Carolina Secretary of State and, if so, documentation to establish proof of the same;

(17) Whether the owner, partner, manager, member, operator, or officer of the Transportation Service has been convicted of any felony or misdemeanor crimes and, if so, a statement providing the jurisdiction, charge, and disposition of each conviction;

(18) Whether the Transportation Service or any of its owners, partners, managers, members, operators, or officers has had an occupational or business license denied, suspended, or revoked by any local, state, or federal agency and, if so, a statement providing the reason for the denial and the date, location, and circumstances of any violation that led to action against the applicant, the terms of any discipline imposed by the licensing authority, and whether said terms have been satisfied;

(19) Whether OCME ever has terminated the ability of the Transportation Service or any of its owners, partners, managers, members, operators, or officers to provide removal or transportation services on behalf of OCME and, if so, the reasons for said termination, if known;

(20) Whether, within the preceding two years, the applicant has been the subject of any investigation for employee misclassification and, if so, the results of the investigation;

(21) The notarized signature of the majority owner of the Transportation Service to certify that:

(A) he or she has prepared the application and has read the answers;

(B) the information provided in the application is true;

(C) he or she has read and understands the public notice statement on employee misclassification that is set forth in the application and has disclosed any investigations for employee misclassification, and its results, over the preceding two year period, as prescribed by G.S. 143-789;

(D) he or she understands that any credential issued shall be governed by the provisions of Article 13A, Chapter 90 of the North Carolina General Statutes and the rules promulgated by the Board; and

(E) he or she has read and understands the statutes and rules relating to the removal or transportation found in G.S. 90-210.25(c) and Section .0800 of this Subchapter, as well as the standards of OSHA for universal precautions and blood-borne pathogens found in 29 C.F.R. 1910.1030.

(22) The signature of each owner, partner, manager, member, operator, and officer of the business entity applying for the Transportation Service Permit, consenting to the Board's ability to conduct a background check on his or her criminal history; and

(23) The application fee, as prescribed by G.S. 90-210.25(c)(8) and 21 NCAC 34A .0201.

(c) Upon receipt of an application for a Transportation Service Permit, the Board shall provide to the individuals identified in Subparagraph (b)(22) of this Rule instructions on how to submit his or her fingerprints for a criminal background check, in accordance with G.S. 90-210.25(a)(5)(h). The individuals shall sign and return to the Board a form provided by the Board, consenting to the check of the criminal records and to the use of his or her fingerprints and other identifying information required by the State or national repositories. If the background check is performed by the State Bureau of Investigation, the individuals shall remit payment to the Board in the form of an official check, money order, or cashier's check, made payable to the State Bureau of Investigation, the actual costs charged by the Department of Public Safety for performing the criminal background check. If the background check is performed by another vendor, the individuals shall remit payment to the Board payment of actual costs charged by the vendor for performing the criminal background check.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(5)(h); 90-210.25(c)(7) and (10)
• Temporary Adoption Eff. November 7, 2025
• Eff. April 1, 2026.

21 NCAC 34B .0808 TRANSPORTION sERVICE PERMIT RENEWAL APPLICATION FORM

(a) To renew a Transportation Service Permit, the permit holder shall complete and submit to the Board a renewal application on or before February 1 of each calendar year.

(b) The renewal application shall contain the following:

(1) The applicant's full name and Transporter Permit number, if one exists;

(2) The applicant's email address, physical address, mailing address, and phone number(s);

(3) The name of the individual or entity that owns the Transportation Service;

(4) Whether the entity or individual owning the Transportation Service is a sole proprietorship, partnership, corporation, or limited liability company;

(5) If the applicant will conduct business in a different name than that of its owning entity, a copy of the applicant's Certificate of Assumed Name;

(6) The names and respective ownership interest percentages of each sole proprietor, partner, LLC members, or corporate officers;

(7) A copy of valid driver's licenses issued by the State for all licensees who will be working for the Transportation Service and not previously provided to the Board by the Transportation Service;

(8) The address of the location at which Transportation Service business records will be held;

(9) The make, model, year, and license plate number of all removal vehicles to be used by the Transportation Service and a copy of all liability insurance required for the registration of the removal vehicles to be used by the Transportation Service;

(10) The names, license or permit type, and license or permit number of each licensee working for the Transportation Service and whether said licensee is working on a full-time, part-time, or per case basis;

(11) A copy of the professional liability insurance covering the acts and omissions of all licensees engaged in Removal or Transportation on behalf of the Transportation Service, with liability limits not less than required by G.S. 90-210.25(c)(7)(f);

(12) Whether the applicant currently is in good standing with the North Carolina Secretary of State and, if so, documentation to establish proof of the same;

(13) Whether the owner, partner, manager, member, operator, or officer of the Transportation Service has been convicted of any felony or misdemeanor crimes since the last year's renewal application and, if so, a statement providing the jurisdiction, charge, and disposition of each conviction;

(14) Whether the Transportation Service or any of its owners, partners, managers, members, operators, or officers has had an occupational or business license denied, suspended, or revoked by any local, state, or federal agency since the last year's renewal and, if so, a statement providing the reason for the denial and the date, location, and circumstances of any violation that led to action against the applicant, the terms of any discipline imposed by the licensing authority, and whether said terms have been satisfied;

(15) Whether OCME ever has terminated the ability of the Transportation Service or any of its owners, partners, managers, members, operators, or officers to provide removal or transportation services on behalf of OCME since the last year's renewal application and, if so, the reasons for said termination, if known;

(16) Whether, within the last year's renewal application, the applicant has been the subject of any investigation for employee misclassification and, if so, the results of the investigation;

(17) The notarized signature of the majority owner of the Transportation Service to certify that:

(A) he or she has prepared the application and has read the answers;

(B) the information provided in the application is true;

(C) he or she has read and understands the public notice statement on employee misclassification that is set forth in the application and has disclosed any investigations for employee misclassification, and its results, since the last year's renewal application, as prescribed by G.S. 143-789;

(D) he or she understands that any credential issued shall be governed by the provisions of Article 13A, Chapter 90 of the North Carolina General Statutes and the rules promulgated by the Board; and

(E) he or she has read and understands the statutes and rules relating to the removal or transportation found in G.S. 90-210.25(c) and Section .0800 of this Subchapter, as well as the standards of OSHA for universal precautions and blood-borne pathogens found in 29 C.F.R. 1910.1030.

(18) The signature of each owner, partner, manager, member, operator, and officer of the business entity applying to renew the Transportation Service Permit, consenting to the Board's ability to conduct a background check on his or her criminal history; and

(19) The application fee, as prescribed by G.S. 90-210.25(c)(8) and 21 NCAC 34A .0201. If the application fee is dishonored by the drawee bank for any reason, the Board shall suspend the Transportation Service Permit until the renewal fees and non-sufficient fund charges are paid.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(5)(h); 90-210.25(c)(8) and (10)
• Temporary Adoption Eff. November 7, 2025
• Eff. April 1, 2026.

Subchapter C

21 NCAC 34C .0101 Election to Crematory Authority

History

• Status: repealed
• Authority G.S. 90-210.122(c); 90-210.134(a)
• Eff. July 1, 1991
• Amended Eff. July 1, 2004
• Temporary Amendment Eff. June 30, 2005
• Amended Eff. April 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Temporary Repeal Eff. November 7, 2025
• Repealed Eff. April 1, 2026.

21 NCAC 34C .0102 Form of Documents

When any provision of Article 13F, Chapter 90, of the North Carolina General Statutes or any rule in this Subchapter requires a crematory or hydrolysis licensee to obtain any death certificate, report, authorization, waiver, statement or other document prior to cremation or hydrolysis, the crematory or hydrolysis licensee may accept the document in the form of the original, a photocopy, or by electronic or facsimile transmission.

History

• Authority G.S. 90-210.127; 90-210.134(a); 90-210.136(d),(h)
• Eff. July 1, 1991
• Amended Eff. July 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Temporary Amendment Eff. May 24, 2019
• Temporary Amendment Expired Eff. March 13, 2020
• Amended Eff. January 1, 2021.

21 NCAC 34C .0103 APPLICATION FORM FOR CREMATORY or hydrolysis LICENSE

All applications for a crematory or hydrolysis license shall be made on forms provided by the Board. The application shall state the following information:

(1) the name of the applicant;

(2) address;

(3) type of business entity;

(4) location of crematory or hydrolysis facility;

(5) description of crematory or hydrolysis facilities and equipment;

(6) name and address of each crematory or hydrolysis technician;

(7) name and address of the crematory or hydrolysis manager; and

(8) any criminal convictions of the applicant and manager.

History

• Authority G.S. 90-210.123; 90-210.134(a); 90-210.36(d),(h)
• Eff. July 1, 1991
• Amended Eff. August 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Temporary Amendment Eff. May 24, 2019
• Temporary Amendment Expired Eff. March 13, 2020
• Amended Eff. January 1, 2021.

21 NCAC 34C .0104 CREMATORY or hydrolysis LICENSE CERTIFICATE

The Board shall issue each crematory or hydrolysis licensee a certificate to operate a crematory or hydrolysis facility upon a finding that the licensee has complied with the rules of this Chapter.

History

• Authority G.S. 90-210.123; 90-210.134(a); 90-210.136(d),(h)
• Eff. July 1, 1991
• Amended Eff. August 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Temporary Amendment Eff. May 24, 2019
• Temporary Amendment Expired Eff. March 13, 2020
• Amended Eff. January 1, 2021.

21 NCAC 34C .0105 CREMATORY or hydrolysis INSPECTION FORM

History

• Status: repealed
• Authority G.S. 90-210.123; 90-210.134(a); 90-210.136(d),(h)
• Eff. July 1, 1991
• Amended Eff. August 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Temporary Amendment Eff. May 24, 2019
• Temporary Amendment Expired Eff. March 13, 2020
• Repealed Eff. January 1, 2021.

21 NCAC 34C .0106 Definitions

The following definitions shall apply for purposes of complying with the provisions of Article 13F, Chapter 90, of the North Carolina General Statutes and any rule in this Chapter:

(1) "Hydrolysis operator" shall have the same meaning as the term "hydrolysis licensee" as defined by G.S. 90-210.136(a)(3).

(2) "Aquamation" shall have the same meaning as "alkaline hydrolysis" as defined by G.S. 90-210.136(a)(1).

(3) "Certificate of hydrolysis" means a certificate provided by the hydrolysis manager who performed the hydrolysis that meets the same minimum requirements for a "certificate of cremation" as set forth in G.S. 90-210.121(5).

(4) "Cremation center" shall have the same meaning as "crematory" or "crematorium" as defined by G.S. 90-210.121(11).

(5) "Final disposition" of human remains that have been hydrolyzed means the hydrolysis and the ultimate interment, entombment, inurnment, or scattering of the hydrolyzed remains or the return of the hydrolyzed remains by the hydrolysis licensee to the authorizing agent or such agent's designee as provided by Article 13F, Chapter 90, of the North Carolina General Statutes. Upon the written direction of the authorizing agent, hydrolyzed remains may take various forms.

(6) "Hydrolysis container," as defined by G.S. 90-210.136(a)(2), shall be made of biodegradable material and also shall comply with the provisions of G.S. 90-210.121(9)f.

(7) "Hydrolysis chamber," "hydrolysis unit," or "hydrolysis vessel" means the enclosed space within which the hydrolysis process occurs. Hydrolysis chambers regulated by Article 13F, Chapter 90, of the North Carolina General Statutes shall be used exclusively for the hydrolysis of human remains.

(8) "Hydrolyzed remains" means all human remains recovered after the completion of the hydrolysis process, including pulverization, that leaves only bone fragments reduced to unidentifiable dimensions.

(9) "Hydrolysis facility" or "hydrolysis center" means the building or buildings, or portion of a building or buildings, on a contiguous piece of property that houses the hydrolysis equipment, the holding and processing facilities, the business offices, and any other components of the hydrolysis business.

(10) "Hydrolysis interment container" means a rigid outer container composed of concrete, steel, fiberglass, or some similar material in which an urn is placed prior to being interred in the ground and which is designed to withstand prolonged exposure to the elements and to support the earth above the urn.

(11) "Hydrolysis manager" means the person who is responsible for the management and operation of the hydrolysis facility. A hydrolysis manager shall meet the same minimum requirements for a "crematory manager" as set forth in G.S. 90-210.121(13).

(12) "Hydrolysis society" means any person, firm, corporation, or organization that is affiliated with a hydrolysis licensee licensed under Article 13F, Chapter 90, of the North Carolina General Statutes and provides hydrolysis information to consumers.

(13) "Hydrolysis technician" means any employee of a hydrolysis licensee who has a certificate confirming that the hydrolysis technician has attended a training course approved by the Board.

(14) "Resomation" shall have the same meaning as "alkaline hydrolysis" as defined by G.S. 90-210.136(a)(1).

History

• Authority G.S. 90-210.136
• Temporary Adoption Eff. May 24, 2019
• Temporary Adoption Expired Eff. March 13, 2020
• Readopted Eff. January 1, 2021.

21 NCAC 34C .0201 HOLDING FACILITY; CREMATION or hydrolysis UNIT; PROCESSORS

(a) Every crematory licensee shall have the following:

(1) a holding facility of suitable size to accommodate all human remains which are retained and awaiting cremation;

(2) a commercially-manufactured cremation unit, within the crematory facility, made for the cremation of human remains, meeting the following minimum standards:

(A) an ash collection pan that is designed for the purpose of removing cremated remains from the cremation unit and to minimize the commingling of cremated remains of one human remains with another;

(B) a hearth or floor that has been maintained in accordance with recommended maintenance requirements specified by the machine's manufacturer or other maintenance service representative;

(C) a door safety switch to stop the burner operation when the front charging door is opened;

(D) a pollution monitoring system to monitor and detect smoke when the density exceeds applica­ble federal and state standards, whereupon the system will automatically stop the burner operation on a time setting of not less than three minutes; and

(E) approval by a testing agency such as Underwriters Laboratory.

(3) a commercially-manufactured processor, within the crematory facility, made for the pulverization of cremated or hydrolyzed remains, meeting the following minimum standards:

(A) capable of processing cremated or hydrolyzed remains to unidentifiable dimensions;

(B) a dust-resistant processing chamber; and

(C) an exterior surface made of non-porous, non-corrosive material.

(b) Every hydrolysis licensee shall have the following:

(1) a holding facility of suitable size to accommodate all human remains which are retained and awaiting hydrolysis;

(2) a commercially-manufactured hydrolysis unit, within the hydrolysis facility, made for hydrolyzing human remains, and which meets the following minimum standards:

(A) a collection pan, tray, or other device that is designed for the purpose of removing hydrolyzed remains from the hydrolysis unit and to minimize the commingling of hydrolyzed remains of one human remains with another; and

(B) approval by a testing company, such as Underwriters Laboratory.

(3) a commercially-manufactured processor, within the hydrolysis facility, that shall meet the same minimum standards set forth in Subparagraph (a)(3) of this Rule.

History

• Authority G.S. 90-210.121(11); 90-210.129(i),(j), 90-210.124(a); 90-210-136(d),(h)
• Eff. July 1, 1991
• Recodified from Rule .0202 Eff. July 7, 1992
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Temporary Amendment Eff. May 24, 2019
• Temporary Amendment Expired Eff. March 13, 2020
• Amended Eff. January 1, 2021.

21 NCAC 34C .0202 Refrigeration

(a) Crematory and hydrolysis licensees shall have located on its premises a refrigeration unit that:

(1) is capable of storing at least three adult human bodies, each measuring up to seven feet in length and three hundred pounds in weight, in the holding facility;

(2) is capable of maintaining an interior temperature of 40 degrees Fahrenheit while loaded with the maximum number of bodies for which it is designed;

(3) has sealed concrete, stainless steel, galvanized, aluminum, or other flooring in walk-in units; and

(4) has stainless steel, aluminum, or other non-corrosive materials for the remainder of all units.

(b) A refrigeration unit in compliance with Subparagraphs (a)(1)-(4) of this Rule shall satisfy a crematory or hydrolysis licensee's compliance with Paragraph (a) of this Rule if the refrigeration unit is housed in a funeral establishment, crematory, or hydrolysis licensee sharing common ownership with, and located on the same contiguous piece of property as, the crematory or hydrolysis licensee.

(c) Unembalmed human remains retained in the custody of a crematory or hydrolysis licensee for more than 24 hours prior to cremation or hydrolysis shall be kept in a refrigeration unit. Human remains stored in a refrigeration unit, as set forth in Paragraphs (a) and (c) of this Rule, must be kept in a container that complies with G.S. 90-210.121(9)(a)-(f). The Board shall allow a crematory or hydrolysis licensee to procure and maintain one or more temporary refrigeration units. Any such temporary refrigeration unit must satisfy the requirements set forth in Subparagraphs (a)(1)-(4) of this Rule. Any such temporary refrigeration unit not located inside the crematory shall be kept locked at all times when human remains are stored inside.

(d) Prior to using a refrigeration unit that is not located on its premises, a crematory or hydrolysis licensee shall provide the Board with a written document that sets forth the following:

(1) the name, contact information, and license number, if applicable, of the entity that owns the property on which the refrigeration unit is located;

(2) the physical address of the property on which the refrigeration unit is located;

(3) the name, contact information, and license number, if applicable, of the entity responsible for maintaining the refrigeration unit that meets the requirements of Subparagraphs (a)(1)-(4) of this Rule;

(4) certification from both the manager of the crematory and an officer, owner, member, or partner of the entity responsible for maintaining the refrigeration unit in compliance with Subparagraphs (a)(1)-(4) of this Rule, acknowledging that:

(A) the crematory or hydrolysis licensee shall use the refrigeration unit for the storage of human remains;

(B) the refrigeration unit complies with Subparagraphs (a)(1)-(4) of this Rule;

(C) a log documenting the chain of possession of human remains shall be maintained, which sets forth the name of the decedent, the funeral establishment or other entity for whom the human remains are being stored, and the date and time that human remains are placed inside and removed from the refrigeration unit;

(D) the Board inspectors shall have access to the refrigeration unit at all times; and

(E) any licensee or permit holder that uses or maintains a refrigeration unit that is not compliant with this Rule is subject to disciplinary action pursuant to G.S. 210.25(d)(4) and 90-210.25(e)(1)(j).

History

• Authority G.S. 90-210.121(9),(12); 90-210.123(g); 90-210.134(a); 90-210.136(d),(h)
• Eff. July 1, 1991
• Recodified from Rule .0201 Eff. July 7, 1992
• Amended Eff. July 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Temporary Amendment Eff. May 24, 2019
• Temporary Amendment Expired Eff. March 13, 2020
• Amended Eff. January 1, 2021
• Emergency Amendment Eff. February 19, 2021
• Temporary Amendment Eff. May 28, 2021
• Amended Eff. October 1, 2021.

21 NCAC 34C .0203 Pulverization

History

• Status: repealed
• Authority G.S. 90-210.121(8),(9); 90-210.125(e); 90-210.134(a)
• Eff. July 1, 1991
• Amended Eff. January 1, 1995
• Repealed Eff. July 1, 2004.

21 NCAC 34C .0204 Cremation Containers

History

• Status: repealed
• Authority G.S. 90-210.121(8),(9); 90-210.125(e); 90-210.134(a)
• Eff. July 1, 1991
• Amended Eff. January 1, 1995
• Repealed Eff. July 1, 2004.

21 NCAC 34C .0205 Labels

In addition to the requirements of G.S. 90-210.29A, the crematory or hydrolysis licensee shall attach a typed or printed label to the initial container, urn or other permanent container at the time the cremated or hydrolyzed remains are placed therein. If an inside and outside container are used, then both shall be labelled. The label shall contain the name of the decedent, the date of cremation or hydrolysis, and the name of the crematory or hydrolysis licensee.

History

• Authority G.S. 90-210.126; 90-210.134(a); 90.210.136(d),(h)
• Eff. July 1, 1991
• Amended Eff. July 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Temporary Amendment Eff. May 24, 2019
• Temporary Amendment Expired Eff. March 13, 2020
• Amended Eff. January 1, 2021.

21 NCAC 34C .0206 Cleanliness

All areas of the crematory or hydrolysis licensee facilities devoted to the reception, storage and cremation or hydrolysis of human remains and to the pulverization and delivery of cremated or hydrolyzed remains, and all equipment located therein, shall be kept free of stains, disintegration, debris, and uncontained fluids and subject to inspection by the Board or its agents at all times.

History

• Authority G.S. 90-210.121(11); 90-210.129(i),(j); 90-210.124(a); 90.210.136(d),(h)
• Eff. July 1, 1991
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Temporary Amendment Eff. May 24, 2019
• Temporary Amendment Expired Eff. March 13, 2020
• Amended Eff. January 1, 2021.

21 NCAC 34C .0207 Removal of Pacemakers or Other Implanted Devices; Autopsied Remains; Communicable Diseases

(a) No person other than an individual who is licensed by the Board as either an embalmer or funeral service licensee shall remove a pacemaker, defibrillator, or any other implanted device or material that must be removed from human remains prior to cremation or hydrolysis as set forth in G.S. 90-210.129(d). Any such device or material that must be removed pursuant to G.S. 90-210.129(d) shall be removed in accordance with the guidelines set by the manufacturer thereof.

(b) No person other than an individual who is licensed by the Board as either an embalmer or funeral service licensee shall handle, treat, or otherwise prepare for cremation or hydrolysis the viscera removed from human remains as the result of an autopsy.

(c) An hydrolysis licensee shall not remove from the outer case required by G.S. 130A-395(b) and 10A NCAC 41A .0212, or to hydrolyze, any decedent who is known or suspected to have been infected with the plague, smallpox, COVID-19, or severe acute respiratory syndrome (SARS), without first obtaining the written consent of the local health director.

History

• Authority G.S. 90-210.125; 90-210.129; 90-210.134; 90-210.136(d),(h)
• Temporary Adoption Eff. May 24, 2019
• Temporary Adoption Expired Eff. March 13, 2020
• Readopted Eff. January 1, 2021.

21 NCAC 34C .0301 Authorization to Cremate

History

• Status: repealed
• Authority G.S. 90-210.124; 90-210.126(a); 90-210.134(a)
• Eff. July 1, 1991
• Amended Eff. January 1, 1995
• Repealed Eff. July 1, 2004.

21 NCAC 34C .0302 Waiver Form

All waivers of the waiting period of cremation required by G.S. 90-210.129(e) shall be recorded on forms provided by the Board. The form shall require the official authorized to waive the waiting period for cremation to furnish the statutory basis for the waiver, the signature of the official authorized to waive the waiting period, and any other information the Board deems necessary as required by law.

History

• Authority G.S. 90-210.123; 90-210.127; 90-210.134(a)
• Eff. July 1, 1991
• Amended Eff. August 1, 2004.

21 NCAC 34C .0303 RECORDS OF CREMATION or hydrolysis AND DELIVERY

(a) All crematory or hydrolysis licensees shall complete receipts for human remains on Board forms and shall include the following information:

(1) name of the crematory or hydrolysis licensee;

(2) first, middle, and last name of the decedent;

(3) date and time of death;

(4) date and time the human remains were delivered to the crematory or hydrolysis licensee;

(5) any affiliation by the person delivering remains with a funeral establishment or an individual licensed to practice funeral service under the provisions of G.S. 90-210.25(a2)(2), or crematory;

(6) any affiliation with the crematory or hydrolysis licensee; and

(7) first, middle, and last name and signature of the employee or agent of the crematory or hydrolysis licensee who received the human remains.

Every crematory or hydrolysis licensee shall furnish this receipt to the person who delivers the human remains to the crematory or hydrolysis licensee.

(b) All records documenting the release of human remains from a crematory or hydrolysis licensee to the person who receives the cremated or hydrolyzed remains shall be completed on Board forms and shall include the following information:

(1) name of the crematory or hydrolysis licensee;

(2) first, middle, and last name of the decedent;

(3) date and time of release;

(4) first, middle, and last name of the person who received the cremated or hydrolyzed remains;

(5) place where cremated or hydrolyzed remains were received;

(6) any affiliation by the person receiving remains with a funeral establishment or an individual licensed to practice funeral service under the provisions of G.S. 90-210.25(a2)(2) or other entity; and

(7) signatures of the person delivering the remains and recipient of remains, and any mailing or handling instructions.

Crematory and hydrolysis licensees must provide evidence by signature or shipping receipt upon delivery of the cremated or hydrolyzed remains.

(c) All records documenting the release of human remains from a funeral establishment or an individual licensed to practice funeral service under the provisions of G.S. 90-210.25(a2)(2) ("unaffiliated practitioner") to the person who receives the cremated or hydrolyzed remains shall be completed on Board forms and shall include the following information:

(1) name of the funeral establishment or unaffiliated practitioner;

(2) first, last, and middle name of the decedent;

(3) date and time of release;

(4) person to whom the remains were released;

(5) type of container in which the remains were released;

(6) signatures of the parties delivering and receiving remains; and

(7) any shipping or special handling instructions.

Funeral establishments must provide evidence by signature or shipping receipt upon delivery of the cremated or hydrolyzed remains. The provisions of this Paragraph shall not apply when the funeral establishment and crematory or hydrolysis licensee share common ownership and are physically located within one or more buildings on a contiguous piece of property that would qualify the funeral establishment to use "crematory," "crematorium," "cremation center," "hydrolysis facility," or "hydrolysis center" in its operating name; provided, however, that the crematory or hydrolysis licensee shall comply with Paragraphs (a), (b), and (d) or (e) of this Rule.

(d) All records documenting the process of cremation or hydrolysis from the time the remains are received at the crematory or hydrolysis licensee facility until the cremated or hydrolyzed remains are delivered, all crematory or hydrolysis licensees shall keep records on Board forms and shall include the following information:

(1) first, middle, and last name of the crematory or hydrolysis licensee;

(2) first, middle, and last name of the decedent;

(3) description of the cremation or hydrolysis container used;

(4) time and date the decedent was placed into the cremation or hydrolysis unit;

(5) first, middle, and last name of person who placed the deceased in the cremation or hydrolysis unit;

(6) time and date the cremated or hydrolyzed remains were removed from the cremation or hydrolysis unit;

(7) type of container in which the cremated or hydrolyzed remains were placed;

(8) time and date the cremated or hydrolyzed remains were processed; and

(9) first, middle, and last name and signature of the person who processed the cremated or hydrolyzed remains and placed them into a container.

The crematory or hydrolysis licensee shall furnish this information to a funeral establishment, an individual licensed to practice funeral service under the provisions of G.S. 90-210.25(a2)(2), authorizing agent, or other person or entity authorized to receive the cremated or hydrolyzed remains from the crematory or hydrolysis licensee.

(e) In lieu of the separate forms required by Paragraphs (a), (b), and (d) of this Rule, a crematory or hydrolysis licensee may use a form prescribed by the Board that combines all information required by Paragraphs (a), (b), and (d) of this Rule.

(f) The crematory or hydrolysis licensee shall retain the completed forms required by this Rule for a period of three years and shall produce all cremation or hydrolysis forms for inspection or copying by the Board or its agents upon request. Unless otherwise permitted by this Rule, the funeral establishment or individual licensed to practice funeral service under the provisions of G.S. 90-210.25(a2)(2) shall retain a completed copy of each form required by this Rule and shall produce the forms for inspection or copying to the Board or its agents upon request.

History

• Authority G.S. 90-210.127; 90-210.134(a); 90.210.136(d),(h)
• Eff. July 1, 1991
• Amended Eff. September 1, 2009; August 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Temporary Amendment Eff. May 24, 2019
• Temporary Amendment Expired Eff. March 13, 2020
• Amended Eff. January 1, 2021.

21 NCAC 34C .0304 Cremation and Delivery Form

History

• Status: repealed
• Authority G.S. 90-210.134(a)
• Eff. July 1, 1991
• Repealed Eff. July 1, 2004.

21 NCAC 34C .0305 Monthly Reports

History

• Status: repealed
• Authority G.S. 90-210.132; 90-210.134(a)
• Eff. July 1, 1991
• Amended Eff. February 1, 2009; July 1, 2004
• Repealed Eff. February 1, 2026.

21 NCAC 34C .0306 Retention of Records

A copy of all death certificates, cremation or hydrolysis authorizations, waivers, statements, reports and other documents required by G.S. 90-210.120 through G.S. 90-210.134 and by the rules in this Subchapter shall be retained by the crematory or hydrolysis licensee and the funeral establishment or individual licensed to practice funeral service under the provisions of G.S. 90-210.25(a2)(2) for a period of three years and shall, during that period, be subject to inspection by the Board or its agents.

History

• Authority G.S. 90-210.127; 90-210.134(a); 90.210.136(d),(h)
• Eff. July 1, 1991
• Amended Eff. January 1, 2009; July 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Temporary Amendment Eff. May 24, 2019
• Temporary Amendment Expired Eff. March 13, 2020
• Amended Eff. January 1, 2021.

Subchapter D

21 NCAC 34D .0101 Approval of Contract Forms

All preneed funeral contracts shall be transacted on forms prescribed by the Board. The Board may prescribe different forms for standard or inflation-proof contracts or for trust or insurance contracts. Each preneed funeral contract form shall contain the following information:

(1) Is written in clear, understandable language and is printed in easy-to-read type, size and style on paper not larger than 8 1/2 by 14 inches, with printing on both sides permitted.

(2) States or provides space for inserting the name, address and preneed funeral establishment license number of the contracting funeral establishment.

(3) Provides space for inserting the names, addresses and Social Security numbers of the purchaser and contract beneficiary.

(4) States that a description of the merchandise and services purchased is attached to the seller's and purchaser's copies of the contract and is a part of the agreement. The attachment shall be a form provided by the Board satisfying the requirements of a "statement of goods and services selected" as described in Funeral Industry Practices, 16 C.F.R. 453 (1984), as amended from time to time.

(5) Discloses any penalties or restrictions, including geographical restrictions, on the delivery of merchandise and services.

(6) States whether it is a standard or inflation-proof contract and summarizes, consistent with North Carolina law, the incidents of such type of contract.

(7) Provides space for inserting the financial transaction.

(8) Provides space for the purchaser to indicate, by the purchaser's signature or initials, the following:

(a) The purchaser's choice of trust-funded or insurance-funded contract.

(b) That the purchaser acknowledges that the funeral establishment will retain, and not deposit in trust, a stated percentage (not more than 10%) of the purchaser's payments.

(c) The purchaser's choice of revocable or irrevocable contract.

(d) That the purchaser acknowledges that the sale was made at the funeral establishment's place of business, so as to negate the cancellation rights connected with an off-premises sale.

(9) Contains notice, in bold type, of the purchaser's right to cancel an off-premises sale.

(10) Contains notice, in bold type, that if the purchaser does not receive notification from the Board, within 30 days, that it has received a copy of the contract, the purchaser should notify the Board at its current, stated address and telephone number.

(11) Explains the parties' rights and obligations, consistent with North Carolina law, with respect to contract revocation, default, the funeral establishment's retention of a portion of the purchase price free of the trust, and the substitution of funeral homes to perform the contract.

(12) Contains a notice of the existence of the Board's preneed recovery fund.

(13) Contains, or refers to an attachment containing, all funeral sales disclosures to consumers as required by federal and North Carolina law.

(14) Provides spaces for the signatures of the parties to the contract, including the signature and preneed sales license number of the preneed sales licensee who sold the contract. The following shall appear, in bold type, beneath the signature of the preneed sales licensee: "Signed and preneed sales license number affixed in presence of Purchaser at time of sale."

(15) Any other information the Board deems necessary and is required by law.

History

• Authority G.S. 90-210.62(b); 90-210.69(a),(c)(6)
• Eff. July 1, 1993
• Amended Eff. January 1, 2009; August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34D .0102 Refund of Contract Fees

The preneed funeral contract fee, paid as required by G.S. 90-210.67(d), shall be refunded by the Board to the payor only in the event that, because the insurance company refuses to insure the proposed preneed funeral contract beneficiary, the preneed funeral contract does not become binding.

History

• Authority G.S. 90-210.69(a)
• Eff. May 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34D .0103 Insurance-Funded Contracts

A "preneed funeral contract," as defined in G.S. 90-210.60(5), is created when any person, partnership, corporation or association of individuals engaged in the business of providing funeral services or merchandise is named, with knowledge of being named, as a revocable or irrevocable beneficiary or co-beneficiary or assignee of a "prearrangement insurance policy," as defined in G.S. 90-210.60(4), regardless of whether specific funeral services or merchandise is selected. This example does not preclude the creation of insurance-funded preneed funeral contracts pursuant to other facts.

History

• Authority G.S. 90-210.69(a)
• Eff. May 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34D .0104 Indication of Approval of Forms

History

• Status: repealed
• Authority G.S. 90-210.69(a); 90-210.62(b)
• Eff. August 2, 1993
• Repealed Eff. November 1, 2004.

21 NCAC 34D .0105 Contract Copies to Be Filed

Within 10 days following the sale of a preneed funeral contract, any person selling the contract shall send a copy of it to the Board, accompanying the fee required by G.S. 90-210.67(d).

History

• Authority G.S. 90-210.69(a); 90-210.62(b); 90-210.67(d); 90-210.68(a)
• Eff. August 2, 1993.

21 NCAC 34D .0106 Transfer of Trust Preneed Contracts to Another Jurisdiction

(a) In order to revoke a preneed funeral contract under G.S. 90-210.65(e)(1), the preneed contract purchaser, or after the death of the preneed contract purchaser, the preneed contract beneficiary or his or her legal representative, shall submit a written request to the Board. The request shall contain a written request to transfer the contract; the domicile of the preneed contract beneficiary at the time of the request; the mailing address of the requesting party, if different from the domicile of the preneed contract beneficiary; and a copy of the new preneed contract executed under the laws of the state of the preneed contract beneficiary's domicile.

(b) Upon finding that the contract may be revoked under G.S. 90-210.65(e)(1), the Board shall order the contract revoked and the funds be transferred to the succeeding funeral establishment under G.S. 90-210.63. A copy of the Board's order shall be served on the preneed contract beneficiary, the contracting funeral establishment, and the financial institution or insurance company holding the preneed funeral funds.

History

• Authority G.S. 90-210.65(e)(1); 90-210.69(a)
• Eff. January 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34D .0201 Preneed Funeral Establishment License

(a) A funeral establishment wishing to apply for a preneed funeral establishment license shall complete a form provided by the Board. The applicant shall submit, in addition to the information required by G.S. 90-210.67, the following information:

(1) its funeral establishment permit number issued pursuant to G.S. 90-210.25(d);

(2) type of business entity;

(3) whether it is authorized to transact business in North Carolina;

(4) whether it is solvent;

(5) whether there exist unsatisfied civil judgments against the applicant and copies of any;

(6) whether the applicant or any of its principals has been denied a license to engage in an occupation or had a license suspended, revoked or placed on probation;

(7) whether any principal has been convicted of a crime involving fraud or moral turpitude;

(8) for all applicants required to maintain a surety bond, evidence that the bond is in effect at the time of application; and

(9) any other information deemed necessary by the Board and required by law.

(b) The Board may require an applicant to submit additional proof to satisfy the requirements of G.S. 90-210.67.

(c) The applicant shall submit, with its application, the names, preneed sales license numbers and telephone numbers of all preneed sales licensees who will sell preneed funeral contracts as employees or agents of the applicant. Any additions to or deletions from the list of names shall be reported to the Board, within 10 days of the change, as an amended application on an application form.

(d) The same Board form shall be used for the original application, annual renewal application and amended application. All applications shall be verified as correct before a notary public by the owner, a corporate officer, partner, or member of the limited liability company owning the preneed establishment.

(e) Preneed funeral establishment licenses shall not be transferable. Upon a transfer of ownership of a funeral establishment, the provisions of 21 NCAC 34B .0605 apply, and a new application for a preneed funeral establishment license shall be made to the Board within 30 days of the transfer. The application fee shall accompany the application, as in the case of initial applications.

(f) The license certificate shall be conspicuously displayed in the funeral establishment at the address to which it is issued.

History

• Authority G.S. 90-210.67(a),(b); 90-210.69(a)
• Eff. May 1, 1993
• Amended Eff. February 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34D .0202 Preneed Sales License

(a) Individuals who hold either an active funeral director's license or an active funeral service license issued by the Board and who have taken two or more hours of continuing education on preneed statutes and rules within the preceding three calendar years are eligible for initial licensure as a preneed sales license upon application by a funeral establishment holding an active preneed establishment permit, as set forth in Paragraph (d) of this Rule.

(b) Only individuals who hold an active preneed sales license issued by the Board or resident trainees in funeral service or funeral directing registered with the Board as allowed by 21 NCAC 34B .0103 are permitted to engage in the following preneed funeral planning activities:

(1) discuss with consumers written materials, including price lists and photographs, descriptive of the funeral services, funeral merchandise, the preneed funeral plan, or funeral contract being offered;

(2) explain the various types of funeral ceremonies and services and the qualities and characteristics of various kinds of funeral merchandise;

(3) sell, on a preneed basis, funeral services and merchandise;

(4) record, on any form or otherwise, specific items of funeral services and merchandise selected on a preneed basis;

(5) make funeral arrangements on a preneed basis; and

(6) sign preneed contracts; provided, however, that the resident trainee and his or her licensed supervisor comply with 21 NCAC 34B .0103(e) when doing so.

(c) No preneed sales license is required for the sale of an insurance policy for which no funeral establishment or its representative is listed as the beneficiary or assignee of said policy. In connection with such a sale, the salesperson shall not be deemed to have engaged in preneed funeral planning if the salesperson shows only price lists of funeral services and merchandise to permit a prospective purchaser to make an informed decision as to the amount of insurance desired.

(d) An applicant shall apply for, renew, or surrender a preneed sales license in accordance with the following provisions:

(1) A funeral establishment holding an active preneed establishment permit shall apply for, or renew, a preneed sales license by submitting the following to the Board on behalf of the applicant for a preneed sales license:

(A) the applicant's name, address, email address, and telephone number;

(B) the applicant's funeral director's or funeral service license number;

(C) the name, address, and preneed establishment permit number of the preneed funeral establishment licensee or licensees on whose behalf the applicant will sell preneed funeral contracts;

(D) the applicant's employment or agency relationship with the preneed establishment licensee or licensees;

(E) the initial or renewal application fee required by 21 NCAC 34A .0201(c) for each preneed sales licensee;

(F) the date on which the applicant has taken the continuing education course required by Paragraph (a) of this Rule; and

(G) the applicant's signature and attestation that he or she has read and will comply with the statutes and rules governing the practice of preneed funeral service.

(2) Either the preneed sales licensee or the preneed funeral establishment on whose behalf the preneed sales licensee is engaged in preneed funeral planning activities may surrender a preneed sales license by submitting notification of such surrender in writing to the Board.

(e) If a preneed sales licensee proposes to engage in preneed funeral planning activities on behalf of multiple preneed funeral establishment licensees that are not wholly owned by or affiliated with common ownership, the preneed sales licensee shall submit the following to the Board:

(1) the date on which the preneed sales licensee will begin engaging in preneed funeral planning activities for multiple preneed funeral establishment licensees;

(2) the date on which the preneed sales licensee will stop engaging in preneed funeral planning activities for multiple preneed funeral establishment licensees, if known;

(3) the name, license number, and signature of the preneed sales licensee;

(4) the name and signature of the licensed manager of each preneed funeral establishment licensee for whom the preneed sales licensee will engage in preneed funeral planning activities; and

(5) an attestation from each of the individuals identified in Subparagraphs (3) and (4) of this Paragraph that:

(A) he or she consents to the preneed sales licensee engaging in preneed funeral planning activities on behalf of the identified preneed funeral establishment licensees; and

(B) the preneed sales licensee and the preneed funeral establishment licensee on whose behalf the preneed funeral planning activities are to be conducted shall comply with the statutes and rules governing preneed funeral planning activities.

(f) The Board shall issue to each preneed sales licensee a pocket card as certification of the preneed sales license. The preneed sales licensee shall carry the card while engaging in preneed funeral planning.

(g) The preneed sales licensee shall sign and affix his or her preneed sales license number to each preneed funeral contract, which he or she sells, in the presence of the purchaser of the contract at the time of sale, which may occur in person or via an electronic communication platform that allows the licensee and purchaser to hear and see each other in real time.

History

• Authority G.S. 90-210.25(a)(4); 90-210.60(8); 90-210.67(a),(c); 90-210.69(a), (c)
• Eff. July 1, 1993
• Amended Eff. January 1, 1996; June 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. December 1, 2025; January 1, 2023.

21 NCAC 34D .0203 Surety Bonds

(a) Any applicant for a new preneed funeral establishment license or any preneed licensee required to maintain a surety bond under G.S. 90-210.67(b) shall submit a copy of the bond with its initial application and with each renewal application. The bond shall cover all insurance premiums paid under a preneed insurance policy and all trust payments under a preneed funeral trust. The bond shall name the Board as trustee and shall be issued by a bonding company licensed to do business in this State. The Board shall recognize all surety bond forms approved by the N.C. Department of Insurance.

(b) Any preneed establishment licensee required to obtain a bond may petition the Board to repeal the requirement one year after obtaining the bond. The preneed establishment licensee shall establish that the firm is solvent. For purposes of this paragraph, solvency shall be defined as assets in excess of liabilities; provided, however, that goodwill shall not be considered an asset and that unperformed preneed funeral contracts shall be treated as both an asset and a liability of equal value. A preneed establishment may demonstrate solvency by submitting a balance sheet prepared by a certified public accountant that is no more than 90 days old or through other financial evidence generally recognized as valid by certified public accountants.

(c) All petitions must be filed on a form provided by the Board. The petition form shall be verified before a notary public by the owner, a corporate officer, partner, or member of the limited liability company owning the preneed establishment and shall require the petitioner to furnish the following information:

(1) the name of the preneed establishment;

(2) certifications that the firm is solvent, has no unsatisfied civil judgments against it, and has not paid a claim on the bond; and

(3) any other information that the Board deems necessary to determine solvency or to process the petition and that is required by law.

History

• Authority G.S. 90-210.67(b); 90-210.69(a)
• Eff. October 1, 2010.

21 NCAC 34D .0301 Record and Bookkeeping Requirements

(a) Each preneed funeral establishment licensee shall maintain a file containing:

(1) a copy of each of its license applications, including applications for license renewals;

(2) copies of all preneed examination reports; and

(3) copies of all annual reports to the Board.

(b) Each such licensee shall maintain files containing all preneed funeral contracts purchased. The files shall be maintained separately for outstanding contracts and for matured or cancelled contracts. The outstanding contract file shall include a copy of each preneed contract filed alphabetically or numerically. The matured or cancelled contract file shall contain a copy of each preneed contract, together with a copy of the certificate of performance, the preneed statement of funeral goods and services and the at-need statement of funeral goods and services, and shall be filed either chronologically or alphabetically by year.

(c) Each such licensee shall maintain the following records:

(1) a contract register listing the purchaser's name and final disposition of the contract;

(2) a separate cash journal or separate cash receipt book designated for preneed, showing all preneed payments collected;

(3) an individual ledger for each contract purchaser showing the purchaser's and beneficiary's names, amount of the contract, amount paid on the contract, amount retained free of trust pursuant to G.S. 90-210.61(a)(2), deposits to trust, withdrawals from trust as permitted by law and the reasons therefor, interest on deposits, total amount of the trust, and amounts paid to insurance companies for insurance-funded contracts;

(4) copies of bank statements and deposit slips from financial institutions in which trust funds are deposited, certificate of deposit records, including both principal and interest transactions and trust accountings; and

(5) copies of applications for insurance, insurance policies, beneficiary designation documents and instruments of assignment.

(d) When two or more preneed funeral establishment licensees are wholly owned by the same entity, all of the copies and records required to be maintained by Paragraphs (a) and (b) of this Rule may be maintained at one address of the licensee, or they may be divided among and maintained at various addresses of the licensees, in their discretion.

(e) The copies required to be maintained by Paragraph (a) of this Rule shall be retained a minimum of ten years following their origination. The copies and records required to be maintained by Paragraphs (b) and (c) of this Rule shall be retained a minimum of ten years following the substitution of a different funeral establishment to perform the preneed funeral contract, the revocation of the preneed funeral contract or the death of the contract beneficiary, whichever occurs first.

(f) Individual ledgers and records of the depository financial institutions shall be balanced at least annually to ensure accuracy.

History

• Authority G.S. 90-210.68(a); 90-210.69(a)
• Eff. May 1, 1993
• Amended Eff. November 1, 2004; January 1, 1996; August 2, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34D .0302 Annual Report

Each preneed funeral establishment licensee shall file an annual report with the Board. The report shall include the following:

(1) the total number of standard and inflation-proof trust-funded and insurance-funded preneed funeral contracts maintained by the licensee;

(2) the number of contracts sold in the reporting period;

(3) the number of contracts that expired, including contracts performed, revoked and transferred, in the reporting period;

(4) the total year-end balance of all preneed trust accounts maintained at each financial institution;

(5) the total year-end balance of all insurance-funded preneed contracts written with each insurance company;

(6) for each preneed contract sold, whether the preneed contract is active, performed, cancelled, or lapsed; and

(7) for each active preneed contract, the current insurance policy value or trust account balance.

The annual report shall be certified as correct by the location manager registered under G.S. 90-210.25(d)(2)a. or by a corporate officer of the preneed establishment licensee. The annual report shall be filed not later than March 31 each year by each firm holding a preneed establishment license at any time during the preceding year ending December 31.

History

• Authority G.S. 90-210.69(a); 90-210.68(a)
• Eff. May 1, 1993
• Amended Eff. September 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. October 1, 2021.

21 NCAC 34D .0303 Certificate of Performance

(a) The certificate of performance as required by G.S. 90-210.64(a) shall be a form provided by the Board and shall require the following information: the names, addresses and preneed funeral establishment license numbers of the performing funeral establishment and the contracting funeral establishment; the name of the deceased beneficiary of the preneed funeral contract; the date of death and the county where the death certificate was or will be filed; the invoice amount; certification that the contract was or was not performed in whole or in part; the name and address of the financial institution where the preneed trust funds are deposited and the trust account or certificate number; the name and address of the insurance company that issued the prearrangement insurance policy and the policy number; and the amount and the date of the payment by the financial institution or insurance company and to whom paid.

(b) The form shall be completed by each funeral establishment performing any services or providing any merchandise pursuant to the preneed funeral contract, or, if none are performed or provided, by the contracting funeral establishment. The form shall be presented to the financial institution or insurance company for payment. Within 10 days following its receipt of payment, any funeral establishment that is required to complete the form shall file a copy with the Board.

History

• Authority G.S. 90-210.64(a); 90-210.68; 90-210.69(a)
• Eff. May 1, 1993
• Amended Eff. February 1, 2009; November 1, 2004; August 1, 1998; November 1, 1994.

21 NCAC 34D .0304 Transfer of Trust Funds

When, pursuant to G.S. 90-210.68(b), a preneed licensee directs a transfer of preneed funds to a substitute financial institution, the preneed license shall direct the financial institution that is a party to the preneed funeral contract (the "original financial institution") to make the transfer directly and solely to the substitute financial institution and not mediately to the preneed licensee. The preneed licensee shall notify the Board within 10 days following said transfer as required by G.S. 90-210.68(b) and said notification shall be made on a form provided by the Board on its website, which shall provide the following information:

(1) The name, address, and license number of the preneed licensee serving as trustee for the preneed contract, along with the preneed contract identification number prescribed by the Board;

(2) The name and address of the original financial institution, along with the account number in which the preneed funds are held;

(3) The name and address of the substitute financial institution, along with the account number into which the preneed funds will be transferred;

(4) The name of the preneed contract beneficiary and of the preneed contract purchaser and whether the purchaser of the preneed contract has been notified of the intended transfer of preneed funds, if the preneed contract is revocable;

(5) The dated signature of the preneed licensee attesting to the request to transfer the preneed funds to a substitute financial institution;

(6) The dated signature of the representative of the original financial institution attesting to its payment of the preneed funds to the substitute financial institution and the amount of preneed funds so transferred; and

(7) The dated signature of the representative of the substitute financial institution attesting to the amount of preneed funds received from the original financial institution and its receipt of the underlying preneed funeral contract, as well as its agreement to adhere to the provisions of General State Chapter 90, Article 13D, as it pertains to financial institutions.

History

• Authority G.S. 90-210.69(a); 90-210.68(b)
• Eff. May 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. February 1, 2026.

21 NCAC 34D .0305 TRANSFER OF TRUST FUNDS to insurance funded product

(a) When, pursuant to G.S. 90-210.61(d), a preneed licensee withdraws preneed funeral funds from an irrevocable preneed funeral trust to purchase an insurance funded product that is irrevocably assigned to the contracting preneed funeral establishment, the preneed licensee shall direct the financial institution that is a party to the preneed funeral contract to make the transfer directly and solely to the substitute insurance company and not to the preneed licensee. The preneed licensee shall obtain the preneed contract purchaser's consent for the conversion on a form prescribed by the Board, which shall contain the following information:

(1) The name, address, and license number of the preneed establishment serving as trustee for the preneed contract, along with the preneed contract identification number prescribed by the Board;

(2) The name and address of the financial institution, along with the account number in which the preneed funds are held;

(3) The name and address of the successor insurance company, to which the preneed funds will be transferred for the purchase of an irrevocably assigned insurance product;

(4) The name of the preneed contract beneficiary and preneed contract purchaser;

(5) The dated signature of the preneed contract purchaser or, if the purchaser is deceased, the preneed contract beneficiary's legal representative, attesting to their consent for the conversion of the irrevocable preneed trust to an irrevocably assigned insurance product; and

(6) The dated signature of the representative of the financial institution attesting to its payment of the preneed funds to the successor insurance company and the amount of preneed funds so transferred.

(b) The preneed licensee shall file said form with the Board within 10 days following withdrawal of the preneed funeral funds from trust.

History

• Authority G.S. 90-210.69(a); 90-210.68(b)
• Temporary Adoption Eff. November 7, 2025
• Eff. April 1, 2026.

21 NCAC 34D .0401 Definitions

For the purposes of this section, the following definitions shall apply:

(1) "Fund" shall mean the preneed recovery fund as established by G.S. 90-210.66.

(2) "Applicant" shall mean a person who has suffered a reimbursable loss pursuant to G.S. 90-210.66.

(3) "Reimbursable losses" are only those losses of money which meet the requirements of G.S. 90-210.66 and in which, as determined by the Board, the applicant has exhausted all viable means to collect the applicant's losses and has complied with this section. Reimbursable losses shall not include losses of spouses, children, parents, grandparents, siblings, partners, associates, employers and employees of the person or business entity causing the losses.

History

• Authority G.S. 90-210.69(a); 90-210.66(c), (d), (f), (g)
• Eff. May 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34D .0402 Application for Reimbursement

(a) The Board shall furnish a form of application for reimbursement which shall require the following information:

(1) The name and address of the applicant.

(2) The name and address of the licensee under G.S. 90, Article 13D, who caused the alleged loss.

(3) The amount of the alleged loss for which application for reimbursement is made.

(4) A copy of any preneed funeral contract which was the basis of the alleged loss.

(5) The date or period of time during which the loss was incurred.

(6) A statement of facts relative to the application.

(7) All supporting documents, including copies of court proceedings and other papers indicating the efforts of the applicant to obtain reimbursement from the licensee, insurance companies or others.

(8) A documentation of any receipt of funds in partial payment of the loss.

(9) Any other information the Board deems necessary as required by law.

(b) The application form shall contain the following statement in boldface type: "The North Carolina General Assembly in G.S. 90-210.66 established the preneed recovery fund and directed the North Carolina Board of Funeral Service to provide for its funding and administration. The establishment of the fund did not create or acknowledge any legal responsibility on the part of the Board for the acts, or failure to act, of persons, firms or corporations licensed by it. All reimbursements of losses from the fund shall be a matter of privilege in the sole discretion of the Board and not a matter of right. No applicant or member of the public shall have any right in the fund as a third-party beneficiary or otherwise."

(c) An application shall be filed in the office of the Board.

History

• Authority G.S. 90-210.66(a), (c), (d), (f), (g); 90-210.69(a)
• Eff. May 1, 1993
• Amended Eff. November 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34D .0403 Processing Applications

(a) The Board in making investigation of all applications filed for reimbursement from the preneed recovery fund may require the attendance of and examine under oath all persons, including the alleged defalcating licensee, whose testimony it may require. A determination of the application shall be made by a majority vote of those present at a Board meeting at which a quorum is present. The Board may afford the applicant a reconsideration of the application; otherwise, a rejection is final, and no further consideration shall be given by the Board to the application or to another application based upon the same alleged facts.

(b) The Board shall determine the amount of loss, if any, for which the applicant shall be reimbursed from the fund. In making such determination, the Board's considerations shall include:

(1) The negligence, if any, of the applicant which contributed to the loss.

(2) The hardship which the applicant suffered because of the loss.

(3) The total amount of reimbursable losses of applicants on account of any one licensee or association of licensees.

(4) The total amount of previous reimbursable losses for which total reimbursement has not been made and the total assets of the fund.

(5) The total amount of insurance available to compensate the applicant for the loss.

(c) The Board may allow further reimbursements in cases in which a loss has not been fully reimbursed.

(d) Before receiving a payment from the fund, the person who is to receive such payment or his or her legal representative shall execute and deliver to the Board a written agreement stating that in the event the reimbursed applicant or his or her estate ever receives any restitution from the licensee or from any other source, the reimbursed applicant or his or her estate shall repay the fund the restitution received or the amount of reimbursement from the fund, whichever is less.

History

• Authority G.S. 90-210.66(a), (c), (d), (g); 90-210.69(a)
• Eff. May 1, 1993
• Amended Eff. November 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

21 NCAC 34D .0404 Subrogation

In pursuing a subrogation claim as authorized by G.S. 90-210.66(h), the Board may require the reimbursed applicant to execute a subrogation agreement, providing for, among other things, that the action may be brought in the name of the applicant. Upon commencement of an action by the Board pursuant to its subrogation rights, it shall notify the reimbursed applicant at his or her last known address in order that the applicant may join in the action if desired. Any amounts recovered by the Board in excess of the amount to which the fund is subrogated, less the Board's actual costs of recovery, shall be paid to or retained by the reimbursed applicant as the case may be.

History

• Authority G.S. 90-210.69(a); 90-210.66(d)
• Eff. May 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

Chapter 36 Nursing

21 NCAC 36 .0101 Location

History

• Status: repealed
• Authority G.S. 90-171.23(b)(3)
• Eff. February 1, 1976
• Amended Eff. January 1, 1984
• Repealed Eff. January 1, 1986.

21 NCAC 36 .0102 Functions

History

• Status: repealed
• Authority G.S. 90-171.23(b)
• Eff. February 1, 1976
• Amended Eff. January 1, 1983
• Repealed Eff. April 1, 1989.

21 NCAC 36 .0103 Organization

History

• Status: repealed
• Authority G.S. 90-159(2); 90-162
• Eff. February 1, 1976
• Repealed Eff. January 1, 1983.

21 NCAC 36 .0104 Officers

History

• Status: repealed
• Authority G.S. 90-171.22; 90-171.23(b)(3),(4),(14); 90-171.24
• Eff. February 1, 1976
• Amended Eff. November 1, 1984; January 1, 1984; January 1, 1983
• Repealed Eff. January 1, 1986.

21 NCAC 36 .0105 Committees

History

• Status: repealed
• Authority G.S. 90-171.22; 90-171.23(b)(3),(4),(14); 90-171.24
• Eff. February 1, 1976
• Amended Eff. November 1, 1984; January 1, 1984; January 1, 1983
• Repealed Eff. January 1, 1986.

21 NCAC 36 .0106 Executive Director

History

• Status: repealed
• Authority G.S. 90-171.22; 90-171.23(b)(3),(4),(14); 90-171.24
• Eff. February 1, 1976
• Amended Eff. November 1, 1984; January 1, 1984; January 1, 1983
• Repealed Eff. January 1, 1986.

21 NCAC 36 .0107 Seal

History

• Status: repealed
• Authority G.S. 90-171.22; 90-171.23(b)(3),(4),(14); 90-171.24
• Eff. February 1, 1976
• Amended Eff. November 1, 1984; January 1, 1984; January 1, 1983
• Repealed Eff. January 1, 1986.

21 NCAC 36 .0108 Procedure for Adoption of Rules

History

• Status: repealed
• Authority G.S. 90-162
• Eff. February 1, 1976
• Repealed Eff. January 1, 1983.

21 NCAC 36 .0109 Selection and Qualifications of Nurse Members

(a) Vacancies in nurse member positions on the Board that are scheduled to occur during the next year shall be announced in the last issue of the Board's "Bulletin" for the calendar year, which shall be posted on the Board's website at www.ncbon.com. The "Bulletin" and Board's website at www.ncbon.com shall include a petition form for nominating a nurse to the Board and information on filing the petition with the Board.

(b) Each petition shall be checked with the records of the Board to validate that the candidate and each petitioner holds an active unencumbered North Carolina license to practice nursing. If the candidate does not hold an active unencumbered license, the petition shall be declared invalid. If any petitioners do not hold an active unencumbered licenses, and this decreases the number of petitioners to fewer than 10, the petition shall be declared invalid.

(c) In a format provided by the Board, each candidate shall submit a packet with the following information:

(1) indicate the category of Board member position for which the candidate is seeking election;

(2) attest to meeting the qualifications specified in G.S. 90-171.21(d);

(3) provide permission to be listed on the slate; and

(4) complete the Application for Boards and Commissions in accordance with Executive Order 55 Enhanced Disclosures from Applicants to Boards and Commissions.

The candidate packet shall be received by the Board on or before April 15 by electronic submission, mailed copy with postmarked envelope, or in-person received by Board staff during normal business hours.

(d) Minimum on-going employment requirements for the registered nurse or licensed practical nurse member shall include continuous employment equal to or greater than 50% of a full-time position that meets the criteria for the specified Board member position.

(e) This Paragraph shall apply in determining qualifications for registered nurse categories of membership:

(1) Nurse Educator includes any nurse who teaches in or directs a Board-approved nursing program in the specific category as outlined in G.S. 90-171.21(d).

(2) Hospital is defined as any facility that has an organized medical staff and that is designed, used, and primarily operated to provide health care, diagnostic and therapeutic services, and continuous nursing services to inpatients, but excludes nursing homes and adult care homes.

(3) A hospital system is defined as a multihospital system or a single diversified hospital system that includes a hospital as defined in Subparagraph (e)(2) of this Rule plus non-hospital pre-acute and post-acute client services.

(4) A nurse accountable for the administration of nursing services shall be the chief nurse executive of a hospital or hospital system or the director of nursing services for a service division that includes inpatient care within a hospital or hospital system.

(5) A nurse practitioner, nurse anesthetist, nurse midwife, or clinical nurse specialist includes any advanced practice registered nurse who meets the criteria specified in G.S. 90-171.21(d)(4).

(f) The term "nursing practice," when used in determining qualifications for registered or licensed practical nurse categories of membership, means any position for which the holder of the position is required to hold an active license to practice nursing at the appropriate licensure level for each category.

(g) A candidate shall be listed in only one category on the slate.

(h) Separate slates shall be prepared for election of registered nurse candidates and for election of licensed practical nurse candidates. Candidates shall be listed in random order on the slate for licensed practical nurse candidates and within the categories for registered nurse candidates. Slates shall be published in the "Bulletin" and posted on the Board's website at www.ncbon.com following the Spring Board meeting and shall be accompanied by biographical data on candidates and a photograph.

(i) The procedure for voting shall be identified in the "Bulletin" and posted on the Board's website at www.ncbon.com following the Spring Board meeting.

(j) The tabulation of results of the votes shall be verified by matching the license number of each nurse who voted with the database of licensed nurses maintained by the Board.

(k) If more than one candidate is to be elected in a category, the plurality vote shall be in descending order until the required number has been elected. In any election, if there is a tie vote between candidates, the tie shall be resolved by a draw from the names of candidates who have tied.

(l) The results of an election shall be recorded in the minutes of the next regular meeting of the Board following the election and shall include at least the following:

(1) the number of nurses eligible to vote;

(2) the number of votes cast; and

(3) the number of votes cast for each candidate on the slate.

(m) The results of the election shall be reported to the Governor and in the annual report as directed in G.S. 93B-2 and G.S. 138A.

(n) All petitions to nominate a nurse, signed consents to appear on the slate, verifications of qualifications, and copies of the computerized validation and tabulation shall be retained for a period of four years following the close of an election.

History

• Authority G.S. 90-171.21; 90-171.23(b)
• Eff. May 1, 1982
• Amended Eff. August 1, 1998; January 1, 1996; June 1, 1992; March 1, 1990; April 1, 1989
• Temporary Amendment Eff. July 2, 2001
• Amended Eff. December 1, 2010; November 1, 2008; January 1, 2004; August 1, 2002
• Readopted Eff. January 1, 2019.

21 NCAC 36 .0110 Open Meetings

History

• Status: expired
• Authority G.S. 90-171.23(a); 143-318.10
• Eff. January 1, 1983
• Amended Eff. May 1, 1988; July 1, 1984
• Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

21 NCAC 36 .0111 Removal of Board Members

History

• Status: repealed
• Authority G.S. 90-171.21(f)
• Eff. January 1, 1983
• Repealed Eff. January 1, 1986.

21 NCAC 36 .0112 Determination of Vacancy

(a) A Board member, with the exception of the At-Large Registered Nurse, shall notify the Executive Director immediately upon change of employment.

(b) Licensed nurse members of the Board, with the exception of the At-Large Registered Nurse, who cease to meet the employment criteria as defined in G.S. 90-171.21(d) and Rule .0109 Paragraphs (d) and (e) of this Section shall have 60 days to resume employment that meets the the criteria. If employment criteria for the specified area are not met within 60 days, the seat shall be declared vacant; provided, however, that if such a change in employment for the specified category of Board member occurs within 18 months of the end of the member's term, such member may continue to serve until the end of the term.

(c) If at any time a registered nurse member, with the exception of the At-Large Registered Nurse, no longer meets the eligibility requirements listed in G.S. 90-171.21(d)(1)(a) and (a1), such member shall no longer continue to serve and the position shall be declared vacant.

(d) If at any time a licensed practical nurse member no longer meets the eligibility requirements listed in G.S. 90-171.21(d)(2)(a) and (a1), such member shall no longer continue to serve and the position shall be declared vacant.

History

• Authority G.S. 90-171.21(c); 90-171.23(b)
• Eff. May 1, 1988
• Amended Eff. November 1, 2008; January 1, 2004; August 1, 2002; March 1, 1990; May 1, 1989
• Readopted Eff. January 1, 2019.

21 NCAC 36 .0113 Determination of Qualifications

(a) For purposes of G.S. 90-171.21 and Rule .0109(d) and (e) of this Section, the Board shall consider the following factors in determining whether a candidate is qualified to run for election:

(1) whether the licensee is presently employed equal to or greater than 50% of a full-time position in the applicable practice area;

(2) whether the licensee has been employed equal to or greater than 50% of a full-time position in the applicable practice area for the preceding three years;

(3) the duration of any periods of interruption of employment in the applicable practice area during the preceding three years and the reasons for such interruptions;

(4) job descriptions, contracts, and any other relevant evidence concerning the time, effort, and education devoted to the applicable practice area; and

(5) whether engagement in the applicable practice area is or has been for compensation, and whether income derived therefrom meets the eligibility requirements for the applicable practice area.

(b) While serving on the Board, currently seated Board members, with the exception of the At-Large Registered Nurse, shall maintain employment equal to or greater than 50% of a full-time position in the applicable practice area.

History

• History Note Authority G.S. 90-171.21(d); 90-171.23(b)(2)
• Eff. May 1, 1988
• Amended Eff. January 1, 2004; August 1, 2002; May 1, 1989
• Readopted Eff. January 1, 2019.

21 NCAC 36 .0119 Suspension of Authority to Expend Funds

In the event the Board's authority to expend funds is suspended pursuant to G.S. 93B-2(d) the board shall continue to issue and renew licenses and all fees tendered shall be placed in an escrow account maintained by the Board for this purpose. Once the Board's authority is restored, the funds shall be moved from the escrow account into the general operating account.

History

• Authority G.S. 93B-2
• Eff. December 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 36 .0120 Definitions

The following definitions apply throughout this chapter unless the context indicates otherwise:

(1) "Administrative Law Counsel" means an attorney licensed to practice in this State whom the Board has retained to serve as procedural officer for contested cases.

(2) "Academic term" means one semester of a school year.

(3) "Accountability/Responsibility" means being answerable for action or inaction of self, and of others in the context of delegation or assignment.

(4) "Accredited institution" means an institution accredited by a United States Department of Education-approved institutional accrediting body.

(5) "Active Practice" means activities that are performed, either for compensation or without compensation, consistent with the scope of practice for each level of licensure as defined in G.S. 90-171.20(4), (7), and (8).

(6) "Advanced Practice Registered Nurse (APRN)" means a nurse practitioner, nurse anesthetist, nurse-midwife, or clinical nurse specialist.

(7) "Assigning" means designating responsibility for implementation of a specific activity or set of activities to an individual licensed and competent to perform such activities.

(8) "Bulletin" means the official publication of the Board.

(9) "Chief Nursing Administrator" means a senior level executive within the healthcare organization responsible for overseeing the practice of nursing to ensure consistency in practice standards and to facilitate an interdisciplinary team approach to the delivery of care.

(10) "Clinical Agency" means an agency established to administer or provide health care services in which a student provides care to clients under the supervision of faculty or a preceptor.

(11) "Clinical experience" means application of nursing knowledge demonstrating clinical judgment in a current or evolving practice setting in which a student provides care to clients under the supervision of faculty or a preceptor.

(12) "Clinical judgment" means the observed outcome of critical thinking and decision-making. It is an iterative process that uses nursing knowledge to observe and assess presenting situations, identify a prioritized client concern, and generate the best possible evidence-based solutions in order to deliver safe client care.

(13) "Competent" means having the knowledge, skills, and ability to safely perform an activity or role.

(14) "Continuing Competence" means on-going acquisition and application of knowledge and the decision-making, psychomotor, and interpersonal skills expected of the licensed nurse resulting in nursing care that contributes to the health and welfare of clients served.

(15) "Contact Hour" means 60 minutes of an organized learning experience.

(16) "Continuing Education Activity" means a planned, organized learning experience that is related to the practice of nursing or contributes to the competency of a nurse as outlined in 21 NCAC 36 .0223(a)(2).

(17) "Controlling institution" means the degree-granting organization or hospital under which a nursing education program is operating or seeking to establish a new nursing education program. The controlling institution shall hold approval or applicable licensure by the appropriate North Carolina agency, the University of North Carolina System, or North Carolina Community College System and be accredited by an accrediting body recognized by the United States Secretary of Education.

(18) "Curriculum" means an organized system of teaching and learning activities directed toward the achievement of specified learning objectives and outcomes.

(19) "Delegation" means transferring to a competent individual the authority to perform a specific nursing activity in a selected situation. The nurse retains accountability/responsibility for the delegation.

(20) "Debriefing" means an organized learning activity that follows a clinical or simulated experience and is led by a trained faculty facilitator. Students' reflective thinking is encouraged and feedback is provided regarding the students' performance during discussion of various aspects of the completed experiences.

(21) "DHSR" means Division of Health Service Regulation.

(22) "Dimensions of Practice" means aspects of nursing practice, including professional responsibility, knowledge-based practice, ethical and legal practice, and collaborating with others, consistent with G.S. 90-171.20(4), (7), and (8).

(23) "Distance education" means teaching and learning strategies used to meet the learning needs of students when the students and faculty are not in the same location.

(24) "External standardized examination" means a commercially available standardized predictive test that provides individual student scores that are linked to a probability of passing the NCLEX™ examination.

(25) "Faculty directed clinical practice" means clinical experiences provided under the accountability/responsibility and direction of program faculty.

(26) "Focused client care experience" means a clinical experience that emulates an entry-level work experience in nursing, assisting the student in transitioning to an entry-level nursing practice. Supervision may be by faculty and preceptor dyad or direct faculty supervision.

(27) "Full Approval" is the status assigned to a program following graduation by the first cohort of students, evidence of compliance with Section .0300 of this Chapter, and an NCLEX® examination pass rate that meets or exceeds 90 percent of the national pass rate for licensure level on first writing of the licensure examination for calendar years ending December 31.

(28) "Initial Approval" means the status assigned to a nursing education program following submission of a new, complete application and documented evidence of compliance with Section .0300 of this Chapter.

(29) "Interdisciplinary faculty" means faculty from professions other than nursing.

(30) "Interdisciplinary team" means all individuals involved in providing a client's care who cooperate, collaborate, communicate, and integrate care to ensure that care is continuous and reliable.

(31) "Learning resources" means materials that faculty use to assist students in meeting the expectations for learning defined by the curriculum.

(32) "Level of Licensure" means practice of nursing by either a licensed practical nurse or a registered nurse, as defined in G.S. 90-171.20(7) and (8).

(33) "Level of student" means the point in the program to which the student has progressed.

(34) "Maximum enrollment" means the total number of pre-licensure students that can be enrolled in the program at any one time. The number reflects the capacity of the program based on demonstrated resources sufficient to implement the curriculum.

(35) "Methods of Instruction" means the planned process through which teacher and student interact with selected environment and content so that the response of the student gives evidence that learning has taken place, based upon stated course objectives and outcomes for learning experiences in classroom, laboratory, simulation, and clinical settings.

(36) "National Credentialing Body" means a credentialing body that offers certification or re-certification in the licensed nurse's or Advanced Practice Registered Nurse's specialty area of practice.

(37) "NCLEX-PN™" means the National Council Licensure Examinations for Practical Nurses.

(38) "NCLEX-RN™" means the National Council Licensure Examinations for Registered Nurses.

(39) "Nursing Accreditation body" means a national nursing accrediting body that is recognized by the United States Department of Education.

(40) "Program faculty" means individuals employed full or part-time by an academic institution responsible for developing, implementing, evaluating, and updating nursing curricula.

(41) "Nursing project" means a project or research study of a topic related to nursing practice that includes a problem statement, objectives, methodology, and summary of findings.

(42) "Participating in" means to have a part in or contribute to the elements of the nursing process. As defined by the legal scope of practice, the licensed practical nurse role for participating in the nursing process is dependent upon the assignment and supervision by the registered nurse, physician, dentist, or other person authorized by State law to provide the supervision.

(43) "Pattern of noncompliance" means episodes of recurring non-compliance with one or more Rules in Section .0300.

(44) "Preceptor" means a registered nurse at or above the level of licensure that an assigned student is seeking who may serve as a teacher, mentor, role model, and supervisor for the student in a faculty-directed clinical experience.

(45) "Prescribing Authority" means the legal permission granted by the Board of Nursing and Medical Board for the nurse practitioner and nurse midwife to procure and prescribe legend and controlled pharmacological agents and devices to a client in compliance with Board rules and other applicable federal and State law, regulations, and rules.

(46) "Program Closure" means to cease operation of a program.

(47) "Program Description Report" means a written assessment of a program designed to detail program features and operations which support Board evaluation of compliance with established regulations as set forth in Section .0300 of this Chapter.

(48) "Program" means a course of study that prepares an individual to function as an entry-level practitioner of nursing. The four types of programs are:

(a) Bachelor of Science Degree in Nursing (BSN) - Curriculum components for the BSN provide for the attainment of knowledge and skill sets in the current practice in nursing, nursing theory, nursing research, community and public health, health care policy, health care delivery and finance, communications, therapeutic interventions, and current trends in health care. For this program type, the client is the individual, family, group, and community;

(b) Associate Degree in Nursing (ADN) – Curriculum components for the ADN provide for the attainment of knowledge and skill sets in the current practice in nursing, community concepts, health care delivery, communications, therapeutic interventions, and current trends in health care. For this program type, client is the individual, group of individuals, and family;

(c) Practical Nurse Diploma (PN) - Curriculum components for the PN diploma prepare for providing direct nursing care under the supervision of a registered nurse or other health care provider as defined by the Nursing Practice Act. Curriculum components provide for the attainment of knowledge and skill sets in the current practice of practical nursing, communications, therapeutic interventions, including pharmacology, growth and development, and current trends in health care. For this program type client is the individual or group of individuals; and

(d) Direct Master's Entry (DME) – Curriculum components for a DME provide for the attainment of knowledge and skill sets in the current practice in nursing, nursing theory, nursing research, community and public health, health care policy, health care delivery and finance, communications, therapeutic interventions, and current trends in health care. For this program type, the client is the individual, family, group, and community. The DME will provide additional education for strengthened competencies in organizational and systems thinking, quality improvement and safety, care coordination, interprofessional communication, and team-based care and leadership for students with a non-nursing baccalaureate degree.

(49) "Review" means collecting and analyzing information to assess compliance with Section .0300 of this Chapter. Information may be collected by multiple methods, including review of written reports and materials, on-site observations, review of documents, and in-person or telephone interviews and conferences.

(50) "Self-Assessment" means the process whereby an individual reviews their own nursing practice and identifies the knowledge and skills possessed as well as those skills to be strengthened or acquired.

(51) "Simulation" means a technique, not a technology, to replace or amplify clinical experiences with guided experiences that evoke or replicate substantial aspects of the real world of nursing practice in a fully interactive manner.

(52) "Specialty" means a broad, population-based focus of study encompassing the common health-related problems of a particular group of patients and the likely co-morbidities, interventions, and responses to those problems.

(53) "Supervision" means the provision of guidance or direction, evaluation, and follow-up by a licensed nurse to accomplish an assigned or delegated nursing activity or set of activities.

(54) "Survey" means an on-site visit for the purpose of gathering data in relation to reviewing a program's compliance with Section .0300 of this Chapter.

(55) "Traditional clinical experience" means a clinical experience where the student provides in-person care to patients/clients under the guidance of an instructor or preceptor.

(56) "Warning Status" means the status assigned to a nursing education program found to be noncompliant with any provision in Section .0300 of this Chapter.

History

• Authority G.S. 90-171.23; 90-171.38
• Eff. April 1, 2003
• Amended Eff. June 1, 2017; December 1, 2016; July 1, 2012; November 1, 2008; May 1, 2006; December 1, 2005; August 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. March 1, 2024; January 1, 2019.

21 NCAC 36 .0121 Petitioning for rulemaking

(a) Any person wishing to submit a petition to the Board requesting the adoption, amendment, or repeal of a rule shall file the petition with the Board's chief executive officer. Petitions shall be mailed to the Board at Post Office Box 2129, Raleigh, NC 27602-2129.

(b) The petition shall contain the following information:

(1) a proposed draft of the rule to be adopted, amended, or a citation to the rule to be repealed;

(2) a statement of the reason for the proposal including statutory authority;

(3) effect of the proposed rule change on the practice of nursing;

(4) any data supporting the proposal including cost factors; and

(5) name, address, and telephone number of each petitioner.

(c) The Board shall determine whether the public interest would be served by the adoption, amendment, or repeal of the requested rule. Prior to making this determination, the Board may:

(1) request additional information from the petitioner;

(2) contact interested persons or those likely to be affected by the proposed rule and request comments; and

(3) use any other method for obtaining information on which to base its determination. It shall consider all the contents of the petition submitted plus any other information obtained by the means described herein.

(d) The Board shall act on a petition within the timeframe outlined in G.S. 150B-20.

History

• Authority G.S. 150B-20; 90-171.23(b)(3)
• Eff. November 1, 2020.

21 NCAC 36 .0122 petitions for declaratory rulings

(a) All requests for declaratory rulings shall be written and mailed to the Board at Post Office Box 2129, Raleigh, NC 27602-2129. The envelope containing the request shall bear the notation: "REQUEST FOR DECLARATORY RULING."

(b) Each Request for Declaratory Ruling shall include the following information:

(1) the name and address of the person requesting the ruling;

(2) the statute or rule to which the request relates;

(3) a statement of the manner in which the requesting person is affected by the statute or rule or its potential application to that person; and

(4) a statement whether an oral hearing is desired and, if so, the reason.

(c) Upon receipt of a Request for Declaratory Ruling, the Board shall determine whether a ruling is appropriate under the facts stated.

(d) When the Board determines that the issuance of a declaratory ruling is inappropriate, the Board shall notify, in writing, the person requesting the ruling, stating the reasons for the denial of the request.

(e) The Board shall decline to issue a declaratory ruling where:

(1) there has been a similar controlling factual determination made by the Board in a contested case;

(2) the rulemaking record shows that the factual issues raised by the request were specifically considered prior to adoption of the rule;

(3) the subject-matter of the request is involved in pending litigation in any state or federal court in North Carolina; or

(4) the petitioner fails to show that the circumstances are so changed since the adoption of the statute or rule that a ruling is warranted.

History

• Authority G.S. 150B-4; 90-171.23(b)(3)
• Eff. November 1, 2020.

21 NCAC 36 .0201 Biennal Renewal

(a) Each registered nurse or licensed practical nurse shall biennially renew their license with the Board no later than the last day of the applicant's birth month by:

(1) submitting a completed application for renewal, stating that the information on the application is true and complete, and authorizing the release to the Board of all information pertaining to the application. Applications for renewal are posted on the Board's website at www.ncbon.com;

(2) attesting to completion of continuing competence requirements and submitting evidence of completion if requested by the Board, as specified in Rule .0232(b) of this Section; and

(3) submitting the fee for licensure renewal, as established in G.S. 90-171.27(b).

(b) It shall be the duty of each applicant to keep the Board informed of a current mailing address, telephone number, and email address.

(c) A member of the United States Armed Services shall be exempt from compliance if on active duty and to whom G.S. 105-249.2 grants an extension of time to file a tax return.

History

• Authority G.S. 90-171.29; 90-171.23(b); 90-171.34; 90-171.37; 93B-15; 105-249.2
• Eff. February 1, 1976
• Amended Eff. January 1, 2011; December 1, 2008; April 1, 1989; May 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. January 1, 2019.

21 NCAC 36 .0202 INACTIVE and retired STATUS

(a) A licensee who submits a request for inactive status shall be granted such status by the Board if the licensee:

(1) holds an active unencumbered license issued by the Board; and

(2) is not currently the subject of an investigation by the Board for possible violation of the Nursing Practice Act or rules promulgated thereunder.

(b) An applicant whose licensure status is inactive or retired and who desires to resume the practice of nursing in North Carolina shall:

(1) submit a completed application for reinstatement, stating that the information on the application is true and complete, and authorizing the release to the Board of all information pertaining to the application. Application is posted on the Board's website at www.ncbon.com;

(2) have no pending court conditions as a result of any misdemeanor or felony convictions. The applicant shall provide a written explanation and all investigative reports or court documents evidencing the circumstances of the crimes if requested by the Board. The Board shall use these documents when determining if a license should be denied pursuant to G.S. 90-171.48 and 90-171.37;

(3) self-certify that the applicant is of mental and physical health necessary to competently practice nursing;

(4) submit the licensure application fee, as established in G.S. 90-171.27(b);

(5) attest to having completed continuing competence requirements and submit evidence of completion if requested by the Board, as specified in Rule .0232(b) of this Section; and,

(6) complete a criminal background check in accordance with G.S. 90-171.48.

In the event any of the above-required information indicates a concern about the applicant's qualifications, an applicant may be required to appear in-person for an interview with the Board if more information is needed to evaluate the application.

(c) An applicant whose license has been inactive or retired for a period of five years or more shall also submit:

(1) self-certification that the applicant is of mental and physical health necessary to competently practice nursing; and

(2) evidence of

(A) satisfactory completion of a Board-approved refresher course; or

(B) proof of an active license in another jurisdiction within the last five years or an active license in another country within the last five years if the individual was originally licensed by national licensure examination in the United States.

(d) If a refresher course is required, an applicant shall apply for reinstatement of an active license within one year of completing the refresher course. The application for reinstatement shall include verification from the provider of the refresher course that the applicant has satisfactorily met both theory and clinical objectives.

(e) An applicant who has retired from the practice of nursing may request and be granted by the Board retired nurse status if the applicant:

(1) holds an active unencumbered license issued by the Board;

(2) is not currently the subject of an investigation by the Board for alleged violation of the Nursing Practice Act; and

(3) pays the application fee, pursuant to G.S. 90-171.27(b).

(f) While remaining on retired status, an applicant shall not practice nursing in North Carolina and shall not be subject to payment of the license renewal fee.

(g) An applicant may use the title "Retired Registered Nurse" or "Retired Licensed Practical Nurse" after issued retired status.

(h) An applicant whose licensure status is retired shall not be eligible to vote in Board elections.

(i) Any license issued shall be issued for the remainder of the biennial period.

History

• Authority G.S. 90-171.21; 90-171.23(b) 90-171.27(b);90-171.36; 90-171.36A; 90-171.37; 90-171.43
• Eff. February 1, 1976
• Legislative Objection [(g)] Lodged Eff. June 16, 1980
• Legislative Objection [(g)] Removed Eff. July 1, 1981
• Amended Eff. November 1, 2008; January 1, 2004; January 1, 1996; January 1, 1990; May 1, 1982; January 1, 1980
• Readopted Eff. January 1, 2019.

21 NCAC 36 .0203 Reinstatement of Expired License

(a) An applicant whose license has expired and who desires reinstatement of that license shall:

(1) submit a completed application for reinstatement, stating that the information on the application is true and complete and authorizing the release to the Board of all information pertaining to the application. The Application for Reinstatement is posted on the Board's website at www.ncbon.com;

(2) have an unencumbered license in all jurisdictions in which a license is or has ever been held;

(3) attest to having completed continuing competence requirements and submit evidence of completion if requested by the Board, as specified in Rule .0232(b) of this Section;

(4) have no pending court conditions as a result of any misdemeanor or felony convictions. An Applicant shall provide a written explanation and all investigative reports or court documents evidencing the circumstances of the crime(s) if requested by the Board. The Board shall use these documents when determining if a license should be denied pursuant to G.S. 90-171.48 and G.S. 90-171.37;

(5) submit such other evidence that the Board may require according to these rules to determine whether the license should be reinstated;

(6) complete a criminal background check after license has been expired for 30 calendar days in accordance with G.S. 90-171.48;

(7) self-certify that the applicant is of mental and physical health necessary to competently practice nursing; and

(8) submit the reinstatement fee, as established in G.S. 90-171.27(b).

In the event any of the above-required information indicates a concern about the applicant's qualifications, an applicant may be required to appear in person for an interview with the Board if more information is needed to evaluate the application.

(b) A member of the United States Armed Services shall be exempt from payment of reinstatement fee if on active duty and to whom G.S. 105-249.2 grants an extension of time to file a tax return.

(c) An applicant whose license has lapsed for a period of five years or more shall also submit:

(1) self-certification that the applicant is of mental and physical health necessary to competently practice nursing; and

(2) evidence of satisfactory completion of a Board-approved refresher course or proof of active licensure within the past five years in another jurisdiction.

(d) If a refresher course is required, an applicant shall apply for reinstatement of an active license within one year of completing the refresher course. The application for reinstatement shall include verification from the provider of the refresher course that the applicant has satisfactorily met both theory and clinical objectives and is deemed competent to practice nursing at the appropriate level of licensure.

(e) Any license issued shall be issued for the remainder of the biennial period.

History

• Authority G.S. 90-171.23(b); 90-171.35; 90-171.37; 93B-15; 105-249.2
• Eff. February 1, 1976
• Amended Eff. December 1, 2010; December 1, 2008; January 1, 1996; February 1, 1994; August 3, 1992; January 1, 1990
• Readopted Eff. January 1, 2019.

21 NCAC 36 .0204 Endorsement Into State: Registered Nurse

History

• Status: repealed
• Authority G.S. 90-171
• Eff. February 1, 1976
• Repealed Eff. May 1, 1982.

21 NCAC 36 .0205 Endorsement Into State: Licensed Practical Nurse

History

• Status: repealed
• Authority G.S. 90-171
• Eff. February 1, 1976
• Repealed Eff. May 1, 1982.

21 NCAC 36 .0206 License by Endorsement: Application

History

• Status: repealed
• Authority G.S. 90-171
• Eff. February 1, 1976
• Repealed Eff. May 1, 1982.

21 NCAC 36 .0207 Verification to Another State

The Board shall verify the licensure of a licensee to another state or country upon receipt of a request from the licensee or another board of nursing that is accompanied by information properly identifying the licensee and by the appropriate fee.

History

• Authority G.S. 90-171.23(b)(3); 90-171.27(b)
• Eff. February 1, 1976
• Amended Eff. April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. January 1, 2019.

21 NCAC 36 .0208 Change of Name and Contact

(a) In the event of a name or address change, the licensee shall submit a request in their Gateway account through the Board's website at www.ncbon.com and provide evidence of name or address change. A licensee may provide evidence such as the following:

(1) marriage certificate;

(2) voter registration card;

(3) Social Security card;

(4) divorce document reflecting name change;

(5) passport;

(6) change of name certificate as issued by a court;

(7) immigration document; and

(8) driver's license.

(b) In the event of an address, email, or telephone change, the licensee shall submit the change online on the Board's website at www.ncbon.com within 30 calendar days of the change.

History

• Authority G.S. 90-171.23(b)(3); 90-171.27(b)
• Eff. February 1, 1976
• Amended Eff. December 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. January 1, 2019.

21 NCAC 36 .0209 Duplicate Certificate

History

• Status: expired
• Authority G.S. 90-171.23(b)(3); 90-171.27(b)
• Eff. February 1, 1976
• Amended Eff. January 1, 1996; October 1, 1989; May 1, 1982
• Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

21 NCAC 36 .0210 Resumption of Previous Name

History

• Status: repealed
• Authority G.S. 90-162
• Eff. February 1, 1976
• Repealed Eff. May 1, 1982.

21 NCAC 36 .0211 eligibility and application for LICENSURE BY EXAMINATION

(a) An applicant seeking nurse licensure shall meet the educational requirements of a prelicensure nursing program that is equivalent or greater to the requirements for NC nursing prelicensure programs as required in Section .0300 of this Chapter and apply to take the NCLEX™. The Board shall review the application and applicant's educational requirements. Once the applicant has passed the NCLEX™, the Board shall consider the applicant's qualifications for licensure as outlined in Paragraph (e) of this Rule.

(b) Applications for licensure by examination shall be posted on the Board's website at www.ncbon.com and shall contain the following information:

(1) The applicant's name, telephone number, and email address;

(2) The applicant's primary address of residence;

(3) The educational degrees obtained by the applicant with the program name and completion date; and

(4) Other professional or occupational licenses held by the applicant with the licensure number and jurisdiction in which the license was issued, if applicable.

(c) An applicant shall meet one of the following educational requirements:

(1) Complete a Board-approved nursing prelicensure program as outlined in Rule .0302 and .0303 of this Chapter. Evidence of completion of the program shall be an electronic verification submitted from the program director that the applicant has satisfied the educational requirements of the program pursuant to Section .0300 of this Chapter.

(2) Complete a National Council State Board of Nursing (NCSBN) member board approved nursing program that is equivalent or greater to the requirements for NC nursing prelicensure programs as required in Section .0300 of this Chapter. Evidence of completion shall be a transcript. Educational transcripts shall be submitted directly to the Board from the program, National Student Clearinghouse, or Parchment.

(3) Complete a nursing program outside the United States that provides graduates with comparable education that is equivalent or greater to the requirements for NC nursing prelicensure programs as required in Section .0300 of this Chapter. Foreign-educated applicants shall:

(A) provide electronic verification from the Commission on Graduates of Foreign Nursing Schools (CGFNS) or International Education Evaluation (IEE) demonstrating the applicant's education is equivalent or greater to the requirements for NC nursing prelicensure programs as required in Section .0300 of this Chapter;

(B) Demonstrate proficiency in the English Language. Proof of English proficiency is either an overall score of 6.5 and minimum of 6.0 on all modules on the exam administered by the International English Language Testing System (IELTS) or an overall score of 83 or higher on the exam administered by Test of English as a Foreign Language (TOEFL); and

(C) Be eligible for licensure as an RN or LPN in the country where the nursing educational program was completed.

(4) Complete one of the following military courses of study for practical nursing equivalent or greater to the requirements for NC prelicensure nursing programs as evidenced by a transcript: Army Practical Nursing; Army MOS 68C Practical Nursing; Air Force Practical Nursing Technology Associate Degree; or Medical Corpsman to Practical Nurse.

(d) To be eligible for approval to take the NCLEX™ examination, an applicant shall:

(1) Submit an Application for Licensure by Examination as outlined in Subparagraphs (b)(1)-(4) of this Rule to the Board, attesting under oath or affirmation that the information on the application is true and complete, and authorizing the release to the Board of all information pertaining to the application;

(2) Meet the educational requirements of a nursing prelicensure program as required in Paragraph (c) of this Rule;

(3) Provide electronic confirmation from Pearson VUE, the testing agency which administers the NCLEX™, as proof applicant is registered to take the NCLEX™.

(4) Pay the application fee as established in G.S. 90-171.27(b).

(e) To be eligible for nurse licensure by examination, an applicant shall:

(1) Submit an application for licensure as outlined in Subparagraphs (b)(1)-(4) of this Rule to the Board;

(2) Possess a valid social security number issued by the U.S. Social Security Administration;

(3) Pass the NCLEX™ – examination results submitted electronically from Pearson VUE;

(4) Hold an unencumbered license in all jurisdictions in which a license is or has been held. If applicant has any disciplinary history on a license or has participated in a drug monitoring program, the applicant shall submit written explanation and all related documents to the Board;

(5) Complete a criminal background check in accordance with G.S. 90-171.48;

(6) Not be subject to probationary conditions or monitoring by the court as a result of any misdemeanor or felony convictions;

(7) Submit a written explanation and court documents regarding all criminal convictions, if applicable; and

(8) Submit a written explanation and all related documentation if the applicant has been listed as a nurse aide and there have been substantiated findings pursuant to G.S. 131E-255 and 10A NCAC 13O .0101(4). An applicant shall not be licensed while an investigation is pending.

(f) An application is valid for one year from the date the application is filed with the Board or when the Board is notified by Pearson VUE that the applicant has passed or failed the NCLEX™ whichever comes first.

(g) An applicant shall be required to appear in person for an interview with the Board if there is a discrepancy in the information submitted.

(h) A license issued pursuant to this Rule shall be for the remainder of the biennial period.

History

• Authority G.S. 90-171.23(15); 90-171.29; 90-171.30; 90-171.37(1); 90-171.48
• Eff. February 1, 1976
• Amended Eff. December 1, 2004; April 1, 2003; January 1, 1996; July 1, 1994; February 1, 1994; August 3, 1992
• Readopted Eff. January 1, 2019.
• Amended Eff. March 1, 2025.

21 NCAC 36 .0212 Specific Requirements

History

• Status: repealed
• Authority G.S. 90-168 through 90-170
• Eff. February 1, 1976
• Repealed Eff. May 1, 1982.

21 NCAC 36 .0213 Reexamination

An applicant who fails an examination and is eligible to retake a subsequent examination shall submit a completed Board application, a completed testing service registration form, and related fees. The applicant shall be eligible to retake the examination by NCSBN, pursuant to 21 NCAC 36 .0211. NCSBN list is incorporated by reference including subsequent amendments and editions and available at no cost at www.ncsbn.org.

History

• Authority G.S. 90-171.31; 90-171.33; 90-171.38
• Eff. February 1, 1976
• Temporary Amendment Eff. June 26, 1985, for a period of 120 days to expire on October 23, 1985
• Amended Eff. August 1, 2000; July 1, 1994; February 1, 1994; October 1, 1989; May 1, 1989
• Readopted Eff. January 1, 2019.

21 NCAC 36 .0214 Proctoring of Examination

History

• Status: repealed
• Authority G.S. 90-162; 90-170; 90-171
• Eff. February 1, 1976
• Repealed Eff. May 1, 1982.

21 NCAC 36 .0215 Foreign Educated Nurses

History

• Status: repealed
• Authority G.S. 90-162; 90-170; 90-171
• Eff. February 1, 1976
• Repealed Eff. May 1, 1982.

21 NCAC 36 .0216 Census of Nursing Personnel

History

• Status: expired
• Authority G.S. 90-171.23(b); 90-171.43; 90-171.44(3)(5)
• Eff. February 1, 1976
• Amended Eff. January 1, 1996; April 1, 1989; January 1, 1984
• Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

21 NCAC 36 .0217 Investigations; Disciplinary Hearings

(a) Behaviors and activities that may result in disciplinary action by the Board shall include the following:

(1) drug or alcohol abuse or use of any substance or other agents while on duty or on call to the extent that such use impairs the nurse's ability to practice nursing;

(2) testing positive on a drug screen for a non-prescribed drug or illicit substance;

(3) illegally obtaining, possessing, or distributing drugs or alcohol for personal or other use or other violations of the North Carolina Controlled Substances Act, G.S. 90-86 et seq.;

(4) conviction of any crime that bears on a licensee's fitness to practice nursing;

(5) failure to make client information available to another health care professional;

(6) practicing or offering to practice beyond the scope permitted by law;

(7) accepting and performing professional responsibilities that the licensee knows or has reason to know that he or she is not competent to perform;

(8) performing, without supervision, professional services that the licensee is authorized to perform only under the supervision of a licensed professional;

(9) abandoning an assigned client without making arrangements for the continuation of equivalent nursing care;

(10) neglecting a client in need of nursing care;

(11) threatening, harassing, abusing, or intimidating a client;

(12) failing to maintain an accurate record of all pertinent health care information as defined in Rule .0224(f)(2) or .0225(f)(2) for each client;

(13) failing to exercise supervision over individuals who are authorized to practice only under the supervision of the licensed professional;

(14) exercising influence on the client for the financial or personal gain of the licensee;

(15) directly or indirectly offering, giving, soliciting, or receiving or agreeing to receive any fee or other consideration to or from a third party for the referral of a client, or other violations of G.S. 90-401;

(16) failing to file a report, or filing a false report, required by law or by the Board or impeding or obstructing such filing or inducing another person to do so;

(17) obtaining, accessing, or revealing healthcare information from a client record or other source, except as required by professional duties or authorized by law;

(18) presenting false or fraudulent licensure information for any purpose;

(19) assigning or delegating professional responsibilities to a person if the licensee assigning or delegating these responsibilities knows or has reason to know that such individual is not qualified by training, experience, or licensure;

(20) assigning or delegating responsibilities to an individual if the licensee assigning or delegating knows or has reason to know that the competency of that individual is impaired by sleep deprivation, physical or psychological conditions, or alcohol or other agents, prescribed or not;

(21) accepting responsibility for client care while impaired by sleep deprivation, physical or psychological conditions, or by alcohol or other agents, prescribed or not;

(22) falsifying a client's record or the controlled substance records;

(23) violating boundaries of a professional relationship such as physical, sexual, emotional, or financial exploitation of a client or a client's family member or caregiver. Financial exploitation shall include accepting or soliciting money, gifts, or the equivalent during the professional relationship;

(24) misappropriating, in connection with the practice of nursing, anything of value or benefit, including any real or personal property of the client, employer, or any other individual or entity, or failing to take precautions to prevent such misappropriation. Failure to take precautions to prevent misappropriations shall include failing to secure anything of value or benefit, such as medication or property, of the client, employer, or any other individual or entity; or

(25) violating any term of probation, condition, or limitation imposed on the licensee by the Board.

(b) If a summary suspension is issued pursuant to G.S. 150B-3(c), the order shall be effective on the date specified in the order or upon service of the certified copy of the order at the last known address of the licensee, whichever is later, and continues to be effective during the suspension proceedings. Failure to receive the order because of refusal of service or unknown address shall not invalidate the order.

(c) All motions related to a contested case, except motions for continuance and those made during the hearing, shall be in writing and submitted to the Board at least 10 calendar days before the hearing. Pre-hearing motions shall be heard at a pre-hearing conference or at the contested case hearing prior to the commencement of testimony. The designated administrative law counsel shall hear the motions and the response from the non-moving party pursuant to Rule 6 of the General Rules of Practice for the Superior and District Courts and shall rule on the motions.

(d) Motions for a continuance of a hearing may be granted upon a showing of good cause. Motions for a continuance shall be in writing and received in the office of the Board no less than seven calendar days before the hearing date. In determining whether good cause exists, consideration shall be given to the ability of the party requesting a continuance to proceed without a continuance. A motion for a continuance filed less than seven calendar days from the date of the hearing shall be denied unless the reason for the motion could not have been ascertained earlier. Motions for continuance filed prior to the date of the hearing shall be ruled on by the administrative law counsel of the Board. Motions for continuance filed on the date of hearing shall be ruled on by the Board.

(e) The Board shall designate an administrative law counsel who shall advise the Board.

(f) If a majority of the members of the Board is unable or elects not to hear a contested case, the Board shall request the designation of an administrative law judge from the Office of Administrative Hearings to preside at the hearing. The provisions of G.S. 150B, Article 3A and this Rule shall govern a contested case in which an administrative law judge is designated as the Hearing Officer.

History

• Authority G.S. 90-171.23(b)(3); 90-171.23(b)(7); 90-171.37; 90-171.47; 90-401; 150B-3(c); 150B-38; 150B-39; 150B-40; 150B-41; 150B-42
• Eff. February 1, 1976
• Amended Eff. October 1, 1989; November 1, 1988; July 1, 1986; July 1, 1984
• Temporary Amendment Eff. December 7, 1990 for a period of 180 days to expire on June 5, 1991
• ARRC Objection Lodged December 20, 1990
• Amended Eff. January 1, 1991
• ARRC Objection Removed February 25, 1991
• Temporary Amendment Eff. February 26, 1991 for a period of 35 days to expire on April 1, 1991
• Amended Eff. January 1, 1996; February 1, 1995; April 1, 1991
• Temporary Amendment Eff. March 5, 2001
• Amended Eff. June 1, 2017; January 1, 2007; August 2, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. January 1, 2019.

21 NCAC 36 .0218 Licensure by Endorsement

(a) Applications for licensure by endorsement shall be posted on the Board's website at www.ncbon.com and shall contain the following information:

(1) The applicant's name, telephone number, and email address;

(2) The applicant's primary address of residence;

(3) The educational degrees obtained by the applicant with the program name and completion date;

(4) State or Country, license number, and year of licensure by examination in the original jurisdiction of licensure;

(5) State or Country and license number of an active license or any license held under which the applicant worked within the previous five years;

(6) Other professional or occupational licenses held by the applicant with the licensure number and jurisdiction in which the license was issued, if applicable; and

(7) Dates of employment and position(s) held for the last two nursing employers.

(b) To be eligible for licensure by endorsement, an applicant shall:

(1) submit a completed Application for Endorsement, attesting under oath or affirmation that the information on the application is true and complete, and authorizing the release to the Board of all information pertaining to the application;

(2) a valid social security number issued by the U.S. Social Security Administration;

(3) submit the licensure application fee as established in G.S. 90-171.27(b);

(4) have an unencumbered license in all jurisdictions in which a license is or has ever been held. If applicant has any disciplinary history on a license or has participated in a drug monitoring program, the applicant shall submit written explanation and all related documents to the Board;

(5) request verification of nurse licensure from the jurisdiction of original nurse licensure. If the license has been inactive for five or more years, the applicant shall be required to complete a refresher course pursuant to G.S. 90-171.35 and G.S. 90-171.36;

(6) request verification of nurse licensure from the jurisdictions where applicant holds or last held an active license;

(7) complete a prelicensure nursing program which is approved by the jurisdiction of original licensure at the time of program completion and is equivalent or greater to the requirements for NC prelicensure nursing programs as required in Section .0300 of this Chapter. Applicant shall provide an educational transcript submitted directly to the Board from the program, National Student Clearinghouse, or Parchment upon request of the Board;

(8) Upon request of the Board, if applicant completed a nursing program outside of the United States, applicant shall provide electronic verification from the Commission on Graduates of Foreign Nursing Schools (CGFNS) or International Education Evaluation (IEE) demonstrating the applicant's education is equivalent or greater to the requirements for NC nursing prelicensure programs as required in Section .0300 of this Chapter;

(9) Complete a criminal background check in accordance with G.S. 171.48. The applicant shall provide a written explanation and all investigative reports or court documents evidencing the circumstances of the crime(s) upon request of the Board. The Board shall use these documents when determining if a license should be denied pursuant to G.S. 90-171.48 and G.S. 90-171.37; and

(10) Not be subject to probationary conditions or monitoring by the court as a result of any misdemeanor or felony convictions.

(c) In addition to the requirements in Paragraph (b) of this Rule, should a practical nurse seeking licensure by endorsement who obtained licensure in a jurisdiction that does not require program completion, the applicant shall:

(1) have been licensed for five years and provide verification from their employers of full-time nursing employment for the previous two calendar years immediately preceding filing of the application; or

(2) complete one of the following military courses of study for practical nursing equivalent or greater to the requirements for NC prelicensure nursing programs as evidenced by a transcript: Army Practical Nursing; Army MOS 68C Practical Nursing; Air Force Practical Nursing Technology Associate Degree; or Medical Corpsman to Practical Nurse.

(d) An applicant shall be required to appear in person for an interview with the Board if there is a discrepancy in the information submitted.

(e) An application is valid for:

(1) One year from the date the application is filed with the Board; or

(2) A license is issued.

A license issued pursuant to this Rule shall be for the remainder of the biennial period.

History

• Authority G.S. 90-171.23(b); 90-171.32; 90-171.33; 90-171.37; 90-171.48
• Eff. May 1, 1982
• Amended Eff. December 1, 2005; April 1, 2003; January 1, 1996; July 1, 1994
• February 1, 1994; August 3, 1992
• Readopted Eff. January 1, 2019.
• Amended Eff. March 1, 2025.

21 NCAC 36 .0219 Temporary License

(a) The Board shall issue a non-renewable temporary license to individuals who have filed a completed application for licensure by endorsement with correct fee and provided validation of an active unencumbered license in another jurisdiction. If an applicant indicates prior court convictions or disciplinary actions in another jurisdiction, eligibility for a temporary license shall be determined after review of relevant documents.

(b) The temporary license shall be subject to the provisions of G.S. 90-171.37.

(c) The following shall apply to non-renewable temporary licenses:

(1) A non-renewable temporary license shall expire on the lesser of six months or the date a full license is issued or if it is determined that the applicant is not qualified to practice nursing in North Carolina.

(2) Temporary license shall authorize a holder to practice nursing in the same manner as a fully licensed registered nurse or licensed practical nurse, as applicable.

(3) A holder of a valid temporary license shall identify himself or herself as a Registered Nurse Petitioner (R.N.P.) or a Licensed Practical Nurse Petitioner (L.P.N.P.), as applicable after signatures on records.

(4) Upon expiration or revocation of the temporary license, the individual shall be ineligible to practice nursing as described in Subparagraph (b)(2) of this Rule.

History

• Authority G.S. 90-171.33
• Eff. May 1, 1982
• Temporary Amendment Eff. June 29, 1988 for a period of 180 days to expire on December 25, 1988
• Amended Eff. December 1, 2006; January 1, 1996; July 1, 1994; August 3, 1992; January 1, 1989
• Readopted Eff. January 1, 2019.

21 NCAC 36 .0220 Refresher Course

(a) Completion of a Board-approved refresher course shall be required of previously licensed individuals who have not held an active license in any jurisdiction for five or more years and requests:

(1) reactivation of an inactive license;

(2) reinstatement of an expired license; or

(3) endorsement to North Carolina.

(b) If completion of a Board-approved refresher course is required by the Board following disciplinary action authorized pursuant to G.S. 90-171.37, the individual shall be subject to restrictions issued by the Board during the clinical component of the refresher course. The individual shall meet all requirements for reinstatement of the license prior to enrollment in the refresher course.

(c) Application for approval of a refresher course shall be completed and submitted by the provider at least 90 days prior to the expected date of enrollment and shall comply with the rules as defined in this Chapter. The application for Refresher Course is posted on the Board's website at www.ncbon.com. No student shall be enrolled prior to Board approval. Board approval shall be granted to a provider for a period of time not to exceed five years. All changes in faculty, curriculum, or clinical facilities shall be approved by the Board prior to implementation, as set out in the Rules of this Chapter.

(d) The application for approval of a refresher course shall include:

(1) course objectives, content outline, and time allocation;

(2) didactic and clinical learning experiences, including teaching methodologies for measuring the registrant's abilities to practice nursing;

(3) a plan for evaluation of student competencies and ability to competently practice nursing;

(4) a faculty list that includes the director and all instructors, and identifies their qualifications and their functions in teaching roles; and

(5) the projected clinical schedule.

(e) The Board shall make site visits if it is unable to determine that all requirements have been met through application document review. A decision on an application to offer a refresher course shall be given within 30 days following receipt of a complete application.

(f) A provider seeking to offer a refresher course shall be a post-secondary educational institution, a health care institution, or other agency providing education in healthcare-related fields.

(g) The director of the refresher course is responsible for administering and implementing the course and maintaining compliance with this Rule. The director shall:

(1) hold an active unencumbered license to practice as a registered nurse in North Carolina;

(2) hold a baccalaureate or higher degree in nursing;

(3) have had at least two years experience in direct patient nursing practice as a registered nurse; and

(4) have at least one year prior teaching experience preparing individuals for a registered nurse or licensed practical nurse licensure at the post-secondary level or in a nursing staff development position which provides workforce education to nurses.

(h) Instructors for the refresher course shall report to the director of the refresher course and meet the requirements as set out in Subparagraphs (g)(1)-(3) of this Rule.

(i) The ratio of instructors to students for clinical experiences shall not exceed 1:10.

(j) Clinical preceptors for the course shall hold an active unencumbered license to practice as a registered nurse in North Carolina. Prior to becoming a clinical preceptor, the director or designated instructor shall ensure the competencies of the prospective preceptor align with the assigned clinical precepting responsibilities.

(k) The refresher course shall include both theory and clinical instruction. Course objectives shall be stated that:

(1) show relationships between nursing theory and practice; and

(2) identify behaviors consistent with the ability to competently practice nursing.

(l) The curriculum for a registered nurse refresher course shall include at least 240 hours of instruction, at least 120 of which shall consist of clinical experiences, and shall incorporate:

(1) the scope of practice for the registered nurse, as defined in G.S. 90-171.20 and 21 NCAC 36 .0221, .0224, .0225 and .0401; and

(2) instruction in and opportunities to demonstrate knowledge, skills, and abilities to competently practice nursing according to components of practice for the registered nurse as defined in 21 NCAC 36 .0224.

(m) The curriculum for a licensed practical nurse refresher course shall include at least 180 hours of instruction, at least 90 of which shall consist of clinical experiences, and shall incorporate:

(1) the scope of practice for the licensed practical nurse, as defined in G.S. 90-171.20(8) and 21 NCAC 36 .0221, .0225 and .0401; and

(2) instruction in and opportunities to demonstrate knowledge, skills, and abilities to competently practice nursing according to components of nursing practice for the licensed practical nurse as defined in 21 NCAC 36 .0225.

(n) The refresher course director or the designated refresher course instructor shall assess each refresher student and ensure the appropriateness of all clinical learning settings and assignments.

(o) Registered nurse and licensed practical nurse refresher courses shall limit simulation experiences to no more than 50 percent of clinical experiences, pursuant to 21 NCAC 36 .0321(p).

(p) Evaluation processes shall be implemented that effectively measure the refresher student's ability to competently practice nursing consistent with the level of licensure and scope as set forth in 21 NCAC 36 .0221, .0224, .0225, and .0401.

(q) The student shall complete both the theory and clinical components of the refresher course within 24 months of initial enrollment in the course.

(r) The provider shall contract, in writing, with the agency the support and availability to provide the required clinical experiences for the refresher course.

(s) Individuals previously licensed in North Carolina and presently residing outside of North Carolina may meet the requirements of this Rule by successfully completing a refresher course approved by another state board of nursing.

(t) Individuals enrolled in refresher courses shall identify themselves as RN Refresher Student (R.N.R.S.) or LPN Refresher Student (L.P.N.R.S.), consistent with the course level, after signatures on records or on name pins.

(u) The director of the refresher course shall provide the Board with a list of the names and license numbers of those individuals who have completed the refresher course at the appropriate level of licensure.

History

• Authority G.S. 90-171.23(b)(3); 90-171.35; 90-171.36; 90-171.37; 90-171.38; 90-171.83
• Eff. May 1, 1982
• Amended Eff. January 1, 2007; July 1, 2000; June 1, 1993; April 1, 1989
• Readopted Eff. January 1, 2019
• Amended Eff. March 1, 2024.

21 NCAC 36 .0221 License Required

(a) No cap, pin, uniform, insignia, or title shall be used to represent to the public that an unlicensed person is a registered nurse or a licensed practical nurse as defined in G.S. 90-171.43.

(b) The repetitive performance of a common task or procedure that does not require the professional judgment of a registered nurse or licensed practical nurse shall not be considered the practice of nursing for which a license is required. Tasks that may be delegated to a Nurse Aide I and a Nurse Aide II shall be established by the Board pursuant to 21 NCAC 36 .0403. Tasks may be delegated to an unlicensed person that:

(1) frequently recur in the daily care of a client or group of clients;

(2) are performed according to an established sequence of steps;

(3) involve little or no modification from one client-care situation to another;

(4) may be performed with a predictable outcome; and

(5) do not inherently involve ongoing assessment, interpretation, or decision-making that cannot be logically separated from the tasks themselves.

Client-care services that do not meet all of these criteria shall be performed by a licensed nurse.

(c) A registered nurse or licensed practical nurse shall not delegate the professional judgment required to implement a treatment or pharmaceutical regimen that is likely to produce side effects, toxic effects, allergic reactions, or other unusual effects or that may rapidly endanger a client's life or well-being and that is prescribed by an individual authorized by State law to prescribe such a regimen. A nurse who assumes responsibility directly or through delegation for implementing a treatment or pharmaceutical regimen shall be accountable for:

(1) recognizing side effects;

(2) recognizing toxic effects;

(3) recognizing allergic reactions;

(4) recognizing immediate desired effects;

(5) recognizing unusual and unexpected effects;

(6) recognizing changes in a client's condition that contraindicates continued administration of the pharmaceutical or treatment regimen;

(7) anticipating those effects that may rapidly endanger a client's life or well-being; and

(8) making judgments and decisions concerning actions to take in the event such effects occur.

(d) If health care needs of a client are incidental to the personal care needs of the client, a nurse shall not be accountable for care performed by clients themselves, their families or significant others, or by caretakers who provide personal care to the individual.

(e) Pharmacists may administer drugs in accordance with 21 NCAC 46 .2507 and .2514.

History

• Authority G.S. 90-85.3; 90-85.15B; 90-171.23(b); 90-171.43; 90-171.95B
• Eff. May 1, 1982
• Amended Eff. July 1, 2004; April 1, 2002; December 1, 2000; July 1, 2000; January 1, 1996; February 1, 1994; April 1, 1989; January 1, 1984
• Emergency Amendment Eff. September 10, 2004
• Amended Eff. April 1, 2008; December 1, 2004
• Readopted Eff. January 1, 2019
• Amended Eff. July 1, 2023.

21 NCAC 36 .0222 Components of Nursing Practice

History

• Status: repealed
• Authority G.S. 90-171.20(7),(8); 90-171.23(b)
• Eff. January 1, 1984
• Amended Eff. June 1, 1989; July 1, 1984
• Repealed Eff. January 1, 1991.

21 NCAC 36 .0223 Continuing Education Programs

(a) Definitions.

(1) Continuing education in nursing means a planned, organized learning experience, taken after completion of a basic nursing program, that prepares a nurse to perform advanced skills. Types of learning experiences that may be considered continuing education as defined in Subparagraph (a)(3) of this Rule include:

(A) a non-degree oriented program;

(B) courses or components of courses in an academic degree-oriented program; or

(C) an advanced academic degree-granting program that prepares a registered nurse for advanced practice as a clinical nurse specialist, nurse anesthetist, nurse midwife, or nurse practitioner.

(2) Programs offering an educational experience designed to enhance the practice of nursing mean those that include one or more of the following:

(A) enrichment of nursing knowledge;

(B) development or change of nursing practice attitudes; or

(C) acquisition or improvement of nursing skills.

(3) Programs that teach nurses advanced skills mean those that include:

(A) skills not generally included in the basic educational preparation of the nurse; and

(B) a period of instruction sufficient to assess or provide necessary knowledge from the physical, biological, or behavioral and social sciences and includes supervised clinical practice to ensure that the nurse is able to practice the skill safely and properly.

(4) Student status means the status granted to an individual who does not hold a North Carolina nursing license but who participates in a clinical component of a continuing education program in North Carolina if:

(A) the individual possesses an active unencumbered license to practice nursing in a jurisdiction other than North Carolina;

(B) the course offering meets one of the following criteria:

(i) is part of an academic degree-granting nursing program that has approval in a jurisdiction other than North Carolina or national accreditation; or

(ii) is offered through an in-state academic institution that has Board approval for basic nursing education programs or national accreditation for advanced nursing education programs; or

(iii) is approved by the Board as a continuing education offering, thereby meeting the criteria defined in Paragraph (b) of this Rule;

(C) the individual receives supervision by a qualified preceptor or member of the faculty who has a valid license to practice as a registered nurse in North Carolina;

(D) the course of instruction has a specified period of time not exceeding 12 months;

(E) the individual is not employed in nursing practice in North Carolina during participation in the program; and

(F) the Board has been given advance notice of the name of each student, the jurisdiction in which the student is licensed, the license number, and the license expiration date.

(b) Criteria for voluntary approval of continuing education programs in nursing.

(1) Planning an educational program shall include:

(A) definition of learner population, such as registered nurse, licensed practical nurse, or both;

(B) identification of characteristics of the learner, such as clinical area of practice, place of employment, and position; and

(C) assessment of needs of the learner, such as specific requests from individuals or employers, pre-tests, or audits of patient records.

(2) Objectives shall:

(A) be measurable and stated in behavioral terms;

(B) reflect the needs of the learners;

(C) state desired outcomes;

(D) serve as criteria for the selection of content, learning experiences, and evaluation of achievement;

(E) be achievable within the time allotted; and

(F) be applicable to nursing.

(3) Content shall:

(A) relate to required by Subparagraph (b)(2) of this Paragraph;

(B) reflect input by qualified faculty; and

(C) contain learning experiences appropriate to objectives.

(4) Teaching methodologies shall:

(A) use pertinent educational principles;

(B) provide adequate time for each learning activity; and

(C) include informing participants of the course objectives required by Subparagraph (b)(2) of this Paragraph.

(5) Resources shall include:

(A) faculty who have knowledge and experience necessary to assist the participants in meeting the program objectives and are in sufficient number not to exceed a faculty-participant ratio in a clinical practicum of 1:10. If higher ratios are desired, sufficient justification shall be provided to the Board; and

(B) physical facilities that ensure that appropriate clinical resources and adequate and appropriate equipment and space are available.

(6) Evaluation shall be conducted:

(A) by the provider to assess the participant's achievement of program objectives and content. This evaluation shall be documented; and

(B) by the participant in order to assess the program and resources.

(7) Records shall be maintained by the provider for a period of three years and shall include a summary of program evaluations, a roster of participants, and the course outline. The provider shall award a certificate to each participant who successfully completes the program.

(c) Approval process.

(1) The provider shall:

(A) make application on forms provided by the Board no less than 60 days prior to the proposed enrollment date;

(B) present written documentation as specified in (b)(1) through (b)(7) of this Rule; and

(C) notify the Board of any significant changes relative to (b)(1) through (b)(7) of this Rule, such as changes in faculty or total program hours.

(2) Approval shall be granted for a two-year period. A request to offer an approved program by anyone other than the original provider shall be made to the Board.

(3) If a course is not approved, the provider may appeal in writing for reconsideration within 30 days after notification of the disapproval. If the course is not approved upon reconsideration, the provider may request, within 10 days, a hearing at the next regularly-scheduled meeting of the Board or no later than 90 days from the date of request, whichever shall come first.

(4) Site visits may be made by the Board as appropriate to determine compliance with the criteria as specified in Paragraph (b) of this Rule.

(5) The Board shall withdraw approval from a provider if the provider does not successfully achieve course outcomes or if there is misrepresentation of facts within the application for approval.

(6) Approval of continuing education programs shall be included in published reports of Board actions. A list of approved programs shall be posted on the Board's website at www.ncbon.com.

History

• Authority G.S. 90-171.23(b); 90-171.42
• Eff. January 1, 1984
• Amended Eff. October 1, 1992; October 1, 1991; October 1, 1989; January 1, 1989
• Readopted Eff. January 1, 2019.

21 NCAC 36 .0224 Components of Nursing Practice for the Registered Nurse

(a) The responsibilities that a registered nurse can safely accept shall be determined by such practice setting variables as:

(1) the nurse's qualifications, including:

(A) basic educational preparation; and

(B) knowledge and skills subsequently acquired through continuing education and practice;

(2) the complexity and frequency of nursing care needed by the client population;

(3) the proximity of clients to personnel in the practice setting in which the nurse practices;

(4) the qualifications and number of personnel in the practice setting in which the nurse practices;

(5) the accessible resources in the practice setting in which the nurse practices; and

(6) established policies, procedures, practices, and channels of communication that lend support to the types of nursing services offered in the practice setting in which the nurse practices.

(b) Assessment is an on-going process and shall consist of a determination of nursing care needs based upon collection and interpretation of data relevant to the health status of a client, group, or community.

(1) Collection of data shall include:

(A) obtaining data from relevant sources regarding the biophysical, psychological, social, and cultural factors of the client's life and the influence these factors have on health status, including:

(i) subjective reporting;

(ii) observations of appearance and behavior;

(iii) measurements of physical structure and physiological functions; and

(iv) information regarding resources available to the client; and

(B) verifying the data collected.

(2) Interpretation of data shall include:

(A) analyzing the nature and inter-relationships of collected data; and

(B) determining the significance of data to client's health status, ability to care for self, and treatment regimen.

(3) Formulation of a nursing diagnosis shall include:

(A) describing actual or potential responses to health conditions. Such responses are those for which nursing care is indicated or for which referral to medical or community resources is appropriate; and

(B) developing a statement of a client problem identified through interpretation of collected data.

(c) Planning nursing care activities includes identifying the client's needs and selecting or modifying nursing interventions related to the findings of the nursing assessment. Components of planning shall include:

(1) prioritizing nursing diagnoses and needs;

(2) setting realistic, measurable goals and outcome criteria;

(3) initiating or participating in multidisciplinary planning;

(4) developing a plan of care that includes determining and prioritizing nursing interventions; and

(5) identifying resources based on necessity and availability.

(d) Implementation of nursing activities shall be the initiating and delivering of nursing care according to an established plan, which includes:

(1) procuring resources;

(2) implementing nursing interventions and medical orders consistent with 21 NCAC 36 .0221(c) and within an environment conducive to client safety;

(3) prioritizing and performing nursing interventions;

(4) analyzing responses to nursing interventions;

(5) modifying nursing interventions; and

(6) assigning, delegating, and supervising the nursing activities of other licensed and unlicensed personnel consistent with Paragraphs (a) and (i) of this Rule, G.S. 90-171.20(7)(d) and (7)i, and 21 NCAC 36 .0401.

(e) Evaluation shall consist of determining the extent to which desired outcomes of nursing care are met and planning for subsequent care, including:

(1) collecting evaluative data from relevant sources;

(2) analyzing the effectiveness of nursing interventions; and

(3) modifying the plan of care based upon newly collected data, new problem identification, a change in the client's status, and expected outcomes.

(f) Reporting and Recording by the registered nurse shall be those communications required in relation to all aspects of nursing care.

(1) Reporting means the communication of information to other individuals responsible for, or involved in, the care of the client. The registered nurse shall:

(A) direct the communication to the appropriate individuals;

(B) assure that these communications are consistent with established policies, procedures, practices, and channels of communication which lend support to types of nursing services offered;

(C) communicate within a time period that is consistent with the client's need for care;

(D) evaluate the responses to information reported; and

(E) determine whether further communication is indicated.

(2) Recording means the documentation of information on the appropriate client record, nursing care plan or other documents. This documentation shall:

(A) be pertinent to the client's health care;

(B) accurately describe all aspects of nursing care, including assessment, planning, implementation, and evaluation;

(C) be completed within a time period consistent with the client's need for care;

(D) reflect the communication of information to other individuals; and

(E) verify the proper administration and disposal of controlled substances.

(g) Collaborating involves communicating and working cooperatively with individuals whose services may have a direct or indirect effect upon the client's health care and shall include:

(1) initiating, coordinating, planning, and implementing nursing or multidisciplinary approaches for the client's care;

(2) participating in decision-making and in cooperative goal-directed efforts;

(3) seeking and utilizing appropriate resources in the referral process; and

(4) safeguarding confidentiality.

(h) Teaching and counseling clients shall be the responsibility of the registered nurse, consistent with 90-171.20(7)g.

(1) Teaching and counseling shall consist of providing accurate and consistent information, demonstrations, and guidance to clients, their families, or significant others for the purpose of:

(A) increasing knowledge regarding the client's health status and health care;

(B) assisting the client to reach an optimum level of health functioning and participation in self-care; and

(C) promoting the client's ability to make informed decisions.

(2) Teaching and counseling shall include:

(A) assessing the client's needs, abilities, and knowledge level;

(B) adapting teaching content and methods to the identified needs, abilities of the clients, and knowledge level;

(C) evaluating effectiveness of teaching and counseling; and

(D) making referrals to appropriate resources.

(i) Managing the delivery of nursing care through the on-going supervision, teaching, and evaluation of nursing personnel shall be the responsibility of the registered nurse, as specified in the legal definition of the practice of nursing, and includes:

(1) continuous availability for direct participation in nursing care, onsite when necessary, as indicated by client's status and by the variables cited in Paragraph (a) of this Rule;

(2) assessing capabilities of personnel in relation to client status and the plan of nursing care;

(3) delegating responsibility or assigning nursing care functions to personnel qualified to assume such responsibility and to perform such functions;

(4) accountability for nursing care given by all personnel to whom that care is assigned and delegated; and

(5) direct observation of clients and evaluation of nursing care given.

(j) Administering nursing services is the responsibility of the registered nurse, as specified in the legal definition of the practice of nursing in G.S. 90-171.20(7)i, and includes:

(1) identification, development, and updating of standards, policies, and procedures related to the delivery of nursing care;

(2) implementation of the identified standards, policies, and procedures to promote safe and effective nursing care for clients;

(3) planning for and evaluation of the nursing care delivery system; and

(4) management of licensed and unlicensed personnel who provide nursing care consistent with Paragraphs (a) and (i) of this Rule including:

(A) appropriate allocation of human resources to promote safe and effective nursing care;

(B) defined levels of accountability and responsibility within the nursing organization;

(C) a mechanism to validate qualifications, knowledge, and skills of nursing personnel;

(D) provision of educational opportunities related to expected nursing performance; and

(E) implementation of a system for periodic performance evaluation.

(k) Accepting responsibility for self for individual nursing actions, competence, and behavior shall be the responsibility of the registered nurse, including:

(1) having knowledge and understanding of the statutes and rules governing nursing;

(2) functioning within the legal boundaries of registered nurse practice; and

(3) respecting client rights and property and the rights and property of others.

History

• Authority G.S. 90-171.20(7); 90-171.23(b); 90-171.43(4)
• Eff. January 1, 1991
• Temporary Amendment Eff. October 24, 2001
• Amended Eff. August 1, 2002
• Readopted Eff. January 1, 2019.

21 NCAC 36 .0225 Components of Nursing Practice for the Licensed Practical Nurse

(a) A licensed practical nurse shall accept only those assigned nursing activities and responsibilities, as defined in Paragraphs (b) through (i) of this Rule, that the licensee can safely perform, as determined by practice setting variables such as:

(1) the nurse's qualifications in relation to client need and plan of nursing care, including:

(A) basic educational preparation; and

(B) knowledge and skills subsequently acquired through continuing education and practice;

(2) the degree of supervision by the registered nurse consistent with Paragraph (d)(3) of this Rule;

(3) the stability of each client's clinical condition;

(4) the complexity and frequency of nursing care needed by each client or client group;

(5) the accessible resources; and

(6) established policies, procedures, practices, and channels of communication that lend support to the types of nursing services offered.

(b) Assessment is an on-going process and shall consist of participation in the determination of nursing care needs based upon collection and interpretation of data relevant to the health status of a client.

(1) Collection of data shall consist of obtaining data from relevant sources regarding the biophysical, psychological, social, and cultural factors of the client's life and the influence these factors have on health status, according to structured written guidelines, policies, and forms, including:

(A) subjective reporting;

(B) observations of appearance and behavior;

(C) measurements of physical structure and physiologic function; and

(D) information regarding resources available to the client.

(2) Interpretation of data shall be limited to:

(A) participation in the analysis of collected data by recognizing existing relationships between data gathered and a client's health status and treatment regimen; and

(B) determining a client's need for immediate nursing interventions based upon data gathered regarding the client's health status, ability to care for self, and treatment regimen, consistent with Paragraph (a)(6) of this Rule.

(c) Planning nursing care activities shall include participation in the identification of client's needs related to the findings of the nursing assessment. Components of planning include:

(1) participation in making decisions regarding implementation of nursing intervention, medical orders, and plan of care through the utilization of assessment data;

(2) participation in multidisciplinary planning by providing resource data; and

(3) identification of nursing interventions and goals for review by the registered nurse.

(d) Implementation of nursing activities shall consist of delivering nursing care according to an established health care plan and as assigned by the registered nurse or other individuals authorized by law as specified in 90-171.20(8)c.

(1) Nursing activities and responsibilities that may be assigned to the licensed practical nurse shall include:

(A) procuring resources;

(B) implementing nursing interventions and medical orders consistent with Paragraph (b) of this Rule and 21 NCAC 36 .0221(c) and within an environment conducive to client safety;

(C) prioritizing and performing nursing interventions;

(D) recognizing responses to nursing interventions;

(E) modifying immediate nursing interventions based on changes in a client's status; and

(F) delegating specific nursing tasks as outlined in the plan of care and consistent with Paragraph (d)(2) of this Rule and 21 NCAC 36 .0401.

(2) The licensed practical nurse may participate, consistent with 21 NCAC 36 .0224(d)(6), in implementing the health care plan by assigning nursing care activities to other licensed practical nurses and delegating nursing care activities to unlicensed personnel qualified and competent to perform such activities, if all of the following criteria are met:

(A) validation of qualifications of personnel to whom nursing activities may be assigned or delegated;

(B) continuous availability of a registered nurse for supervision consistent with 21 NCAC 36 .0224(i) and Paragraph (d)(3) of this Rule;

(C) accountability maintained by the licensed practical nurse for responsibilities accepted, including nursing care given by self and by all other personnel to whom such care is assigned or delegated;

(D) participation by the licensed practical nurse in on-going observations of clients and evaluation of clients' responses to nursing actions; and

(E) provision of supervision limited to the validation that tasks have been performed as assigned or delegated and according to established standards of practice.

(3) The degree of supervision required for the performance of any assigned or delegated nursing activity by the licensed practical nurse when implementing nursing care shall be determined by variables that include:

(A) educational preparation of the licensed practical nurse, including both the basic educational program and the knowledge and skills subsequently acquired by the nurse through continuing education and practice;

(B) stability of the client's clinical condition, which involves both the predictability and rate of change. If a client's condition is one in which change is highly predictable and would be expected to occur over a period of days or weeks rather than minutes or hours, the licensed practical nurse may participate in care with minimal supervision. If the client's condition is unpredictable or unstable, the licensed practical nurse may participate in the performance of the task under close supervision of the registered nurse or other individuals authorized by law to provide such supervision;

(C) complexity of the nursing task, which is determined by depth of scientific body of knowledge upon which the action is based and by the task's potential threat to the client's well-being. If a task is complex, the licensed practical nurse shall participate in the performance of the task under close supervision of the registered nurse or other individuals authorized by law to provide such supervision;

(D) the complexity and frequency of nursing care needed by the client population;

(E) the proximity of clients to personnel in the facility in which the nurse practices;

(F) the qualifications and number of personnel in the facility in which the nurse practices;

(G) the accessible resources in the facility in which the nurse practices; and

(H) established policies, procedures, practices, and channels of communication that lend support to the types of nursing services offered.

(e) Evaluation, a component of implementing the health care plan, shall consist of participation in determining the extent to which desired outcomes of nursing care are met and in planning for subsequent care, including:

(1) collecting evaluative data from relevant sources according to written guidelines, policies, and forms;

(2) recognizing the effectiveness of nursing interventions; and

(3) proposing modifications to the plan of care for review by the registered nurse or other individuals authorized by law to prescribe such a plan.

(f) Reporting and recording shall be those communications required in relation to the aspects of nursing care for which the licensed practical nurse has been assigned responsibility.

(1) Reporting means the communication of information to other individuals responsible for or involved in the care of the client. The licensed practical nurse shall:

(A) direct the communication to the appropriate individuals;

(B) assure that these communications are consistent with established policies, procedures, practices, and channels of communication which lend support to types of nursing services offered;

(C) communicate within a time period that is consistent with the client's need for care;

(D) evaulate the nature of responses to information reported; and

(E) determine whether further communication is indicated.

(2) Recording means the documentation of information on the appropriate client record, nursing care plan, or other documents. This documentation shall:

(A) be pertinent to the client's health care, including client's response to care provided;

(B) accurately describe all aspects of nursing care provided by the licensed practical nurse;

(C) be completed within a time period consistent with the client's need for care;

(D) reflect the communication of information to other persons; and

(E) verify the proper administration and disposal of controlled substances.

(g) Collaborating involves communicating and working cooperatively in implementing the health care plan with individuals whose services may have a direct or indirect effect upon the client's health care. As delegated by the registered nurse or other individuals authorized by law, the licensed practical nurse's role in collaborating in client care shall include:

(1) participating in planning and implementing nursing or multidisciplinary approaches for the client's care;

(2) seeking and utilizing appropriate resources in the referral process; and

(3) safeguarding confidentiality.

(h) Participating in the teaching and counseling of clients as assigned by the registered nurse, physician or other qualified professional licensed to practice in North Carolina shall be the responsibility of the licensed practical nurse. Participation shall include:

(1) providing accurate and consistent information, demonstrations, and guidance to clients, their families, or significant others for the purpose of:

(A) increasing knowledge regarding the client's health status and health care;

(B) assisting the client to reach an optimum level of health functioning and participation in self-care; and

(C) promoting the client's ability to make informed decisions.

(2) collecting evaluative data consistent with Paragraph (e) of this Rule.

(i) Accepting responsibility for self for individual nursing actions, competence, and behavior including:

(1) having knowledge and understanding of the statutes and rules governing nursing;

(2) functioning within the legal boundaries of licensed practical nurse practice; and

(3) respecting client rights and property and the rights and property of others.

History

• Authority G.S. 90-171.20(7),(8); 90-171.23(b); 90-171.43(4)
• Eff. January 1, 1991
• Amended Eff. January 1, 1996
• Temporary Amendment Eff. October 24, 2001
• Amended Eff. August 1, 2002
• Readopted Eff. January 1, 2019.

21 NCAC 36 .0226 Nurse Anesthesia Practice

(a) Only a registered nurse who completes a program accredited by the Council on Accreditation of Nurse Anesthesia Educational Programs, is credentialed as a certified registered nurse anesthetist by the Council on Certification of Nurse Anesthetists, and who maintains recertification through the Council on Recertification of Nurse Anesthetists, shall perform nurse anesthesia activities in collaboration with a physician, dentist, podiatrist, or other lawfully qualified health care provider. A nurse anesthetist shall not prescribe a medical treatment regimen or make a medical diagnosis except under the supervision of a licensed physician.

(b) For the purpose of this Rule, collaboration means a process by which the certified registered nurse anesthetist works with one or more qualified health care providers, each contributing his or her respective area of expertise consistent with the appropriate occupational licensure laws of the State and according to the established policies, procedures, practices, and channels of communication that lend support to nurse anesthesia services and that define the roles and responsibilities of the qualified nurse anesthetist within the practice setting. The individual nurse anesthetist shall be accountable for the outcome of his or her actions.

(c) Nurse Anesthesia activities and responsibilities that the appropriately qualified registered nurse anesthetist may safely accept shall depend upon the individual's knowledge, skills, and other variables in each practice setting as outlined in 21 NCAC 36 .0224(a), including:

(1) Preanesthesia preparation and evaluation of the client, including:

(A) performing a pre-operative health assessment;

(B) recommending, requesting, and evaluating pertinent diagnostic studies; and

(C) selecting and administering preanesthetic medications.

(2) Anesthesia induction, maintenance, and emergence of the client to include:

(A) securing, preparing, and providing safety checks on all equipment, monitors, supplies, and pharmaceutical agents used for the administration of anesthesia;

(B) selecting, implementing, and managing general anesthesia; monitored anesthesia care; and regional anesthesia modalities, including administering anesthetic and related pharmaceutical agents, consistent with the client's needs and procedural requirements;

(C) performing tracheal intubation, extubation, and providing mechanical ventilation;

(D) providing perianesthetic invasive and non-invasive monitoring, recognizing abnormal findings, implementing corrective action, and requesting consultation with appropriately qualified health care providers as necessary;

(E) managing the client's fluid, blood, electrolyte, and acid-base balance; and

(F) evaluating the client's response during emergence from anesthesia and implementing pharmaceutical and supportive treatment to ensure the adequacy of client recovery from anesthesia.

(3) Postanesthesia Care of the client, including:

(A) providing postanesthesia follow-up care, including evaluating the client's response to anesthesia, recognizing potential anesthetic complications, implementing corrective actions, and requesting consultation with appropriately qualified health care professionals as necessary;

(B) initiating and administering respiratory support to ensure adequate ventilation and oxygenation in the immediate postanesthesia period;

(C) initiating and administering pharmacological or fluid support of the cardiovascular system during the immediate postanesthesia period;

(D) documenting all aspects of nurse anesthesia care and reporting the client's status, perianesthetic course, and anticipated problems to an appropriately qualified postanesthetic health care provider who assumes the client's care following anesthesia, consistent with 21 NCAC 36 .0224(f); and

(E) releasing clients from the postanesthesia care or surgical setting in compliance with established agency policy.

(d) Other clinical activities for which the qualified registered nurse anesthetist may accept responsibility shall include:

(1) inserting central vascular access catheters and epidural catheters;

(2) identifying, responding to, and managing emergency situations, including initiating and participating in cardiopulmonary resuscitation;

(3) providing consultation related to respiratory and ventilatory care and implementing such care according to established policies within the practice setting; and

(4) initiating and managing pain relief therapy using pharmaceutical agents, regional anesthetic techniques, and other accepted pain relief modalities according to established policies and protocols within the practice setting.

History

• Authority G.S. 90-171.20(4); 90-171.20(7); 90-171.21; 90-171.23; 90-171.42(b)
• Eff. July 1, 1993
• Temporary Amendment Eff. July 25, 1994 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Amended Eff. December 1, 2010; December 1, 1994
• Readopted Eff. January 1, 2019.

21 NCAC 36 .0227 Approval and Practice Parameters for Nurse Practitioners

History

• Authority G.S. 90-6; 90-18(c)(13), (14); 90-18.2; 90-171.20(4); 90-171.20(7); 90-171.23(b); 90-171.36; 90-171.37; 90-171.42; 90-171.83
• Eff. January 1, 1996
• Amended Eff. August 1, 2002; July 1, 2000; May 1, 1999
• Recodified to Rules .0801-.0814 Eff. August 1, 2004.

21 NCAC 36 .0228 Clinical Nurse Specialist Practice

(a) Only a registered nurse who meets the qualifications outlined in Paragraph (b) of this Rule shall be approved by the Board as a clinical nurse specialist to perform activities listed in Paragraph (e) of this Rule.

(b) The Board shall approve an applicant who:

(1) has an active, unencumbered license to practice as a registered nurse in North Carolina or a state that has adopted the Nurse Licensure Compact;

(2) has an unrestricted approval, registration, or license as a clinical nurse specialist if previously approved, registered, or licensed as a clinical nurse specialist in another state, territory, or possession of the United States;

(3) has successfully completed a master's or higher-level degree program that is accredited by a nursing accrediting body approved by the United States Secretary of Education or the Council for Higher Education Accreditation; and

(4) has current certification as a clinical nurse specialist from a national credentialing body approved by the Board.

(c) An applicant certified as a clinical nurse specialist by a national credentialing body prior to January 1, 2007 who has maintained that certification, held an active approval, registration, or license as a clinical nurse specialist, and holds a master's or higher degree in nursing shall be approved by the Board as a clinical nurse specialist.

(d) An applicant seeking Board approval who has not held an active approval, registration or license as a clinical nurse specialist for two or more years shall complete a clinical nurse specialist refresher course approved by the Board in accordance with 21 NCAC 36 .0220(o) and (p), consisting of common conditions and their management related to the clinical nurse specialist's area of education and certification. A clinical nurse specialist refresher course participant shall be granted limited registration as a clinical nurse specialist for the purposes of completing the clinical activities in the refresher course.

(e) The scope of practice of a clinical nurse specialist shall incorporate the basic components of nursing practice as defined in Rule .0224 of this Section as well as the understanding and application of nursing principles at an advanced practice registered nurse level in the area of clinical nursing specialization in which the clinical nurse specialist is educationally prepared and within which competency is maintained, including:

(1) assessing clients' health status, synthesizing and analyzing multiple sources of data, and identifying alternative possibilities as to the nature of a healthcare problem;

(2) diagnosing and managing clients' acute and chronic health problems within the essential core competencies for professional nursing education;

(3) assessing for and monitoring the usage and effect of pharmacologic agents within the essential core competencies for professional nursing education;

(4) formulating strategies to promote wellness and prevent illness;

(5) prescribing and implementing therapeutic and corrective non-pharmacologic nursing interventions;

(6) planning for situations beyond the clinical nurse specialist's expertise and consulting with or referring clients to other health care providers as appropriate;

(7) promoting and practicing in collegial and collaborative relationships with clients, families, other health care professionals, and individuals whose decisions influence the health of individual clients, families, and communities;

(8) initiating, establishing, and using measures to evaluate health care outcomes and modify nursing practice decisions;

(9) assuming leadership for the application of research findings for the improvement of health care outcomes; and

(10) integrating education, consultation, management, leadership, and research into the clinical nurse specialist role.

(f) A registered nurse seeking registration by the Board as a clinical nurse specialist shall submit the following:

(1) a completed application through the Board's website at www.ncbon.com that includes:

(A) the applicant's name, telephone number and email address;

(B) the applicant's primary address of residence;

(C) the educational degrees obtained by the applicant with the program name and completion date;

(D) the number and expiration date of the applicant's national certification from a national certifying body;

(E) other professional or occupational licenses with the license number and jurisdiction in which the license was issued, if applicable; and

(F) the registration number shall be provided on the application if the application is for the renewal or reinstatement of an existing North Carolina recognition as a certified nurse specialist.

(2) official copy of the transcript from master's or higher-level degree program or a post-graduate certificate program; as set out in Subparagraph (b)(3) of this Rule; and

(3) current certification in a clinical nursing specialty from a national credentialing body, set out in Subparagraph (b)(4) of this Rule.

(g) The clinical nurse specialist shall submit a renewal application every two years at the time of registered nurse renewal.

(h) An applicant recognized by the Board as a clinical nurse specialist without national certification prior to April 1, 2023 who seeks to maintain this recognition shall:

(1) not allow the Board's recognition status to expire;

(2) submit an application as set out in Subparagraph (f)(1) of this Rule; and

(3) submit certificates of completion consistent with the following:

(A) at least 75 contact hours of continuing education which includes 25 contact hours of pharmacotherapeutics as a portion of the mandatory 75 contact hours for the previous five years and attest to 1,000 hours of practice; or

(B) at least 150 hours of continuing education which includes 50 contact hours of pharmacotherapeutics as a portion of the 150 contact hours for the previous five years.

(i) All clinical nurse specialists shall maintain documentation of clinical practice hours and continuing education for the previous five years which shall be made available upon request of the Board.

History

• Authority G.S. 90-171.20(4); 90-171.20(7); 90-171.21(d)(4); 90-171.23(b); 90-171.42(b)
• Eff. April 1, 1996
• Amended Eff. January 1, 2015; April 1, 2008; January 1, 2007; November 1, 2005; August 1, 2005; April 1, 2003
• Readopted Eff. January 1, 2019
• Amended Eff. December 1, 2023; April 1, 2023; November 1, 2020.

21 NCAC 36 .0231 Exceptions to Health Care Practitioners Identification Requirements:

(a) The licensed nurse or nurse aide II is not required to wear a readily visible badge or other form of identification in the following direct patient care situations:

(1) procedures requiring full sterile dress; or

(2) procedures requiring other protective clothing or covering.

(b) Identification of the licensed nurse or nurse aide may be limited to first name only and level of licensure or listing status when the full name identification may:

(1) place the personal safety of the nurse or nurse aide II in jeopardy; or

(2) interfere with the therapeutic relationship between the nurse or nurse aide and client(s).

(c) In all other situations involving the direct provision of health care to clients, the licensed nurse or nurse aide II shall wear or display a readily visible form of identification to include:

(1) the individual's first and last name; and

(2) the license, approval to practice title or listing title as required by law, or standard abbreviations for such title.

(d) There shall be written agency policy outlining any exceptions to the requirements consistent with Paragraph (b) of this Rule.

History

• Authority G.S. 90-171.43; 90-171.83(a),(c); 90-178.3; 90-640(a)-(d)
• Temporary Adoption Eff. April 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 36 .0232 Continuing Competence

(a) Upon application for license renewal or reinstatement, each licensee shall:

(1) complete a self-assessment of practice, including professional responsibility, knowledge based practice, legal and ethical practice, and collaborating with others;

(2) develop a plan for continued learning; and

(3) select and implement a learning activity option from those outlined in Paragraph (b) of this Rule.

(b) Upon application for license renewal or reinstatement, each licensee shall attest to having completed one of the following learning activity options during the preceding renewal cycle and submit evidence of completion if requested by the Board:

(1) national certification or re-certification related to the nurse's practice role by a national credentialing body recognized by the Board, consistent with 21 NCAC 36 .0120 and 21 NCAC 36 .0801;

(2) 30 contact hours of continuing education activities related to the nurse's practice;

(3) completion of a Board-approved refresher course, consistent with 21 NCAC 36 .0220 and 21 NCAC 36 .0808(d);

(4) completion of a minimum of two semester hours of post-licensure academic education related to nursing practice;

(5) 15 contact hours of a continuing education activity related to the nurse's practice and completion of a nursing project as principal or co-principal investigator including a statement of the problem, project objectives, methods, and a summary of findings;

(6) 15contact hours of a continuing education activity related to the nurse's practice and authoring or co-authoring a published nursing-related article, paper, book, or book chapter;

(7) 15 contact hours of a continuing education activity related to the nurse's practice and designing, developing, and conducting an educational presentation or presentations totaling a minimum of five contact hours for nurses or other health professionals; or

(8) 15 contact hours of a continuing education activity related to the nurse's practice and 640 hours of active practice within the previous two years.

(c) The following documentation shall be accepted as evidence of completion of learning activity options described in Paragraph (b) of this Rule:

(1) Evidence of national certification that includes a copy of a certificate that states name of licensee, name of certifying body, date of certification, date of certification expiration. Certification shall be initially attained during the licensure period, have been in effect during the entire licensure period, or have been re-certified during the licensure period.

(2) Evidence of contact hours of continuing education that includes the name of the licensee, title of educational activity, name of the provider, number of contact hours, and date of activity.

(3) Evidence of completion of a Board-approved refresher course that includes written correspondence from the provider stating the name of the licensee, name of the provider, and verification of successful completion of the course.

(4) Evidence of post-licensure academic education that includes a copy of a transcript stating the name of the licensee, name of educational institution, date of attendance, name of course with grade, and number of credit hours received.

(5) Evidence of completion of a nursing project shall include an abstract or summary of the project, the name of the licensee, role of the licensee as principal or co-principal investigator, date of project completion, statement of the problem, project objectives, methods used, and a summary of findings.

(6) Evidence of authoring or co-authoring a published nursing-related article, paper, book, or book chapter that includes a copy of the publication stating the name of the licensee and publication date.

(7) Evidence of developing and conducting an educational presentation or presentations totaling at least five contact hours for nurses or other health professionals that includes a copy of the program brochure or course syllabi, objectives, content and teaching methods, and date and location of presentation.

(8) Evidence of 640 hours of active practice in nursing shall include documentation of the name of the licensee, number of hours worked in calendar or fiscal year, name and address of employer, and signature of supervisor. If self-employed, hours worked shall be validated through other methods such as tax records or other business records. If active practice is of a volunteer or gratuitous nature, hours worked shall be validated by the recipient agency.

(d) A licensee shall retain supporting documentation to provide proof of completion of the option chosen in Paragraph (b) of this Rule for three years.

(e) At the time of license renewal or reinstatement, licensees shall be subject to audit for proof of compliance with the Board's requirements for continuing competence.

(f) The Board shall inform licensees of their selection for audit at the time of license renewal or request for reinstatement. Documentation of acceptable evidence shall be consistent with Paragraph (c) of this Rule and shall be submitted to the Board no later than the last day of the renewal month.

(g) Failure of a licensee to meet the requirements of this Rule at the time of renewal shall result in the license not being renewed until evidence of compliance is submitted and approved by the Board.

(h) Licensee shall not be reinstated until licensee has met all of the requirements of this Rule.

History

• Authority G.S. 90-171.23(b); 90-171.37(1) and (8)
• Eff. May 1, 2006
• Amended Eff. November 1, 2008
• Readopted Eff. January 1, 2019.

21 NCAC 36 .0233 Out of State Students

(a) Unlicensed nursing students enrolled in out-of-state nursing education programs seeking clinical experiences in North Carolina agencies shall be allowed access to these facilities following approval by the Board. At least 30 days prior to the start of the clinical experience, the chief nursing administrator or RN designee of a North Carolina agency shall submit the request for unlicensed nursing students enrolled in out-of-state nursing education programs to access the facility. The request shall include the following:

(1) a letter of request for approval to provide the clinical offering, including proposed starting and completion dates;

(2) documentation that the program is currently approved by the Board of Nursing in the state in which the parent institution is located;

(3) the name, qualifications, curriculum vitae, and evidence of an active, unencumbered registered nurse licensure of the faculty responsible for coordinating the student's experience;

(4) the name, qualifications, resume, and evidence of active unencumbered license to practice as a registered nurse in North Carolina for the preceptor or on-site faculty; and

(5) evidence of licensure from the UNC Board of Governors consistent with G.S. 116-15.

(b) The chief nursing administrator of the clinical agency shall distribute copies of the following documents to all students and faculty involved in the clinical experiences:

(1) North Carolina Nursing Practice Act;

(2) North Carolina administrative rules and related interpretations provided by the Board regarding the role of the registered nurse, licensed practical nurse, and unlicensed nursing personnel; and

(3) North Carolina Board of Nursing developed Suggestions for Utilization of Preceptors.

(c) Failure to remain in compliance with the requirements of Paragraph (a) of this Rule shall result in the immediate withdrawal of the Board's approval for use of the facility by unlicensed nursing students enrolled in out-of-state nursing education programs, consistent with G.S. 90-171.43(2).

History

• Authority G.S. 90-171.23(b) 90-171.43; 90-171.83
• Eff. April 1, 2008
• Readopted Eff. January 1, 2019
• Amended Eff. March 1, 2024.

21 NCAC 36 .0301 Approval Body

History

• Status: repealed
• Authority G.S. 90-171.23(b)(8); 90-171.23(b)(9); 90-171.23(b)(10); 90-171.38; 90-171.39; 90-171.40
• Eff. February 1, 1976
• Amended Eff. June 1, 1992; January 1, 1989; January 1, 1984
• Temporary Amendment Eff. October 11, 2001
• Repealed Eff. August 1, 2002.

21 NCAC 36 .0302 Establishment of a Nursing Program - Initial Approval

(a) A controlling institution seeking initial approval to operate a program shall employ a program director qualified pursuant to Rule .0317(a) of this Section. A controlling institution can seek initial approval to establish one program and one program entry option at a time.

(b) The program director shall develop and submit an application for initial approval at least six months prior to the proposed program start date. The application shall contain the following:

(1) a narrative description of the organizational structure of the program and its relationship to the controlling institution, including accreditation status. The controlling institution shall be an accredited institution;

(2) a general overview of the entire proposed curriculum that includes:

(A) the program philosophy, purposes, and objectives;

(B) a master plan of the curriculum, indicating the sequence for both nursing and non-nursing courses, as well as prerequisites and corequisites;

(C) course descriptions and course objectives for all courses; and

(D) course syllabi pursuant to 21 NCAC 36 .0321(j) for all first-year nursing courses;

(3) the projected student enrollment;

(4) evidence of learning resources and clinical experiences available to implement and maintain the program;

(5) financial resources to begin and maintain the program;

(6) physical facilities to house the program;

(7) support services available to the program from the controlling institution;

(8) approval of the program by the governing body of the controlling institution;

(9) approval from the applicable licensing regulatory body in North Carolina for the controlling institution;

(10) student policies for admission, progression and graduation of students;

(11) an emergency preparedness plan for addressing situations which shall include a reduction in the availability of clinical agencies, a transition from in-person to virtual learning platforms, and a need for increased use of simulation;

(12) a comprehensive program evaluation plan, pursuant to 21 NCAC 36 .0317(e); and

(13) a plan with a specified time frame for:

(A) availability of qualified faculty as specified in 21 NCAC 36 .0318; and

(B) course syllabi as specified in 21 NCAC 36 .0321(i) and (j) of this Section for all nursing courses.

(c) The application to establish a program shall contain accurate information required in Paragraph (b) of this Rule, be complete, and be signed by the program director and the chief executive officer of the controlling institution.

(d) The completed application required in Paragraph (b) of this Rule shall be received by the Board not less than 120 days prior to a regular meeting of the Board to be considered for placement on the agenda of that meeting.

(e) If another program exists in the institution, the application shall include:

(1) the organizational relationship of the existing program and the proposed program in the institution;

(2) the NCLEX pass rate of the existing program for the past three years; and

(3) a description of the expected impact of the proposed program on the existing program, including:

(A) the availability of a program director for each program;

(B) the availability of qualified faculty;

(C) the physical facilities adequate to house both programs;

(D) the availability of learning resources;

(E) the availability of clinical experiences; and

(F) the availability of student services.

(f) No new program application shall be considered if a program currently exists in the institution if:

(1) any currently approved program at the institution is on warning status; or

(2) resources are not available to maintain both the existing and the proposed program in compliance with Rules .0300 to .0323 of this Section.

(g) The proposed program shall be subject to an on-site survey after the application meets all the requirements set forth in this Rule. Following the on-site survey, the Board shall prepare a report outlining the program's compliance with established regulations and afford the proposed program an opportunity to respond to this report.

(h) When the Board grants initial approval, it shall establish a maximum enrollment and implementation date for the program based on the resources outlined under Paragraph (b) of this Rule.

(i) The institution seeking initial approval shall not solicit students until the program has been granted initial approval status by the Board.

(j) Programs which have not received initial approval pursuant to Rule .0303 of this Chapter, shall not admit students.

(k) The program shall enroll the first class of students within one year after the Board issues initial approval status.

(l) For a minimum of 12 months after initial approval is rescinded, the controlling institution shall not submit an application to establish a program.

(m) A program shall retain initial approval status for the time necessary for full implementation of the curriculum and graduation of the first cohort of students, provided the program complies with Section .0300 of this Chapter.

(n) Programs with initial approval status shall be surveyed by the Board:

(1) during the final term of curriculum implementation of the program; and

(2) upon receipt by the Board of information that the program may not be complying with Section .0300.

(o) The program shall be granted full approval status provided:

(1) the Board finds that the program has complied with Section .0300 of this Chapter while on initial approval status;

(2) an on-site survey is completed during the final term of curriculum implementation; and

(3) the program demonstrates an NCLEX® examination pass rate that meets or exceeds 90 percent of the national pass rate for licensure level on first writing of the licensure examination for calendar years ending December 31.

(p) If at any time a program on initial approval status is not complying with Section .0300 of this Chapter, the program, upon written notification, shall:

(1) correct the area of noncompliance and submit documentation of this correction to the Board; or

(2) submit and implement a plan for correction to the Board.

(q) If a program fails to correct the areas of noncompliance identified by the Board, in writing, pursuant to Paragraph (p) of this Rule and is found to be in noncompliance with the requirements of Section .0300 of this Chapter, the Board shall provide the program with written notice of the decision to rescind initial approval status.

(r) Upon written request from the program submitted within 10 business days of the Board's written notice of rescinding the initial approval status, the Board shall schedule a hearing at the next meeting of the Board for which appropriate notice can be provided, or at a meeting of the Board that is scheduled by consent of the parties.

(s) Following the hearing and consideration of all evidence provided, the Board shall assign the program full approval status or shall enter an Order rescinding the initial approval status, which shall constitute program closure pursuant to 21 NCAC 36 .0309.

History

• Authority G.S. 90-171.23(b)(8); 90-171.38
• Eff. February 1, 1976
• Amended Eff. June 1, 1992; January 1, 1989; November 1, 1984; May 1, 1982
• Temporary Amendment Eff. October 11, 2001
• Amended Eff. December 1, 2016; January 1, 2009; December 1, 2005; August 1, 2002
• Readopted Eff. January 1, 2019
• Amended Eff. March 1, 2024.

21 NCAC 36 .0303 Existing Nursing Program

(a) Accreditation by a national nursing accreditation body as defined in 21 NCAC 36 .0120(39) is required for all programs. For those programs granted initial approval status, full approval status, or warning status prior to December 31, 2024, accreditation by a national nursing accreditation body (not to include pre-accreditation status) is required effective January 1, 2032. The program shall submit official written documentation verifying accreditation from a national nursing accreditation body.

(b) The program shall be issued a letter of noncompliance, subject to a corrective action plan addressing identified deficiencies, a monitoring plan subject to conditions, additional program surveys, a change in program approval status, withdrawal of approval status, discipline, or closure of the program upon a finding of noncompliance with this Section.

(c) Full Approval

(1) Approved programs shall be reviewed by the Board at least once every 10 years as specified in G.S. 90-171.40. Reviews of individual programs shall be conducted at shorter intervals upon request from the individual institution or if an issue is identified suggesting noncompliance with this Section.

(2) The program shall submit a copy of the self-study report prepared for accreditation and submitted to the national nursing accreditation body. The program shall also submit written documentation from the national nursing accreditation body verifying compliance with accreditation standards.

(3) The Board shall send a written report of the review no more than 30 business days following the completion of the review process. Responses from a nursing education program regarding a review report or warning status as referenced in Paragraph (d) of this Rule shall be received in the Board office by the deadline date specified in the letter accompanying the report or notification of warning status. If no materials or documents are received by the specified deadline date, the Board shall act upon the findings in the review report and the testimony of the Board staff.

(4) If the Board finds a pattern of noncompliance with one or more rules in this Section, the Board may take action as outlined in Paragraph (b) of this Rule.

(d) Warning Status

(1) If the Board finds that a program is not complying with the rules in this Section, the Board shall assign the program warning status and shall give written notice by certified mail to the program specifying:

(A) the areas in which there is noncompliance;

(B) the date by which the program must comply with the rules in this Section. The maximum time for compliance shall be two consecutive years after issuance of the written notice; and

(C) the opportunity to schedule a hearing. Any request for a hearing regarding the program warning status shall be submitted to the Board. A hearing shall be afforded pursuant to the provisions of G.S. 150B, Article 3A.

(2) On or before the required date of compliance specified in Part (d)(1)(B) of this Rule if the Board determines that the program is complying with the rules in this Section, the Board shall assign the program full approval status.

(3) If the Board finds the program is not in compliance with the rules in this Section by the date specified in Part (d)(1)(B) of this Rule, the program shall remain on warning status, and a review by the Board shall be conducted during that time.

(4) If the Board finds the program is not in compliance with the rules in this Section for two consecutive years following the date specified in Part (d)(1)(B) of this Rule, warning status approval will be withdrawn, constituting a program closure consistent with Paragraph (b) of this Rule.

(5) Upon written request from the program submitted within 10 business days of the Board's written notice of warning status, or withdrawal of approval, the Board shall schedule a hearing at the next meeting of the Board for which notice can be provided.

(6) If a hearing is held at the request of the program and the Board determines that the program is not in compliance with the rules in this Section, the program shall remain on warning status, and a review by the Board shall be conducted while the program is on warning status. Following the review, the Board shall:

(A) continue the program on warning status;

(B) withdraw approval, constituting program closure consistent with Paragraph (b) of this Rule; or

(C) remove the program from warning status and issue full approval status.

History

• Authority G.S. 90-171.23(b); 90-171.38; 90-171.39; 90-171.40
• Eff. February 1, 1976
• Amended Eff. December 1, 2016; August 1, 2011; July 3, 2008; March 1, 2006; January 1, 2004; June 1, 1992; January 1, 1989
• Readopted Eff. January 1, 2019
• Amended Eff. March 1, 2024.

21 NCAC 36 .0304 Administration

History

• Status: repealed
• Authority G.S. 90-171.23(b)(8); 90-171.38
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; January 1, 1984
• Repealed Eff. June 1, 1992.

21 NCAC 36 .0305 Admission

History

• Status: repealed
• Authority G.S. 90-171.7
• Eff. February 1, 1976
• Repealed Eff. January 1, 1984.

21 NCAC 36 .0306 Progression

History

• Status: repealed
• Authority G.S. 90-171.7
• Eff. February 1, 1976
• Repealed Eff. January 1, 1984.

21 NCAC 36 .0307 Graduation

History

• Status: repealed
• Authority G.S. 90-171.7
• Eff. February 1, 1976
• Repealed Eff. January 1, 1984.

21 NCAC 36 .0308 Transfer and Advanced Standing

History

• Status: repealed
• Authority G.S. 90-171.7
• Eff. February 1, 1976
• Repealed Eff. January 1, 1984.

21 NCAC 36 .0309 Process for Program Closure

(a) A program is deemed closed when the program has not enrolled students for a period of two consecutive years since the last graduating class or student enrollment has not occurred for a two consecutive year period.

(b) When the controlling institution makes the decision to close a nursing program, the Administration of the institution shall submit a written plan for the discontinuation of the program to the Board and shall include:

(1) the reasons for program closure;

(2) the date of intended closure;

(3) a plan for students to complete this or another approved program;

(4) a plan detailing the arrangement for secure storage and access to academic records and transcripts for all students and graduates; and

(5) the communication methods to all current and former students the intent to close.

(c) When the controlling institution makes the decision to close a nursing program, the institution may not apply to establish a nursing program until at least 12 calendar months from the date of official notification to the Board in writing that the plan for closure has been fully implemented.

(d) When the Board closes a nursing program based on noncompliance with the rules and requirements in this Section, the Board shall give written notice of closure by certified mail to the program specifying the areas in which there is evidence of noncompliance and the opportunity for the program to request a hearing contesting the involuntary program closure pursuant to the provisions of G.S. 150B, Article 3A.

(e) If the program does not contest the involuntary closure by the Board, the program director shall, within 30 days, develop and submit a plan for discontinuation of the program for Board approval consistent with Paragraph (b) of this Rule. The plan shall address transfer of students to approved programs. Involuntary program closure shall occur within six months from the date of notification of closure by the Board.

(f) When the Board closes a program, the controlling institution may not apply to establish a nursing program until at least 24 calendar months from the date of official notification of program closure by the Board.

History

• Authority G.S. 90-171.38; 90-171.39; 90-171.40
• Eff. June 1, 1992
• Amended Eff. December 1, 2016; December 1, 2005
• Readopted Eff. January 1, 2019
• Amended Eff. March 1, 2024.

21 NCAC 36 .0310 Agency Approval Process – Initial Survey

History

• Status: repealed
• Authority G.S. 90-171.39
• Eff. June 1, 1992
• Temporary Repeal Eff. October 11, 2001
• Repealed Eff. August 1, 2002.

21 NCAC 36 .0311 Library

History

• Status: repealed
• Authority G.S. 90-171.7(2),(4),(5)a.,b.
• Eff. February 1, 1976
• Repealed Eff. January 1, 1984.

21 NCAC 36 .0312 Hospitals and Other Agencies

History

• Status: repealed
• Authority G.S. 90-171.7(2),(4),(5)a.,b.
• Eff. February 1, 1976
• Repealed Eff. January 1, 1984.

21 NCAC 36 .0313 Clinical

History

• Status: repealed
• Authority G.S. 90-171.7(2),(4),(5)a.,b.
• Eff. February 1, 1976
• Repealed Eff. January 1, 1984.

21 NCAC 36 .0314 Inpatient Facilities

History

• Status: repealed
• Authority G.S. 90-171.7(2),(4),(5)a.,b.
• Eff. February 1, 1976
• Repealed Eff. January 1, 1984.

21 NCAC 36 .0315 Full Approval/Approval with Stipulations

History

• Status: repealed
• Authority G.S. 90-171.39
• Eff. June 1, 1992
• Temporary Repeal Eff. October 11, 2001
• Repealed Eff. August 1, 2002.

21 NCAC 36 .0316 Surveys: Reports: Actions

History

• Status: repealed
• Authority G.S. 90-171.23(b)(9); 90 -171.40
• Eff. February 1, 1976
• Amended Eff. January 1, 1984
• Repealed Eff. January 1, 1989.

21 NCAC 36 .0317 Administration

(a) The program shall ensure that a full-time registered nurse, qualified pursuant to Paragraph (d) of this Rule, has the authority to direct the nursing program. Full-time registered nurse is a registered nurse employed by the institution who is regularly assigned to work at least 40 hours each week in the position of program director.

(b) The program shall ensure that the program director has the authority and responsibility for maintaining compliance with the Rules in this Chapter and other legal requirements in all areas of the program.

(c) The program shall ensure that the program director has non-teaching time sufficient to allow for program organization, administration, continuous review, planning, and development.

(d) The program director shall:

(1) hold an active unencumbered license or multistate licensure privilege to practice as a registered nurse in North Carolina;

(2) have two years of full-time experience as a faculty member in a Board-approved program;

(3) have experience in clinical nursing as a faculty member in a program, and academic or nursing leadership experience to lead the program to accomplish the mission, goals, and expected program outcomes;

(4) hold a graduate degree in nursing from an accredited institution;

(5) prior to or within the first three years of employment, have education in teaching and learning principles for adult education, including curriculum development, implementation, and evaluation, appropriate to the program director role. Once completed, this education need not be repeated if employing organization is changed. Proof of this education is one of the following:

(A) completion of 45 contact hours of Board-approved continuing education courses pursuant to Rule .0223 of this Chapter. A list of Board-approved continuing education courses is posted at www.ncbon.com;

(B) completion of a certificate program in nursing education;

(C) nine semester hours of graduate course work in adult learning and learning principles;

(D) national certification in nursing education;

(E) documentation of completion of structured, individualized development activities of at least 45 contact hours approved by the Board. Criteria for approval shall include content in the faculty role in curriculum implementation, curricular objectives to be met and evaluated, review of strategies for identified student population, and expectations of student and faculty performance; or

(F) A letter from the controlling institution attesting that the program director has been approved by the controlling institution following the submission of a portfolio. Individuals with prior teaching experience in an academic setting seeking the program director position shall submit to the controlling institution for approval a portfolio detailing the individual's formal education in teaching and learning principles for adult education, which includes curriculum development, implementation, and evaluation, appropriate to the program director role. A copy of this submission shall be provided to the Board upon request.

(6) maintain competence pursuant to Rule .0232 of this Chapter in the areas of assigned responsibility.

(e) A nursing education program shall implement, for quality improvement, a comprehensive program evaluation in writing that shall include the following:

(1) students' achievement of program outcomes;

(2) description of program resources, including fiscal, physical, human, clinical, and technical learning resources; student support services; and the availability of clinical sites and the viability of those sites adequate to meet the objectives of the program;

(3) measures of program outcomes for graduates;

(4) the public's access to accurate program information;

(5) how the program and the controlling institution achieve concurrent outcomes;

(6) an attestation from the program director that all program faculty meet Board qualifications and are sufficient in number to achieve program outcomes;

(7) reporting of collected evaluative data used in implementing quality improvement activities; and

(8) description of student participation in program planning, implementation, evaluation, and continuous improvement.

(f) The program shall communicate information describing the nursing education program that is accurate, complete, consistent across mediums, and accessible by the public. The following shall be accessible to all applicants and students:

(1) admission policies and practices;

(2) policy on advanced placement and transfer of credits;

(3) the number of credits required for completion of the program;

(4) tuition, fees, and other program costs;

(5) policies and procedures for withdrawal, including refund of tuition or fees;

(6) the grievance procedure;

(7) criteria for successful progression in the program, including graduation requirements; and

(8) policies for clinical performance.

History

• Authority G.S. 90-171.23(b)(8); 90-171.38
• Eff. June 1, 1992
• Amended Eff. December 1, 2016; January 1, 2015; April 1, 2008; March 1, 2006
• Readopted Eff. January 1, 2019
• Amended Eff. March 1, 2024; September 1, 2021.

21 NCAC 36 .0318 Faculty

(a) The program shall develop policies for program faculty members consistent with those for other faculty of the controlling institution, with variations as needed due to the nature of the nursing curriculum.

(b) Fifty percent or more of the nursing faculty per program shall hold a graduate degree.

(c) Nurses licensed pursuant to this Chapter who are full-time and part-time faculty and who teach in a program as a nurse shall:

(1) hold an active unencumbered license or multistate licensure privilege to practice as a registered nurse in North Carolina;

(2) hold either a baccalaureate in nursing or a graduate degree in nursing from an accredited institution;

(3) have two calendar years or the equivalent of full-time experience as a registered nurse. A full-time registered nurse is a registered nurse employed by the program who is regularly assigned to work at least 40 hours each week in a position;

(4) full-time faculty shall hold a graduate degree from an accredited institution or obtain a graduate degree in nursing from an accredited institution within five years of initial full-time employment;

(5) prior to or within the first three years of employment, have education in teaching and learning principles for adult education, including curriculum development, implementation, and evaluation, appropriate to faculty assignment. Once completed, this education need not be repeated if the employing organization is changed. This education may be demonstrated by one of the following:

(A) completion of 45 contact hours of Board-approved continuing education courses;

(B) completion of a certificate program in nursing education;

(C) nine semester hours of graduate course work in adult learning and learning principles;

(D) national certification in nursing education;

(E) documentation of completion of structured, individualized development activities of at least 45 contact hours approved by the Board. Criteria for approval shall include content in the faculty role in the curriculum implementation, curricular objectives to be met and evaluated, review of strategies for identified student population, and expectations of student and faculty performance; or

(F) individuals with prior teaching experience in an academic setting seeking a faculty position shall be evaluated by the Program Director to assess each individual's prior teaching experience commensurate with formal education in teaching and learning principles for adult education including curriculum development, implementation, and evaluation, appropriate to faculty assignment.

(6) maintain competence pursuant to Rule .0232 of this Chapter in the areas of assigned responsibility.

(d) Interdisciplinary faculty who teach in program courses shall be licensed or certified in the content area in which they are teaching.

(e) Clinical preceptors shall hold an active unencumbered license to practice as a registered nurse in North Carolina.

(f) The program shall provide workshops and presentations devoted to faculty development.

(g) The faculty-student ratio for faculty-directed preceptor clinical experiences shall be no greater than 1:15. The faculty-student ratio for all other clinical experiences shall be no greater than 1:10.

History

• Authority G.S. 90-171.23(b)(8); 90-171.38; 90-171.83
• Eff. February 1, 1976
• Amended Eff. December 1, 2016; January 1, 2015; August 1, 2011; November 1, 2008; July 1, 2006; July 1, 2000; January 1, 1996; June 1, 1992; January 1, 1989; January 1, 1984
• Readopted Eff. January 1, 2019
• Amended Eff. March 1, 2024; September 1, 2021.

21 NCAC 36 .0319 Nursing Programs in Non-Compliance

History

• Status: repealed
• Authority G.S. 90-171.40
• Eff. May 1, 1982
• Amended Eff. November 1, 1984
• Repealed Eff. November 1, 1989.

21 NCAC 36 .0320 Students

(a) Admission requirements and practices for the program shall be stated in the controlling institution's published written and digital communications and shall include assessment of the student's:

(1) record of high school graduation, high school equivalent, or earned credits from a post-secondary institution;

(2) achievement potential through the use of previous academic records that are consistent with curriculum demands and scholastic expectations; and

(3) physical and mental health that is indicative of the applicant's ability to provide competent nursing care to the public.

(b) The program shall publish policies in a nursing student handbook and college catalog that provide for identification and dismissal of students who:

(1) present physical or mental health problems that conflict with the safety essential to nursing practice or do not respond to treatment or counseling within a timeframe that enables meeting program objectives;

(2) demonstrate behavior that conflicts with the safety essential to nursing practice; or

(3) fail to demonstrate professional behavior, including honesty, integrity, and appropriate use of social media, while in the nursing program of study.

(c) The program shall maintain an NCLEX® examination pass rate that meets or exceeds 90 percent of the national pass rate for licensure level on first writing of the licensure examination for calendar years ending December 31.

(d) The controlling institution shall publish policies in a nursing student handbook and college catalog for transfer of credits or for admission to advanced placement, and the program shall determine the total number of nursing courses or credits awarded for advanced placement.

History

• Authority G.S. 90-171.23(b)(8); 90-171.38; 90-171.43
• Eff. February 1, 1976
• Amended Eff. December 1, 2016; January 1, 2006; August 1, 1998; January 1, 1996; June 1, 1992; January 1, 1989; January 1, 1984
• Readopted Eff. January 1, 2019
• Amended Eff. March 1, 2024.

21 NCAC 36 .0321 Curriculum

(a) The program curriculum shall:

(1) be planned by members of the program faculty;

(2) reflect the stated program philosophy, purposes, and objectives, pursuant to 21 NCAC 36 .0302(b)(2);

(3) be consistent with Article 9A of G.S. 90 and the Rules in this Chapter governing the practice of nursing;

(4) define the level of performance required to pass each course in the curriculum;

(5) enable a student to develop the nursing knowledge, skills, and abilities necessary for competent practice consistent with the level of licensure and scope as set forth in 21 NCAC 36 .0221, .0224, .0225, and .0231;

(6) include content in the biological, physical, social, and behavioral sciences to provide a foundation for competent and effective nursing practice;

(7) provide students the opportunity to acquire and demonstrate, through didactic content and clinical experience under faculty supervision, the knowledge, skills, and abilities required for effective and competent nursing practice in the areas of medical/surgical, obstetric, pediatric, psychiatric/mental health, and community health, across the lifespan; and

(8) be revised to reflect changes and advances in health care and its delivery.

(b) Didactic content and supervised clinical experience across the lifespan appropriate to program type shall include:

(1) implementing quality and safety principles and practices minimizing the risk of harm to clients and providers through both system effectiveness and individual performance to include clinical judgment, skill in clinical management, time management, and emergency preparedness;

(2) using informatics to communicate, manage knowledge, mitigate error, and support decision making;

(3) employing evidence-based practice to integrate the best research with clinical expertise and client values for optimal care, including skills to identify and apply best practices to nursing care;

(4) providing client-centered, culturally competent care by:

(A) respecting client differences, values, preferences, and expressed needs;

(B) involving clients in decision-making and care management;

(C) coordinating and managing continuous client care consistent with the level of licensure. This shall include a demonstrated ability to delegate and supervise others and provide leadership within the profession appropriate for program type; and

(D) promoting healthy lifestyles for clients and populations;

(5) working in interdisciplinary teams to cooperate, collaborate, communicate, engage in patient teaching consistent with the level of licensure, and integrate client care and health promotion;

(6) participating in quality improvement processes to measure client outcomes, identify hazards and errors, and develop changes in client care; and

(7) legal and ethical issues and professional responsibilities of the licensed nurse.

(c) Clinical experience hours, traditional or simulated, shall accomplish the objectives of the curriculum, shall be supervised by qualified faculty pursuant to 21 NCAC 36 .0318, and shall ensure students' ability to practice at an entry level.

(d) All student clinical experiences, including those with preceptors, shall be directed by nursing faculty.

(e) A focused client care experience with a minimum of 120 hours shall be provided in the final year of curriculum implementation for programs preparing registered nurses.

(f) A focused client care experience with a minimum of 90 hours shall be provided in the final semester of the curriculum for programs preparing practical nurses.

(g) Learning experiences and methods of instruction, including distance education methods, shall be consistent with the written curriculum plan and shall demonstrate logical curricular progression.

(h) Remediation strategies for students shall be in place at the beginning of each course and include processes to remediate errors in the clinical setting.

(i) Objectives for each course shall indicate the knowledge, skills, and abilities expected for competent student performance. These objectives shall:

(1) indicate the relationship between the classroom learning and the application of this learning in the clinical experience;

(2) serve as criteria for the selection of the types of and settings for learning experiences; and

(3) serve as the basis for evaluating student performance.

(j) Student course syllabi shall include a description and outline of:

(1) the course content;

(2) the learning environments and activities;

(3) when the course is taken in the curriculum;

(4) allocation of time for didactic content, clinical experience, laboratory experience, and simulation; and

(5) evaluation by faculty of student performance, including all evaluation tools used in the course.

(k) Each course shall be implemented in accordance with and evaluated by reference to the student course syllabus.

(l) Requests for approval of changes in the currently approved curriculum, or expansion of, the program, shall be submitted to the Board in writing at least 60 days prior to implementation for approval by the Board. Criteria for approval shall include program approval status, the availability of classrooms, laboratories, clinical placements, equipment, and supplies and faculty sufficient to implement the curriculum to an increased number of students. Requests for expansion in enrollment shall be considered only for programs with full approval status.

(m) The program shall notify the Board at least 45 days prior to implementation of:

(1) alternative or additional program schedules; and

(2) planned decrease in the Board-approved student enrollment number to accurately reflect program capacity.

(n) The program shall have written policies and procedures on the following:

(1) short-term and long-term plans for integrating simulation into the curriculum;

(2) method of debriefing for each simulated activity; and

(3) a plan for orienting faculty to simulation.

(o) For all programs using simulation experiences substituted for clinical experience time, the nursing education program shall:

(1) demonstrate that simulation faculty have been formally educated and maintain the competencies in simulation and debriefing; and

(2) provide a simulation environment with faculty, space, equipment, and supplies that simulate realistic clinical experiences to meet the curriculum and course objectives.

(p) Programs shall limit simulation experiences to:

(1) no more than 25 percent in the focused client care experience; and

(2) no more than 50 percent of clinical experience time in each course.

(q) External standardized examinations shall not be used to determine a student's progression or graduation in a nursing education program preparing students for initial nurse licensure. When used, external examinations shall not weigh more than 10 percent of the final course grade or final course points calculation.

History

• Authority G.S. 90-171.23(b)(8); 90-171.38
• Eff. February 1, 1976
• Amended Eff. June 1, 1992; January 1, 1989; January 1, 1984
• Temporary Amendment Eff. October 11, 2001
• Amended Eff. December 1, 2016; December 1, 2005; August 1, 2002
• Readopted Eff. January 1, 2019
• Amended Eff. March 1, 2024.

21 NCAC 36 .0322 Facilities

History

• Status: repealed
• Authority G.S. 90-171.23(b)(8); 90-171.38
• Eff. February 1, 1976
• Amended Eff. January 1, 1996; June 1, 1992; January 1, 1989; May 1, 1988
• Temporary Amendment Eff. October 11, 2001
• Amended Eff. December 1, 2016; April 1, 2006; August 1, 2002; July 1, 2023
• Readopted Eff. January 1, 2019
• Repealed Eff. March 1, 2024.

21 NCAC 36 .0323 Records and Reports

(a) The program shall maintain a system for maintaining official records consistent with the policies of the controlling institution. Current and permanent student records shall be stored in a secure manner that prevents physical damage and unauthorized access.

(b) Both permanent and current records shall be available for review by Board staff.

(c) The official permanent record for each graduate shall include documentation of graduation from the program and a transcript of the individual's achievement in the program.

(d) The record for each currently enrolled student shall contain up-to-date and complete information, including the following:

(1) documentation of admission criteria met by the student;

(2) documentation of high school graduation, high school equivalent, or earned credits from post-secondary institution approved pursuant to G.S. 90-171.38(a); and

(3) a transcript of credit hours achieved in the classroom, laboratory, and clinical instruction for each course that reflects progression consistent with program policies.

(e) The program shall file an annual report with the Board by November 1 of each year. The annual report shall be available to the program director through the Board's website at www.ncbon.com and shall include the following:

(1) accreditation status;

(2) academic calendar;

(3) faculty composition;

(4) student enrollment;

(5) graduation rate;

(6) formal remediation process; and

(7) use of simulation.

(f) In addition to the annual report in Paragraph (e) of this Rule, non-accredited programs shall file a program description report with the Board at least 30 days prior to a scheduled review by the Board. The program description report shall be available on the Board's website at www.ncbon.com.

(g) The program shall concurrently submit to the Board all communications regarding accreditation that are submitted to the accrediting body.

(h) The Board may require additional records and reports for review at any time to provide evidence and substantiate compliance with the rules in this Section by a program and its controlling institutions.

(i) The program shall notify the Board of any change of the program director at least 10 business days prior to the change.

(j) The program director shall verify to the Board in writing all students who have completed the program no later than one month following completion of the Board-approved program.

History

• Authority G.S. 90-171.23(b)(8); 90-171.38
• Eff. February 1, 1976
• Amended Eff. December 1, 2016; January 1, 2015; December 1, 2005; January 1, 2004; June 1, 1992; January 1, 1989; January 1, 1984
• Readopted Eff. January 1, 2019
• Amended Eff. March 1, 2024; November 1, 2020.

21 NCAC 36 .0324 Experimental Approaches

History

• Status: repealed
• Authority G.S. 90-171.23(b)(8); 90-171.38
• Eff. January 1, 1984
• Amended Eff. June 1, 1992; January 1, 1989
• Repealed Eff. December 1, 2005.

21 NCAC 36 .0325 Removal of Approval

History

• Status: repealed
• Authority G.S. 90-171.23(b); 90-171.38; 90-171.39; 90-171.40; 90-171.42(b)
• Eff. October 1, 1992
• Temporary Repeal Eff. October 11, 2001
• Repealed Eff. August 1, 2002.

21 NCAC 36 .0401 Roles of Unlicensed Personnel

(a) Definitions. As used in Section .0400:

(1) "Nursing care activities" means activities performed by unlicensed personnel that are delegated by licensed nurses in accordance with paragraphs (b) and (c) of this Rule.

(2) "Patient care activities" means activities performed by unlicensed personnel if health care needs are incidental to the personal care required.

(b) The Board, as authorized by G.S. 90-171.23(b)(1)(2)(3), shall determine those nursing care activities that may be delegated to unlicensed personnel. The registered and licensed practical nurse, in accordance with 21 NCAC 36 .0224 and .0225 and G.S. 90-171.20(7)(8), may delegate nursing care activities to unlicensed personnel, regardless of title, that are appropriate to the level of knowledge, skill, and validated competence of the unlicensed personnel.

(c) Those nursing care activities that may be delegated to unlicensed personnel shall be determined by the following variables:

(1) knowledge and skills of the unlicensed personnel;

(2) verification of clinical competence of the unlicensed personnel by a registered nurse employed by the agency.

(3) stability of the client's condition, which involves predictability, absence of risk of complication, and rate of change, and which excludes delegation of nursing care activities that do not meet the requirements defined in 21 NCAC 36 .0221(b);

(4) the variables in each service setting, which include:

(A) the complexity and frequency of nursing care needed by a given client population in the practice setting in which the nurse practices;

(B) the proximity of clients to staff in the practice setting in which the nurse practices;

(C) the number and qualifications of staff in the practice setting in which the nurse practices;

(D) the accessible resources; and

(E) established policies, procedures, practices, and channels of communication that lend support to the types of nursing activities being delegated, or not delegated, to unlicensed personnel in the practice setting in which the nurse practices.

History

• Authority G.S. 90-171.20(2)(4)(7)d.,e.,g.; 90-171.43(4); 90-171.55; 42 U.S.C.S. 1395i-3 (1987)
• Eff. March 1, 1989
• Amended Eff. December 1, 1995; October 1, 1991
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. January 1, 2019.

21 NCAC 36 .0402 Coordination with Division of Health Service Regulation

(a) The Board shall accept nurse aide Is listed on the Division of Health Service Regulation (DHSR) maintained Nurse Aide Registry as meeting the requirements of 21 NCAC 36 .0403(a).

(b) The Board shall acquire information from DHSR regarding all qualified nurse aide Is.

History

• Authority G.S. 90-171.20(2)(4)(7)d.,e.,g.; 90-171.43(4); 90-171.55
• 42 U.S.C.S. 1395i-3 (1987)
• Eff. March 1, 1989
• Amended Eff. November 1, 2008; December 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. January 1, 2019.

21 NCAC 36 .0403 Qualifications

(a) A nurse aide I shall perform basic nursing skills and personal care activities after successfully completing an approved nurse aide I training and competency evaluation or equivalent as approved by the Division of Health Service Regulation (DHSR). A licensed nurse shall delegate these activities only after considering the variables defined in Rule .0401(b) and (c) of this Section. Pursuant to G.S. 90-171.55, no individual may function as a nurse aide I, regardless of title, providing nursing care activities, as identified in Rule .0401(a) of this Section, to clients or residents unless:

(1) the individual has successfully completed, in addition to an orientation program specific to the employing facility, a State-approved nurse aide I training and competency evaluation program or its equivalent; or a State-approved competency evaluation program and the employing facility or agency has verified listing on the Division of Health Service Regulation Nurse Aide Registry (DHSR Nurse Aide Registry); or

(2) the employing agency or facility has assured that the individual is enrolled in a State-approved nurse aide I training and competency evaluation program that the individual will successfully complete within four months of employment date. During the four month period, the individual shall be assigned only tasks for which they have demonstrated competence and that they perform under supervision.

(b) A nurse aide II shall perform more complex nursing skills with emphasis on sterile technique in elimination, oxygenation, and nutrition after successful completion of a Board-approved nurse aide II training and competency evaluation program. A licensed nurse shall delegate these activities to the nurse aide II only after consideration of the variables described in Rule .0401(b) and (c) of this Section. Pursuant to G.S. 90-171.55, no individual may function as a nurse aide II unless:

(1) the individual has successfully completed, in addition to an orientation program specific to the employing agency, a Board-approved nurse aide II course according to these Rules or its equivalent as identified by the Board;

(2) the individual is listed as a nurse aide I on the DHSR Nurse Aide Registry with no substantiated findings of abuse, neglect, exploitation, mistreatment, diversion of drugs, fraud, or misappropriation of client or employing facility property listed on the DHSR Nurse Aide Registry and/or on the NC Health Care Personnel Registry; and

(3) the employing facility or agency has inquired of the Board as to information in the Board of Nursing Nurse Aide II Registry concerning the individual and confirms with the Board that the individual is listed on the Board Nurse Aide II Registry as a nurse aide II.

(c) Listing on a Nurse Aide Registry is not required if the care is performed by clients themselves, their families or significant others, or by caretakers who provide personal care to individuals whose health care needs are incidental to the personal care required.

(d) Pursuant to G.S. 131E-114.2 and G.S. 131E-270, a medication aide shall be limited to performing technical aspects of medication administration, consistent with Rule .0401(b) and (c) of this Section, Rule .0221 of this Chapter, and only after:

(1) successful completion of a Board-approved medication aide training program;

(2) successful completion of a State-approved competency evaluation program; and

(3) listing on the Medication Aide Registry.

History

• Authority G.S. 90-171.20(2)(4)(7)d.,e.,g.; 90-171.43(4); 90-171.55; 90-171.56; 131E-114.2; 131E-270; 42U.S.C.S. 1395i-3 (1987)
• Eff. March 1, 1989
• Temporary Amendment Eff. October 11, 1989 For a Period of 180 Days to Expire on April 6, 1990
• Amended Eff. September 1, 2006; December 1, 1995; March 1, 1990
• Readopted Eff. January 1, 2019.

21 NCAC 36 .0404 Listing and Renewal

(a) All nurse aide IIs, as defined in Rule .0403(b) of this Section regardless of working title, employed or assigned in a service agency or facility for the purpose of providing nursing care activities shall be listed on the Board of Nursing Nurse Aide II Registry and shall meet the following requirements:

(1) successful completion of a Board-approved nurse aide II course or its Board-approved equivalent;

(2) High School or High School Equivalency Diploma;

(3) current listing as a nurse aide I on the DHSR Nurse Aide I Registry with no substantiated findings of abuse, neglect, exploitation, mistreatment, diversion of drugs, fraud, or misappropriation of client or employing facility property as recorded on the DHSR Nurse Aide I Registry or on the NC Health Care Personnel Registry; and

(4) submission and approval of an application to the Board for placement on the Board of Nursing Nurse Aide II Registry prior to working as a nurse aide II.

The application shall be submitted with the required fee within 30 business days of completion of the nurse aide II course. Initial listing by the Board shall expire on the last day of the applicant's birth month of the following year.

(b) Nursing students currently enrolled in Board-approved nursing courses desiring listing as a nurse aide II shall submit:

(1) an application and application fee;

(2) current listing as a nurse aide I on the DHSR Nurse Aide I Registry with no substantiated findings of abuse, neglect, exploitation, mistreatment, diversion of drugs, fraud, or misappropriation of client or employing facility property as recorded on the DHSR Nurse Aide I Registry or on the NC Health Care Personnel Registry; and

(3) verification completed by the nursing program director indicating successful completion of course work equivalent in content, clinical hours, and skill competency validation for that required of a nurse aide II.

(c) Registered nurses and licensed practical nurses who hold active, unencumbered licenses to practice in North Carolina may make application as a nurse aide II.

(d) An individual previously enrolled in a Board-approved nursing program leading to licensure a registered nurse or licensed practical nurse may list as a nurse aide II with no additional testing provided the student withdrew from school in good standing within the last 24 months and completed the equivalent content, clinical hours, and skills competency validation. Such individual shall submit an application as described in Paragraph (b) of this Rule. If the student was in good standing upon withdrawal from the school and withdrew from the school in excess of 24 months, the student shall successfully complete an entire nurse aide II course prior to being listed as a nurse aide II.

(e) Individuals who have completed a training course equivalent in content, clinical hours, and skills competency validation to the nurse aide II course may submit documentation of the same to the Board for review. If training is equivalent, the individual may submit the application with required fee and be listed on the Board of Nursing Nurse Aide Registry as a nurse aide II.

(f) An employing agency or facility may choose up to four nurse aide II tasks to be performed by nurse aide I personnel without the nurse aide I completing the entire nurse aide II course. These tasks shall be individual activities that may be performed after the nurse aide I has received Board-approved training and competency evaluation using nurse aide II education modules as defined in Rule .0403(b) of this Section.

(1) The agency or facility shall be limited to selecting and implementing a maximum of four nurse aide II tasks for use throughout each agency or facility.

(2) A nurse aide I who is trained and evaluated as competent to perform these limited nurse aide II tasks shall perform these tasks only in the specific agency or facility where the training and competency validation were completed; performance of these tasks by the nurse aide I shall not transfer to another healthcare setting.

(3) Documentation of the training and competency evaluation shall be maintained for each nurse aide I who is approved to perform these nurse aide II tasks within the agency or facility.

(g) Each nurse aide II shall renew listing with the Board biennially on or before the listing period expiration date. The renewal application, posted on the Board's website at www.ncbon.com, shall be accompanied by the required fee.

(1) After the nurse aide II listing expires, it will not be renewed unless the nurse aide II successfully passes a Board-approved competency evaluation or successfully completes an entire Board-approved nurse aide II course.

(2) To be eligible for renewal, the nurse aide II shall have worked at least eight hours for compensation during the past 24 months performing nursing care activities under the supervision of a registered nurse.

(3) Any nurse aide II who has had a continuous period of 24 months during which no nursing care activities were performed for monetary compensation but who has performed patient care activities for monetary compensation shall successfully complete the competency evaluation portion of the nurse aide II course and submit a renewal application and fee in order to be renewed on the Board of Nursing Nurse Aide II Registry.

(4) A nurse aide II who has performed no nursing care or patient care activities for monetary compensation within the past 24 months shall successfully complete a Board-approved nurse aide II course prior to submitting the application for renewal.

(5) A nurse aide II who has substantiated findings of abuse, neglect, exploitation, mistreatment, diversion of drugs, fraud, or misappropriation of client or employing facility property as recorded on the DHSR Nurse Aide I Registry or the NC Health Care Personnel Registry shall not be eligible for renewal as a nurse aide II.

History

• Authority G.S. 90-171.19; 90-171.20(2)(4)(7)d,e,g; 90-171.37; 90-171.43(4); 90-171.55; 90-171.83; 42 U.S.C.S. 1395i-3 (1987)
• Eff. March 1, 1989
• Amended Eff. July 1, 2010; November 1, 2008; August 1, 2005; August 1, 2002; July 1, 2000; December 1, 1995; April 1, 1990
• Readopted Eff. January 1, 2019.

21 NCAC 36 .0405 APPROVAL OF NURSE AIDE EDUCATION courses

(a) The Board shall accept nurse aide I courses that are approved by DHSR.

(b) The Board shall approve nurse aide II courses in accordance with this Rule. Nurse aide II courses shall be offered by a State-licensed individual, agency, or educational institution after the course is approved by the Board.

(1) Each entity desiring to offer a nurse aide II course shall submit a course approval application 60 days prior to offering the course. It shall include documentation of the following standards:

(A) the students shall be taught and supervised by qualified faculty as defined in Subparagraph (b)(3) of this Rule;

(B) the clinical-experience faculty to student ratio shall not exceed 1:10;

(C) the selection and utilization of clinical facilities shall support the course curriculum as outlined in Subparagraph (b)(2) of this Rule;

(D) a written contract shall exist between the course provider and clinical facility prior to student clinical experience in the facility;

(E) a procedure for processing and disposition of course and student complaints shall be established; and

(F) admission requirements shall be established in accordance with one of the following:

(i) for all programs except those offered as career and college promise tract programs admission requirements shall include:

(I) completion of nurse aide I DHSR course or DHSR-established equivalent and active nurse aide I listing on DHSR Registry;

(II) High School or High School Equivalency diploma; and

(III) other admission requirements as identified by the course provider; or

(ii) for all career and college promise tract programs admission requirements shall include:

(I) completion of a nurse aide I DHSR course or DHSR-established equivalent;

(II) active nurse aide I listing on DHSR Registry after the first attempt to pass nurse aide I test and within no more than five calendar days from enrollment in the nurse aide II course;

(III) expected High School diploma or High School Equivalency diploma not more than three months from completion of the nurse aide II course; and

(IV) other admission requirements as identified by the course provider.

(2) Nurse aide II courses shall include a minimum of 80 hours of theory and 80 hours of clinical instruction, supervised by a nurse faculty meeting the requirements of Subparagraph (b)(3) of this Rule. A nurse aide II education course shall not use simulation for more than eight hours as a substitute for the required 80 hours of clinical experience.

(3) Minimum competency and qualifications for faculty for the nurse aide II courses shall include:

(A) an active unencumbered license to practice as a registered nurse in North Carolina;

(B) at least two years of direct patient care experiences as a registered nurse; and

(C) experience teaching adult learners.

(4) Each nurse aide II course shall furnish the Board with records, data, and reports requested by the Board that provide information concerning the operation of the course and all individuals who attended the course within the past five years.

(5) In accordance with Rule .0309 of this Chapter, when an approved nurse aide II course closes, it shall notify the Board of the closing and how student records will be stored.

(6) A Board-approved nurse aide II course that will provide nurse aide II competency evaluation shall obtain Board approval prior to offering competency evaluation.

(A) Board-approved nurse aide II course shall be in full approval status for at least one year prior to submitting an application to provide nurse aide II competency evaluation; and

(B) full approval course status shall be maintained to provide nurse aide II competency evaluation.

(c) An annual nurse aide II course report shall be submitted by the course director to the Board on a form provided by the Board by March 31 of each year.

(d) Complaints regarding nurse aide II courses shall result in an on-site survey by the Board if necessary to resolve the complaint.

(e) Approval status shall be determined by the Board using the annual course report, survey report, and other data submitted by the program, agencies, or students. The determination shall result in full approval or approval with stipulations.

(f) If the program fails to correct the deficiencies, a hearing shall be held by the Board regarding course approval status. A course may continue to operate while awaiting the hearing before the Board; however, in the case of summary suspension of approval as authorized by G.S. 150B-3(c), the course shall immediately cease operation.

(1) When a hearing is scheduled, the Board shall cause notice to be served on the course and shall specify a date for the hearing, to be held not less than 20 days from the date on which notice is given.

(2) If evidence presented at hearing shows that the course is complying with all federal and State law, including the rules in this Section, the Board shall assign the course full approval status.

(3) If evidence presented at hearing shows that the course is not complying with all federal and State law, including the rules in this Section, the parent institution shall:

(A) cease operation;

(B) present a plan to the Board for transfer of students to approved courses or shall fully refund tuition paid by the student. Closure shall take place after the transfer of students to approved courses within a time frame established by the Board; and

(C) notify the Board of the arrangements for storage of permanent records.

History

• Authority G.S. 90-171.20(2)(4)(7)d.,e.,g.; 90-171.39; 90-171.40; 90-171.43(4); 90-171.55; 90-171.83; 42 U.S.C.S. 1395i-3 (1987)
• Eff. March 1, 1989
• Amended Eff. November 1, 2008; April 1, 2003; August 1, 2002; July 1, 2000; December 1, 1995; March 1, 1990
• Readopted Eff. January 1, 2019
• Amended Eff. March 1, 2020.

21 NCAC 36 .0406 Medication Aide Training Requirements

(a) Faculty for the medication aide training program shall:

(1) have an active, unencumbered license to practice as a registered nurse in North Carolina;

(2) have had at least two years of practice experience as a registered nurse that includes medication administration;

(3) have successfully completed an instructor training program approved by the Board according to these Rules; and

(4) maintain Board certification as a medication aide instructor.

(b) A medication aide instructor certification shall be renewed every two years provided the following requirements are met:

(1) the individual has taught at least one medication aide training program within the preceding two years; and

(2) the individual has reviewed program changes approved by the Board and posted on the Board's website at www.ncbon.com.

(c) An applicant for a medication aide training program approved by the Board shall have a high school diploma or High School Equivalency.

History

• Authority G.S. 90-171.56; 131E-114.2; 131E-270
• Eff. September 1, 2006
• Amended Eff. April 1, 2008
• Readopted Eff. January 1, 2019.

21 NCAC 36 .0501 Purpose AND DEFINITIONS

(a) The purpose of the rules in this Section is to adopt rules supplementing or clarifying Chapter 55B of the General Statutes for professional corporations whose purpose is the provision of nursing and related services.

(b) The following definitions shall apply throughout this Section:

(1) "Board" means the North Carolina Board of Nursing.

(2) "Nursing and Related Services" means those activities through which nursing, as defined in G.S. 90-171.20(4), is practiced.

(3) "Licensee" means any individual who is duly licensed to practice nursing in North Carolina as a registered nurse.

(4) "Professional Corporation" means professional corporations organized for the purpose of providing nursing related services in North Carolina.

(5) "Director" means the Executive Director of the North Carolina Board of Nursing.

History

• Authority G.S. 55B-2; 55B-12; 90-171.20(6); 90-171.23
• Eff. March 1, 1991
• Amended Eff. November 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 36 .0502 Name of Professional Corporation

In addition to the provisions of G.S. 55B, the Professional Corporation Act, the name of a professional corporation that provides nursing care and related services shall not include any adjectives or words not in accordance with ethical customs of the nursing profession as defined by the American Nurses Association code of ethics and shall not be false or misleading.

History

• Authority G.S. 55B-5; 55B-12; 90-171.43
• Eff. March 1, 1991
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. January 1, 2019.

21 NCAC 36 .0503 Prerequisites for Incorporation

The following requirements must be met in order to incorporate a professional corporation that will provide nursing and related services in this State:

(1) The incorporator, whether one or more, of a professional corporation shall be licensed to practice nursing in North Carolina as a registered nurse.

(2) Before the filing of the articles of incorporation with the Secretary of State, the incorporators shall file, with the Board, the original articles of incorporation, plus a copy, together with a registration fee in the maximum allowable amount set forth in G.S. 55B-10.

(3) The original articles of incorporation and the copy shall be accompanied by an application to the Board, certified by all incorporators, setting forth the names, addresses, and certificate numbers of each shareholder of the corporation who will be practicing nursing for the corporation.

(4) Included with the above shall be a statement that each shareholder of the corporation who will be practicing nursing for the corporation is licensed to practice nursing in North Carolina as registered nurses, and stating that the corporation will be conducted in compliance with the Professional Corporation Act and these Rules.

(5) If the articles are changed in any manner before being filed with the Secretary of State, they shall be re-submitted to the Board and shall not be filed with the Secretary of State until approved by the Board.

History

• Authority G.S. 55B-4; 55B-10; 55B-12; 90-171.20(6)
• Eff. March 1, 1991
• Amended Eff. April 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. January 1, 2019.

21 NCAC 36 .0504 Certificate of Registration

The Certificate of Registration shall be issued as follows:

(1) The Board shall issue a certificate of registration for the professional corporation to become effective only after the professional corporation files the articles of incorporation with the Secretary of State and if:

(a) no disciplinary action is pending before the Board against any of the licensed incorporators or individuals who will be directors, officers, or shareholders of such corporation; and

(b) such corporation will be conducted in compliance with the Professional Corporations Act and the rules in this Subchapter.

(2) The proposed original articles of incorporation and the certificate of registration, shall be returned to the incorporators for filing with the Secretary of State. A copy of the articles of incorporation and a copy of the certificate of registration shall be retained in the Board office. If the required findings are not made, the registration fee shall be refunded to the incorporators.

(3) The initial certificate of registration shall remain in effect until December 31 of the year in which it was issued, unless suspended or terminated as provided by law. The certificate of registration shall be renewed annually thereafter.

(4) At least 20 days prior to the date of expiration of the certificate of registration, the professional corporation shall submit its written application for renewal on a form provided by the Board, along with a renewal fee in the maximum allowable amount set forth in G.S. 55B-10.

History

• Authority G.S. 55B-12; 90-171.20(6); 90-171.23
• Eff. April 1, 1991
• Amended Eff. November 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. January 1, 2019.

21 NCAC 36 .0505 General and Administrative Provisions

The following general provisions shall apply to a professional corporation that will provide nursing and related services in this State:

(1) If the Board declines to issue a Certificate of Registration required by 21 NCAC 36 .0504, declines to renew the same after properly requested, or refuses to take any other required action, the aggrieved party may request, in writing, a review of such action by the Board, and the Board shall provide a formal hearing for such aggrieved party before a majority of the Board.

(2) All amendments to charters of professional corporations, all merger and consolidation agreements to which a professional corporation is a party, and all dissolution proceedings and similar changes in the corporate structure of a professional corporation shall be filed with the Board for approval before being filed with the Secretary of State. A true copy of the changes filed with the Secretary of State shall be filed with the Board within 10 days after filing with the Secretary of State.

(3) The Board is authorized to issue the certificate required by G.S. 55B-6 if stock is transferred in a professional corporation, and such certificate shall be permanently attached to the stub of the transferee's certificate in the stock book of the professional corporation.

History

• Authority G.S. 55B-6; 55B-12; 90-171.23
• Eff. April 1, 1991
• Amended Eff. November 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. January 1, 2019.

21 NCAC 36 .0506 Forms

The following forms regarding professional corporations shall be posted on the Board's website at www.ncbon.com:

(1) Certificate of Incorporator(s) and Application for a Certificate of Registration for a Professional Corporation;

(2) Certificate of Registration of a Professional Corporation for the Purpose of Providing Nursing Related Services;

(3) Application for Renewal of Certificate of Registration; and

(4) Certificate Authorizing Transfer of Stock in Professional Corporation Organized to Provide Nursing Related Services.

History

• Authority G.S. 55B-12; 90-171.23
• Eff. March 1, 1991
• Amended Eff. November 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. January 1, 2019.

21 NCAC 36 .0507 Fees

The registration and renewal fees for a professional corporation shall be the maximum allowable amount under G.S. 55B-10 and G.S. 55B-11.

History

• Authority G.S. 55B-10; 55B-11; 55B-12
• Eff. April 1, 1991
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. January 1, 2019.

21 NCAC 36 .0601 Name of Professional Limited Liability Company

In addition to the provisions of G.S. 57D, the North Carolina Limited Liability Compact Act, the name of a limited liability company that provides nursing and related services shall not include any adjectives or other words not in accordance with ethical customs of the nursing profession as defined by the American Nurses Association code of ethics and shall not be false or misleading.

History

• Authority G.S. 55B-10; 57D-2-02
• Eff. August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. January 1, 2019.

21 NCAC 36 .0602 Prerequisites for Organization

(a) The organizing members shall submit the following requirements to the Board prior to filing the articles of organization:

(1) a certificate, certified by those registered nurses who are organizing members, setting forth the names, addresses, and license numbers of each individual who will be employed by the professional limited liability company to practice nursing and related services as specified in G.S. 55B14(c)(2), (4)-(6), stating that all such individuals are duly licensed to practice nursing in North Carolina, and representing that the company will be conducted in compliance with North Carolina Limited Liability Company Act and the rules in this Subchapter; and

(2) a registration fee in the maximum allowable amount set forth in G.S. 55D.

(b) A certification that each of those organizing members who may provide nursing and related services as specified in G.S. 55B-14(c)(2), (4)-(6) is licensed to practice nursing in North Carolina shall be returned to the professional limited liability company for filing with the Secretary of State.

(c) If the articles are changed in any manner before being filed with the Secretary of State, they shall be re-submitted to the Board and shall not be filed with the Secretary of State until approved by the Board.

History

• Authority G.S. 55B-4; 55B-10; 55B-12; 55B-14; 57D-2-01; 57D-2-02; 90-171.23
• Eff. August 1, 1998
• Amended Eff. November 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. January 1, 2019.

21 NCAC 36 .0603 Certificate of Registration

(a) A certificate of registration for a Professional Limited Liability Company shall remain effective until December 31 of the year in which it was issued unless suspended or terminated as provided by law.

(b) A certificate of registration shall be renewed annually on application forms supplied by the Board. The application shall be accompanied by the maximum allowable renewal fee as set forth in G.S. 57D.

History

• Authority G.S. 55B-10; 55B-11; 57D-2-01; 57D-2-02; 90-171.23
• Eff. August 1, 1998
• Amended Eff. November 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. January 1, 2019.

21 NCAC 36 .0604 General and Administrative Provisions

The Board shall issue the certificate authorizing transfer of membership if membership is transferred in the company. This transfer form shall be permanently retained by the company. The membership books of the company shall be kept at the principal office of the company and shall be subject to inspection by authorized agents of the Board.

History

• Authority G.S. 55B-12; 57D
• Eff. August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. January 1, 2019.

21 NCAC 36 .0605 Fees

The fee for both an initial Certificate of Registration and renewal is the maximum allowable fee as set forth in G.S. 57D.

History

• Authority G.S. 55B-10; 55B-11; 57D; 90-171.23
• Eff. August 1, 1998
• Amended Eff. November 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. January 1, 2019.

21 NCAC 36 .0701 Definitions of Terms in the Compact

History

• Status: repealed
• Authority G.S. 90-171.32; 90-171.37; 90-171.82; 90-171.82(6); 90-171.83(a)(b); 90-171.85(b); 90-171.85(f); 90-171.87(4); 90-171.87(4); 90-171.88; 90-171.88(d)(e); 90-171.94
• Eff. July 1, 2000
• Amended Eff. November 1, 2013; July 1, 2012; July 1, 2005
• Repealed Eff. January 19, 2018 pursuant to G.S. 150B-21.7.

21 NCAC 36 .0702 Issuance of a License by a Compact Party State

History

• Status: repealed
• Authority G.S. 90-171.32; 90-171.37; 90-171.82; 90-171.82(6); 90-171.83(a)(b); 90-171.85(b); 90-171.85(f); 90-171.87(4); 90-171.87(4); 90-171.88; 90-171.88(d)(e); 90-171.94
• Eff. July 1, 2000
• Amended Eff. November 1, 2013; July 1, 2012; July 1, 2005
• Repealed Eff. January 19, 2018 pursuant to G.S. 150B-21.7.

21 NCAC 36 .0703 Limitations on Multistate Licensure Privilege

History

• Status: repealed
• Authority G.S. 90-171.32; 90-171.37; 90-171.82; 90-171.82(6); 90-171.83(a)(b); 90-171.85(b); 90-171.85(f); 90-171.87(4); 90-171.87(4); 90-171.88; 90-171.88(d)(e); 90-171.94
• Eff. July 1, 2000
• Amended Eff. November 1, 2013; July 1, 2012; July 1, 2005
• Repealed Eff. January 19, 2018 pursuant to G.S. 150B-21.7.

21 NCAC 36 .0704 Information System

History

• Status: repealed
• Authority G.S. 90-171.32; 90-171.37; 90-171.82; 90-171.82(6); 90-171.83(a)(b); 90-171.85(b); 90-171.85(f); 90-171.87(4); 90-171.87(4); 90-171.88; 90-171.88(d)(e); 90-171.94
• Eff. July 1, 2000
• Amended Eff. November 1, 2013; July 1, 2012; July 1, 2005
• Repealed Eff. January 19, 2018 pursuant to G.S. 150B-21.7.

21 NCAC 36 .0705 Party State Licensure Requirements

History

• Status: repealed
• Authority G.S. 90-171.32; 90-171.37; 90-171.82; 90-171.82(6); 90-171.83(a)(b); 90-171.85(b); 90-171.85(f); 90-171.87(4); 90-171.87(4); 90-171.88; 90-171.88(d)(e); 90-171.94
• Eff. July 1, 2000
• Amended Eff. November 1, 2013; July 1, 2012; July 1, 2005
• Repealed Eff. January 19, 2018 pursuant to G.S. 150B-21.7.

21 NCAC 36 .0801 Definitions

The following definitions apply to this Section:

(1) "Approval to Practice" means authorization by the Joint Subcommittee of the Medical Board and the Board of Nursing for a nurse practitioner to practice within her or his area of educational preparation and certification under a collaborative practice agreement with a physician licensed by the Medical Board in accordance with this Section.

(2) "Back-up Supervising Physician" means a physician licensed by the Medical Board who, by signing an agreement with the nurse practitioner and the primary supervising physician(s) shall provide supervision, collaboration, consultation, and evaluation of medical acts by the nurse practitioner in accordance with the collaborative practice agreement when the primary supervising physician is not available. Back-up supervision shall be in compliance with the following:

(a) The signed and dated agreements for each back-up supervising physician(s) shall be maintained at each practice site.

(b) A physician in a graduate medical education program, whether fully licensed or holding only a resident's training license, shall not be named as a back-up supervising physician.

(c) A fully licensed physician in a graduate medical education program who is also practicing in a non-training situation and has a signed collaborative practice agreement with the nurse practitioner and the primary supervising physician may be a back-up supervising physician for a nurse practitioner in the non-training situation.

(3) "Board" means the North Carolina Board of Nursing.

(4) "Collaborative practice agreement" means the arrangement for nurse practitioner-physician that provides for the continuous availability to each other for ongoing supervision, consultation, collaboration, referral, and evaluation of care provided by the nurse practitioner.

(5) "Emergency" means a state of emergency as defined in G.S. 166A-19.3 and proclaimed by the Governor or by the General Assembly.

(6) "Joint Subcommittee" means the subcommittee composed of members of the Board and members of the Medical Board to whom responsibility is given by G.S. 90-8.2 and G.S. 90-171.23(b)(14) to develop rules to govern the performance of medical acts by nurse practitioners in North Carolina.

(7) "Medical Board" means the North Carolina Medical Board.

(8) "National Credentialing Body" means one of the following credentialing bodies that offers certification and re-certification in the nurse practitioner's specialty area of practice:

(a) American Nurses Credentialing Center (ANCC);

(b) American Academy of Nurse Practitioners National Certification Board (AANPNCB);

(c) American Association of Critical Care Nurses Certification Corporation (AACN);

(d) National Certification Corporation of the Obstetric Gynecologic and Neonatal Nursing Specialties (NCC); and

(e) the Pediatric Nursing Certification Board (PNCB).

(9) "Nurse Practitioner" or "NP" means a registered nurse who holds an active unencumbered license approved to practice consistent with the nurse's area of nurse practitioner academic educational preparation and national certification under an agreement with a physician licensed by the Medical Board for ongoing supervision, consultation, collaboration, and evaluation of the medical acts performed. Such medical acts are in addition to those nursing acts performed by virtue of registered nurse (RN) licensure. The NP is held accountable under the RN license for those nursing acts that he or she may perform.

(10) "Primary Supervising Physician" means a physician with an active unencumbered license with the Medical Board who shall provide ongoing supervision, collaboration, consultation, and evaluation of the medical acts performed by the nurse practitioner as defined in the collaborative practice agreement. Supervision shall be in compliance with the following:

(a) The primary supervising physician shall assure both Boards that the nurse practitioner is qualified to perform those medical acts described in the collaborative practice agreement.

(b) A physician in a graduate medical education program, whether fully licensed or holding only a resident's training license, shall not be named as a primary supervising physician.

(c) A fully licensed physician in a graduate medical education program who is also practicing in a non-training situation may supervise a nurse practitioner in the non-training situation.

(11) "Registration" means authorization for a registered nurse to use the title nurse practitioner in accordance with this Section.

(12) "Supervision" means the physician's function of overseeing medical acts performed by the nurse practitioner.

(13) "Volunteer Approval" means approval to practice consistent with this Section except without expectation of direct or indirect compensation or payment (monetary, in kind, or otherwise) to the nurse practitioner.

History

• Authority G.S. 90-8.1; 90-8.2; 90-18(14); 90-18.2; 90-171.20(4); 90-171.23(b); 90-171.95B
• Recodified from 21 NCAC 36 .0227(a) Eff. August 1, 2004
• Amended Eff. September 1, 2012; December 1, 2009; December 1, 2006; August 1, 2004
• Readopted Eff. January 1, 2019
• Amended Eff. June 1, 2021.

21 NCAC 36 .0802 Scope of Practice

The nurse practitioner's scope of practice is defined by academic educational preparation and national certification and maintained competence. A nurse practitioner shall be held accountable by both Boards for a broad range of personal health services for which the nurse practitioner is educationally prepared and for which competency has been maintained, with physician supervision and collaboration as described in Rule .0810 of this Section. These services include:

(1) promotion and maintenance of health;

(2) prevention of illness and disability;

(3) diagnosing, treating, and managing acute and chronic illnesses;

(4) guidance and counseling for both individuals and families;

(5) prescribing, administering, and dispensing therapeutic measures, tests, procedures, and drugs;

(6) planning for situations beyond the nurse practitioner's scope of practice and expertise by consulting with and referring to other health care providers as appropriate; and

(7) evaluating health outcomes.

History

• Authority G.S. 90-18(c)(14); 90-18.2; 90-171.23(b)(14)
• Recodified from 21 NCAC 36 .0227(b) Eff. August 1, 2004
• Amended Eff. August 1, 2004
• Readopted Eff. January 1, 2019
• Amended Eff. June 1, 2021.

21 NCAC 36 .0803 Nurse Practitioner Registration

(a) The Board shall register an applicant as a nurse practitioner who:

(1) has an active unencumbered license or privilege to practice as a registered nurse in North Carolina or compact state and, when applicable, an active unencumbered approval, registration, or license as a nurse practitioner in another state, territory, or possession of the United States;

(2) has completed a nurse practitioner education program as outlined in Rule .0805 of this Section;

(3) is certified as a nurse practitioner by a national credentialing body consistent with Rule .0801(8) of this Section; and

(4) has supplied additional information necessary to evaluate the application as requested by the Board on a case-by-case basis.

(b) Applicants who have graduated from a nurse practitioner program after January 1, 2005 who are seeking first-time nurse practitioner registration shall:

(1) hold a Master's or higher degree in Nursing or related field with primary focus on Nursing;

(2) have completed a graduate or post-graduate level nurse practitioner education program accredited by a national accrediting body; and

(3) provide documentation of certification by a national credentialing body.

History

• Authority G.S. 90-18(c)(14); 90-18.2; 90-171.23(b); 90-171.95B
• Eff. August 1, 2004
• Amended Eff. September 1, 2012; November 1, 2008; December 1, 2006
• Readopted Eff. January 1, 2019
• Amended Eff. June 1, 2021.

21 NCAC 36 .0804 Process for Approval to Practice

(a) Prior to the performance of any medical acts, a nurse practitioner shall:

(1) meet registration requirements as specified in 21 NCAC 36 .0803;

(2) submit an application for approval to practice;

(3) submit any additional information necessary to evaluate the application as requested; and

(4) have a collaborative practice agreement with a primary supervising physician.

(b) A nurse practitioner seeking approval to practice who has not practiced as a nurse practitioner in more than two years shall complete a nurse practitioner refresher course approved by the Board of Nursing in accordance with Paragraphs (o) and (p) of 21 NCAC 36 .0220 and consisting of common conditions and their management directly related to the nurse practitioner's area of education and certification. A nurse practitioner refresher course participant shall be granted an approval to practice that is limited to clinical activities required by the refresher course.

(c) The nurse practitioner shall not practice until notification of approval to practice is received from the Board of Nursing after both Boards have approved the application.

(d) The nurse practitioner's approval to practice is terminated when the nurse practitioner discontinues working within the approved nurse practitioner collaborative practice agreement, or experiences an interruption in her or his registered nurse licensure status, and the nurse practitioner shall so notify the Board of Nursing in writing. The Boards shall extend the nurse practitioner's approval to practice in cases of emergency such as injury, sudden illness or death of the primary supervising physician.

(e) Applications for approval to practice in North Carolina shall be submitted to the Board of Nursing and then approved by both Boards as follows:

(1) the Board of Nursing shall verify compliance with Rule .0803 and Paragraph (a) of this Rule; and

(2) the Medical Board shall verify that the designated primary supervising physician holds a valid license to practice medicine in North Carolina and compliance with Paragraph (a) of this Rule.

(f) Applications for approval of changes in practice arrangements for a nurse practitioner currently approved to practice in North Carolina shall be submitted by the applicant as follows:

(1) addition or change of primary supervising physician shall be submitted to the Board of Nursing and processed pursuant to protocols developed by both Boards; and

(2) request for change(s) in the scope of practice shall be submitted to the Joint Subcommittee.

(g) A registered nurse who was previously approved to practice as a nurse practitioner in this state who reapplies for approval to practice shall:

(1) meet the nurse practitioner approval requirements as stipulated in Rule .0808(c) of this Section; and

(2) complete the appropriate application.

(h) Volunteer Approval to Practice. The North Carolina Board of Nursing shall grant approval to practice in a volunteer capacity to a nurse practitioner who has met the qualifications to practice as a nurse practitioner in North Carolina.

(i) The nurse practitioner shall pay the appropriate fee as outlined in Rule .0813 of this Section.

(j) A Nurse Practitioner approved under this Section shall keep proof of current licensure, registration and approval available for inspection at each practice site upon request by agents of either Board.

History

• Authority G.S. 90-18(13), (14); 90-18.2; 90-171.20(7); 90-171.23(b)
• Recodified from 21 NCAC 36 .0227(c) Eff. August 1, 2004
• Amended Eff. November 1, 2013; January 1, 2013; December 1, 2009; November 1, 2008; January 1, 2007; August 1, 2004
• Readopted Eff. January 1, 2019.

21 NCAC 36 .0805 Education and Certification Requirements for Registration and Approval as a Nurse Practitioner

(a) A nurse practitioner applicant seeking registration or first-time approval to practice after January 1, 2000, shall provide evidence of current certification as a nurse practitioner by a national credentialing body.

(b) A nurse practitioner applicant seeking registration or first-time approval to practice who completed a nurse practitioner education program prior to December 31, 1999 shall provide evidence of completion of a course of education that contains a core curriculum including 400 contact hours of didactic education and 400 hours of preceptorship or supervised clinical experience. The core curriculum shall contain the following components:

(1) health assessment and diagnostic reasoning including:

(A) historical data;

(B) physical examination data;

(C) organization of data base;

(2) pharmacology;

(3) pathophysiology;

(4) clinical management of common health problems and diseases such as the following shall be included in the nurse practitioner's academic program:

(A) respiratory system;

(B) cardiovascular system;

(C) gastrointestinal system;

(D) genitourinary system;

(E) integumentary system;

(F) hematologic and immune systems;

(G) endocrine system;

(H) musculoskeletal system;

(I) infectious diseases;

(J) nervous system;

(K) behavioral, mental health, and substance abuse problems;

(5) clinical preventative services, including health promotion and prevention of disease;

(6) client education related to Subparagraph (b)(4) and (5) of this Rule; and

(7) role development including legal, ethical, economical, health policy, and interdisciplinary collaboration issues.

(c) Nurse practitioner applicants exempt from components of the core curriculum requirements listed in Paragraph (b) of this Rule are:

(1) Any nurse practitioner approved to practice in North Carolina prior to January 18, 1981, is permanently exempt from the core curriculum requirement.

(2) A nurse practitioner certified by a national credentialing body prior to January 1, 1998, who also provides evidence of satisfying Subparagraph (b)(1)-(3) of this Rule shall be exempt from core curriculum requirements in Subparagraph (b)(4)-(7) of this Rule. Evidence of satisfying Subparagraph (b)(1)-(3) of this Rule shall include:

(A) a narrative of course content; and

(B) contact hours.

History

• Authority G.S. 90-18(c)(4)
• Recodified from 21 NCAC 36.0227(d) Eff. August 1, 2004
• Amended Eff. December 1, 2009; December 1, 2006; August 1, 2004
• Readopted Eff. January 1, 2019
• Amended Eff. June 1, 2021.

21 NCAC 36 .0806 Annual Renewal of Approval to Practice

(a) Each registered nurse who is approved to practice as a nurse practitioner in this State shall annually renew each approval to practice with the Board no later than the last day of the nurse practitioner's birth month by:

(1) Maintaining current North Carolina RN licensure or privilege to practice;

(2) Maintaining certification as a nurse practitioner by a national credentialing body identified in Rule .0801(8) of this Section;

(3) Attesting to completion of continuing competence requirements, and submitting evidence of completion if requested by the Board, as specified in Rule .0807 of this Section;

(4) Submitting the fee required in Rule .0813 of this Section; and

(5) Completing the renewal application.

(b) If the nurse practitioner has not renewed by the last day of her or his birth month, the approval to practice as a nurse practitioner shall expire.

History

• Authority G.S. 90-8.1; 90-8.2; 90-18(c)(14); 90-171.23(b)(14); 90-171.95B
• Recodified from 21 NCAC 36.0227(e) Eff. August 1, 2004
• Amended Eff. March 1, 2017; December 1, 2009; November 1, 2008; August 1, 2004
• Readopted Eff. January 1, 2019
• Amended Eff. June 1, 2021.

21 NCAC 36 .0807 Continuing Education (ce)

(a) In order to maintain nurse practitioner approval to practice, the nurse practitioner shall earn 50 contact hours of continuing education activity every two years, beginning with the first renewal after initial approval to practice has been granted. A minimum of 20 hours of the required 50 hours must be within the nurse practitioner's national certification. The 20 hours must have approval from a national credentialing body or Accreditation Council on Continuing Medical Education (ACCME). A nurse practitioner who possesses a current national certification by a national credentialing body shall be deemed in compliance with the requirement of Paragraph (a) of this Rule.

(b) Prior to prescribing controlled substances as the same are defined in 21 NCAC 36 .0809(2), nurse practitioners shall have completed a minimum of one CE hour within the preceding 12 months on 1 or more of the following topics:

(1) Controlled substances prescription practices;

(2) Prescribing controlled substances for chronic pain management;

(3) Recognizing signs of controlled substance abuse or misuse; or

(4) Non-opioid treatment options as an alternative to controlled substances.

(c) Nurse practitioners who complete the federally required training under the Medication Access and Training Expansion Act (MATE), 21 U.S.C. 823(l), shall be deemed in compliance with the controlled substance prescribing requirements of this Rule for the two-year CE period in which the MATE training was completed.

(d) Documentation of all CE completed within the previous five years shall be maintained by the nurse practitioner and made available upon request to either Board.

History

• Authority G.S. 90-8.2; 90-14(a)(15); 90-18(c)(14); 90-171.23(b)(14); 90-171.42; S.L. 2015-241, s 12F
• Recodified from 21 NCAC 36 .0227(f) Eff. August 1, 2004
• Amended Eff. March 1, 2017; December 1, 2009; April 1, 2008; August 1, 2004
• Readopted Eff. January 1, 2019
• Amended Eff. July 1, 2024; June 1, 2023; June 1, 2021.

21 NCAC 36 .0808 Inactive Status

(a) Any nurse practitioner who wishes to place her or his approval to practice on an inactive status shall notify the Board in writing.

(b) A nurse practitioner with an inactive approval to practice status shall not practice as a nurse practitioner.

(c) A nurse practitioner with an inactive approval to practice status who reapplies for approval to practice shall meet the qualifications for approval to practice in Rules .0803(a)(1), .0804(a) and (b), .0807, and .0810 of this Section and receive notification from the Board of approval prior to beginning practice after the application is approved.

(d) A nurse practitioner who has not practiced as a nurse practitioner in more than two years shall complete a nurse practitioner refresher course approved by the Board in accordance with Paragraphs (o) and (p) of 21 NCAC 36 .0220 and consisting of common conditions and management of these conditions directly related to the nurse practitioner's area of academic education and national certification. A nurse practitioner refresher course participant shall be granted an approval to practice that is limited to clinical activities required by the refresher course.

History

• Authority G.S. 90-18(c)(4); 90-18.2; 90-171.36; 90-171.95B
• Recodified from 21 NCAC 36 .0227(g) Eff. August 1, 2004
• Amended Eff. November 1, 2013; January 1, 2013; December 1, 2009; December 1, 2006; August 1, 2004
• Readopted Eff. January 1, 2019
• Amended Eff. June 1, 2021.

21 NCAC 36 .0809 Prescribing Authority

(a) The prescribing stipulations contained in this Rule apply to writing prescriptions and ordering the administration of medications.

(b) Prescribing and dispensing stipulations are as follows:

(1) Drugs and devices that may be prescribed by the nurse practitioner in each practice site shall be included in the collaborative practice agreement as outlined in Rule .0810(2) of this Section.

(2) Controlled Substances (Schedules II, IIN, III, IIIN, IV, V) defined by the State and Federal Controlled Substances Acts may be procured, prescribed, or ordered as established in the collaborative practice agreement, providing all of the following requirements are met:

(A) the nurse practitioner has an assigned DEA number that is entered on each prescription for a controlled substance;

(B) refills may be issued consistent with Controlled Substance laws and regulations; and

(C) the primary supervising physician(s) shall possess a schedule(s) of controlled substances equal to or greater than the nurse practitioner's DEA registration.

(3) The nurse practitioner may prescribe a drug or device not included in the collaborative practice agreement only as follows:

(A) upon a specific written or verbal order obtained from a primary or back-up supervising physician before the prescription or order is issued by the nurse practitioner; and

(B) the written or verbal order as described in Part (b)(3)(A) of this Rule shall be entered into the patient record with a notation that it is issued on the specific order of a primary or back-up supervising physician and signed by the nurse practitioner and the physician.

(4) Each prescription shall be noted on the patient's chart and include the following information:

(A) medication and dosage;

(B) amount prescribed;

(C) directions for use;

(D) number of refills; and

(E) signature of nurse practitioner.

(5) Prescription Format:

(A) all prescriptions issued by the nurse practitioner shall contain the name of the patient and the nurse practitioner's name and telephone number;

(B) the nurse practitioner's assigned DEA number shall be written on the prescription form when a controlled substance is prescribed as defined in Subparagraph (b)(2) of this Rule.

(6) A nurse practitioner shall not prescribe controlled substances, as defined by the State and Federal Controlled Substances Acts, for the following:

(A) nurse practitioner's own use;

(B) nurse practitioner's supervising physician;

(C) member of the nurse practitioner's immediate family, which shall mean a:

(i) spouse;

(ii) parent;

(iii) child;

(iv) sibling;

(v) parent-in-law;

(vi) son or daughter-in-law;

(vii) brother or sister-in-law;

(viii) step-parent;

(ix) step-child; or

(x) step-siblings;

(D) any other person living in the same residence as the licensee; or

(E) anyone with whom the nurse practitioner is having a physical, sexual, or emotionally intimate relationship.

(c) The nurse practitioner may obtain approval to dispense the drugs and devices other than samples included in the collaborative practice agreement for each practice site from the Board of Pharmacy, and dispense in accordance with 21 NCAC 46 .1703 that is hereby incorporated by reference including subsequent amendments.

History

• Authority G.S. 90-8.1; 90-8.2; 90-18.2; 90-18(c)(14); 90-171.23(b)(14)
• Recodified from 21 NCAC 36 .0227(h) Eff. August 1, 2004
• Amended Eff. March 1, 2017; December 1, 2012; April 1, 2011; November 1, 2008; August 1, 2004
• Readopted Eff. January 1, 2019
• Amended Eff. August 1, 2021.

21 NCAC 36 .0810 Quality Assurance Standards for a Collaborative Practice Agreement

The following are the quality assurance standards for a collaborative practice agreement:

(1) Availability: The primary or back-up supervising physician(s) and the nurse practitioner shall be continuously available to each other for consultation by direct communication or telecommunication.

(2) Collaborative Practice Agreement:

(a) shall be agreed upon, signed, and dated by both the primary supervising physician and the nurse practitioner, and maintained in each practice site;

(b) shall be reviewed at least yearly. This review shall be acknowledged by a dated signature sheet, signed by both the primary supervising physician and the nurse practitioner, appended to the collaborative practice agreement, and available for inspection by either Board;

(c) shall include the drugs, devices, medical treatments, tests, and procedures that may be prescribed, ordered, and performed by the nurse practitioner consistent with Rule .0809 of this Section; and

(d) shall include a pre-determined plan for emergency services.

(3) The nurse practitioner shall demonstrate the ability to perform medical acts as outlined in the collaborative practice agreement upon request by members or agents of either Board.

(4) Quality Improvement Process:

(a) The primary supervising physician and the nurse practitioner shall develop a process for the ongoing review of the care provided in each practice site, including a written plan for evaluating the quality of care provided for one or more frequently encountered clinical problems.

(b) This plan shall include a description of the clinical problem(s), an evaluation of the current treatment interventions, and if needed, a plan for improving outcomes within an identified time frame.

(c) The quality improvement process shall include scheduled meetings between the primary supervising physician and the nurse practitioner for a minimum of every six months. Documentation for each meeting shall:

(i) identify clinical problems discussed, including progress toward improving outcomes as stated in Sub-item (4)(b) of this Rule, and recommendations, if any, for changes in treatment plan(s);

(ii) be signed and dated by those who attended; and

(iii) be available for review by either Board for the previous five calendar years and be retained by both the nurse practitioner and primary supervising physician.

(5) Nurse Practitioner-Physician Consultation. The following requirements establish the minimum standards for consultation between the nurse practitioner and primary supervising physician(s):

(a) During the first six months of a collaborative practice agreement between a nurse practitioner and the primary supervising physician, there shall be monthly meetings to discuss practice-relevant clinical issues and quality improvement measures.

(b) Documentation of the meetings shall:

(i) identify clinical issues discussed and actions taken;

(ii) be signed and dated by those who attended; and

(iii) be available for review by either Board for the previous five calendar years and be retained by both the nurse practitioner and primary supervising physician.

History

• Authority G.S. 90-8.2; 90-18(c)(14); 90-18.2; 90-171.23(b)(14)
• Recodified from 21 NCAC 36 .0227(i) Eff. August 1, 2004
• Amended Eff. December 1, 2009; August 1, 2004
• Readopted Eff. January 1, 2019
• Amended Eff. June 1, 2021.

21 NCAC 36 .0811 Method of Identification

When providing care to the public, the nurse practitioner shall identify herself/himself as specified in G.S. 90-640 and 21 NCAC 36 .0231.

History

• Authority G.S. 90-18(14); 90-640
• Recodified from 21 NCAC 36 .0227(j) Eff. August 1, 2004
• Amended Eff. August 1, 2004
• Readopted Eff. January 1, 2019.

21 NCAC 36 .0812 Disciplinary Action

(a) After notice and hearing in accordance with provisions of G. S. 150B, Article 3A, disciplinary action may be taken by the appropriate Board if one or more of the following is found:

(1) violation of G.S. 90-18 and G.S. 90-18.2 or the joint rules adopted by each Board;

(2) immoral or dishonorable conduct pursuant to and consistent with G.S. 90-14(a)(1);

(3) any submissions to either Board pursuant to and consistent with G.S. 90-14(a)(3);

(4) the nurse practitioner is adjudicated mentally incompetent or the nurse practitioner's mental or physical condition renders the nurse practitioner unable to safely function as a nurse practitioner pursuant to and consistent with G.S. 90-14(a)(5) and G.S. 90-171.37(3);

(5) unprofessional conduct by reason of deliberate or negligent acts or omissions and contrary to the prevailing standards for nurse practitioners in accordance and consistent with G.S. 90-14(a)(6) and G.S. 90-171.35(5);

(6) conviction in any court of a criminal offense in accordance and consistent with G.S. 90-14(a)(7) and G.S. 90-171.37 (2) and G.S. 90-171.48;

(7) payments for the nurse practitioner practice pursuant to and consistent with G.S. 90-14(a)(8);

(8) lack of professional competence as a nurse practitioner pursuant to and consistent with G.S. 90-14(a)(11);

(9) exploiting the client pursuant to and consistent with G.S. 90-14(a)(12) including the promotion of the sale of services, appliances, or drugs for the financial gain of the practitioner or of a third party;

(10) failure to respond to inquiries which may be part of a joint protocol between the Board of Nursing and Medical Board for investigation and discipline pursuant to and consistent with G.S. 90-14(a)(14);

(11) the nurse practitioner has held himself or herself out or permitted another to represent the nurse practitioner as a licensed physician; or

(12) the nurse practitioner has engaged or attempted to engage in the performance of medical acts other than according to the collaborative practice agreement.

(b) The nurse practitioner is subject to G.S. 90-171.37; 90-171.48 and 21 NCAC 36 .0217 by virtue of the license to practice as a registered nurse.

(c) After an investigation is completed, the joint subcommittee of both boards may recommend one of the following:

(1) dismiss the case;

(2) issue a private letter of concern;

(3) enter into negotiation for a Consent Order; or

(4) a disciplinary hearing in accordance with G.S. 150B, Article 3A. If a hearing is recommended, the joint subcommittee shall also recommend whether the matter should be heard by the Board of Nursing or the Medical Board.

(d) Upon a finding of violation, each Board may utilize the range of disciplinary options as enumerated in G.S. 90-14(a) or G.S. 90-171.37.

History

• Authority G.S. 90-18(c)(14); 90-171.37; 90-171.44; 90-171.47; 90-171.48
• Recodified from 21 NCAC 36 .0227(k) Eff. August 1, 2004
• Amended Eff. April 1, 2007; August 1, 2004
• Readopted Eff. January 1, 2019.

21 NCAC 36 .0813 Fees

(a) An application fee of one hundred dollars ($100.00) shall be paid at the time of initial application for approval to practice and each subsequent application for approval to practice. The application fee shall be twenty dollars ($20.00) for volunteer approval.

(b) The fee for annual renewal of approval shall be fifty dollars ($50.00).

(c) The fee for annual renewal of volunteer approval shall be ten dollars ($10.00).

(d) No portion of any fee in this Rule is refundable.

History

• Authority G.S. 90-8.1; 90-8.2; 90-171.23(b)(14)
• Recodified from 21 NCAC 36 .0227(l) Eff. August 1, 2004
• Amended Eff. November 1, 2008; August 1, 2004
• Readopted Eff. January 1, 2019.

21 NCAC 36 .0814 Practicing During a Disaster

(a) A nurse practitioner approved to practice in this State or another state may perform medical acts, as a nurse practitioner under the supervision of a physician licensed to practice medicine in North Carolina during a disaster in a county in which a state of disaster has been declared or counties contiguous to a county in which a state of disaster has been declared.

(b) The nurse practitioner shall notify the Board of Nursing in writing of the names, practice locations and telephone numbers for the nurse practitioner and each primary supervising physician within 15 days of the first performance of medical acts, as a nurse practitioner during the disaster, and the Board of Nursing shall notify the Medical Board.

(c) Teams of physician(s) and nurse practitioner(s) practicing pursuant to this Rule shall not be required to maintain on-site documentation describing supervisory arrangements and plans for prescriptive authority as otherwise required pursuant to Rules .0809 and .0810 of this Section.

History

• Authority G.S. 90-18(c)(13), (14); 90-18.2; 90-171.23(b)
• Recodified from 21 NCAC 36 .0227(m) Eff. August 1, 2004
• Amended Eff. December 1, 2009; August 1, 2004
• Readopted Eff. January 1, 2019.

21 NCAC 36 .0815 Reporting Criteria

(a) The Department of Health and Human Services ("Department") may report to the North Carolina Board of Nursing ("Board") information regarding the prescribing practices of those nurse practitioners ("prescribers") whose prescribing:

(1) falls within the top two percent of those prescribing 100 morphine milligram equivalents ("MME") per patient per day; or

(2) falls within the top two percent of those prescribing 100 MMEs per patient per day in combination with any benzodiazepine and who are within the top one percent of all controlled substance prescribers by volume.

(b) In addition, the Department may report to the Board information regarding prescribers who have had two or more patient deaths in the preceding 12 months due to opioid poisoning where the prescribers authorized more than 30 tablets of an opioid to the decedent and the prescriptions were written within 60 days of the patient deaths.

(c) In addition, the Department may report to the Board information regarding prescribers who meet three or more of the following criteria, if there are a minimum of five patients for each criterion:

(1) at least 25 percent of the prescriber's patients receiving opioids reside 100 miles or greater from the prescriber's practice location;

(2) the prescriber had more than 25 percent of patients receiving the same opioids and benzodiazepine combination;

(3) the prescriber had 75 percent of patients receiving opioids self-pay for the prescriptions;

(4) the prescriber had 90 percent or more of patients in a three-month period that received an opioid prescription that overlapped with another opioid prescription for at least one week;

(5) more than 50 percent of the prescriber's patients received opioid doses of 100 MME or greater per day excluding office-based treatment medications; and

(6) the prescriber had at least 25 percent of patients who used three or more pharmacies within a three-month period to obtain opioids regardless of the prescriber.

(d) The Department may submit these reports to the Board upon request and may include the information described in G.S. 90-113.73(b).

(e) The reports and communications between the Department and the Board shall remain confidential pursuant to G.S. 90-113.74.

History

• Authority G.S. 90-113.74
• Eff. April 1, 2016
• Amended Eff. May 1, 2018
• Readopted Eff. January 1, 2019
• Amended Eff. June 1, 2021.

21 NCAC 36 .0816 Definition of Consultation for Prescribing Targeted Controlled Substances

For purposes of G.S. 90-18.2(b), the term "consult" shall mean a meaningful communication, occurring either in person or electronically, between the nurse practitioner and a supervising physician that is documented in the patient medical record. For purposes of this Rule, "meaningful communication" shall mean an exchange of information sufficient for the supervising physician to make a determination that the prescription for a targeted controlled substance is medically indicated.

History

• Authority G.S. 90-18.2; 90-171.23(b)(3)
• Eff. May 1, 2018.

21 NCAC 36 .0817 Covid-19 Drug Preservation Rule

History

• Status: repealed
• Authority G.S. 90-8.2; 90-171.23(b)(14)
• Emergency Adoption Eff. April 21, 2020
• Temporary Adoption Eff. June 26, 2020
• Temporary Adoption Expired Eff. June 26, 2020
• Eff. June 1, 2021
• Repealed Eff. April 1, 2023.

Chapter 37 Nursing Home Administrator

Subchapter A

21 NCAC 37A .0101 Copies of Rules

History

• Status: repealed
• Authority G.S. 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. August 1, 1995; May 1, 1989
• Repealed Eff. April 1, 1996.

21 NCAC 37A .0102 Board

History

• Status: repealed
• Authority G.S. 90-276; 90-285(1)
• Eff. February 1, 1976
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980; April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0103 Nursing Home Administrator

History

• Status: repealed
• Authority G.S. 90-276; 90-285(1)
• Eff. February 1, 1976
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980; April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0104 Nursing Home Administrator-in-Training

History

• Status: repealed
• Authority G.S. 90-276; 90-285(1)
• Eff. February 1, 1976
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980; April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0105 Practice of Nursing Home Administration

History

• Authority G.S. 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Transferred and Recodified to 21 NCAC 37B .0204 Eff. April 1, 1996.

21 NCAC 37A .0106 Nursing Home

History

• Status: repealed
• Authority G.S. 90-276; 90-285; 130-9(e)(2)
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0107 Person

History

• Status: repealed
• Authority G.S. 90-276; 90-285; 130-9(e)(2)
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0108 Related Health Care Administration

History

• Status: repealed
• Authority G.S. 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. May 1, 1989
• Repealed Eff. April 1, 1996.

21 NCAC 37A .0109 Preceptor

History

• Status: repealed
• Authority G.S. 90-285
• Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0110 Refusal

History

• Status: repealed
• Authority G.S. 90-285; 90-285.1
• Eff. April 15, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. May 1, 1989; December 30, 1981
• Repealed Eff. April 1, 1996.

21 NCAC 37A .0111 Suspension

History

• Status: repealed
• Authority G.S. 90-285; 90-285.1
• Eff. April 15, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. December 1, 1981; December 30, 1981
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0112 Revocation

History

• Status: repealed
• Authority G.S. 90-285; 90-285.1
• Eff. April 15, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. December 1, 1981; December 30, 1981
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0113 Hearing

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Readopted Eff. October 1, 1981
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0114 Hearing Officer

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Readopted Eff. October 1, 1981
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0115 Board Director

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Readopted Eff. October 1, 1981
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0201 Age

History

• Status: repealed
• Authority G.S. 90-278
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. December 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0202 Character

History

• Status: repealed
• Authority G.S. 90-278
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. December 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0203 Health

History

• Status: repealed
• Authority G.S. 90-278
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. December 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0204 Secondary Education

History

• Status: repealed
• Legislative Objection Lodged (.0204) Eff. October 10, 1980
• Authority G.S. 90-278
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. December 1, 1983; July 1, 1982; January 1, 1982; December 30, 1981
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0205 Approved Course of Study

History

• Status: repealed
• Legislative Objection Lodged (.0204) Eff. October 10, 1980
• Authority G.S. 90-278
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. December 1, 1983; July 1, 1982; January 1, 1982; December 30, 1981
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0206 Experience as Education Substitute

History

• Status: repealed
• Authority G.S. 90-278
• Eff. February 1, 1976
• Repealed Eff. April 8, 1977.

21 NCAC 37A .0207 Training

History

• Status: repealed
• Authority G.S. 90-278
• Eff. February 1, 1976
• Repealed Eff. April 8, 1977.

21 NCAC 37A .0208 Examinations

History

• Status: repealed
• Filed as a Temporary Amendment Eff. July 13, 1982 for a period of 120 days to expire on
• November 9, 1982
• Authority G.S. 90-278; 90-280
• Eff. February 1, 1976
• Amended Eff. August 1, 1977
• Readopted Eff. December 15, 1977
• Amended Eff. July 1, 1980
• Readopted w/change Eff. October 1, 1981
• Amended Eff. February 1, 1991; May 1, 1989; October 1, 1982
• Repealed Eff. April 1, 1996.

21 NCAC 37A .0209 Administrator-in-Training

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0210 State Test

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0211 Oral Interview

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. August 2, 1993; February 1, 1991
• Repealed Eff. April 1, 1996.

21 NCAC 37A .0301 Application

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. February 1, 1991; May 1, 1989; December 1, 1983
• Transferred and Recodified to 21 NCAC 37D .0201 Eff. April 1, 1996.

21 NCAC 37A .0302 Initial Licensure Fee

History

• Filed as a Temporary Amendment Eff. July 13, 1982 for a period of 120 days to expire on
• November 9, 1982
• Authority G.S. 90-280
• Eff. February 1, 1976
• Amended Eff. August 1, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. February 1, 1991; October 1, 1982; December 30, 1981
• Transferred and Recodified to 21 NCAC 37D .0202 Eff. April 1, 1996.

21 NCAC 37A .0303 References

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. August 2, 1993; February 1, 1991; May 1, 1989
• Transferred and Recodified to 21 NCAC 37D .0203 Eff. April 1, 1996.

21 NCAC 37A .0304 Felonies and/or Misdemeanors

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. February 1, 1991; May 1, 1989
• Transferred and Recodified to 21 NCAC 37D .0204 Eff. April 1, 1996.

21 NCAC 37A .0305 Proof of Ability

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. December 30, 1981
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0306 Photograph

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Repealed Eff. April 1, 1996.

21 NCAC 37A .0307 Interview

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0308 Receipt of Applications

History

• Status: repealed
• Authority G.S. 90-285
• Eff. May 1, 1989
• Amended Eff. August 2, 1993
• Repealed Eff. April 1, 1996.

21 NCAC 37A .0401 Registration of Institutions and Courses of Study

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Repealed Eff. April 8, 1977.

21 NCAC 37A .0402 Approval of Programs of Study in Accredited Institutions

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. February 1, 1991; May 1, 1989
• Transferred and Recodified to 21 NCAC 37D .0411 Eff. April 1, 1996.

21 NCAC 37A .0403 Jointly Sponsored Programs of Study

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0404 Continuing Education Programs of Study

History

• Authority G.S. 90-278; 90-280; 90-285; 90-286
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Readopted w/change Eff. October 1, 1981
• Amended Eff. August 2, 1993; February 1, 1991; May 1, 1989; February 1, 1986
• Transferred and Recodified to 21 NCAC 37H .0102 Eff. April 1, 1996.

21 NCAC 37A .0405 Verification of Attendance

History

• Authority G.S. 90-278; 90-285; 90-286
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. February 1, 1991; May 1, 1989
• Transferred and Recodified to 21 NCAC 37H .0103 Eff. April 1, 1996.

21 NCAC 37A .0406 Religious Exemption

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Repealed Eff. April 8, 1977.

21 NCAC 37A .0407 Certification for Federal Financial Participation

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Repealed Eff. April 8, 1977.

21 NCAC 37A .0408 Insufficient Programs

History

• Status: repealed
• Authority G.S. 90-278; 90-280; 90-285
• Eff. February 1, 1976
• Amended Eff. August 1, 1977
• Readopted Eff. December 15, 1977
• Readopted with Change Eff. October 1, 1981
• Amended Eff. December 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0501 Training Requirement

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. August 2, 1993; May 1, 1989
• Transferred and Recodified to 21 NCAC 37D .0401 Eff. April 1, 1996.

21 NCAC 37A .0502 Application to Become Administrator-in-Training

History

• Authority G.S. 90-278; 90-280; 90-285
• Eff. February 1, 1976
• Amended Eff. August 1, 1977; April 8, 1977
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. August 1, 1995; August 2, 1993; February 1, 1991; May 1, 1989
• Transferred and Recodified to 21 NCAC 37D .0402 Eff. April 1, 1996.

21 NCAC 37A .0503 Oral Review

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0504 Training Permit

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. August 2, 1993; May 1, 1989
• Transferred and Recodified to 21 NCAC 37D .0403 Eff. April 1, 1996.

21 NCAC 37A .0505 Administrator-in-Training Selection

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. August 2, 1993; February 1, 1991; May 1, 1989
• Transferred and Recodified to 21 NCAC 37D .0404 Eff. April 1, 1996.

21 NCAC 37A .0506 Governing Board or Ownership Responsibilities

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. May 1, 1989
• Repealed Eff. April 1, 1996.

21 NCAC 37A .0507 Application for Preceptor Certification

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. February 1, 1991; May 1, 1989; December 1, 1983
• Transferred and Recodified to 21 NCAC 37D .0501 Eff. April 1, 1996.

21 NCAC 37A .0508 Preceptor Qualifications

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980
• Readopted with Change Eff. October 1, 1981
• Amended Eff. August 2, 1993; February 1, 1991; May 1, 1989
• Transferred and Recodified to 21 NCAC 37D .0502 Eff. April 1, 1996.

21 NCAC 37A .0509 Program and Curriculum

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. February 1, 1991; May 1, 1989; December 1, 1983
• Repealed Eff. August 2, 1993.

21 NCAC 37A .0510 Monthly Reports

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. May 1, 1989
• Transferred and Recodified to 21 NCAC 37D .0406 Eff. April 1, 1996.

21 NCAC 37A .0511 Quarterly Reports

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Repealed Eff. February 1, 1980.

21 NCAC 37A .0512 Preceptor's Reports

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. August 2, 1993; February 1, 1991; May 1, 1989
• Transferred and Recodified to 21 NCAC 37D .0503 Eff. April 1, 1996.

21 NCAC 37A .0513 Preceptor's Checklist

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. May 1, 1989
• Repealed Eff. February 1, 1991.

21 NCAC 37A .0514 Change of Status and Discontinuance

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. August 2, 1993; May 1, 1989
• Transferred and Recodified to 21 NCAC 37D .0408 Eff. April 1, 1996.

21 NCAC 37A .0515 Dismissal from Program

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. May 1, 1989
• Transferred and Recodified to 21 NCAC 37D .0409 Eff. April 1, 1996.

21 NCAC 37A .0516 Compensation of Aits

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. May 1, 1989
• Transferred and Recodified to 21 NCAC 37D .0410 Eff. April 1, 1996.

21 NCAC 37A .0517 Ait Time on the Job

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. August 2, 1993; February 1, 1991; May 1, 1989
• Transferred and Recodified to 21 NCAC 37D .0407 Eff. April 1, 1996.

21 NCAC 37A .0518 Bonus Education Option During Training

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. May 1, 1989
• Repealed Eff. February 1, 1991.

21 NCAC 37A .0519 Administrator-in-Training Program

History

• Filed as a Temporary Amendment Eff. July 29, 1987 for a period of 155 days to expire on
• December 31, 1987
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. August 2, 1993; February 1, 1991; May 1, 1989; December 1, 1987
• Transferred and Recodified to 21 NCAC 37D .0405 Eff. April 1, 1996.

21 NCAC 37A .0520 Exception to Twelve Week Ait Program

History

• Authority G.S. 90-278; 90-285
• Eff. May 1, 1989
• Transferred and Recodified to 21 NCAC 37D .0412 Eff. April 1, 1996.

21 NCAC 37A .0601 Requirement

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0602 Time of Examination

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0603 Examination

History

• Status: repealed
• Filed as a Temporary Amendment Eff. July 13, 1982 for a period of 120 days to expire on
• November 9, 1982
• Authority G.S. 90-278; 90-280; 90-284; 90-285
• Eff. February 1, 1976
• Readopted Eff. December 15, 1977
• Amended Eff. July 1, 1980
• Readopted w/change Eff. October 1, 1981
• Amended Eff. August 1, 1995; August 2, 1993; May 1, 1991; May 1, 1989
• Repealed Eff. April 1, 1996.

21 NCAC 37A .0604 Examinations Retained

History

• Status: repealed
• Filed as a Temporary Amendment Eff. July 13, 1982 for a period of 120 days to expire on
• November 9, 1982
• Authority G.S. 90-278; 90-280; 90-284; 90-285
• Eff. February 1, 1976
• Readopted Eff. December 15, 1977
• Amended Eff. July 1, 1980
• Readopted w/change Eff. October 1, 1981
• Amended Eff. August 1, 1995; August 2, 1993; May 1, 1991; May 1, 1989
• Repealed Eff. April 1, 1996.

21 NCAC 37A .0605 Conditional Admission to Examination

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0606 Disqualification

History

• Status: expired
• Authority G.S. 90-278; 90-284; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. May 1, 1991; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule expired Eff. October 1, 2014.

21 NCAC 37A .0701 Subject Areas

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. August 2, 1993
• Transferred and Recodified to 21 NCAC 37D .0605 Eff. April 1, 1996.

21 NCAC 37A .0702 Guidelines for Rule .0701(1)

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. August 2, 1993; May 1, 1989
• Repealed Eff. April 1, 1996.

21 NCAC 37A .0703 Guidelines for Rule .0701(2)

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. August 2, 1993; May 1, 1989
• Repealed Eff. April 1, 1996.

21 NCAC 37A .0704 Guidelines for Rule .0701(3)

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. August 2, 1993; May 1, 1989
• Repealed Eff. April 1, 1996.

21 NCAC 37A .0705 Guidelines for Rule .0701(4)

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. August 2, 1993; May 1, 1989
• Repealed Eff. April 1, 1996.

21 NCAC 37A .0706 Guidelines for Rule .0701(5)

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. August 2, 1993; May 1, 1989
• Repealed Eff. April 1, 1996.

21 NCAC 37A .0707 Guidelines for Rule .0701(6)

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. August 2, 1993; May 1, 1989
• Repealed Eff. April 1, 1996.

21 NCAC 37A .0708 Guidelines for Rule .0701(8)

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. May 1, 1989
• Repealed Eff. August 2, 1993.

21 NCAC 37A .0709 Guidelines for Rule .0701(9)

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. May 1, 1989
• Repealed Eff. August 2, 1993.

21 NCAC 37A .0801 Grade Required

History

• Authority G.S. 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1977; December 15, 1977
• Amended Eff. May 1, 1989
• Transferred and Recodified to 21 NCAC 37D .0604 Eff. April 1, 1996.

21 NCAC 37A .0802 Grade Computation

History

• Status: repealed
• Authority G.S. 90-285
• Eff. February 1, 1976
• Repealed Eff. April 8, 1977.

21 NCAC 37A .0803 Grading of Sections

History

• Status: repealed
• Authority G.S. 90-285
• Eff. February 1, 1976
• Readopted Eff. December 15, 1977
• Repealed Eff. February 1, 1980.

21 NCAC 37A .0804 Identity Withheld

History

• Status: repealed
• Authority G.S. 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0805 Grading of Oral Examination

History

• Status: repealed
• Authority G.S. 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. May 1, 1989
• Repealed Eff. April 1, 1996.

21 NCAC 37A .0901 Issuance

History

• Status: repealed
• Authority G.S. 90-278; 90-279; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. August 2, 1993; May 1, 1989
• Repealed Eff. April 1, 1996.

21 NCAC 37A .0902 Activation of Inactive License

History

• Authority G.S. 90-280; 90-285; 90-286
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Readopted w/change Eff. October 1, 1981
• Amended Eff. May 1, 1989; February 1, 1986; December 1, 1983; December 30, 1981
• Transferred and Recodified to 21 NCAC 37G .0202 Eff. April 1, 1996.

21 NCAC 37A .0903 Renewal

History

• Authority G.S. 90-285; 90-286
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. August 2, 1993; December 1, 1983
• Transferred and Recodified to 21 NCAC 37G .0101 Eff. April 1, 1996.

21 NCAC 37A .0904 Biennial Registration Requirements

History

• Filed as a Temporary Amendment Eff. July 13, 1982 for a period of 120 days to expire on
• November 9, 1982
• Authority G.S. 90-280; 90-285; 90-286
• Eff. February 1, 1976
• Amended Eff. August 1, 1977; April 8, 1977
• Readopted Eff. December 15, 1977
• Readopted w/change Eff. October 1, 1981
• Amended Eff. February 1, 1991; May 1, 1989; December 1, 1983; October 1, 1982
• Transferred and Recodified to 21 NCAC 37G .0102 Eff. April 1, 1996.

21 NCAC 37A .0905 Renewal Certificate

History

• Status: repealed
• Authority G.S. 90-285; 90-286
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. December 30, 1981
• Repealed Eff. April 1, 1996.

21 NCAC 37A .0906 Expiration of License and Inactive Administrators

History

• Authority G.S. 90-280; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Readopted with Change Eff. October 1, 1981
• Amended Eff. February 1, 1991
• Transferred and Recodified to 21 NCAC 37G .0201 Eff. April 1, 1996.

21 NCAC 37A .0907 Title

History

• Status: repealed
• Authority G.S. 90-285; 90-288
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. May 1, 1989
• Repealed Eff. April 1, 1996.

21 NCAC 37A .0908 Register and Files

History

• Status: repealed
• Authority G.S. 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0909 License

History

• Authority G.S. 90-280; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. May 1, 1989
• Transferred and Recodified to 21 NCAC 37B .0202 Eff. April 1, 1996.

21 NCAC 37A .0910 Refusal: Suspension: and Revocation of Licenses

History

• Status: repealed
• Legislative Objection Lodged Eff. October 10, 1980
• Legislative Objection Removed Eff. January 23, 1981
• Authority G.S. 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Amended Eff. February 21, 1981
• Readopted Eff. October 1, 1981
• Repealed Eff. May 1, 1989.

21 NCAC 37A .0911 Forfeiture

History

• Status: repealed
• Authority G.S. 90-285
• Eff. February 1, 1976
• Readopted Eff. December 15, 1977
• Amended Eff. April 15, 1980
• Repealed Eff. February 21, 1981.

21 NCAC 37A .0912 Reciprocity/Endorsement

History

• Status: expired
• Authority G.S. 90-280; 90-285; 90-287
• Eff. February 1, 1976
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. August 1, 1995; August 2, 1993; February 1, 1991; May 1, 1989
• Transferred and Recodified .0912(a) to 21 NCAC 37E .0101, .0912(b) to 21 NCAC 37E .0102 and .0912(c) to 21 NCAC 37E .0103 Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule expired Eff. October 1, 2014.

21 NCAC 37A .0913 Restoration and Reinstatement of License

History

• Authority G.S. 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. May 1, 1989
• Transferred and Recodified to 21 NCAC 37G .0301 Eff. April 1, 1996.

21 NCAC 37A .0914 Duplicate Licenses

History

• Authority G.S. 90-280(d)
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. May 1, 1989
• Transferred and Recodified to 21 NCAC 37G .0401 Eff. April 1, 1996.

21 NCAC 37A .0915 Inactive Administrators

History

• Status: repealed
• Authority G.S. 90-285
• Eff. February 27, 1976
• Repealed Eff. April 8, 1977.

21 NCAC 37A .1001 Prerequisites for Temporary Licensure

History

• Authority G.S. 90-278; 90-279; 90-285
• Eff. February 1, 1980
• Amended Eff. April 15, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. May 1, 1989; December 1, 1983
• Transferred and Recodified to 21 NCAC 37F .0101 Eff. April 1, 1996.

21 NCAC 37A .1002 Application for Temporary License

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Repealed Eff. May 1, 1989.

21 NCAC 37A .1003 Issuance and Renewal of Temporary License

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1980
• Amended Eff. April 15, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. May 1, 1989; December 1, 1983; October 1, 1982
• Transferred and Recodified to 21 NCAC 37F .0102 Eff. April 1, 1996.

21 NCAC 37A .1004 Relation to Ait Experience

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. May 1, 1989; December 30, 1981
• Repealed Eff. February 1, 1991.

21 NCAC 37A .1005 Refusal: Suspension and Revocation of Temporary License

History

• Status: repealed
• Authority G.S. 90-285
• Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Repealed Eff. May 1, 1989.

21 NCAC 37A .1101 Request for Determination

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Repealed Eff. October 1, 1981.

21 NCAC 37A .1102 Notice of Right to Hearing

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Repealed Eff. October 1, 1981.

21 NCAC 37A .1103 Agency Initiated Proceedings

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Repealed Eff. October 1, 1981.

21 NCAC 37A .1104 Notice of Hearing

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Repealed Eff. October 1, 1981.

21 NCAC 37A .1105 Waiver of Hearing

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Repealed Eff. October 1, 1981.

21 NCAC 37A .1106 Intervention

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Repealed Eff. October 1, 1981.

21 NCAC 37A .1107 Written Answer

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Repealed Eff. October 1, 1981.

21 NCAC 37A .1108 Venue

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Repealed Eff. October 1, 1981.

21 NCAC 37A .1109 Discovery

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Repealed Eff. October 1, 1981.

21 NCAC 37A .1110 Pre-Hearing Conference

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Repealed Eff. October 1, 1981.

21 NCAC 37A .1111 Subpoenas

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Repealed Eff. October 1, 1981.

21 NCAC 37A .1112 Consolidation

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Repealed Eff. October 1, 1981.

21 NCAC 37A .1113 Stipulations

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Repealed Eff. October 1, 1981.

21 NCAC 37A .1114 Disqualification of Hearing Officer

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Repealed Eff. October 1, 1981.

21 NCAC 37A .1115 Failure of Party to Attend Hearing

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Repealed Eff. October 1, 1981.

21 NCAC 37A .1116 Oath

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Repealed Eff. October 1, 1981.

21 NCAC 37A .1117 Conduct of Hearing

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Repealed Eff. October 1, 1981.

21 NCAC 37A .1118 Proposal for Decision

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Repealed Eff. October 1, 1981.

21 NCAC 37A .1119 Record

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Repealed Eff. October 1, 1981.

21 NCAC 37A .1120 Transcript

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Repealed Eff. October 1, 1981.

21 NCAC 37A .1121 New Evidence

History

• Status: repealed
• Authority G.S. 90-279; 90-285
• Eff. May 23, 1981
• Repealed Eff. October 1, 1981.

21 NCAC 37A .1122 Investigation: Discipline: and Contested Case Proceedings

History

• Authority G.S. 90-285; 150B-40(e)
• Eff. October 1, 1981
• Amended Eff. May 1, 1989
• Transferred and Recodified to 21 NCAC 37I .0101 Eff. April 1, 1996.

21 NCAC 37A .1201 Petitions for Adoption of Rules

History

• Authority G.S. 90-285; 150B-16
• Eff. May 1, 1989
• Transferred and Recodified to 21 NCAC 37C .0101 Eff. April 1, 1996.

21 NCAC 37A .1202 Procedure for Adoption of Rules

History

• Authority G.S. 90-285; 150B-12
• Eff. May 1, 1989
• Transferred and Recodified to 21 NCAC 37C .0102 Eff. April 1, 1996.

21 NCAC 37A .1203 Temporary Rules

History

• Status: repealed
• Authority G.S. 90-285; 150B-13
• Eff. May 1, 1989
• Repealed Eff. April 1, 1996.

21 NCAC 37A .1204 Declaratory Rulings

History

• Authority G.S. 150B-17
• Eff. May 1, 1989
• Transferred and Recodified to 21 NCAC 37C .0103 Eff. April 1, 1996.

Subchapter B

21 NCAC 37B .0101 Authority: Name & Location of Board

The "North Carolina State Board of Examiners for Nursing Home Administrators," subsequently herein referred to as the "Board," is established and authorized by G.S. 90, Article 20. The Board's physical location and mailing address is: 3733 National Drive, Suite 110, Raleigh, North Carolina 27612. The Board's website address is www.ncbenha.org.

History

• Authority G.S. 90-277
• Eff. April 1, 1996
• Amend Eff. July 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37B .0102 Election of Officers

The Board shall, at the first meeting subsequent to January 1 of each year, elect a chairperson, vice-chairperson and secretary. Vacancies in the officers' terms, occurring from death, resignation, disability or expiration of Board service, shall be filled by election at the next Board meeting following the vacancy.

History

• Authority G.S. 90-283
• Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37B .0103 Licensed Administrator Required

Only nursing homes supervised by an administrator licensed in accordance with the requirements of G.S. 90, Article 20 and these Rules may operate in this state.

History

• Authority G.S. 90-276; 90-284; 90-285; 90-288; 42 C.F.R. 431.701; 42 C.F.R. 431.703
• Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37B .0104 Fees

Fees may be paid in the form of check, money order, or cashier's check made payable to NC State Board of Examiners for Nursing Home Administrators or NCBENHA. Payments will be accepted by credit card through the Board's website only. All credit card payments will include a convenience/processing fee.

History

• Authority G.S. 90-280
• Eff. May 1, 2023.

21 NCAC 37B .0201 Administrator of Record

"Administrator of Record" means the licensed administrator who is physically present in the facility for an amount of time sufficient to assure the facility's substantial compliance with applicable state and federal laws and rules.

History

• Authority G.S. 90-285
• Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37B .0202 License

The license is a permanent certificate. An additional current two-part registration card is issued each time a licensee renews his license. One part is to be affixed to and displayed with the license. The second part provided is a wallet card.

History

• Authority G.S. 90-280; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0909 Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37B .0203 National Exam

The term "National Exam" as used in these Rules means the examination provided by the National Association of Boards of Examiners for Nursing Home Administrators.

History

• Authority G.S. 90-278
• Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37B .0204 Practice of Nursing Home Administration

"Practice of nursing home administration" means the performance of any act or the making of any decision involved in the planning, organizing, directing, and/or control of the operation of a nursing home.

History

• Authority G.S. 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Transferred and Recodified from 21 NCAC 37A .0105 Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37B .0205 State Exam

The term "State Exam" as used in these Rules means the examination provided by this Board regarding North Carolina state laws and rules concerning nursing homes.

History

• Authority G.S. 90-278
• Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

Subchapter C

21 NCAC 37C .0101 Petitions for Adoption of Rules

(a) General. The procedure for petitioning the Board to adopt, amend, or repeal a rule is governed by G.S. 150B-20.

(b) Submission. Rule-making petitions shall be sent to the Executive Director. No special form is required, but the petitioner shall state his name and address. The following shall be included in the petition:

(1) a draft of the proposed rule;

(2) the reason for its proposal;

(3) the effect of the proposed rule on existing rules or decisions;

(4) data supporting the proposed rule;

(5) practices likely to be affected by the proposed rule;

(6) persons likely to be affected by the proposed rule.

(c) Disposition. The Executive Director shall review the petition and develop a recommendation as to whether the petitioner's proposed rule should be rejected or implemented. The Executive Director shall present the petition and his recommendation to the Board at its next regular meeting following receipt of the petition, and the Board shall render its decision to either deny the petition or initiate rule-making. The Board shall notify the petitioner of its decision in writing within the period set by G.S. 150B-20.

History

• Authority G.S. 90-285; 150B-20
• Eff. May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .1201 Eff. April 1, 1996
• Amended Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37C .0102 Procedure for Adoption of Rules

(a) General. The procedure for the adoption, amendment or repeal of rules is governed by G.S. 150B-21.2.

(b) Notice of Rule-making. Notice of rule-making shall be published in the North Carolina Register. Any person who wishes to receive individual notice shall file a written request with the Executive Director and shall be responsible for the cost of mailing said notice.

(c) Public Hearing. Any public rule-making hearing required by G.S. 150B-21.2 shall be conducted by the Chairman of the Board or by any person he may designate. The presiding officer shall have complete control of the hearing and shall conduct the hearing so as to provide a reasonable opportunity for any interested person to present views, data, and comments:

(1) the presiding officer shall set a time limit for oral presentations.

(2) written presentations shall be submitted prior to or during a rule-making hearing and shall be acknowledged by the presiding officer and shall be given the same consideration as oral presentations.

History

• Authority G.S. 90-285; 150B-21.2
• Eff. May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .1202 Eff. April 1, 1996
• Amended Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37C .0103 Declaratory Rulings

(a) General. The issuance of declaratory rulings by the Board is governed by G.S. 150B-4.

(b) Request And Contents. A request for a declaratory ruling shall be in writing and addressed to the Executive Director. The request shall contain the following information:

(1) the name and address of the person making the request;

(2) the statute or rule to which the request relates;

(3) a concise statement of the manner in which the person has been aggrieved by the statute or rule;

(4) a statement as to whether a hearing is desired and, if desired, the reason therefor.

(c) Refusal To Issue Ruling. The Board shall ordinarily refuse to issue a declaratory ruling under the following circumstances:

(1) when the Board has already made a controlling decision on substantially similar facts in a contested case;

(2) when the facts underlying the request for a ruling were specifically considered at the time of the adoption of the rule in question; or

(3) when the subject matter of the request is involved in pending litigation in North Carolina.

History

• Authority G.S. 150B-4
• Eff. May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .1204 Eff. April 1, 1996
• Amended Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

Subchapter D

21 NCAC 37D .0101 Overview

The Board issues new licenses, reciprocal licenses and temporary licenses. All applicants shall comply with the application requirements set out in Section .0200 of this Subchapter. New license applicants shall successfully complete an AIT program pursuant to Section .0400 of this Subchapter, successfully complete the AIT course pursuant to Section .0300 of this Subchapter, pass the national exam pursuant to Section .0600 of this Subchapter and pass the state exam pursuant to Section .0700 of this Subchapter. Reciprocal license applicants shall provide proof that that original license from another jurisdiction substantially meets the applicable North Carolina licensure requirements and shall pass the national and state exams. Temporary licenses shall be issued pursuant to 21 NCAC 37F .0100.

History

• Authority G.S. 90-279; 90-287
• Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0102 Steps for New License Applicants

New license applicants shall:

(1) Meet educational and experience requirements as set out in 21 NCAC 37D .0300 generally;

(2) Apply for and successfully complete the AIT program pursuant to 21 NCAC 37D .0400;

(3) Apply for and successfully complete the required course pursuant to 21 NCAC 37D .0303;

(4) Apply for and successfully complete the national exam pursuant to 21 NCAC 37D .0600;

(5) Apply for and successfully complete the state exam pursuant to 21 NCAC 37D .0700;

(6) Apply for licensure pursuant to 21 NCAC 37D .0200.

History

• Authority G.S. 90-278; 90-285
• Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0201 Application Package

(a) An applicant shall request, in writing, an application package from the Board. The request shall be accompanied by copying charges at a cost as set out in 26 NCAC 1 .0103, which shall be credited to the total application fee.

(b) All applications shall be received in the Board's office a minimum of three weeks prior to the meeting of the Board at which the application is to be considered. All items required to be provided to constitute a full application shall be received by this date.

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. February 1, 1991; May 1, 1989; December 1, 1983
• Transferred and Recodified from 21 NCAC 37A .0301 Eff. April 1, 1996
• Amended Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0202 Initial Licensure Fee

Prior to licensure, the applicant shall send an initial licensure non-refundable fee of six hundred dollars ($600.00) when the applicant has passed the examinations required by the Board under Sections .0600 and .0700 of this Subchapter.

History

• Authority G.S. 90-280
• Eff. February 1, 1976
• Amended Eff. August 1, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. December 30, 1981
• Temporary Amendment Eff. July 13, 1982 for a period of 120 days to expire on November 9, 1982
• Amended Eff. February 1, 1991; October 1, 1982
• Transferred and Recodified from 21 NCAC 37A .0302 Eff. April 1, 1996
• Amended Eff. August 1, 1996
• Temporary Amendment Eff. August 15, 1996
• Amended Eff. July 1, 1998
• Temporary Amendment Eff. August 15, 1999
• Amended Eff. January 1, 2021; July 1, 2014; September 1, 2004; July 1, 2000.

21 NCAC 37D .0203 References

A candidate for licensure shall submit with his application three reference forms (one of which shall be from an employer) from individuals not related to the candidate who shall certify to the good moral character of the applicant. It shall be prima facie evidence of good moral character if a candidate has not violated any standards stated in G.S. 90-285.1.

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. August 2, 1993; February 1, 1991; May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0303 Eff. April 1, 1996
• Amended Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0204 Felonies and/or Misdemeanors

(a) Felony. An applicant for licensure who has been convicted by any jurisdiction of a felony shall not be permitted to enter the AIT program or otherwise be licensed unless his rights of citizenship have been restored.

(b) Misdemeanor. An applicant for licensure who has been convicted by any jurisdiction of a misdemeanor shall not be permitted to enter the AIT program or otherwise be licensed unless he has fully complied with all terms of the judgment imposed for said misdemeanor.

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. February 1, 1991; May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0304 Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0301 Education

To be eligible for the national and state exams and for licensure, an applicant shall have either a minimum of two years credit from an accredited college as described in G.S. 90-278(b) or have a combination of education and experience approved by the Board pursuant to 21 NCAC 37D .0302. All education credit shall be documented by an official originally sealed college transcript.

History

• Authority G.S. 90-278
• Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0302 Combination of Education and Experience

A combination of education and experience shall comply with the following requirements:

(1) A minimum of one year of college credit from an accredited institution with a cumulative average of at least a 2.0 grade point average on a 4.0 point scale.

(2) Supervisory experience may be substituted for up to one year of education at the rate of two years experience for one year of education credit. Supervisory experience for purposes of this Section means having continuous, direct management responsibility, including some responsibility for hiring and firing, over the equivalent of at least one full-time employee. Such supervisory experience shall have been in a nursing home within the five years preceding the date of application. For purposes of this Rule, "supervisory experience" means full-time service as a department head or licensed professional supervising one or more employees.

History

• Authority G.S. 90-278
• Eff. April 1, 1996.
• Amended Eff. July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0303 Required Course

(a) The course prescribed by the Board pursuant to G.S. 90-278(1)c shall be comprised of in-class instruction, including all the domains of practice as described in Rule .0605 of this Subchapter.

(b) An applicant with a health care administration degree may request in writing that the Board approve college courses as substantially equivalent to portions of the required course, provided the applicant's college transcripts validate the long term care courses were passed with a minimum of a 2.0 GPA.

History

• Authority G.S. 90-278(1)c
• Eff. April 1, 1996
• Amended Eff. July 1, 2004; July 1, 2000
• Readopted Eff. October 1, 2015.

21 NCAC 37D .0401 Training Requirement

Each applicant for initial licensure shall complete an AIT program under the direction of a preceptor unless he is exempt from this requirement under G.S. 90-278(1)d or Rule .0412 of this Section.

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. August 2, 1993; May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0501 Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0402 Application to Become Administrator-in-Training (ait)

(a) The applicant shall submit to the Board an application containing:

(1) name;

(2) education;

(3) employment history;

(4) questions pertaining to moral character;

(5) criminal history; and

(6) an affidavit stating that the applicant if granted a license, shall obey the laws of the state and the rules of the Board, and shall maintain the honor and dignity of the profession.

(b) The applicant shall submit a resume.

(c) The applicant shall submit three reference forms (one employer and two character) as set forth in Rule .0203 of this Subchapter:

(1) the Employer Reference Form shall include the address of employment and duties assigned; and

(2) the Character Reference Form shall include how this individual knows the applicant and whether the applicant is capable to supervise the care of residents of a skilled facility. No character reference shall be from a relative of the applicant.

(d) The applicant shall submit an official transcript issued by the institution indicating the courses completed and hours earned, specifying whether semester or quarter hours. The applicant shall supply documentation of his or her supervisory experience in a nursing home if the applicant is utilizing the experience substitute for the education requirement as allowed by G.S. 90-278(1)b.

(e) The applicant and the preceptor shall appear before the Board for a personal interview.

(f) The preceptor shall submit to the Board three weeks prior to the personal interview:

(1) a Facility Survey Form stating the facility license number, address, and the number of beds;

(2) a letter accepting the individual as an AIT;

(3) a Preceptor Disclosure Form stating number of years the individual has served as an administrator and number of AITs precepted;

(4) a curriculum outline for the AIT program that provides the AIT with job experience in each department. A curriculum outline shall include each department in the facility and the information that will be covered, including the recommended number of weeks in the program as outlined on the AIT Curriculum Request and Rationale Form;

(5) an AIT Curriculum Request and Rationale Form shall be based on education and experience of the AIT applicant. The preceptor shall be responsible for providing a rationale for all subject areas with the recommended number of weeks for the AIT; and

(6) the directions to the facility.

(g) The owner or governing board of the facility shall submit to the Board three weeks prior to the personal interview a letter of approval for the AIT applicant to train in the facility.

(h) A non-refundable processing fee of three hundred dollars ($300.00) shall be submitted with the application.

(i) An AIT applicant shall maintain at all times a current residential mailing address with the Board office.

(j) The applicant may obtain an application and forms from the Board's website or from the Board office.

History

• Authority G.S. 90-278; 90-280; 90-285; 90-288.01
• Eff. February 1, 1976
• Amended Eff. August 1, 1977; April 8, 1977
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. August 1, 1995; August 2, 1993; February 1, 1991; May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0502 Eff. April 1, 1996
• Amended Eff. July 1, 2014; July 1, 2004; April 1, 1996
• Readopted Eff. October 1, 2015
• Amended Eff. January 1, 2021.

21 NCAC 37D .0403 Training Permit

(a) After the interview and approval, and upon notification from the preceptor of the starting date of the AIT program, the Board shall issue an AIT training permit to the applicant for a maximum one-year period beginning on the date the permit is issued.

(b) Should the AIT or the Preceptor fail to follow the individualized curriculum (submitted pursuant to Rule 37D .0402), follow the training program (presented pursuant to Rule 37D .0405), timely submit a report (required by Rule 37D .0406), serve at least a minimum number of hours (required by Rule 37D .0407), or otherwise comply with any applicable statute or rule, the Board may revise, suspend, or rescind the AIT training permit.

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. August 2, 1993; May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0504 Eff. April 1, 1996
• Amended Eff. July 1, 2000; April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0404 Administrator-in-Training Selection of Preceptor

(a) AIT applicants shall select a preceptor prior to submitting application to the Board. Lists of preceptors approved by the Board can be found on the Board's website www.ncbenha.org,

(b) It shall be the responsibility of the AIT applicant to contact a preceptor to ensure that the preceptor accepts the AIT applicant.

(c) The AIT shall notify the Board of any change in preceptor. Any change in preceptor shall be from the approved list.

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. August 2, 1993; February 1, 1991; May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0505 Eff. April 1, 1996
• Amended Eff. July 1, 2004; April 1, 1996
• Readopted Eff. October 1, 2015.

21 NCAC 37D .0405 Administrator-in-Training Program

(a) The preceptor shall evaluate and recommend to the Board the length of the AIT program required to teach the core of knowledge as outlined in 21 NCAC 37D .0605 before accepting the AIT to train in a facility approved by the Board subject to the following provisions:

(1) in determining the length of the AIT program, the preceptor shall consider the strengths and weaknesses of the AIT applicant as it relates to his/her education and past supervisory experience;

(2) the AIT program shall be presented to the Board by the preceptor and the AIT during the personal interview as required under Rule .0402(e) of this Section; and

(3) except as otherwise allowed under Rule .0412 of this Section, all AITs shall serve a minimum of 12 weeks in the AIT program, plus any additional weeks as determined by the Board. In determining whether to require additional weeks in addition to the 12 week minimum, the Board shall consider the recommendation of the preceptor, and the Board's independent consideration of the AIT applicant's education, training and experience relevant to operating a health care facility.

(b) An AIT applicant who is working toward or has completed a baccalaureate or masters degree in nursing home administration or a related health care administration field shall serve a minimum of 12 weeks in the AIT program as part of his/her educational curriculum in a North Carolina licensed nursing home under the supervision of an approved preceptor.

(c) An AIT shall complete a basic Nursing Home Administrator course approved by the Board within two years preceding an application for licensure.

(d) Within one year after the completion of the approved AIT program and upon successfully passing the examinations as required by the Board, the AIT may submit a licensure application and fee as provided in 21 NCAC 37D .0201 and .0202, and may be issued a license.

History

• Filed as a Temporary Amendment Eff. July 29, 1987 for a period of 155 days to expire on December 31, 1987
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. August 2, 1993; February 1, 1991; May 1, 1989; December 1, 1987
• Transferred and Recodified from 21 NCAC 37A .0519 Eff. April 1, 1996
• Amended Eff. July 1, 2000; April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0406 Ait Reports

(a) At the conclusion of each month, the AIT shall submit to the Board a report on his progress on a form provided by the Board for that purpose. Provided, however, an AIT approved for a program of less than 20 weeks in length, shall submit weekly reports.

(b) The report requires the name of the AIT, a statement of the subject areas covered that week or month, the number of hours the AIT has completed that week or month, comments from the preceptor concerning the progress of the AIT's training, a description of the administrative activities in which the AIT has participated, suggestions for improvement in the program, and other information that the Board requests.

(c) Both the preceptor and the AIT shall sign the report, verifying the accuracy of the information.

(d) Weekly or monthly reports shall be received in the Board's office within 10 days of the end of the reporting period.

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0510 Eff. April 1, 1996
• Amended Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0407 Ait Time on the Job

(a) The AIT shall serve an internship recommended by the preceptor and approved by the Board with a minimum of 40 hours per week, principally during the hours that the preceptor is on duty. The minimum AIT program is 12 weeks, which may not be reduced except as stated in G.S. 90-278(1)d and Rule .0412 of this Section.

(b) An internship which has been discontinued by a period of military service shall be allowed to be completed within a year after that service.

(c) An internship which has been discontinued for any purpose other than military service cannot be completed if the absence exceeds one year from the date of discontinuance.

(d) Only one discontinuance is allowed.

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. August 2, 1993; February 1, 1991; May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0517 Eff. April 1, 1996
• Amended Eff. July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0408 Change of Status and Discontinuance

(a) If the AIT desires to change preceptors, he shall submit a Notice of Change of Status or Discontinuance form provided by the Board. Prior to changing preceptors, the AIT shall notify the Board and the Board's Executive Director may grant such requests subject to approval at the next regularly scheduled board meeting.

(b) If the AIT desires to discontinue his internship, the Notice of Change of Status or Discontinuance form shall be submitted within 10 days of discontinuance before any accumulated training time may be considered should the AIT elect to re-enter his internship program at a future date.

(c) The form requires the name of the AIT and preceptor, the change requested, the effective date and reasons for the change. Either the AIT or the preceptor shall sign the form.

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. August 2, 1993; May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0514 Eff. April 1, 1996
• Amended Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0409 Dismissal from Program

(a) The preceptor or Board staff shall inform the AIT of his performance as the program progresses.

(b) If the AIT's performance is not acceptable, the preceptor or Board staff shall so inform him, and the AIT shall be given an opportunity to correct the deficiencies.

(c) If the AIT does not correct the deficiencies, either the preceptor, or the Board, shall notify the AIT that he can no longer participate in the program.

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0515 Eff. April 1, 1996
• Amended Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0410 Compensation of Aits

(a) The Board shall not pay the AIT compensation for his work in the program.

(b) The facility in which the AIT is training may compensate the AIT, but is not required to do so by these Rules.

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0516 Eff. April 1, 1996
• Amended Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0411 Approval of Programs of Study in Accredited Institutions

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. February 1, 1991; May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0402 Eff. April 1, 1996
• Repealed Eff. April 1, 1996.

21 NCAC 37D .0412 Initial on-the-Job Training

(a) Every AIT program shall include a 12 week initial on-the-job training component plus such additional weeks of on-the-job training appropriate to the individual applicant based upon education and experience necessary to assure minimum professional competence. The initial portion shall include basic work in the subject areas outlined in 21 NCAC 37D .0605.

(b) Reduction to AIT program:

(1) A hospital administrator or assistant administrator shall be exempt from the 12 week initial on-the-job training component if:

(A) He has been the administrator or assistant administrator of a particular long-term care unit or swing beds in a hospital facility for at least 12 weeks; and

(B) The hospital facility was licensed in North Carolina under either Article 5 of G.S. 131E or Article 2 of G.S. 122C.

(2) A nursing home assistant administrator or director of nursing shall be exempt from those portions of the initial on-the-job training which the applicant shows have been satisfied by direct on-the-job experience in a nursing home licensed in North Carolina provided he has served for four years within the previous five years in such a position with a level of responsibility and complexity for the management of human, financial, and material resources for the provision of care of a magnitude at least equal to that of a licensed nursing home administrator, and with exposure to and familiarity with the subject areas outlined in 21 NCAC 37D .0605.

History

• Authority G.S. 90-278; 90-285
• Eff. May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0520 Eff. April 1, 1996
• Amended Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0501 Application for Preceptor Certification

A licensed Nursing Home Administrator wishing to be certified as a preceptor for the AIT program may apply on an application obtained by writing to the Board.

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. February 1, 1991; May 1, 1989; December 1, 1983
• Transferred and Recodified from 21 NCAC 37A .0507 Eff. April 1, 1996
• Amended Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0502 Preceptor Qualifications

(a) To be certified as a preceptor the nursing home administrator shall:

(1) exemplify the highest ethical and professional standards and not have violated any standards stated in G.S. 90-285.1;

(2) have been the administrator of record of a nursing home facility for a minimum of two years or have a masters degree in health care administration and have been the administrator of record of a nursing home facility for a minimum of one year;

(3) certify that no revocation proceeding, suspension of admissions, or provisional license has been initiated or is in effect against his facility(ies);

(4) express himself well and be at ease in a teaching situation;

(5) be a full time administrator of record of a facility that is licensed by the Division of Health Service Regulation as a nursing home;

(6) successfully complete a preceptor training course approved by the Board within the past two years; and

(7) complete 40 hours of continuing education during the 24 months preceding application for certification.

(b) A preceptor shall be recertified biennially by the Board in accordance with the qualifications as set out in Paragraph (a) of this Rule at the time of license renewal.

(c) The preceptor and the AIT shall spend a minimum of four hours per week in orientation, direct instruction, planning and evaluation.

(d) An administrator licensed by reciprocity/endorsement who held an active preceptor certificate in another state may also receive a North Carolina preceptor certificate if all other requirements are met.

(e) Any administrator who otherwise meets all requirements of this Rule except for completion of the approved course under Subparagraph (a)(6) of this Rule and who has previously been certified as a preceptor may be issued a temporary preceptor certificate by the Board until such course is completed.

History

• Authority G.S. 90-276(5); 90-278; 90-285(11)
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980
• Readopted with Change Eff. October 1, 1981
• Amended Eff. August 2, 1993; February 1, 1991; May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0508 Eff. April 1, 1996
• Amended Eff. July 1, 2000; April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0503 Preceptor's Reports

(a) At the end of the approved AIT program, the preceptor shall submit a report and an evaluation of the AIT on forms provided by the Board. These forms are to be submitted to the Board within 10 days of completion of the AIT program. The forms shall require the name of the AIT, the place of training, an evaluation of the AIT's abilities, and other information that the Board requests. The preceptor shall sign the forms.

(b) The reports shall be filed in the AIT's file in the Board's office and shall become a permanent record in the individual's file.

History

• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. August 2, 1993; February 1, 1991; May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0512 Eff. April 1, 1996
• Amended Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0504 Preceptor Compliance

Failure to comply with the supervision and reporting requirements of these rules shall constitute grounds for discipline of the preceptor as well as grounds for revision, suspension or recision of the training permit.

History

• Authority G.S. 90-278; 90-285
• Eff. July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0601 Eligibility

(a) To be eligible to take the national exam, an applicant shall:

(1) be approved for an AIT program which, along with the required course prescribed in 21 NCAC 37D .0303, shall be completed within 45 days after the exam; or

(2) be exempt pursuant to G.S. 90-278(1)(d); or

(3) be a reciprocal applicant whose prior exam scores do not meet current N.C. requirements.

(b) Upon the third failure of any exam required by the Board, the AIT and the preceptor shall submit to the Board a program to strengthen the candidate's weakness as demonstrated by the previous exam results. Upon approval by the Board of the program and completion thereof by the candidate, he shall be eligible to retake the exam.

(c) Upon the failure of any examination the fourth time, the AIT shall be disqualified from continuing in the program. Nothing in this Rule shall be construed to prevent the applicant from reapplying for entrance to the AIT program.

History

• Authority G.S. 90-278; 90-284; 90-285
• Eff. April 1, 1996
• Amended Eff. July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0602 National Exam Application

To sit for the National Exam, a person shall submit an exam application electronically to the National Association of Long Term Care Administrators Board (NAB) through their website www.nabweb.org. After the applicant has completed the National Exam Application, the NAB will notify the Board for approval of the applicant. Prior to the Board approving the applicant's eligibility to sit for the National Exam and in order to release the results of the NAB exam score, the applicant shall pay to the Board a processing fee of fifty dollars ($50.00).

History

• Authority G.S. 90-280; 90-285
• Eff. April 1, 1996
• Amended Eff. September 1, 2004
• Readopted Eff. October 1, 2015.

21 NCAC 37D .0603 National Examination Administration

(a) The applicant may sit for the national examination consistent with the examination schedule established by the National Association of Boards of Examiners of Long Term Care Administrators( NAB).

(b) An applicant shall sit for and pass the national and state exams within one year of the date of completion of the AIT program in order to meet the AIT requirement.

(c) An applicant shall pay the exam fees each time he takes the national examination.

History

• Authority G.S. 90-280; 90-285
• Eff. April 1, 1996
• Amended Eff. July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0604 Grade Required

Every candidate for a nursing home administrator's license shall be required to pass the licensing examinations in accordance with the National Association of Long Term Care Administrator Boards standards which are referenced under "Scaled Scores" in the NAB Exam Candidate Handbook, which can be found at: https://www.nabweb.org/seeking-licensure/exam-candidate-handbook.

History

• Authority G.S. 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1977; December 15, 1977
• Amended Eff. May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0801 Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014
• Amended Eff May 1, 2023.

21 NCAC 37D .0605 Subject Areas

History

• Status: repealed
• Authority G.S. 90-278; 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. August 2, 1993
• Transferred and Recodified from 21 NCAC 37A .0701 Eff. April 1, 1996
• Amended Eff. July 1 2004; July 1, 2000; April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014
• Repealed Eff. May 1, 2023.

21 NCAC 37D .0701 Eligibility

(a) To be eligible to take the state examination, the applicant shall be qualified under Rules .0601 and .0603(b) of this Subchapter.

(b) Upon the third failure of any exam required by the Board, the AIT and the preceptor shall submit to the Board a program to strengthen the candidate's weakness as demonstrated by the previous exam results. Upon approval by the Board of the program and completion thereof by the candidate, he shall be eligible to retake the exam.

(c) Upon the failure of any examination the fourth time, the AIT shall be disqualified from continuing in the program. Nothing in this Rule shall be construed to prevent the applicant from reapplying for entrance to the AIT program.

History

• Authority G.S. 90-285
• Eff. April 1, 1996
• Amended Eff. July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0702 Application

To sit for the state examination, a person shall submit an application on a form provided by the Board.

History

• Authority G.S. 90-285
• Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37D .0703 State Examination Administration

(a) The State Examination shall be administered on dates to be determined and published by the Board on the State Examination Application form located on the Board's website. It may also be offered to reciprocity applicants and to AIT applicants who passed the National Examination but previously failed the State Examination on different dates if the applicants show good cause, such as unavailability due to illness, inclement weather, employment, or survey.

(b) An applicant shall pay a non-refundable processing fee of one hundred fifty dollars ($150.00) each time the applicant takes the State Examination.

(c) To sit for the State Examination, the applicant shall submit a Test Confidentiality and Attestation Form, which is a release form stating the applicant will keep test questions confidential. This form is provided by the Board on the website and in the information package.

(d) An applicant shall pass the State Exam within one year of the date of completion of the AIT program.

History

• Authority G.S. 90-280; 90-285
• Eff. April 1, 1996
• Amended Eff. July 1, 2014; July 1, 2004
• Readopted Eff. October 1, 2015.

21 NCAC 37D .0704 Grade Required

Each candidate for a nursing home administrator's license shall be required to pass the licensing examinations with a grade of at least 75 percent.

History

• Authority G.S. 90-285
• Eff. July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

Subchapter E

21 NCAC 37E .0101 Application Process

(a) The Board may issue a license to a nursing home administrator who holds a nursing home administrator license issued by the licensing authorities of any other state, upon payment of the current licensing fee, successful completion of the state examination, and submission of evidence to the Board that the applicant for licensure:

(1) has personal qualifications, education, training, and experience substantially equivalent to those required in this state;

(2) holds a valid active license as a nursing home administrator in the state from which he or she is transferring; and

(3) shall appear before the Board for a personal interview.

(b) If the applicant for reciprocity does not submit the information required by Subparagraph (a)(1) of this Rule, but is otherwise qualified for licensure in North Carolina, the Board shall issue a temporary reciprocal license that will allow the applicant to practice in one nursing home designated by the applicant at the time of issuance for six months provided that the applicant agrees to the following conditions:

(1) within one month prior to the expiration of the temporary reciprocal license, submission of a statement that the temporary licensee has administered the nursing home in a manner satisfactory to the nursing home owner or representative of the owner; and

(2) completion of continuing education course(s) that the Board may require as a condition of issuance of a temporary reciprocal license, if the applicant does not possess education substantially equivalent to the qualifications required by this state.

(c) If a temporary reciprocal license is issued pursuant to Paragraph (b) of this Rule and the applicant notifies the Board prior to the expiration of the six-month term that the circumstances have changed such that the applicant cannot comply with the conditions imposed in Paragraph (b) of this Rule, the Board may extend the temporary reciprocal license for an additional period not to exceed six months upon consideration of the following:

(1) the period of extension requested;

(2) the extent of control the applicant had over the situation causing the request for extension;

(3) the applicant's good faith effort at compliance with the original term imposed; and

(4) any issues arising during the term of the applicant at the facility identified during a survey conducted by the Division of Health Service Regulation or a federal surveying agency.

History

• Authority G.S. 90-278; 90-280; 90-285; 90-287
• Eff. February 1, 1976
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. August 1, 1995; August 2, 1993; February 1, 1991; May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0912(a) Eff. April 1, 1996
• Amended Eff. July 1, 2004; July 1, 2000; April 1, 1996
• Readopted Eff. October 1, 2015.

21 NCAC 37E .0102 Application Contents

An applicant for reciprocity endorsement shall submit the following items that shall be received by the Board three weeks prior to the next scheduled Board Meeting posted on the Board's website:

(1) a completed application;

(2) a resume;

(3) certified college transcript(s);

(4) three reference forms (one employer and two character) located on the Board's website as set forth in Rule 21 NCAC 37D .0203:

(a) the Employer Reference Form shall include the address of employment and duties assigned; and

(b) the Character Reference Form shall include how the individual knows the applicant and whether the applicant is capable of supervising the care of residents of a skilled facility. No character reference shall be from a relative of the applicant.

(5) a licensing questionnaire(s) from every state where the applicant held a license. The questionnaire is available on the Board's website;

(6) a non-refundable processing fee of three hundred dollars ($300.00); and

(7) a fingerprint card, necessary forms, and required fee for criminal background check. The forms and fees for the criminal background check is available in the Board office and on the Board's website.

History

• Authority G.S. 90-280; 90-285; 90-287; 90-288.01
• Eff. February 1, 1976
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. August 1, 1995; August 2, 1993; February 1, 1991; May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0912(b) Eff. April 1, 1996
• Amended Eff. April 1, 1996
• Temporary Amendment Eff. August 15, 1999
• Amended Eff. July 1, 2014; July 1, 2004; July 1, 2000
• Readopted Eff. October 1, 2015
• Amended Eff. January 1, 2021.

21 NCAC 37E .0103 Denial and Revocation

The Board shall have the power, after due notice and an opportunity to be heard at a hearing, to revoke or suspend the nursing home administrator license issued to any person under this Rule upon evidence satisfactory to the Board that the duly constituted authorities of any other state have lawfully revoked or suspended the nursing home administrator license issued to such person by such state.

History

• Authority G.S. 90-280; 90-285; 90-287
• Eff. February 1, 1976
• Readopted Eff. December 15, 1977
• Amended Eff. February 1, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. August 1, 1995; August 2, 1993; February 1, 1991; May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0912(c) Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

Subchapter F

21 NCAC 37F .0101 Prerequisites for Temporary Licensure

(a) The Chairman of the Board may issue a temporary license through the Executive Director for an initial period of time from issuance until the next Board meeting to an individual temporarily filling the position of a nursing home administrator provided one of the circumstances in Paragraph (b) of this Rule exists and the prerequisites for temporary license in Paragraph (c) of this Rule have been met.

(b) The nursing home shall prove to the satisfaction of the Board that it is not currently being administered by a temporary licensee, and at least one of the following circumstances exists:

(1) sudden death of the licensed administrator;

(2) unexpected transfer of the licensed administrator; or

(3) unforeseeable termination of the licensed administrator.

(c) An individual applying for a temporary license shall:

(1) be at least 18 years of age;

(2) be of good moral character;

(3) be of sound physical and mental health; and

(4) have previously served as a licensed administrator in another state, served as assistant administrator in a nursing home for at least two years, served as director of nursing in a nursing home for at least one year, or be otherwise comparably qualified. If the applicant is licensed in any other states, the applicant shall provide evidence that he is currently licensed in good standing in each other state.

(d) The Board may approve an application for one renewal of up to six additional months of a temporary license if the nursing home submits evidence satisfactory to the Board that at least one of the circumstances listed in Paragraph (b) of this Rule occurred at the facility after the initial approval of the current temporary license.

History

• Authority G.S. 90-278; 90-279; 90-285
• Eff. February 1, 1980
• Amended Eff. April 15, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. May 1, 1989; December 1, 1983
• Transferred and Recodified from 21 NCAC 37A .1001 Eff. April 1, 1996
• Amended Eff. July 1, 2000; April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37F .0102 Issuance of Temporary License

(a) An applicant for a temporary license shall submit the following items:

(1) a completed application;

(2) a resume;

(3) three reference forms (one employer and two character) located on the Board's website as set forth in Rule 21 NCAC 37D .0203:

(A) the Employer Reference Form shall include the address of employment and duties assigned; and

(B) the Character Reference Form shall include how the individual knows the applicant and whether the applicant is capable of supervising the care of residents of a skilled facility. No character reference shall be from a relative of the applicant;

(4) a letter from the owner or regional manager requesting the issuance of a Temporary License for the facility stating the circumstances necessitating the issuance of the license; and

(5) the processing fee of five hundred dollars ($500.00).

(b) After an applicant is issued a temporary license he or she shall submit a fingerprint card, necessary forms, and the required fee for a criminal background check, and pass the state examination administered by the Board at the next exam date to retain the temporary license. The forms and fees for the criminal background check is available in the Board office and on the Board's website.

(c) A temporary license may be extended at the discretion of the Board in accordance with the requirements of Rule .0101(d) of this Section.

(d) A temporary license shall be issued to the applicant to permit him or her to practice only in the nursing home to which the applicant is assigned on the date of issuance.

(e) If the Board extends the temporary license, no further fee shall be required.

History

• Authority G.S. 90-278; 90-280; 90-285; 90-288.01
• Eff. February 1, 1980
• Amended Eff. April 15, 1980
• Readopted Eff. October 1, 1981
• Amended Eff. May 1, 1989; December 1, 1983; October 1, 1982
• Transferred and Recodified from 21 NCAC 37A .1003 Eff. April 1, 1996
• Amended Eff. April 1, 1996
• Temporary Amendment Eff. August 15, 1999
• Amended Eff. July 1, 2014; July 1, 2000
• Readopted Eff. October 1, 2015
• Amended Eff. January 1, 2021.

Subchapter G

21 NCAC 37G .0101 Renewal

(a) A license shall expire on the 30th day of September of the second year following its issuance.

(b) The licensee shall biennially apply to the Board for a new certificate of registration to be displayed with the permanent license and report any facts requested by the Board on forms provided by the Board.

(c) The form shall include the name of the licensee, address, the place of the applicant's practice, at least 30 hours of continuing education credits, any criminal convictions and administrative disciplinary action by any other licensing boards in the proceeding two years and any other information which the Board may feel it needs to act upon the application. Along with the form, such licensee shall provide documentation of the completion of 30 hours of continuing education approved by the Board during each biennial period.

(d) As a courtesy, the Board shall send renewal notices to the last address on record; it is the individual licensee's responsibility to keep this information current with the Board office.

(e) A licensee shall notify the Board in writing within 15 days of any change of address (home and work) or employment.

History

• Authority G.S. 90-285; 90-286
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. August 2, 1993; December 1, 1983
• Transferred and Recodified from 21 NCAC 37A .0903 Eff. April 1, 1996
• Amended Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37G .0102 Renewal Fee

Upon making application for renewal, a licensee shall pay a biennial licensure fee of six hundred dollars ($600.00).

History

• Authority G.S. 90-280; 90-285; 90-286
• Eff. February 1, 1976
• Amended Eff. August 1, 1977; April 8, 1977
• Readopted Eff. December 15, 1977
• Readopted w/change Eff. October 1, 1981
• Temporary Amendment Eff. July 13, 1982 for a period of 120 days to expire on November 9, 1982
• Amended Eff. February 1, 1991; May 1, 1989; December 1, 1983; October 1, 1982
• Transferred and Recodified from 21 NCAC 37A .0904 Eff. April 1, 1996
• Amended Eff. August 1, 1996
• Temporary Amendment Eff. August 15, 1996
• Amended Eff. July 1, 1998
• Temporary Amendment Eff. August 15, 1999
• Amended Eff. July 1, 2014; September 1, 2004; July 1, 2000
• Readopted Eff. October 1, 2015
• Amended Eff. January 1, 2021.

21 NCAC 37G .0201 Inactive Requirements

(a) An administrator who desires to be placed on the inactive list shall make a written request on the biennial renewal form provided by the Board and submit a non-refundable inactive fee of one hundred dollars ($100.00) per year fee to the Board.

(b) A request to be placed on the inactive list shall be submitted to the Board no later than 30 days after expiration of the license under Rule .0101(a) of this Subchapter. Failure to submit the request and payment of the fee within 30 days after expiration shall result in automatic expiration of the license retroactive to the expiration date.

(c) If an administrator makes a request to be placed on the inactive list pursuant to Paragraph (b) of this Rule, an administrator may remain on the inactive list for a period not to exceed four years provided the licensee pays an inactive fee of one hundred dollars ($100.00) for each additional year prior to expiration of the inactive period.

History

• Authority G.S. 90-280; 90-285
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Readopted with Change Eff. October 1, 1981
• Amended Eff. February 1, 1991
• Transferred and Recodified from 21 NCAC 37A .0906 Eff. April 1, 1996
• Amended Eff. April 1, 1999
• Temporary Amendment Eff. August 15, 1999
• Amended Eff. July 1, 2014; July 1, 2000
• Readopted Eff. October 1, 2015.

21 NCAC 37G .0202 Activation of Inactive License

(a) A nursing home administrator whose license has been inactive for less than three years may activate the license by submitting an application to the Board, documentation of the applicant's completion of 30 hours of continuing education approved by the Board during the preceding 24 months, and payment of the current license renewal fee.

(b) A nursing home administrator whose license has been inactive for less than five years but more than three years may activate the license by providing the items in Paragraph (a) of this Rule and, in addition, by successfully completing the state examination.

(c) A previously licensed nursing home administrator whose license has been inactive for a period exceeding five years shall comply with all the requirements for licensure in this Chapter.

History

• Authority G.S. 90-280; 90-285; 90-286
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Readopted w/change Eff. October 1, 1981
• Amended Eff. May 1, 1989; February 1, 1986; December 1, 1983; December 30, 1981
• Transferred and Recodified from 21 NCAC 37A .0902 Eff. April 1, 1996
• Amended Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37G .0301 Reinstatement of License

Upon re-applying for a license as provided in 21 NCAC 37D .0201, .0202, .0203, .0204 and after a revocation period of two years, the Board may reinstate a license for good cause. Good cause means that the applicant is completely rehabilitated with respect to the conduct which was the basis of the discipline. Evidence of such rehabilitation shall include, but is not limited to, evidence that:

(1) such person has not engaged in conduct during the discipline period which, if the person had been licensed during such period, would have constituted the basis for discipline under G.S. 90-285.1;

(2) with respect to any criminal conviction which constituted any part of the previous discipline, the person has completed the sentence imposed, and is no longer on probation, whether supervised or unsupervised; and

(3) restitution has been made to any aggrieved party.

History

• Authority G.S. 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0913 Eff. April 1, 1996
• Amended Eff. July 1, 2004; April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37G .0302 Restoration of Lapsed License

(a) A nursing home administrator whose license has lapsed for a period of time less than two years shall submit an application to the Board in accordance with 21 NCAC 37D .0402. The application shall be on a form provided by the Board and shall include:

(1) documentation of the applicant’s completion of thirty hours of continuing education approved by the Board during the preceding twenty four months;

(2) payment of the current license application fee; and

(3) successfully completing the state examination.

(b) A previously licensed nursing home administrator whose license has lapsed for a period of time exceeding two years may activate the license by submitting an application and shall comply with all of the requirements for licensure as set out in Rule 37D .0102. The Board shall determine whether the applicant complies with the then current requirements of licensure.

History

• Authority G.S. 90-285; 90-286
• Eff. July 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37G .0401 Duplicate License Requirements

(a) When the Board has been notified by a licensee in a written statement that a license or certificate of registration has been lost, mutilated, or destroyed, the Board shall issue a duplicate license or certificate of registration upon payment of a fee of twenty five dollars ($25.00).

(b) Licensees seeking a duplicate certificate following a legal name change from the name under which the individual was licensed shall furnish copies of the documents legally authorizing the name change, along with the twenty-five dollar ($25.00) fee, when requesting a duplicate certificate.

History

• Authority G.S. 90-280(d)
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0914 Eff. April 1, 1996
• Amended Eff. April 1, 1996
• Readopted Eff. October 1, 2015.

21 NCAC 37G .0402 Verification of License

Any licensee requesting verification of a license shall submit to the Board the following:

(1) A written request, including the contact information and jurisdiction that the Board is to send the verification; and

(2) A non-refundable fee of fifty dollars ($50.00)

History

• Authority G.S. 90-280(d)
• Eff. January 1, 2021.

Subchapter H

21 NCAC 37H .0101 Continuing Education Hours Requirement

Every licensee shall document successful completion of at least 30 hours of approved continuing education for each biennial period of registration.

History

• Authority G.S. 90-285
• Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37H .0102 Continuing Education Programs of Study

(a) The Board shall certify and administer courses in continuing education for the professional development of nursing home administrators and to enable persons to meet the requirements of the Rules in this Chapter. The licensee shall keep a record of his or her continuing education hours. Certified courses, including those sponsored by the Board, an accredited university, college or community college, associations, professional societies, or organizations shall:

(1) contain a minimum of one classroom hour of academic work and not more than eight classroom hours within a 24-hour period; and

(2) include instruction in one or more of the following general subject areas or their equivalents:

(A) Resident Care and Quality of Life;

(B) Human Resources;

(C) Finance;

(D) Physical Environment and Atmosphere; or

(E) Leadership and Management.

(b) In lieu of certifying each course offered by a provider, the Board may certify the course provider for an annual fee not to exceed four thousand dollars ($4,000.00). The Board Office shall conduct a review annually of the number of courses each provider presented in the prior year. The annual fee shall be set at one hundred dollars ($100.00) for every course offered in the prior year. The course provider shall submit a list of courses offered for credit and agree to comply with the requirements of Paragraph (a) of this Rule.

(c) Certified courses not administered by the Board shall be:

(1) submitted to the Board for approval 30 days prior to the presentation of the program; and

(2) accompanied with a processing fee to cover the cost of reviewing and maintaining records associated by the continuing education program. The fee schedule is as follows:

(A) any course submitted for review, up to and including six hours, shall be accompanied by a non-refundable fee of one hundred dollars ($100.00); and

(B) the sponsor shall pay ten dollars ($10.00) for each additional hour for any course submitted for review that is greater than six hours.

(d) Courses shall be approved for a period of one year from the date of initial presentation.

(e) In order to receive Board approval for distance learning programs that are via printed material, cd, dvd, videotape, or web-based, the course shall have tests before and after the session. For every credit hour claimed, the course shall include five questions on each test administered before and after the course. These questions may be the same.

(f) Continuing education credit for licensees may include up to 10 hours for participation in distance learning courses only if:

(1) the distance learning course is approved by the Board or the National Association of Boards of Examiners of Long Term Care Administrators (NAB). The NAB is a certifying association of continuing education across the nation; and

(2) the approved course sponsor sends to the Board a verification of the individual's completion of the distance learning course.

(g) The Board shall charge a fee covering the cost of continuing education courses it sponsors, not to exceed five hundred dollars ($500.00).

History

• Authority G.S. 12-3.1(c)(3); 90-278; 90-280; 90-285; 90-286
• Eff. February 1, 1976
• Amended Eff. April 8, 1977
• Readopted Eff. December 15, 1977
• Readopted w/change Eff. October 1, 1981
• Amended Eff. August 2, 1993; February 1, 1991; May 1, 1989; February 1, 1986
• Transferred and Recodified from 21 NCAC 37A .0404 Eff. April 1, 1996
• Temporary Amendment Eff. August 15, 1999
• Amended Eff. July 1, 2014; September 1, 2004; July 1, 2000
• Readopted Eff. October 1, 2015.

21 NCAC 37H .0103 Verification of Attendance

Upon completion of a certified continuing education course, the sponsor of the course shall issue certificates of attendance to those who attend. The sponsor shall also submit a roster of those who attend to the Board within 10 days. It is the participant's responsibility as a licensed Nursing Home Administrator to maintain course certificates and submit copies with the biennial renewal fee.

History

• Authority G.S. 90-278; 90-285; 90-286
• Eff. February 1, 1976
• Readopted Eff. October 1, 1981; December 15, 1977
• Amended Eff. February 1, 1991; May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0405 Eff. April 1, 1996
• Amended Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

21 NCAC 37H .0104 Preceptor Credit

A preceptor applying for renewal who has served as a preceptor for a North Carolina AIT within the previous two years may receive:

(1) 10 hours continuing education credit for attendance at a Preceptor Course offered by the Board;

(2) five hours of continuing education credit for each Administrator in Training precepted by the preceptor during previous two years. No preceptor may receive more than five hours of credit per year under this Item.

History

• Authority G.S. 90-285
• Eff. April 1, 1996
• Amended Eff. July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

Subchapter I

21 NCAC 37I .0101 Investigation: Discipline: and Contested Case Proceedings

(a) The Chairperson of the Board shall appoint a Professional Standards Committee comprised of another member of the Board, the Executive Director and legal counsel, to investigate the qualifications of applicants and to review and investigate complaints.

(b) The Board shall decide whether to grant or deny an application or whether, and what kind of, disciplinary action should be taken against a person registered with the Board. If the Board's action results in a contested case, the designated member who participated in the investigation of the matter may not participate as a member of the hearing panel or in deliberation of the contested case.

(c) The Professional Standards Committee shall recommend to the Board whether the allegations in any complaint against an applicant or licensee, if proven, would warrant a contested case proceeding pursuant to G.S. 150B-38 through G.S. 150B-42.

(d) Under G.S. 150B-40(e), the Board may elect not to hear its contested cases and refer contested cases to the Office of Administrative Hearings.

History

• Authority G.S. 90-285; 150B-40(e)
• Eff. October 1, 1981
• Amended Eff. May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .1122 Eff. April 1, 1996
• Amended Eff. July 1, 2000; April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014.

Chapter 38 Occupational Therapy

21 NCAC 38 .0101 Purpose

(a) These Rules set out standards and procedures, to license occupational therapists and occupational therapy assistants and to see that the qualifications and activities of those engaged in occupational therapy are in accord with law and to carry out the purpose of the Occupational Therapy Practice Act.

(b) The Board is not a Board of arbitration and has no jurisdiction to settle disputes between parties.

History

• Authority G.S. 90-270.66; 90-270.69
• Eff. July 1, 1985
• Amended Eff. July 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0102 Board Office

The administrative offices of the North Carolina Board of Occupational Therapy are located at:

Wachovia Capitol Center

150 Fayetteville Street, Suite 1900

P.O. Box 2280

Raleigh, North Carolina 27602

Telephone: (919) 832-1380

Office hours are 9:00 a.m. until 5:00 p.m., Monday through Friday, except holidays.

History

• Authority G.S. 90-270.69(5)
• Eff. July 1, 1985
• Amended Eff. July 1, 2007; February 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0103 Definitions

The definitions in G.S. 90-270.67 apply to this Chapter. The following definitions also apply to the Chapter:

(1) "Activities of daily living" (ADL) means self-care activities.

(2) "Assessment" means the tools or instruments that are used during the evaluation process.

(3) "Client" means a person, group, program, organization, or community for whom the occupational therapy practitioner is providing services.

(4) "Entry-level" means a person who has no experience in a specific position, such as a new graduate, a person new to the position, or a person in a new setting with no previous experience in that area of practice.

(5) "Evaluation" means the process of obtaining and interpreting data necessary for intervention. This includes planning for and documenting the evaluation process and results.

(6) "Instrumental activities of daily living" (IADL) means multi-step activities to care for self and others, such as household management, financial management, and childcare.

(7) "Intervention" means treatment.

(8) "Intervention plan" is the program established by the occupational therapist for the delivery of occupational therapy services. It may also be referred to as treatment plan, individualized education plan (IEP), individualized family service plan (IFSP), plan of care, or other terminology as determined by the occupational therapy service delivery setting.

(9) "Level I Fieldwork" provides introductory level clinical training opportunities.

(10) "Level II Fieldwork" provides clinical training in preparation for entry-level practice.

(11) "Neglect of duty" occurs when a Board member fails to attend a majority of the official meetings of the Board within any 12 month period.

(12) "Occupational Therapy", as defined in G.S. 90-270.67(4), may include evaluation of activities of daily living (ADL), instrumental activities of daily living (IADL), education, work, play, leisure, and social participation.

(13) "Occupational Therapy evaluation, treatment, and consultation" include the following:

(a) remediation or restitution of performance abilities that are limited due to impairment in biological, physiological, psychosocial, and developmental process;

(b) adaptation of skills, process or environment, or the teachings of compensatory techniques in order to enhance performance;

(c) disability prevention methods and techniques that facilitate the development or safe application of performance skills;

(d) promotion of health and wellness to those who have or are at risk for developing an illness, injury, disease, disorder, condition, impairment, disability, activity limitation, or participation restriction; and

(e) interpretation of the physical, cognitive, psychosocial, sensory, and other aspects of performance in a variety of contexts to support engagement in everyday life activities that affect health, well-being, and quality of life.

(14) "Occupational therapy practitioner" means an individual licensed by the Board as an occupational therapist or an occupational therapy assistant.

(15) "Occupational therapy services" include the following:

(a) Methods or strategies selected to direct the process of interventions such as:

(i) Establishment, remediation, or restoration of a skill or ability that has not yet developed or is impaired;

(ii) Compensation, modification, or adaptation of activity or environment to enhance performance;

(iii) Maintenance and enhancement of capabilities without which performance in everyday life activities would decline;

(iv) Health promotion and wellness to enable or enhance performance in everyday life activities; and

(v) Prevention of barriers to performance, including disability prevention.

(b) Evaluation of factors affecting activities of daily living (ADL), instrumental activities of daily living (IADL), education, work, play, leisure, and social participation, including:

(i) Client factors, including body functions (such as neuromuscular, sensory, visual, perceptual, cognitive) and body structures (such as cardiovascular, digestive, integumentary, genitourinary systems);

(ii) Habits, routines, roles, and behavior patterns;

(iii) Cultural, physical, environmental, social, and spiritual contexts and activity demands that affect performance; and

(iv) Performance skills, including motor, process, and communication/interaction skills.

(c) Interventions and procedures to promote or enhance safety and performance in activities of daily living (ADL), instrumental activities of daily living (IADL), education, work, play, leisure and social participation, including:

(i) Therapeutic use of occupations, exercises, and activities;

(ii) Training in self-care, self-management, home management, and community or work reintegration;

(iii) Development, remediation, or compensation of physical, cognitive, neuromuscular, sensory functions and behavioral skills;

(iv) Therapeutic use of self, including one's personality, insights, perceptions, and judgments, as part of the therapeutic process;

(v) Education and training of individuals, including family members, caregivers, and others;

(vi) Care coordination, case management, and transition services;

(vii) Consultative services to groups, programs, organizations, or communities;

(viii) Modification of home, work, school, or community environments and adaptation of processes, including the application of ergonomic principles;

(ix) Assessment, design, fabrication, application, fitting, and training in assistive technology, adaptive devices, and orthotic devices, and training in the use of prosthetic devices;

(x) Assessment, recommendation, and training in techniques to enhance functional mobility, including wheelchair management;

(xi) Driver rehabilitation and community mobility;

(xii) Management of feeding, eating, and swallowing to enable eating and feeding performance; and

(xiii) Application of physical agent modalities and use of a range of specific therapeutic procedures to enhance performance skills.

(16) "Occupational therapy student" means an individual enrolled in an occupational therapist or occupational therapy assistant program accredited by the Accreditation Council for Occupational Therapy Education (ACOTE).

(17) "Practice Act" refers to the North Carolina Occupational Therapy Practice Act found in G.S. 90-270.65 et. seq.

(18) "Screening" means obtaining and reviewing data relevant to a potential client to determine the need for further evaluation and intervention.

(19) "Service Competency" is the ability to provide occupational therapy services in a safe and effective manner. It means that two practitioners can perform the same or equivalent procedure and obtain the same result.

(20) "Skilled occupational" therapy services when rendered by an occupational therapist or occupational therapy assistant means functions that require the exercise of professional occupational therapy judgment, including the interpretation of referrals, screening, assessment, evaluation, development or modification of intervention plans, implementation of intervention, reassessment, or discharge planning.

(21) "Supervision" is the process by which two or more people participate in joint effort to establish, maintain, and elevate a level of performance to ensure the safety and welfare of clients during occupational therapy. Supervision is structured according to the supervisee's qualifications, position, level of preparation, depth of experience and the environment within which the supervisee functions. Levels of supervision are:

(a) "General supervision," which is required for all occupational therapy assistants by an occupational therapist. It includes a variety of types and methods of supervision and may include observation, modeling, co-treatment, discussions, teaching, instruction, phone conversations, videoconferencing, written correspondence, electronic exchanges, and other telecommunication technology. Methods of observation include face-to-face, synchronous or asynchronous videoconferencing. The specific frequency, methods, and content of supervision may vary by practice setting and are dependent on the complexity of client needs, number and diversity of clients, demonstrated service competency of the occupational therapist and the occupational therapy assistant, type of practice setting, requirements of the practice setting, and federal and state regulatory requirements. General supervision shall be required at least monthly; and

(b) "Direct supervision," which is required for all unlicensed personnel and volunteers. It means the Occupational Therapy supervisor must be within audible and visual range of the client and unlicensed personnel and available for immediate physical intervention. Videoconferencing is not allowed for direct supervision.

(22) "Unlicensed personnel" means individuals within an occupational therapy setting who provide supportive services to the occupational therapist and the occupational therapy assistant and who function only under the guidance, responsibility, and supervision of the licensed occupational therapist or occupational therapy assistant to provide only specifically selected client-related or non-client related tasks for which the unlicensed personnel has been trained and has demonstrated competence.

History

• Authority G.S. 90-270.67; 90-270.69(4)
• Eff. July 1, 1985
• Amended Eff. July 1, 2007; May 1, 1989; May 1, 1987
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. July 1, 2018.

21 NCAC 38 .0104 Rule-Making and Administrative Hearing Procedures

History

• Status: repealed
• Authority G.S. 90-270.69(4)
• Eff. July 1, 1985
• Amended Eff. May 1, 1987
• Repealed Eff. May 1, 1989.

21 NCAC 38 .0201 Application Process

(a) Each applicant, including those trained outside the United States or its territories, for an occupational therapist or occupational therapy assistant license shall complete an application form provided by the Board. This form shall be submitted to the Board and shall be accompanied by:

(1) one head and shoulders photograph (passport type), taken within the past six months, of the applicant of acceptable quality for identification, two inches by two inches in size;

(2) the proper fees, as required by 21 NCAC 38 .0204;

(3) evidence from the National Board for Certification of Occupational Therapy (NBCOT) of successful completion of the certification examination administered by it. Evidence of successful completion of the NBCOT certification examination shall be accepted as proof of graduation from an accredited curriculum and successful completion of field work requirements;

(4) two signed statements on forms provided by the Board attesting to the applicant's good moral character; and

(5) successful completion of a jurisprudence exam administered by the Board.

(b) An applicant previously licensed in any state re-entering the field of occupational therapy after not practicing occupational therapy for more than 24 months shall complete 90 days of general, supervised, re-entry fieldwork and shall provide to the Board;

(1) a written plan for 90 days of general, supervised, re-entry fieldwork within 10 days of securing employment; and

(2) monthly documentation confirming that the general, supervised, re-entry fieldwork is being provided.

History

• Authority G.S. 90-270.69(4); 90-270.70
• Eff. July 1, 1985
• Amended Eff. March 23, 2009; July 1, 2007; May 1, 1989; May 1, 1987
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0202 Exemptions

History

• Status: repealed
• Authority G.S. 90-270.70; 90-270.71
• Eff. July 1, 1985
• Repealed Eff. May 1, 1987.

21 NCAC 38 .0203 Interviews

Interviews may be required by the Board should it have questions about the qualifications of an applicant.

History

• Authority G.S. 90-270.69(1),(4)
• Eff. July 1, 1985
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0204 Fees

(a) Fees are as follows:

(1) a request for an initial application for licensure as an occupational therapist or occupational therapy assistant is ten dollars ($10.00);

(2) application for issuance of a license or re-issuance of an expired license is one hundred dollars ($100.00);

(3) annual renewal of a license is fifty dollars ($50.00);

(4) late renewal of a license is an additional fifty dollars ($50.00).

(b) Fees shall be non-refundable and shall be paid in cash or in the form of a cashier's check, certified check or money order made payable to the North Carolina Board of Occupational Therapy. Personal checks shall be accepted for payment of renewal fees.

History

• Authority G.S. 90-270.77
• Eff. July 1, 1985
• Amended Eff. October 1, 2007; July 1, 2007; February 1, 1994; May 1, 1989; May 1, 1987
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0301 LICENSE NUMBER: DISPLAY OF LICENSE AND iDENTIFICATION BADGE

(a) Each individual who is issued a license shall be issued a license number. Should that number be retired for any reason (such as death, failure to renew the license, or any other reason) that number shall not be reissued. The license and current renewal card must be available for inspection at the licensee's principal place of business.

(b) Persons licensed under this Chapter shall be required to comply with the provisions of G.S. 90-640.

(c) A licensed person shall be exempted from the requirement in Paragraph (b) of this Rule if such person notifies the Board in writing, at the address set forth in Rule .0102 of this Chapter, that the person's safety or some therapeutic concern requires that only a first name and level of licensure be displayed.

History

• Authority G.S. 90-270.69(4); 90-270.73; 90-640
• Eff. July 1, 1985
• Amended Eff. February 1, 2014; July 1, 2007; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0302 License Renewal

(a) Any licensee desiring the renewal of a license shall apply for renewal and shall submit the renewal application, documentation of continuing competence activities, and the fee. Occupational therapy assistants who are employed must also include evidence of required supervision.

(b) Licenses not renewed by June 30 are expired. Persons whose licenses are expired for 24 months or less and who desire to be licensed shall apply for and complete the requirements to renew the license. The person shall also provide proof of 15 points of continuing competence activities for the last year the license was current and for each full year the person's license was expired.

(c) Any person whose license is expired and who engages in any occupational therapy activities governed by the occupational therapy law shall be subject to the penalties prescribed in G.S. 90-270.76, G.S. 90-270.79, G.S. 90-270.80 and G.S. 90-270.80A.

(d) Licenses expired in excess of 24 months shall not be renewed. Persons whose licenses are expired in excess of 24 months and who desire to be licensed shall apply for and complete the requirements for a new license.

(e) Members of the armed forces whose licenses are in good standing and to whom G.S. 105-249.2 grants an extension of time to file a tax return are granted that same extension of time to pay the license renewal fee and to complete the continuing competence activity requirement prescribed in 21 NCAC 38 .0800. A copy of military orders or the extension approval by the Internal Revenue Service must be furnished to the Board. If approved, continuing competence activity points acquired during this extended time period shall not be utilized for future renewal purposes.

History

• Authority G.S. 90-270.69(4); 90-270.75; 93B-15(b); 105-249.2
• Eff. July 1, 1985
• Amended Eff. May 1, 2010; July 1, 2007; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0303 Limited Permits

History

• Status: repealed
• Authority G.S. 90-270.69(4); 90-270.74
• Eff. July 1, 1985
• Amended Eff. July 1, 2007; May 1, 1989; May 1, 1987
• Repealed Eff. October 1, 2007.

21 NCAC 38 .0304 Grounds for License Denial or Discipline

(a) In addition to the conduct set forth in G.S. 90-270.76, the Board may deny, suspend, or revoke a license, or impose probationary conditions on a license, upon any of the following grounds:

(1) writing a check given to the Board in payment of required fees which is returned unpaid;

(2) allowing an unlicensed occupational therapist or occupational therapy assistant to practice under the licensee's supervision or control;

(3) making any false statement or giving any false information in connection with an application for a license or renewal of a license or any investigation by the Board or the Board's designee;

(4) committing a crime the circumstances of which relate to the occupational therapy profession;

(5) violating any federal or state statute or rule which relates to the occupational therapy profession;

(6) practicing occupational therapy while the licensee's ability to practice was impaired by alcohol or other drugs or a physical or mental disability or disease;

(7) engaging in sexual misconduct. For the purposes of this Paragraph, sexual misconduct includes:

(A) Engaging in or soliciting sexual relationships, whether consensual or non-consensual, while an Occupational Therapist or Occupational Therapy Assistant/patient relationship exists with that person;

(B) Making sexual advances, requesting sexual favors or engaging in physical contact of a sexual nature with patients or clients;

(8) obtaining or attempting to obtain payment by fraud or deceit;

(9) violating any Order of the Board;

(10) failing to properly make the disclosures required by 21 NCAC 38 .0305;

(11) abandoning or neglecting a patient or client under and in need of immediate professional care, without making reasonable arrangements for the continuation of care;

(12) recording or communicating false or misleading data, measurements or notes regarding a patient;

(13) delegating responsibilities to a person when the licensee delegating knows or has reason to know that the competency of that person is impaired by physical or psychological ailments, or by alcohol or other pharmacological agents, prescribed or not;

(14) practicing or offering to practice beyond the scope permitted by law;

(15) accepting and performing professional responsibilities which the licensee knows or has reason to know that he or she is not competent to perform;

(16) performing, without supervision, professional services which the licensee is authorized to perform only under the supervision of a licensed professional;

(17) harassing, abusing, or intimidating a patient either physically or verbally;

(18) failure to exercise supervision over persons who are authorized to practice only under the supervision of the licensed professional;

(19) promoting an unnecessary device, treatment intervention or service for the financial gain of the practitioner or of a third party;

(20) delegating professional responsibilities to a person when the licensee delegating the responsibilities knows or has reason to know that the person is not qualified by training, by experience, or by licensure to perform the responsibilities;

(21) billing or charging for services or treatments not performed; or

(22) making treatment recommendations based on the extent of third party benefits instead of the patient's condition.

(b) A licensee has been incompetent in practice under G.S. 90-270.76(a)(5) if the licensee has engaged in conduct which evidences a lack of ability, fitness or knowledge to apply principles or skills of the profession of occupational therapy.

(c) When a person licensed to practice occupational therapy is also licensed in another jurisdiction and that other jurisdiction takes disciplinary action against the licensee, the North Carolina Board of Occupational Therapy may summarily impose the same or lesser disciplinary action upon receipt of the other jurisdiction's actions. The licensee may request a hearing. At the hearing the issues shall be limited to:

(1) whether the person against whom action was taken by the other jurisdiction and the North Carolina licensee are the same person;

(2) whether the conduct found by the other jurisdiction also violates the North Carolina Occupational Therapy Practice Act; and

(3) whether the sanction imposed by the other jurisdiction is lawful under North Carolina law.

History

• Authority G.S. 90-270.69(4); 90-270.76
• Eff. July 1, 1985
• Amended Eff. January 1, 2009; July 1, 2007; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0305 Continuing Duty to Report Certain Crimes and Civil Suits

All occupational therapists and occupational therapy assistants are under a continuing duty to report to the Board within 30 days all:

(1) convictions of or pleas of guilty or no contest to a felony or any crime such as fraud that involves moral turpitude; and

(2) civil lawsuits arising out of or related to a licensee's practice of occupational therapy.

History

• Authority G.S. 90-270.69(2),(4); 90-270.74
• Eff. July 1, 1985
• Amended Eff. March 1, 2008; July 1, 2007; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0306 Professional Corporation

History

• Status: repealed
• Authority G.S. 55B-2
• Eff. October 1, 1986
• Amended Eff. May 1, 1989
• Repealed Eff. February 1, 1994.

21 NCAC 38 .0307 Renewal of Certificate of Registration

History

• Status: repealed
• Authority G.S. 55B-2
• Eff. October 1, 1986
• Amended Eff. May 1, 1989
• Repealed Eff. February 1, 1994.

21 NCAC 38 .0308 Code of Ethics

Pursuant to G.S. 90-270.76(a)(2) the Board adopts by reference the Occupational Therapy Code of Ethics (2005) of the American Occupational Therapy Association, including subsequent amendments and editions. Copies of the American Occupational Therapy Association Code of Ethics may be obtained online at http://www.aota.org at no cost. To the extent the Occupational Therapy Code of Ethics might conflict with the North Carolina Occupational Therapy Practice Act or the Rules of the North Carolina Board of Occupational Therapy, the North Carolina Occupational Therapy Practice Act or the Rules of the North Carolina Board of Occupational Therapy shall take precedent.

History

• Authority G.S. 90-270.69(4)
• Eff. December 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0401 Change of Address or Business Name

All licensees shall notify the Board in writing of each change of name, residence, trade name, business address, or mailing address, within ten days of such change.

History

• Authority G.S. 90-270.69(2),(4)
• Eff. July 1, 1985
• Amended Eff. July 1, 2007; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0402 Advertising

In all advertisements relating to occupational therapy, the occupational therapist's or occupational therapy assistant's name and license number shall be given. A licensee may not advertise under a name that is different from the licensee's surname unless written notice has been filed with the Board. The licensee shall notify the Board of all certificates of assumed name filed with any county register of deeds in compliance with G.S. 66-68.

History

• Authority G.S. 90-270.69(4)
• Eff. July 1, 1985
• Amended Eff. July 1, 2007; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0501 Petitions for Adoption, Amendment, or Repeal of Rules

(a) General. The procedure for petitioning the Board to adopt, amend, or repeal a rule is governed by G.S. 150B-16.

(b) Submission. Rule-making petitions shall be sent to the Board. No special form is required, but the petitioner shall state his name and address. There are no minimum mandatory contents of a petition, but the Board considers the following information to be pertinent:

(1) a draft of any proposed rule or amendment to a rule;

(2) the reason for the proposal;

(3) the effect of the proposal on existing rules or decisions;

(4) data supporting the proposed rule change;

(5) practices likely to be affected by the proposed rule change;

(6) persons likely to be affected by the proposed rule change.

(c) Disposition. The Board shall review the petition at its next regular meeting following receipt of the petition, and the Board shall render its decision to either deny the petition or initiate rule-making. The Board shall notify the petitioner of its decision in writing within the 120-day period set by G.S. 150B-16.

History

• Authority G.S. 90-270.69(4); 150B-16
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0502 Procedure for Adoption of Rules

(a) General. The procedure for the adoption, amendment or repeal of a rule is governed by G.S. 150B.

(b) Notice of Rule-Making. Any person who wishes to receive individual notice shall file a written request with the Board and shall be responsible for the cost of mailing said notice.

(c) Public Hearing. Any public rule-making hearing required by G.S. 150B shall be conducted by the Chairman of the Board or by any person he may designate. The presiding officer shall have complete control of the hearing and shall conduct the hearing so as to provide a reasonable opportunity for any interested person to present views, data and comments. Oral presentations shall not exceed 15 minutes. Written presentations shall be acknowledged by the presiding officer and shall be given the same consideration as oral presentations.

History

• Authority G.S. 150B-21.2
• Eff. May 1, 1989
• Amended Eff. July, 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0503 Temporary Rules

The power of the Board to adopt temporary rules and the procedure by which such rules are put into effect are governed by G.S. 150B-13.

History

• Authority G.S. 150B-13
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0504 Declaratory Rulings

(a) General. The issuance of declaratory rulings by the Board is governed by G.S. 150B-17.

(b) Contents of Request. A request for a declaratory ruling shall be in writing and addressed to the Board. The request shall contain the following information:

(1) The name and address of the person making the request;

(2) The statute or rule to which the request relates;

(3) A concise statement of the manner in which the person has been aggrieved by the statute or rule; and

(4) A statement as to whether a hearing is desired, and if desired, the reason therefor.

(c) Refusal to Issue Ruling. The Board shall ordinarily refuse to issue a declaratory ruling under the following circumstances:

(1) When the Board has already made a controlling decision on substantially similar facts in a contested case;

(2) When the facts underlying the request for a ruling on a rule were specifically considered at the time of the adoption of the rule in question; and

(3) When the subject matter of the request is involved in pending litigation in North Carolina.

History

• Authority G.S. 150B-17
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0601 Applicable Hearing Rules

When the Board elects to have the Office of Administrative Hearings hear a contested case, the Board's rules pertaining to contested case hearings, instead of the rules of the Office of Administrative Hearings, shall apply.

History

• Authority G.S. 90-270.69(4); 150B-38(h)
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0602 Right to Hearing

When the Board acts or proposes to act, other than in rule-making or declaratory ruling proceedings, in a manner which will affect the rights, duties, or privileges of a specific, identifiable person, such person has the right to an administrative hearing. When the Board proposes to act in such a manner, it shall give all such affected persons notice of their right to a hearing by mailing to them, by certified mail, at their last known address a notice of the proposed action and a notice of a right to a hearing.

History

• Authority G.S. 150B-11; 150B-38
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0603 Request for Hearing

(a) Any time an individual believes that individual's rights, duties, or privileges have been affected by the Board's administrative action, but has not received notice of a right to an administrative hearing, that individual may file a formal request for a hearing.

(b) Before an individual may file a request, that individual is encouraged to exhaust all reasonable efforts to resolve the issue informally with the Board.

(c) Subsequent to such informal action, if still dissatisfied, the individual should submit a request to the Board's office, with the request bearing the notation: "REQUEST FOR ADMINISTRATIVE HEARING". The request should contain the following information:

(1) name and address of the petitioner;

(2) a concise statement of the action taken by the Board which is challenged;

(3) a concise statement of the way in which the petitioner has been aggrieved; and

(4) clear and specific statement of request for a hearing.

(d) The request will be acknowledged promptly and, if deemed appropriate by the Board in accordance with 21 NCAC 38 Rule .0604, a hearing will be scheduled.

History

• Authority G.S. 150B-11; 150B-38
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0604 Granting or Denying Hearing Request

(a) The Board will grant a request for a hearing if it determines that the party requesting the hearing is a "person aggrieved" within the meaning of G.S. 150B-2(6).

(b) The denial of a request for a hearing will be issued immediately upon decision, and in no case later than 60 days after the submission of the reasons leading the Board to deny the request.

(c) Approval of a request for a hearing will be signified by issuing a notice as required by G.S. 150B-38(b) and explained in Rule .0605 of this Section.

History

• Authority G.S. 150B-11; 150B-38
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0605 Notice of Hearing

(a) The Board shall give the party or parties in a contested case a notice of hearing not less than 15 days before the hearing. Said notice shall contain the following information, in addition to the items specified in G.S. 150B-38(b):

(1) the name, position, address, and telephone number of a person at the offices of the Board to contact for further information or discussion;

(2) the date, time and place for a pre-hearing conference, if any; and

(3) any other information deemed relevant to informing the parties as to the procedure of the hearing.

(b) If the Board determines that the public health, safety or welfare requires such action, it may issue an order summarily suspending a license. Upon service of the order, the licensee to whom the order is directed shall immediately cease the practice of occupational therapy in North Carolina. The Board shall promptly give notice of hearing pursuant to G.S. 150B-38 following service of the order. The suspension shall remain in effect pending issuance by the Board of a final agency decision pursuant to G.S. 150B-42.

History

• Authority G.S. 150B-3; 150B-11; 150B-38
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0606 Who Shall Hear Contested Cases

All administrative hearings will be conducted by the Board, a panel consisting of a majority of the members of the Board, or an administrative law judge designated to hear the case pursuant to G.S. 150B-40(e).

History

• Authority G.S. 150B-11; 150B-38; 150B-40
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0607 Informal Procedures

The Board and the other party or parties may agree in advance to simplify the hearing by: decreasing the number of issues to be contested at the hearing; accepting the validity of certain proposed evidence; accepting the findings in some other case with relevance to the case at hand; or agreeing to such other matters as may expedite the hearing.

History

• Authority G.S. 150B-11; 150B-41
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0608 Petition for Intervention

(a) A person desiring to intervene in a contested case must file a written petition with the Board's office. The request should bear the notation: "PETITION TO INTERVENE IN THE CASE OF (name of case)".

(b) The petition must include the following information:

(1) the name and address of petitioner;

(2) the business or occupation of petitioner, where relevant;

(3) a full identification of the hearing in which petitioner is seeking to intervene;

(4) the statutory or non-statutory grounds for intervention;

(5) any claim or defense in respect of which intervention is sought; and

(6) a summary of the arguments or evidence petitioner seeks to present.

(c) If the Board determines to allow intervention, notice of that decision will be issued promptly to all parties, and to the petitioner. In cases of discretionary intervention, such notification will include a statement of any limitations of time, subject matter, evidence or whatever else is deemed necessary which are imposed on the intervenor.

(d) If the Board's decision is to deny intervention, the petitioner will be notified promptly. Such notice will be in writing, identifying the reasons for the denial, and will be issued to the petitioner and all parties.

History

• Authority G.S. 150B-11; 150B-38
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0609 Types of Intervention

(a) Intervention of Right. A petition to intervene as of right, as provided in the North Carolina Rules of Civil Procedure, Rule 24, will be granted if the petitioner meets the criteria of that rule and the petition is timely.

(b) Permissive Intervention. A petition to intervene permissively, as provided in the North Carolina Rules of Civil Procedure, Rule 24, will be granted if the petitioner meets the criteria of that rule and the Board determines that:

(1) There is sufficient legal or factual similarity between the petitioner's claimed rights, privileges, or duties and those of the parties to the hearings; and

(2) Permitting intervention by the petitioner as a party would aid the purpose of the hearing.

(c) Discretionary Intervention. The Board may allow discretionary intervention, with whatever limits and restrictions are deemed appropriate.

History

• Authority G.S. 150B-11; 150B-38
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0610 Disqualification of Board Members

(a) Self-disqualification. If for any reason a Board member determines that personal bias or other factors render that member unable to hear a contested case and perform all duties in an impartial manner, that Board member shall voluntarily decline to participate in the hearing or decision.

(b) Petition for Disqualification. If for any reason any party in a contested case believes that a Board member is personally biased or otherwise unable to hear a contested case and perform all duties in an impartial manner, the party may file a sworn, notarized affidavit with the Board. The title of such affidavit should bear the notation: "AFFIDAVIT OF DISQUALIFICATION OF BOARD MEMBER IN THE CASE OF (name of case)".

(c) Contents of Affidavit. The affidavit must state all facts the party deems to be relevant to the disqualification of the Board member.

(d) Timeliness and Effect of Affidavit. An affidavit of disqualification will be considered timely if filed ten days before commencement of the hearing. Any other affidavit will be considered timely provided it is filed at the first opportunity after the party becomes aware of facts which give rise to a reasonable belief that a Board member may be disqualified under this Rule.

Where a petition for disqualification is filed less than ten days before a hearing or during the course of a hearing, the hearing shall continue with the challenged Board member sitting. Petitioner shall have the opportunity to present evidence supporting his petition, and the petition and any evidence relative thereto presented at the hearing shall be made a part of the record. The Board, before rendering its decision, shall decide whether the evidence justifies disqualification. In the event of disqualification, the disqualified member will not participate in further deliberation or decision of the case.

(e) Procedure for Determining Disqualification:

(1) The Board will appoint a Board member to investigate the allegations of the affidavit.

(2) The investigator will report to the Board the findings of the investigation.

(3) The Board shall decide whether to disqualify the challenged individual.

(4) The person whose disqualification is to be determined will not participate in the decision but may be called upon to furnish information to the other members of the Board.

(5) When a Board member is disqualified prior to the commencement of the hearing or after the hearing has begun, such hearing will continue with the remaining members sitting provided that the remaining members still constitute a majority of the Board.

(6) If four or more members of the Board are disqualified pursuant to this Rule, the Board shall petition the Office of Administrative Hearings to appoint an administrative law judge to hear the contested case pursuant to G.S. 150B-40(e).

History

• Authority G.S. 150B-11; 150B-38; 150B-40
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0611 Subpoenas

(a) Requests for subpoenas for the attendance and testimony of witnesses or for the production of documents, either at a hearing or for the purposes of discovery, shall be made in writing to the Board, shall identify any document sought with specificity, and shall include the full name and home or business address of all persons to be subpoenaed and, if known, the date, time, and place for responding to the subpoena. The Board shall issue the requested subpoenas within three days of receipt of the request.

(b) Subpoenas shall contain: the caption of the case; the name and address of the person subpoenaed; the date, hour and location of the hearing in which the witness is commanded to appear; a particularized description of the books, papers, records or objects the witness is directed to bring with him to the hearing, if any; the identity of the party on whose application the subpoena was issued; the date of issue; the signature of the presiding officer or his designee; and a "return of service". The "return of service" form, as filled out, shows the name and capacity of the person serving the subpoena, the date on which the subpoena was delivered to the person directed to make service, the date on which service was made, the person on whom service was made, the manner in which service was made, and the signature of the person making service.

(c) Subpoenas shall be served by the sheriff of the county in which the person subpoenaed resides, when the party requesting such subpoena prepays the sheriff's service fee. The subpoena shall be issued in duplicate, with a "return of service" form attached to each copy. A person serving the subpoena shall fill out the "return of service" form for each copy and properly return one copy of the subpoena, with the attached "return of service" form completed, to the Board.

(d) Any person receiving a subpoena from the Board may object thereto by filing a written objection to the subpoena with the Board's office. Such objection shall include a concise, but complete, statement of reasons why the subpoena should be revoked or modified. These reasons may include lack of relevancy of the evidence sought, or any other reason sufficient in law for holding the subpoena invalid, such as that the evidence is privileged, that appearance or production would be so disruptive as to be unreasonable in light of the significance of the evidence sought, or other undue hardship.

(e) Any objection to a subpoena must be served on the party who requested the subpoena simultaneously with the filing of the objection with the Board.

(f) The party who requested the subpoena, in such time as may be granted by the Board, may file a written response to the objection. The written response shall be served by the requesting party on the objecting witness simultaneously with filing the response with the Board.

(g) After receipt of the objection and response thereto, if any, the Board shall issue a notice to the party who requested the subpoena and the party challenging the subpoena, and may notify any other party or parties of an open hearing, to be scheduled as soon as practicable, at which evidence and testimony may be presented, limited to the narrow questions raised by the objection and response.

(h) Promptly after the close of such hearing, the majority of the Board members hearing the contested case will rule on the challenge and issue a written decision. A copy of the decision will be issued to all parties and made a part of the record.

History

• Authority G.S. 150B-11; 150B-39; 150B-40
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0612 Witnesses

Any party may be a witness and may present witnesses on the party's behalf at the hearing. All oral testimony at the hearing shall be under oath or affirmation and shall be recorded. At the request of a party or upon the Board's own motion, the presiding officer may exclude witnesses from the hearing room so that they cannot hear the testimony of other witnesses.

History

• Authority G.S. 150B-11; 150B-38; 150B-40
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0613 Final Decision

In all cases heard by the Board, the Board will issue its decision within 60 days after its next regularly scheduled meeting following the close of the hearing. The decision will be the prerequisite "final agency decision" for the right to judicial review. To obtain judicial review, the person seeking review must file a petition with the court in accordance with the provisions of G.S. 150B-45.

History

• Authority G.S. 150B-45
• Eff. May 1, 1989
• Amended Eff. February 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0614 Proposals for Decision

(a) When an administrative law judge conducts a hearing pursuant to G.S. 150B-40(e), a "proposal for decision" shall be rendered within 45 days of the hearing pursuant to the Rules of the Office of Administrative Hearings, 26 NCAC 3 .0026. The parties may file written exceptions to this "proposal for decision" and submit their own proposed findings of fact and conclusions of law. The exceptions and alternative proposals must be filed within ten days after the party has received the "proposal for decision" as drafted by the administrative law judge.

(b) Any exceptions to the procedure during the hearing, the handling of the hearing by the administrative law judge, rulings on evidence, or any other matter must be written and refer specifically to pages of the record or otherwise precisely identify the occurrence to which exception is taken. The exceptions must be filed with the Board within ten days of the receipt of the proposal for decision. The written exceptions should bear the notation: "EXCEPTIONS TO THE PROCEEDINGS IN THE CASE OF (name of case)".

(c) Any party may present oral argument to the Board upon request. The request must be included with the written exceptions.

(d) Upon receipt of request for further oral argument, notice will be issued promptly to all parties designating the time and place for such oral argument.

(e) Giving due consideration to the proposal for decision and the exceptions and arguments of the parties, the Board may adopt the proposal for decision or may modify it as the Board deems necessary. The decision rendered will be a part of the record and a copy thereof given to all parties. The decision as adopted or modified becomes the "final agency decision" for the right to judicial review. Said decision will be rendered by the Board within 60 days of the next regularly scheduled meeting following the oral arguments, if any. If there are no oral arguments presented, the decision will be rendered within 60 days of the next regularly scheduled Board meeting following receipt of the written exceptions.

History

• Authority G.S. 150B-11; 150B-38; 150B-40
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0701 Authority and Definitions

As used in this Section:

(1) "Administrator" means the administrator of the North Carolina Board of Occupational Therapy.

(2) "Board" means the North Carolina Board of Occupational Therapy.

(3) "Legal Counsel" means the legal counsel to the North Carolina Board of Occupational Therapy.

(4) "Licensee" means any individual who is duly licensed to practice occupational therapy in North Carolina as an occupational therapist or occupational therapy assistant.

(5) "Occupational therapy related services" means those activities through which occupational therapy, as defined in G.S. 90-270.67(4), is practiced.

(6) "Professional Corporation" means professional corporations organized for the purpose of providing occupational therapy related services in North Carolina.

History

• Authority G.S. 55B-2; 55B-12; 90-270.69(4)
• Eff. February 1, 1994
• Amended Eff. July 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0702 Prerequisites for Incorporation

The following requirements must be met in order to incorporate:

(1) The incorporator, whether one or more, of a professional corporation shall be licensed to practice occupational therapy in North Carolina as an occupational therapist.

(2) Before the filing of the articles of incorporation with the Secretary of State, the incorporators shall file with the administrator of the Board a copy of the original articles of incorporation, together with a registration fee of fifty dollars ($50.00).

(3) The copy of the articles of incorporation shall be accompanied by an application to the Board (Corp. Form 01) certified by all incorporators, setting forth the names, addresses and N.C. license numbers of each shareholder of the corporation who will be practicing occupational therapy for the corporation.

(4) Included with the articles of incorporation shall be a statement that all such persons are licensed to practice occupational therapy in North Carolina as occupational therapists, and stating that the corporation will be conducted in compliance with the Professional Corporation Act and the rules of this Section.

(5) If the articles are changed in any manner before being filed with the Secretary of State, they shall be resubmitted to the administrator of the Board and shall not be filed until approved by the administrator of the Board.

History

• Authority G.S. 55B-4; 55B-10; 90-270.69(4)
• Eff. February 1, 1994
• Amended Eff. July 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0703 Certificate of Registration

The Certificate of Registration shall be issued as follows:

(1) The legal counsel or administrator shall issue a Certificate of Registration (Corp. Form 02) for the professional corporation to become effective only when the professional corporation files the articles of incorporation with the Secretary of State and if:

(a) the legal counsel or administrator of the Board finds that no disciplinary action is pending before the Board against any of the licensed incorporators or persons who will be directors, officers, or shareholders of such corporation; and

(b) it appears to the legal counsel or administrator that such corporation will be conducted in compliance with the law and rules.

(2) The proposed original articles of incorporation, and the Certificate of Registration, shall be returned to the incorporators for filing with the Secretary of State. The copy of the articles and a copy of the certification shall be retained in the administrative offices of the Board. If the required findings cannot be made, the registration fee shall be refunded to the incorporators.

(3) The initial Certificate of Registration shall remain in effect until June 30 of the year in which it was issued unless suspended or terminated as provided by law. The Certificate of Registration shall be renewed annually thereafter.

(4) Prior to the date of expiration of the certificate, the corporation shall submit its written application for renewal upon a form as provided by the Board. The application shall be accompanied by check in the amount of twenty-five dollars ($25.00) in payment of the renewal fee. The Board shall renew the certificate provided that the Board finds that the corporation has followed the law and the rules of the Board.

(5) If the corporation does not apply for renewal of its Certificate of Registration within 30 days after the date of its expiration, the Certificate of Registration shall be automatically suspended. Upon suspension of the Certificate of Registration, the legal counsel or the administrator of the Board shall notify the Secretary of State in writing.

(6) The Certificate of Registration may be reinstated within the fiscal year upon payment of the renewal fee plus a late renewal fee of ten ($10.00), if such corporation is then otherwise qualified and entitled to a renewal of its Certificate of Registration.

History

• Authority G.S. 55B-10; 55B-11; 55B-12; 90-270.69(4)
• Eff. February 1, 1994
• Amended Eff. July 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0704 General and Administrative Provisions

(a) If the legal counsel or administrator shall decline to issue a Certificate of Registration required by 21 NCAC 38 .0703(1), or decline to renew the same when requested, or shall refuse to take any other action required of him/her in writing by a professional corporation, the aggrieved party may request, in writing, a review of such action by the Board, and the Board shall provide a formal hearing for such aggrieved party before a majority of the Board.

(b) All amendments to charters of professional corporations, all merger and consolidation agreements to which a professional corporation is a party, and all dissolution proceedings and similar changes in the corporate structure of a professional corporation shall be filed with the legal counsel or administrator of the Board for approval before being filed with the Secretary of State.

(c) The legal counsel or administrator may issue the certificate (Corp. Form 04) required by G.S. 55B-6 when stock is transferred in a professional corporation, and such certificate shall be permanently attached to the stub of the transferee’s certificate in the stock book of the professional corporation.

History

• Authority G.S. 55B-6; 90-270.69(4)
• Eff. February 1, 1994
• Amended Eff. July 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0705 Forms

The following forms may be secured from the office of the Board regarding professional corporations:

(1) Regulations adopted by the Board relating to Professional Corporations whose purpose is providing occupational therapy related services;

(2) Corp. Form 01 - Certificate of Incorporator(s) and Application for a Certificate of Registration for a Professional Corporation;

(3) Corp. Form 02 - Certificate of Registration of a Professional Corporation for the Purpose of Providing Occupational Therapy Related Services;

(4) Corp. Form 03 - Application for Renewal of Certificate of Registration; and

(5) Corp. Form 04 - Certificate Authorizing Transfer of Stock in Professional Corporation Organized to Provide Occupational Therapy Related Services.

History

• Authority G.S. 55B-12; 90-270.69(4)
• Eff. February 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0706 Fees

(a) Initial issuance of a Certificate of Registration requires a fee of fifty dollars ($50.00).

(b) Renewal of a Certificate of Registration requires a fee of twenty-five dollars ($25.00).

(c) Late renewal of a Certificate of Registration requires an additional fee of ten dollars ($10.00).

History

• Authority G.S. 55B-10; 55B-11; 55B-12; 90-270.69(4)
• Eff. February 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0801 Continuing Competence Definitions

As used in this Section:

(1) "AOTA Approved Provider Program" means a voluntary process of review and approval of continuing education (CE) providers by the American Occupational Therapy Association (AOTA) based on criteria and guidelines that assess a provider's ability to develop and implement CE activities that are relevant to the practice of occupational therapy.

(2) "Contact Hour" means a unit of measure for a continuing education activity. One contact hour equals 60 minutes in a learning activity, excluding meals and breaks.

(3) "Continuing Competence" means a process in which an occupational therapist or an occupational therapy assistant develops and maintains the knowledge, performance skills, interpersonal abilities, critical reasoning skills, and ethical practice reasoning skills necessary to perform his or her occupational therapy professional responsibilities.

(4) "Continuing Education" means structured educational experiences beyond academic degree work that are intended to provide knowledge in a particular area.

(5) "Continuing Education Credit" means credit given for a formalized activity in the form of contact hours or continuing education units.

(6) "Continuing Education Unit (CEU)" means a unit of measure for continuing education. One CEU is defined as 10 contact hours of participation in a learning activity excluding meals and breaks.

(7) "Peer Reviewed" means any written work that is blind reviewed by more than one person.

(8) "Points" means an assigned unit of measure for each continuing competence activity as set forth in Rule .0805 of this Section.

History

• Authority G.S. 90-270.69; 90-270.75(a)
• Eff. July 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. January 1, 2020.

21 NCAC 38 .0802 Continuing Competence Requirements for Licensure

(a) Licensed occupational therapists and occupational therapy assistants applying for license renewal shall document having earned a minimum of 15 points for approved continuing competence activities between July 1 of the preceding year and June 30 of the current year. Documentation of each continuing competence activity shall comply with Rule .0805 of this Chapter.

(b) For each renewal period, the licensee shall document completion of at least one contact hour of a qualified activity for maintaining continuing competence related to ethics in the practice of occupational therapy that shall be included in the total points for the year. Continuing competence activities in ethics shall be related to developing the licensee's ability to reflect on, determine, and act on the moral aspects of practice as required by Rule .0308 of this Chapter.

(c) Continuing competence contact hours exceeding the total needed for renewal shall not be carried forward to the next renewal period.

(d) Continuing competence activities shall not include new employee orientation or annual training required by the employer.

(e) Licensees shall not receive credit for completing the same continuing competence activity more than once during a renewal period.

History

• Authority G.S. 90-270.69; 90-270.75(a)
• Eff. July 1, 2007
• Amended Eff. January 1, 2015; February 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0803 Approval of Activities for Maintaining Continuing Competence

(a) Provided the activities meet the requirements of Rule .0804, the Board shall approve:

(1) Continuing competence activities sponsored or approved by the North Carolina Occupational Therapy Association;

(2) Continuing competence activities sponsored or approved by the American Occupational Therapy Association; and

(3) Continuing competence activities sponsored by AOTA approved providers.

(b) A provider of a continuing competence activity shall furnish documentation for demonstrating completion to all participants, specifying the following information:

(1) name of the participant;

(2) name of the provider;

(3) dates of the activity and completion;

(4) title and location of the activity;

(5) number of contact hours; and

(6) signature of the provider or representative.

History

• Authority G.S. 90-270.69; 90-270.75(a)
• Eff. July 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. July 1, 2018.

21 NCAC 38 .0804 Scope of Qualified Activities for Maintaining Continuing Competence

(a) To be approved by the Board, activities that qualify for maintaining continuing competence as set forth in Rule .0805 of this Section must be related to the licensee's current or anticipated roles and responsibilities in occupational therapy by enhancing the licensee's continuing competence.

(b) Subject matter for approved activities include research; theoretical or practical content related to the practice of occupational therapy; or the development, administration, supervision, and teaching of clinical practice or service delivery programs by occupational therapists or occupational therapy assistants.

(c) Documentation of completion of continuing competence activities must be submitted to the Board as set forth in Rule .0805 of this Section.

History

• Authority G.S. 90-270.69; 90-270.75(a)
• Eff. July 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. January 1, 2020.

21 NCAC 38 .0805 Qualified Activities for Maintaining Continuing Competence

Activities that qualify for maintaining continuing competence shall include the following:

(1) Continuing Education:

(a) Includes attendance and participation at a live presentation such as a workshop, seminar, conference, or in-service educational program and may include participation in other continuing education activities that require an assessment of learning. Examples of continuing education include electronic or Web-based courses, AOTA Self-Paced Clinical Courses or other formalized self-study courses, or AOTA Continuing Education Articles;

(b) A licensee shall earn one point for each contact hour that is awarded by the provider. There are no maximum points in this category; and

(c) Documentation shall include a certificate of completion including name of course, date, author/instructor, sponsoring organization, location, and number of hours attended.

(2) Academic Coursework:

(a) Includes participation in on-site or distance learning academic courses from a university, college, or vocational technical adult education course related to the practice of occupational therapy;

(b) A licensee shall earn one point for each contact hour, up to a maximum of six points, except that a licensee enrolled in a graduate or post-graduate OT curriculum has no maximum points in this category; and

(c) Documentation shall include an original official transcript indicating completion of the course, date, and a description of the course from the school catalogue or course syllabus.

(3) Small Group Study:

(a) Includes review and discussion of journal articles, clinical videotapes or audiotapes by at least two licensed practitioners;

(b) A licensee shall earn one point for three contact hours up to a maximum of three points; and

(c) Documentation shall include title, author, publisher, time spent, and date of completion. Licensee must complete the Small Group Study Form provided by the NCBOT and include a statement that describes how the activity relates to a licensee's current or anticipated roles and responsibilities.

(4) Mentorship Agreement:

(a) Participation as a Mentee:

(i) Participation in a formalized mentorship agreement with a mentor as defined by a signed contract between the occupational therapy practitioner mentor and the occupational therapy practitioner mentee that outlines specific goals and objectives and designates the plan of activities that are to be met by the mentee. These activities must be related to the development of new occupational therapy skills outside current required job performance;

(ii) A licensee shall earn one point for each 10 contact hours spent in activities directly related to achievement of goals and objectives up to a maximum of two points; and

(iii) Documentation shall include name of mentor and mentee, copy of signed contract, dates, hours spent and focus of mentorship activities, and outcomes of mentorship agreement.

(b) Participation as Mentor:

(i) Participation in a formalized mentorship agreement with an occupational therapy practitioner or post Level II OT or OTA fieldwork student mentee as defined by a signed contract between the mentor and mentee that designates the responsibilities of the mentor and specific goals and objectives that are to be met by the mentee. These activities must be related to the development of occupational therapy skills for the mentee. The mentorship must not be part of the mentor's current required job responsibilities;

(ii) A licensee shall earn one point for each four hours spent in mentorship activities as a mentor up to a maximum of five points; and

(iii) Documentation shall include name of mentor and mentee, copy of signed contract, dates, hours spent and focus of mentorship activities, and outcomes of mentorship agreement.

(5) Fieldwork Supervision:

(a) Participation as the primary clinical fieldwork educator for Level I or Level II OT or OTA fieldwork students;

(b) A licensee shall earn one-half point for each 20 hours of fieldwork, up to a maximum of 12 points; points for Level I may not exceed six.

(c) Documentation shall include verification provided by the school to the fieldwork educator with the name of student, school, and dates of fieldwork or the signature page of the completed student evaluation form. Evaluation scores and comments shall be deleted or blocked out; and

(d) If fieldwork spans two licensure years, credit shall be given only for the year it is completed.

(6) Professional Writing:

(a) Publication of a peer-reviewed book, chapter, article, or contracted review of occupational therapy resource material;

(b) During the year written, edited, or reviewed a licensee shall earn:

(i) 15 points as author of a book;

(ii) 10 points as author of a chapter;

(iii) Five points as author of a peer-reviewed article;

(iv) Five points as a contracted reviewer of a print or multimedia occupational therapy resource; or

(v) 10 points as listed editor of a book.

(c) Documentation shall consist of full reference for publication including title, author, editor, and date of publication; or copy of acceptance letter, if not yet published; and

(d) Credit for submitted items shall be given for one licensure period only.

(7) Presentation and Instruction:

(a) Presentation of an academic course or peer-reviewed or non peer-reviewed workshop, seminar, in-service, electronic or Web-based course for the first time or for which more than 50% of the material has been revised related to occupational therapy;

(b) A licensee shall earn two points for one contact hour that is awarded for an activity, up to a maximum of six points; and

(c) Documentation shall include a copy of official program, schedule, or syllabus including presentation title, date, hours of presentation, and type of audience or verification of such, signed by the sponsor.

(8) Professional Meetings and Activities:

(a) Includes participation in board or committee work with agencies or organizations to promote and enhance the practice of occupational therapy;

(b) A licensee shall earn one point for five hours, up to a maximum of two points for participation on committees or boards; and

(c) Documentation must include name of committee or board, name of agency or organization, purpose of service, description of licensee's role, and hours of participation must be signed by an officer or representative of the organization or committee.

(9) Board Certification or Specialty Certification:

(a) The Board shall recognize completion of activities that result in board certification or specialty certification by AOTA during the current licensure period;

(b) A licensee shall earn 15 points for each board certification or specialty certification credential earned or re-certified during the current licensure period; and

(c) Documentation shall include certificate of completion or other documentation from the recognized certifying body that identifies satisfactory completion of requirements for obtaining board certification or specialty certification or recertification.

(10) Research and Grants:

(a) Development of or participation in a research project or grant proposal relevant to occupational therapy;

(b) A licensee shall earn one point for each three hours spent working on a research project or grant proposal, up to a maximum of five points; and

(c) Documentation includes verification from the primary investigator indicating the name of the research project, dates of participation, major hypotheses or objectives of the project, and licensee's role in the project or name of grant proposal, name of grant source, purpose and objectives of the project, and verification from the grant author regarding licensee's role in the development of the grant if not the author.

History

• Authority G.S. 90-270.69; 90-270.75(a)
• Eff. July 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. January 1, 2020.

21 NCAC 38 .0806 Waiver of Requirements

The Board shall waive all or part of the continuing competence activity requirements of this Section if an occupational therapist or occupational therapy assistant submits written request for a waiver and provides evidence to the satisfaction of the Board of an illness, injury, financial hardship, family hardship, or other similar extenuating circumstance which precluded the individual's completion of the requirements. The Board shall add the unfulfilled continuing competence hours to the following year's requirements.

History

• Authority G.S. 90-270.69; 90-270.75(a)
• Eff. July 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0807 Documentation/Reporting Procedures

(a) Licensees shall maintain the required proof of completion for each continuing competence activity as specified in the rules of this Section. The required documentation shall be retained by the licensee for two years following the last day of the license renewal period for which the continuing competence activities were earned.

(b) Licensees shall not send their continuing competence activity documentation to the Board unless audited or otherwise requested by the Board.

History

• Authority G.S. 90-270.69; 90-270.75(a)
• Eff. July 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0808 Audit of Continuing Competence Activities

(a) The Board shall perform a random audit of licensees' continuing competence activity requirements at least once during each licensing period.

(b) A licensee who is audited shall provide proof of completion of the continuing competency activities.

(c) A licensee who fails to comply with the continuing competence activity requirements of this Section shall be subject to disciplinary action that may include suspension or revocation of license.

History

• Authority G.S. 90-270.69; 90-270.75(a)
• Eff. July 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0901 Notification of Supervision Change

Occupational therapy assistants and supervising occupational therapists must notify the Board office in writing of any change in ceasing or assuming supervision. The occupational therapist is responsible for supervision of the occupational therapy assistant until official notice that supervision has ceased is received at the Board office. Failure to notify the Board may subject both the occupational therapist and occupational therapy assistant to disciplinary action. Notices must be signed. Telephone or email notices shall not be accepted.

History

• Authority G.S. 90-270.69
• Eff. July 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0902 Supervision is an interactive process.

The occupational therapist and the occupational therapy assistant are each responsible for supervision to ensure safe and effective service delivery of occupational therapy services and to foster professional competence and development. The supervising occupational therapist shall provide supervision. The occupational therapy assistant shall obtain supervision. Evidence of supervision must be recorded on a supervisory log or in the documentation.

History

• Authority G.S. 90-270.69
• Eff. July 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0903 Types of supervision

(a) Occupational therapy assistants at all levels shall require general supervision by an occupational therapist pursuant to Rule .0103(21)(a) of this Chapter.

(b) Occupational therapy students shall require supervision by an occupational therapy practitioner as follows:

(1) An occupational therapy practitioner shall comply with Accreditation Council for Occupational Therapy Education (ACOTE) requirements for experience when supervising Level II fieldwork occupational therapist and occupational therapy assistant students, which ACOTE requirements, including subsequent amendments and editions, are incorporated by reference. Copies of the incorporated material are available for inspection at the Board office and are available for purchase for five dollars ($5.00);

(2) The occupational therapist may supervise Level I and Level II fieldwork occupational therapist and occupational therapy assistant students; and

(3) The occupational therapy assistant may:

(A) Supervise Level I occupational therapist or occupational therapy assistant students;

(B) Supervise Level II occupational therapy assistant students; and

(C) Participate in the supervision of Level II occupational therapist students under the direction and guidance of the supervising occupational therapist.

(c) Unlicensed personnel and volunteers require direct supervision. Unlicensed personnel or volunteers may be supervised by occupational therapists or occupational therapy assistants.

History

• Authority G.S. 90-270.69
• Eff. July 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. July 1, 2018.

21 NCAC 38 .0904 Documentation of Supervision

(a) Documentation of supervision is the responsibility of both the occupational therapist and occupational therapy assistant. Documentation must include the frequency of supervisory contact, method(s) or type(s) of supervision, content areas addressed, and names and credentials of the persons participating in the supervisory process.

(b) Supervision must reflect a review of all aspects of the occupational therapy assistant's practice. In any situation, the occupational therapist is ultimately responsible for all delegated services. Co-signature on occupational therapy service documentation, even if mandated by statute or rule, does not accurately satisfy supervision requirements.

(c) Effectiveness of the supervision shall be regularly evaluated by both the occupational therapist and the occupational therapy assistant.

History

• Authority G.S. 90-270.69
• Eff. July 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .0905 Delineation of Clinical Responsibilities

Regardless of the setting in which occupational therapy services are delivered, the occupational therapist and the occupational therapy assistant shall have the following responsibilities during client evaluation, intervention, and outcome evaluation:

(1) Evaluations:

(a) The occupational therapist shall;

(i) Direct the evaluation process;

(ii) Determine the need for services;

(iii) Define the problems within the domain of occupational therapy that need to be addressed;

(iv) Determine the client's goals and priorities in collaboration with the occupational therapy assistant and the client or caregiver;

(v) Interpret the information provided by the occupational therapy assistant and integrate that information into the evaluation decision-making process;

(vi) Establish intervention priorities;

(vii) Determine specific future assessment needs;

(viii) Determine specific assessment tasks that can be delegated to the occupational therapy assistant; and

(ix) Initiate and complete the evaluation, interpret the data, and develop the intervention plan in collaboration with the occupational therapy assistant.

(b) The occupational therapy assistant may contribute to the evaluation process by implementing assessments delegated by the occupational therapist.

(2) Intervention Planning:

(a) The occupational therapist shall develop the occupational therapy intervention plan. The plan may be developed collaboratively with the occupational therapy assistant and the client or caregiver; and

(b) The occupational therapy assistant may provide input into the intervention plan.

(3) Intervention implementation:

(a) The occupational therapist:

(i) Shall implement the occupational therapy intervention;

(ii) May delegate aspects of the occupational therapy intervention to the occupational therapy assistant; and

(iii) Shall supervise all aspects of intervention delegated to the occupational therapy assistant.

(b) The occupational therapy assistant shall implement delegated aspects of intervention in which the occupational therapy assistant has established service competency; and

(c) Occupational therapists shall not be subject to disciplinary action by the Board for refusing to delegate or refusing to provide the required training for delegation, if the occupational therapist determines that delegation may compromise client safety.

(4) Intervention review:

(a) The occupational therapist shall meet with each client who has been assigned to an occupational therapy assistant to further assess the client, to evaluate intervention, and, if necessary, to modify the individual's intervention plan;

(b) The occupational therapist shall determine the need for continuing or discontinuing services; and

(c) The occupational therapy assistant may contribute to the process of determining continuing or discontinuing services by providing information about the client's response to intervention to assist with the occupational therapist's decision making.

(5) Documentation:

(a) The occupational therapy practitioner shall document each evaluation, intervention, and discharge plan recognizing the requirements of practice settings, payors, and service delivery models. Documentation shall include the following elements:

(i) Client name or identifiable information;

(ii) Signature with occupational therapist or occupational therapy assistant designation of the occupational therapy practitioner who performed the service;

(iii) Date of the evaluation, intervention, or discharge plan;

(iv) Objective and measurable description of contact or intervention and client response; and

(v) Length of time of intervention session or evaluation.

(b) The occupational therapist shall determine the overall completion of the evaluation, intervention, or discharge plan; and

(c) The occupational therapy assistant shall;

(i) Document intervention, intervention response, and outcome; and

(ii) Document client's level of function at discharge.

(6) Discharge:

(a) The occupational therapist shall determine the client's discharge from occupational therapy services; and

(b) The occupational therapy assistant shall:

(i) Report data for discharge summary; and

(ii) Formulate discharge or follow-up plans under the supervision of the occupational therapist.

(7) Outcome evaluation:

(a) The occupational therapist is responsible for the selection, measurement, and interpretation of outcomes that are related to the client's ability to engage in occupations; and

(b) The occupational therapy assistant must be knowledgeable about duties delegated by the occupational therapist that relate to the client's targeted occupational therapy outcome and provide information relating to outcome achievement.

History

• Authority G.S. 90-270.69
• Eff. July 1, 2007
• Amended Eff. December 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. July 1, 2018.

21 NCAC 38 .1001 Limited Permit

History

• Status: repealed
• Authority G.S. 90-270-69; 90-270.74
• Eff. July 1, 2007
• Repealed Eff. November 1, 2007.

21 NCAC 38 .1002 Supervision of Limited Permittee

History

• Status: repealed
• Authority G.S. 90-270-69; 90-270.74
• Eff. July 1, 2007
• Repealed Eff. November 1, 2007.

21 NCAC 38 .1003 SERVICE COMPETENCY OF limited permittee

History

• Status: repealed
• Authority G.S. 90-270-69; 90-270.74
• Eff. July 1, 2007
• Repealed Eff. November 1, 2007.

21 NCAC 38 .1004 SIGNATURE OF limited permittee

History

• Status: repealed
• Authority G.S. 90-270-69; 90-270.74
• Eff. July 1, 2007
• Repealed Eff. November 1, 2007.

21 NCAC 38 .1005 Board Notification

History

• Status: repealed
• Authority G.S. 90-270-69; 90-270.74
• Eff. July 1, 2007
• Repealed Eff. November 1, 2007.

21 NCAC 38 .1101 Responsibility of the Occupational Therapy Practitioner

(a) The occupational therapy practitioner is responsible for the quality of all occupational therapy services provided to the client by persons under the practitioner's supervision. It is the occupational therapy practitioner who provides skilled occupational therapy services through the exercise of professional judgment.

(b) The occupational therapy practitioner shall provide and review these Rules with each unlicensed person under the practitioner's supervision.

History

• Authority G.S. 90-270-69
• Eff. July 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

21 NCAC 38 .1102 Delegation of Duties to Unlicensed Personnel

(a) Unlicensed personnel do not provide skilled occupational therapy services. Unlicensed Personnel are trained by an occupational therapist or occupational therapy assistant to perform specifically delegated tasks. The occupational therapist is responsible for the overall use and actions of the unlicensed personnel. Unlicensed personnel first must demonstrate competency to be able to perform the assigned, delegated client and non-client related tasks.

(b) The occupational therapist must oversee the development, documentation, and implementation of a plan to supervise and routinely assess the ability of the unlicensed personnel to carry out client and non-client related tasks. The occupational therapy assistant may contribute to the development and documentation of this plan.

(c) The occupational therapy assistant may supervise unlicensed personnel.

(d) Non-client related tasks include clerical and maintenance activities and preparation of the work area or equipment.

(e) Client-related tasks are routine tasks during which the unlicensed personnel may interact with the client but does not provide skilled occupational therapy services. The following factors must be present when an occupational therapist or occupational therapy assistant delegates a selected client-related task to the unlicensed personnel;

(1) The outcome anticipated for the delegated task is predictable;

(2) The situation of the client and environment is stable and will not require the judgment interpretation, or adaptations be made by the unlicensed personnel;

(3) The client has demonstrated some previous performance ability in executing the task; and

(4) The task routine and process have been established.

(f) When performing delegated client-related tasks the supervisor must ensure that the unlicensed personnel;

(1) is trained and able to demonstrate competency in carrying out the selected task and using equipment, if appropriate;

(2) has been instructed on how to specifically carry out the delegated task with the specific client, and

(3) knows the precautions, signs and symptoms for the particular client that would indicated the need to seek assistance for the occupational therapist or occupational therapy assistant.

(g) The supervision of the unlicensed personnel must be documented and include;

(1) information about frequency and methods of supervision used;

(2) the content of supervision; and

(3) the names and credentials of all persons participating in the supervisory process.

(h) Occupational therapy practitioners shall not allow employer or work place pressures to result in the prohibited use of unlicensed personnel.

(i) Services provided by unlicensed personnel may not be billed, charged, or identified as "occupational therapy."

History

• Authority G.S. 90-270-69
• Eff. July 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

Chapter 39 On-Site Wastewater Contractors and Inspectors Certification

21 NCAC 39 .0101 Definitions

In addition to the terms defined in Article 5 of Chapter 90A of the General Statutes, the following definitions apply to the Rules in this Chapter:

(1) "Authorized On-Site Wastewater Evaluator" means the same as defined in G.S. 130A-336.2(a); hereafter referred to as "evaluator".

(2) "Building being constructed" means construction of a site-built single family residence constructed pursuant to Article 1, Chapter 87 of the General Statutes.

(3) "College course" means a semester unit or quarter unit-based instruction given at a college or university that is relevant to on-site wastewater contractor or point-of-sale inspector activities, and is pre-approved by the board as set out in Rule .0602 of this Chapter.

(4) "Course or Activity" means any course or activity with a purpose and objective that maintains, improves, or expands skills and knowledge relevant to the practice of on-site wastewater contractor or point-of-sale inspector activities and is pre-approved in accordance with G.S. 90A-79(b) and Rule .0602 of this Section.

(5) "Evaluation" shall include the following information:

(a) wastewater characteristics;

(b) design unit;

(c) design capacity;

(d) design volume;

(e) criteria for the design, installation, operation, maintenance and performance of wastewater collection, treatment and disposal systems;

(f) soil morphology and drainage;

(g) topography and landscape position;

(h) depth to seasonally high water table, rock and water impeding formations;

(i) proximity to water supply wells, shellfish waters, estuaries, marshes, wetlands, areas subject to flooding, streams, lakes, swamps and other bodies of surface or groundwaters;

(j) Density of wastewater collection, treatment and disposal systems in a geographical area;

(k) Other factors that, in the opinion of the evaluator, affect the operation and performance of wastewater collection, treatment and disposal systems; and

(l) Any other information that may be required by G.S. 130A-335(e).

(6) "Introduction course" means a class required to be eligible to apply for certification.

(7) "Licensed soil scientist" means an individual licensed in accordance with Chapter 89F of the General Statutes.

(8) "Notice of Intent to Construct" means, at a minimum, that information required by G.S. 130A-336.2(b) and is provided as a form as set forth in Rule .1102 of this Chapter.

(9) "Personally supervise" means to direct and control all on-site wastewater contractor, point-of-sale inspector, or private compliance inspector activities during the time those activities are being conducted.

(10) "Point-of-sale inspector" means a person who performs an inspection of an on-site wastewater system as part of a real estate transaction.

(11) "Private compliance inspector" means the same as defined in G.S. 90A-71(10).

(12) "Professional development hour" or "PDH" means an hour of instruction or presentation and is the basic unit of credit for all courses or activities related to satisfying continuing education requirements.

(13) "Repair" means construction activity or alteration to an existing on-site wastewater system that is necessary to comply with a Construction Authorization for a repair permit issued by the Local Health Department or through the Authorized On-Site Wastewater Evaluator option pursuant to G.S. 130A-336.2.

(14) "Seal" means the seal required by G.S. 130A-336.2(d)(2) for certified Authorized On-Site Wastewater Evaluator.

(15) "Subordinate" means the same as defined in G.S. 89F-3(10).

History

• Authority G.S. 90A-71; 90A-72; 90A-74; 130A-336.2
• Eff. February 1, 2011
• Amended Eff. January 1, 2016; January 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2021
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0102 Types of Certification

(a) The levels of certification for on-site wastewater contractors are as follows:

| Level | Description of Activities | | --- | --- | | II | Single Septic Tank, Conventional (Gravel) Gravity System Multiple tanks, Grease Traps, Single Pump or Single Siphon, Fill Systems, Sand Lined Trench, and any approved gravity or single pump dispersal system not specified in Grade Level IV, Systems of ≤ 1500 gdp | | IV | Grade II, plus: Dual pumps or Dual Siphons, Low-Pressure Dispersal, Flow Equalization, and any system requiring ground water lowering with a pump, Systems of > 1500 gdp, Multiple Off-Site Systems, Industrial Process Wastewater, Residential Wastewater Treatment Systems (RWTS), TS-I and TS-II System, Drip Dispersal Systems, and Wastewater Reuse Systems or any Pretreatment Component. |

(b) Point-of-sale inspectors and private compliance inspectors are certified to inspect all on-site wastewater systems referenced in Paragraph (a) of this Rule.

(c) Evaluators certified by the Board pursuant to G.S. 130A-336.2(a) shall comply with the standards set forth in G.S. 130A-336.2.

History

• Authority G.S. 90A-72; 90A-74; 90A-77; 130A-336.2
• Eff. February 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2021;.
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0103 Annual Reports

(a) On or before October 31 of each year, the Board shall prepare and file reports required pursuant to G.S. 93B-2. The Board shall file reports in the manner requested by the receiving agency or committee.

(b) The Board shall maintain an escrow account. Fees tendered during a period of suspension under G.S. 93B-2(d) shall be deposited into this escrow account.

History

• Authority G.S. 90A-74; 93B-2
• Eff. July 1, 2019
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0201 Application Requirements for Certification

(a) Applications for certification shall be submitted on forms provided by the Board.

(1) Applications for a contractor or point-of-sale inspector shall include:

(A) Applicant's name;

(B) Company address;

(C) Phone number;

(D) Date of birth;

(E) Email address, if available;

(F) Company or employer name and address;

(G) Company phone number;

(H) County where company is located;

(I) If the certification is for contractor or point-of-sale inspector;

(J) The contractor certification level, if applicable;

(K) Certification number, if renewal;

(L) Required certification fee, as specified in Rule .0301 of this Chapter;

(M) Dates, locations, hours, and providers of required education and training;

(N) Applicant signature;

(O) Copy of Applicant's Social Security Card issued by the United States Social Security Administration, bearing Applicant's name and Social Security Number;

(P) Grade Level IV or point-of-sale Inspector verification of experience requirements as specified in G.S. 90A-77;

(Q) Copy of attendance certificate for required education received within 12 months of date of application; and

(R) Exam application.

(2) Applications for evaluator shall include:

(A) Applicant's name;

(B) Company address;

(C) Phone number;

(D) Date of birth;

(E) Email address, if available;

(F) Company or employer name and address;

(G) Company phone number;

(H) County where company is located;

(I) Required certification fee, as specified in Rule .0301 of this Chapter;

(J) Copy of attendance certificate for required education received within 12 months of date of application;

(K) Copy of current Errors and Omission Policy declaration page, as required by G.S. 130A-336.2;

(L) Copy of current General Liability Policy declarations page, as required by G.S. 130A-336.2;

(M) Copy of current Soil Scientist License pursuant to Chapter 89F;

(N) Verification of minimum of five years' experience in on-site wastewater soil science;

(O) Applicant signature;

(P) Copy of Applicant's Social Security Card issued by the United States Social Security Administration, bearing Applicant's name and Social Security Number; and

(Q) Exam application.

(3) Applications for private compliance inspector shall include:

(A) Applicant's name;

(B) Company address;

(C) Phone number;

(D) Date of birth;

(E) Email address, if available;

(F) Company or employer name and address;

(G) Company phone number;

(H) County where company is located;

(I) Required certification fee, as specified in Rule .0301 of this Chapter;

(J) Copy of attendance certificate for required education received within 12 months of date of application;

(K) Copy of current Errors and Omission Policy and General Liability Policy declaration page, as required by G.S. 130A-337(a2)(2);

(L) The name and address of the places at which applicant worked as a certified contractor, evaluator, subsurface operator, or registered environmental health specialist with experience in on-site wastewater matters for at least five years, along with the dates during which the applicant performed such work;

(M) Applicant signature;

(N) Copy of Applicant's Social Security Card issued by the United States Social Security Administration, bearing Applicant's name and Social Security Number; and

(O) Exam application.

(b) Applications for renewal shall be submitted annually on forms provided by the Board and shall include:

(1) Certification holder's name;

(2) Company name;

(3) Company address;

(4) Certification number(s)

(5) Copy of required continuing education documentation;

(6) Annual renewal fee, as specified in Rule .0301 of this Chapter;

(7) Current copies of all required insurance declarations pages;

(8) Evaluators will also submit a current copy of their Licensed Soil Scientist license; and

(9) Applicant signature.

(c) Incomplete applications and applications not accompanied by the fee as set forth in Rule .0301 of this Chapter shall not be processed and shall be returned to the applicant.

(d) Upon approval of an initial application pursuant to the requirements of this Chapter, the Board shall schedule an applicant to take the required examination.

(e) In cases where the applicant is ineligible for examination as set forth in G.S. 90A-77, the applicant shall be notified by letter and advised of the reason for ineligibility.

(f) Applicants who have supplied false information must wait 12 months before resubmitting an application for certification or renewal and must forfeit all fees paid.

History

• Authority G.S. 90A-72; 90A-74; 90A-77; 90A-78; 93B-14; 130A-336.2
• Eff. February 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2021
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0202 business succession

(a) A person shall be certified by the Board pursuant to G.S. 90A-77(c) upon:

(1) Providing the Board documentation of supervision by and full-time employment with a Board certified contractor or point-of-sale inspector for the past three years;

(2) Providing the Board three affidavits from local health departments as defined by G.S. 130A-34, engineers, or customers describing the applicant's involvement with the installation of on-site wastewater systems;

(3) Providing the Board with an application for certification, including appropriate initial fees;

(4) Providing the Board with proof of attendance at approved continuing education courses for a minimum of two years; and

(5) Passing the applicable test for the certification requested.

History

• Authority G.S. 90A-74; 90A-77
• Eff. January 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0301 Schedule of Certification Fees

(a) Application fees are as follows:

| Grade Level | Initial Fee | Renewal Fee | | --- | --- | --- | | II | $200.00 | $75.00 | | IV | $300.00 | $75.00 | | Point-of-Sale Inspector Certification | $200.00 | $75.00 | | On-site Wastewater Evaluator | $300.00 | $100.00 | | Private Compliance Inspector | $300.00 | $100.00 |

(b) Application fees shall not be pro-rated.

(c) The fee for re-instatement of a revoked or suspended certification is five hundred dollars ($500.00).

(d) The fee for certificate replacement or duplication is twenty-five dollars ($25.00).

(e) The fee for late renewal is twenty-five dollars ($25.00). This fee is charged if the renewal request is received after November 15.

(f) The fee for each returned check is twenty-five dollars ($25.00).

(g) All fees are non-refundable.

History

• Authority G.S. 25-3-506; 90A-72(a); 90A-74; 90A-75; 90A-77(f); 90A-78(b); 130A-336.2
• Eff. February 1, 2011
• Amended Eff. January 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2021
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0401 ON-SITE WASTEWATER CONTRACTOR, point-of-sale INSPECTOR, PRIVATE COMPLIANCE INSPECTOR, OR EVALUATOR EXAMINATIONS

(a) On-site wastewater contractor, point-of-sale inspector, private compliance inspector, or evaluator examinations shall be standardized statewide and include the topics described in G.S. 90A-77(a)(7).

(b) The exam questions shall be specific to the certification being sought by the applicant.

(c) Any applicant seeking multiple certifications shall take and pass each exam specific to the certifications being sought.

(d) Each applicant shall obtain a passing score of at least 70 percent as a requirement of certification. Results of the examination shall be reported as either "pass" or "fail."

History

• Authority G.S. 90A-72; 90A-74; 90A-77; 130A-336.2
• Eff. February 1, 2011
• Amended Eff. January 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2021
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0402 Time and Place of Examination

(a) The Board may schedule on-site wastewater contractor, point-of-sale inspector, private compliance inspector, or evaluator examinations in addition to the required examinations pursuant to G.S. 90A-77. Additional examinations may be scheduled by the Board if the Board determines that the three scheduled examinations are insufficient due to the number of applicants for examination or the time between examinations. Information regarding the date, time, and place of all exams shall be made available on the Board's web site or upon request.

(b) The Board shall notify each applicant filing for examination in writing of the date, time, and place of the examination.

History

• Authority G.S. 90A-72; 90A-74; 90A-77; 130A-336.2
• Eff. February 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2021
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0403 Conducting and Grading Examinations

(a) Examinations shall be conducted and graded under the supervision of a representative of the Board.

(b) Applicants shall identify themselves by way of a driver's license or other form of photographic identification issued by a state or federal government agency containing an identification number and the government-issued identification number appearing on the identification shall be recorded.

(c) Applicants shall not cheat or attempt to cheat on an examination by any means, including both giving and receiving assistance, and shall not communicate in any manner for any purpose other than with an examination supervisor during an examination. Applicants shall not deliberately disrupt the quiet and orderly administration of an examination in any manner. Violation of this Paragraph is cause for dismissal from the examination, invalidation of examination scores, denial of certification and revocation of certification if the person is certified.

(d) No electronics, reference materials, or bags shall be possessed by applicants in an examination area.

History

• Authority G.S. 90A-72; 90A-74; 90A-77; 90A-81
• Eff. February 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0404 Issuance of Certificates

(a) After an examination grading, the applicant shall be informed in writing by Board staff as to the results of his or her examination. The Board shall not respond to requests for exam results.

(b) Upon successful completion of the examination and all requirements for certification the applicant shall be issued a certification card.

(c) Questions by the applicant concerning the examination must be made in writing to the Board within six months of the date of notification of exam results.

(d) An applicant who fails to pass an examination shall be entitled to and notified of the privilege to review his or her examination in the presence of one or more Board members or Board staff at a location approved by the Board.

(e) Each certified on-site wastewater contractor, point-of-sale inspector, private compliance inspector, or evaluator shall be assigned a unique certification number. Certification numbers are not transferable and shall not be used by another onsite wastewater contractor, point-of-sale inspector, private compliance inspector, or evaluator.

(f) Upon certification by the Board, each evaluator shall be issued a seal by the Board.

History

• Authority G.S. 90A-72; 90A-74; 90A-77; 130A-336.2
• Eff. February 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2021
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0405 Licensure for Military-Trained Applicant; Licensure for Military Spouse

(a) Upon receipt of a request for licensure pursuant to G.S. 93B-15.1 from a military-trained applicant, the Board shall issue a license upon the applicant's satisfying the following conditions:

(1) Submit a complete Application for Certification, as required by Rule .0201 of this Chapter.

(2) Submit a license fee in accordance with G.S. 90A-75 and Rule .0301 of this Chapter;

(3) Provide documentation to satisfy conditions set out in G.S. 93B-15.1(a)(1) and (2);

(4) For evaluator, provide documentation from the N.C. Board for Licensing of Soil Scientists that demonstrates that requirements set out in G.S. 89F-10 have been satisfied; and

(5) Provide documentation that the applicant has not committed any act in any jurisdiction that would constitute grounds for refusal, suspension, or revocation of an occupational license in North Carolina at the time the act was committed.

(b) Upon receipt of a request for licensure pursuant to G.S. 93B-15.1 from a military spouse, the Board shall issue a license upon the applicant's satisfying the following conditions:

(1) Submit a complete Application for Certification, as required by Rule .0201 of this Chapter.

(2) Submit a license fee in accordance with G.S. 90A-75 and Rule .0301 of this Chapter;

(3) Submit documentation demonstrating that the applicant is married to an active member of the U.S. military;

(4) Provide documentation to satisfy conditions set out in G.S. 93B-15.1(b)(1) and (2);

(5) For evaluator, provide documentation from the N.C. Board for Licensing of Soil Scientists that demonstrates that requirements set out in G.S. 89F-10 have been satisfied; and

(6) Provide documentation that the applicant has not committed any act in any jurisdiction that would constitute grounds for refusal, suspension, or revocation of an occupational license in North Carolina at the time the act was committed.

History

• Authority: G.S. 90A-74; 90A-75; 93B-15.1; 130A-336.2
• Eff. April 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2021
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0501 Conditions and Limitations for Renewal of Certifications

(a) Certifications shall expire on December 31 of each year.

(b) A renewal shall not be granted if the applicant's certification is suspended or revoked until the period for such suspension or revocation has expired.

(c) Certified individuals under this program shall notify the Board in writing within 30 days of any changes to their name, company name, company address, phone number, or email address.

History

• Authority G.S. 90A-72; 90A-74; 90A-77; 90A-78
• Eff. February 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0601 Requirements

(a) Every certified on-site wastewater contractor, point-of-sale inspector, private compliance inspector, or evaluator shall obtain Professional Development Hours (PDH) units before each renewal of his or her certification, as described in the following table:

| Level | Annual PDH Units Required | | --- | --- | | II | 3 | | IV | 6 | | Point-of-Sale Inspector | 6 | | Certification Holders of Both Contractor Grade Level and Point-of-Sale Inspector | 6 | | Evaluator | 12 | | Private Compliance Inspector | 12 |

(b) The certified on-site wastewater contractor, point-of-sale inspector, private compliance inspector, or evaluator shall select courses and activities that have been approved as set out in Rule .0602 of this Chapter.

(c) Only PDH approved by the Board pursuant to Rule .0602 shall qualify as continuing education required to renew a certification, as set forth in G.S. 90A-78.

(d) Each on-site wastewater contractor, point-of-sale inspector, private compliance inspector, or evaluator shall attend at least 85 percent of the class in order to receive credit. Any attendee present for less time shall not receive credit for the class. The class provider or authorized representative shall certify by affidavit or attestation that each class attendee meets the requirement of this Paragraph.

(e) PDH received annually in excess of required PDH shall not be carried forward for future requirements.

(f) PDH shall expire fifteen months after completion.

History

• Authority G.S. 90A-72; 90A-74; 90A-77; 90A-78; 90A-79; 130A-336.2
• Eff. February 1, 2011
• Amended Eff. January 1, 2016; January 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2021
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0602 Approval of Continuing Education Courses

(a) All continuing education courses shall be approved by the Board before PDH can be granted.

(b) Providers must submit all continuing education courses to the Board to be approved on an annual basis.

(c) The Board shall approve courses in accordance with G.S. 90A-79 that instruct on on-site wastewater contractor, point-of-sale inspector, private compliance inspector, or evaluator activities and that enhance a contractor's, point-of-sale inspector's, private compliance inspector's, or evaluator's knowledge of construction, installation, repair, evaluation or inspection of wastewater systems. The Board shall determine which courses and activities result in the maintenance, improvement, or expansion of skills and knowledge related to the practice of on-site wastewater contractor, point-of-sale inspector, private compliance inspector, or evaluator activities. Providers may request approval of courses or activities from the Board by obtaining and completing a form available on the Board's website (www.ncowcicb.info) that provides the following information:

(1) Course content;

(2) Course schedule;

(3) Level of instruction provided such as Level II, IV, point-of-sale inspector, private compliance inspector, or evaluator;

(4) Qualifications of instructors including both education and experience; and

(5) Materials provided, field experiences, and other activities available in connection with the course(s).

History

• Authority G.S. 90A-72; 90A-74; 90A-77; 90A-78; 90A-79; 130A-336.2
• Eff. February 1, 2011
• Amended Eff. January 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2021
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0603 Determination of Credit

History

• Status: repealed
• Authority G.S. 90A-72; 90A-74; 90A-77; 90A-78; 90A-79
• Eff. February 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Repealed Eff. June 1, 2021.

21 NCAC 39 .0604 Recordkeeping

Each contractor, point of sale inspector, private compliance inspector, or evaluator shall maintain records of any completed PDH courses including the following:

(1) A log showing the type of activity claimed, sponsoring organization, location, duration, instructors or speaker's name, and PDH credits earned; or

(2) Attendance verification records in the form of completion certificates or other documents supporting evidence of attendance.

History

• Authority G.S. 90A-72; 90A-74; 90A-77; 90A-78; 90A-79; 130A-336.2
• Eff. February 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2021
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0605 Extension of Time

(a) The Board shall grant an on-site wastewater contractor, point-of-sale inspector, private compliance inspector, or evaluator an extension of time to complete continuing education (CE) requirements during a period of service in the Armed Forces of the United States upon submission of the following to the Board:

(1) written request for extension; and

(2) documentation that the requestor is serving in the Armed Forces of the United States and is eligible for an extension of time to file a tax return pursuant to G.S. 105-249.2.

(b) The Board shall grant an on-site wastewater contractor, point-of-sale inspector, private compliance inspector, or evaluator an extension of time to complete CE requirements if he or she has a disability or illness that prevents him or her from complying with CE requirements. In order to receive the waiver, the requestor shall provide the Board with the following:

(1) written request for waiver; and

(2) a letter from a licensed physician, nurse practitioner (NP), or physician assistant (PA) that describes the requestor's disability or illness and explains how the disability or illness prevents the contractor, point-of-sale inspector, private compliance inspector, or evaluator from complying with the Board's CE requirements.

(c) Where on a case-by-case basis the Board determines that due to an undue hardship (such as natural disaster or illness of family member) the contractor, point-of-sale inspector, or private compliance inspector, evaluator could not comply with the Board's CE requirements, the contractor, point-of-sale inspector, private compliance inspector, or evaluator shall be granted an extension of time in which to obtain the required CE credits. To be considered for an extension of time, a requestor shall submit the following:

(1) written request for extension; and

(2) documentation that supports the reason for the extension.

(d) The Board shall grant a waiver of CE requirements upon submission of documentation that a contractor, point-of-sale inspector, private compliance inspector, or evaluator is in active duty while serving in the Armed Forces and is or has been deployed for at least eight months during the twelve-month period during which CE credits were required.

(e) An extension granted under Paragraphs (b) or (c) of this Rule shall not exceed one year. Prior to the expiration of the extension of time, a contractor, point-of-sale inspector, private compliance inspector, or evaluator may request an additional extension in accordance with this Rule. Except as set out in Paragraph (a) of this Rule, the Board shall grant no more than two consecutive extensions.

History

• Authority G.S. 90A-72; 90A-74; 90A-77; 90A-78; 90A-79; 93B-15; 130A-336.2
• Eff. February 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2021
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0701 Revocation or Suspension of Certification

(a) The Board may revoke or suspend the certification of an on-site wastewater contractor, point-of-sale inspector, private compliance inspector, or evaluator in accordance with the provisions of G.S. 90A-80, 90A-81, and Article 3A of Chapter of 150B of the General Statutes. For holders of multiple certifications, the Board may revoke or suspend either or all certifications.

(b) Following a revocation or suspension, a certificate holder shall relinquish his or her certificate or seal by submission to the Board of the original certificate or seal and a notarized statement of relinquishment within 30 days of revocation or suspension.

(c) The Board may restrict the certificate of an on-site wastewater contractor, point-of-sale inspector, or evaluator upon receiving a complaint and making a finding that the evidence tends to show that the certificate holder has violated G.S. 90A-81(a). Written notice of the restriction that limits the ability of the certificate holder, in whole or in part, to supervise or conduct the construction, installation, repair, evaluation, or inspection of on-site wastewater systems shall be delivered in accordance with the provisions of service in G.S. 150B-42. A copy of the letter shall be kept in the on-site wastewater contractor, point-of-sale inspector, private compliance inspector, or evaluator's file. The on-site wastewater contractor, point-of-sale inspector, private compliance inspector, or evaluator shall be given the opportunity to request a hearing by submission of a rebuttal, which shall be placed into the file with the Board. The Board shall receive the letter of rebuttal within 30 days of the on-site wastewater contractor, point-of-sale inspector, private compliance inspector, or evaluator's receipt of the notice of restriction. Upon receipt of a certificate holder's rebuttal, the Board shall provide the certificate holder with an opportunity for a hearing by issuing a notice of hearing pursuant to G.S. 150B-38(d).

History

• Authority G.S. 90A-72; 90A-74; 90A-80; 90A-81; 130A-336.2
• Eff. February 1, 2011
• Amended Eff. January 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2021
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0702 Certification Following Revocation or Voluntary Surrender of Certification

(a) If a certification is revoked or voluntarily surrendered the person may not apply for a new certification for a period of 12 months from the date the certification is revoked or voluntarily surrendered.

(b) An individual whose certification was revoked or voluntarily surrendered may apply to the Board for reinstatement after the 12 month period has ended.

(c) An individual applying for reinstatement must meet all the requirements for a new applicant as specified in Article 5 of G.S. 90A and the rules adopted by the Board.

(d) Applicants denied reinstatement by the Board may appeal the decision pursuant to the procedures for an administrative hearing contained in G.S. 150B, Article 3A.

History

• Authority G.S. 90A-72; 90A-74; 90A-80; 90A-81
• Eff. February 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018:
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0703 Penalties

History

• Status: repealed
• Authority G.S. 90A-72; 90A-74; 90A-80; 90A-81
• Eff. February 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Repealed Eff. November 1, 2025.

21 NCAC 39 .0801 Code of Ethics

(a) Contractors, point-of-sale inspectors, private compliance inspectors, and evaluators shall at all times recognize their primary obligation is to protect the public in the performance of their professional duties and shall conduct the practice of those duties in a manner that protects the public health, safety and welfare.

(b) Professional opinions expressed by contractors, point-of-sale inspectors, private compliance inspector, or evaluators in the discharge of their duties shall only be based on their education and experience.

(c) No contractor, point-of-sale inspector, private compliance inspector, or evaluator shall disclose any information about the results of an inspection or evaluation without the approval of the client for whom the inspection or evaluation was performed, or the client's designated representative, except as required by law.

(d) No contractor, point-of-sale inspector, private compliance inspector, or evaluator shall accept compensation or any other consideration from more than one interested party for the same service without the consent of all interested parties.

(e) No contractor, point-of-sale inspector, private compliance inspector, or evaluator shall accept or offer commissions or allowances, directly or indirectly, from or to other parties dealing with the client in connection with work for which the licensee is responsible.

(f) No contractor, point-of-sale inspector, private compliance inspector, or evaluator shall provide an appraisal nor express an opinion of the market value of the inspected property during an inspection or in the inspection report.

(g) Before the execution of a contract to perform an on-site wastewater system point-of-sale inspection, a point-of-sale inspector shall disclose to the client any interest the point-of-sale inspector has in a business that may affect the client. No licensee shall allow his or her interest in any business to affect the quality or results of the inspection work that the inspector may be called upon to perform.

(h) Before the execution of a contract to perform, construct, or repair an on-site wastewater system installation, a contractor shall disclose to the client any interest a contractor has in a business that may affect the client. No licensee shall allow his or her interest in any business to affect the quality or results of the installation work that the contractor may be called upon to perform.

(i) Before the execution of a contract to perform an on-site wastewater system evaluation, an evaluator shall disclose to the client any interest the evaluator has in a business that may affect the client. No evaluator shall allow his or her interest in any business to affect the quality or results of the evaluation work that the evaluator may be called upon to perform. Pursuant to G.S. 130A-336.2(d)(1), the evaluator shall not form a direct business relationship with any technology.

(j) Before execution of a contract to perform an on-site wastewater system private compliance inspection, the private compliance inspector shall disclose to the client any interest the private compliance inspector has in a business that may affect the client. No private compliance inspector shall allow his or her interest in any business to affect the quality or results of the private compliance inspection that the private compliance inspector may be called upon to perform.

(k) Contractors shall not knowingly or willfully install a non-permitted system.

(l) Contractors shall not knowingly or willfully install a system or any part of a system other than what is specified in the permit.

(m) Contractors, point-of-sale inspectors, private compliance inspector, and evaluators shall not engage in false or misleading advertising, documentation, and reporting or otherwise misrepresent any matters to the public.

(n) Contractors, point-of-sale inspectors, private compliance inspector, and evaluators shall discharge their duties in accordance with Article 5 of Chapter 90A of the North Carolina General Statutes and the rules of the Board.

(o) No point-of-sale inspector shall subcontract with another point-of-sale inspector for an on-site wastewater system inspection without the knowledge and signed consent of the client.

(p) The contractor shall be the responsible party for an on-site wastewater system installation or repair that is permitted through the local health department or evaluator.

(q) The evaluator shall be responsible for the work conducted by a subordinate.

(r) The evaluator shall not perform any of the functions performed by a professional engineer for engineered wastewater systems described in G.S. 130A-336.1.

(s) Evaluators who fail to comply with G.S. 89F-19 and have their soil scientist license revoked or suspended shall also have their authorization as an evaluator revoked or suspended.

(t) Employees of a local health department or DHHS shall not construct, install, evaluate, inspect, or repair, or offer to construct, install, evaluate, inspect, or repair, onsite wastewater systems outside of their employment with a local health department or DHHS.

(u) Evaluators shall not perform duties of contractors, point-of-sale inspectors, or private compliance inspectors on any system on which they are the evaluator.

(v) The private compliance inspector shall be responsible for the work conducted by a subordinate.

History

• Authority G.S. 90A-70; 90A-72; 90A-74; 130A-336.2
• Eff. November 1, 2011
• Amended Eff. January 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. July 1, 2021; June 1, 2021
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0802 Cooperation with Board Inquiry

The Board has the power and duty to conduct investigations to determine whether violations of Article 5 of Chapter 90A of the General Statutes have occurred or may be occurring, or whether grounds exist for disciplining persons certified under Article 5 of Chapter 90A of the General Statutes. A certificate holder shall respond to any such inquiry made by the Board within 21 days from the date the inquiry was received by the certificate holder.

History

• Authority G.S. 90A-74(6) and (9); 90A-80
• Eff. July 1, 2019
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0803 Delegating to Third-Party Service Providers

(a) If a certificate holder delegates service requested by a client to another certificate holder, the delegating certificate holder must give notice to the client on or before the date of service.

(b) The certificate holder who delegates service as set forth in this Rule accepts responsibility for the quality and competency of the delegated services when the delegating certificate holder either receives payment for the delegated services or signs an evaluation or inspection report related to the delegated services.

History

• Authority G.S. 90A-74(6)
• Eff. July 1, 2019
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0901 Petition for Rule-Making

(a) Any person submitting a petition to adopt, amend, or repeal a rule by the Board shall address a petition to the Chairman at the Board office as follows: Post Office Box 132, Lawsonville, North Carolina 27022.

(b) The petition shall contain the following:

(1) for petitions to adopt or amend a rule, a draft of the proposed rule or amendment;

(2) a statement of the effect of the requested rule change; and

(3) the name and address of the petitioner.

(c) The petition may contain the following:

(1) the reason for the proposal; or

(2) any data supporting the rule proposal.

History

• Authority G.S. 90A-74; 150B-20
• Eff. July 1, 2019
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0902 Request for Declaratory Ruling

All requests for a declaratory ruling shall contain the following information:

(1) the name, address, and telephone number of the person making the request;

(2) the statute or rule to which the request relates; and

(3) a statement describing the manner in which the person has been or may be aggrieved by the statute or rule.

If a hearing is desired, the request shall so state and shall include the reason a hearing is desired.

History

• Authority G.S. 90A-74; 150B-4(a)
• Eff. July 1, 2019
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0903 Refusal to Issue Declaratory Ruling

The Board shall refuse to issue a declaratory ruling under the following circumstances:

(1) when the Board has issued a decision in a contested case that interprets the law or rule at issue in the request for declaratory ruling;

(2) when the facts underlying the request for a ruling on a rule were considered at the time of the adoption of the rule in question; or

(3) when the subject matter of the request is involved in pending litigation in North Carolina.

History

• Authority G.S. 90A-74; 150B-4
• Eff. July 1, 2019
• Readopted Eff. November 1, 2025.

21 NCAC 39 .0904 Waiver or Extension

The Board may waive or extend any rule in this Chapter that is not statutorily required if a certificate holder submits to the Board a written request. Factors the Board shall use in determining whether to grant the waiver or extension are:

(1) degree of disruption to the Board;

(2) cost to the Board;

(3) degree of benefit to the public;

(4) whether the requesting party had control over the circumstances that required the requested waiver or extension;

(5) notice to and opposition by the public;

(6) need for the waiver or extension; and

(7) previous requests for waivers or extensions submitted from the requesting party.

History

• Authority G.S. 90A-74; 150B-19(6)
• Emergency Adoption Eff. May 20, 2020
• Temporary Adoption Eff. July 24, 2020
• Eff. June 1, 2021
• Readopted Eff. November 1, 2025.

21 NCAC 39 .1001 Definitions

As used in this Section:

(1) "Automatic safety controls" means devices designed and installed to protect systems and components from excessively high or low pressures and temperatures, excessive electrical current, loss of water, high water, fire, freezing, or other unsafe conditions.

(2) "Component" means a readily accessible and observable part of an on-site wastewater system.

(3) "Cross connection" means any physical connection or arrangement between potable water and the on-site wastewater system or any other source of contamination.

(4) "Dangerous or adverse situations" means situations that pose a threat of injury to the inspector, or those situations that require the use of special protective clothing or safety equipment, such as personal protection equipment.

(5) "Describe" means to create a written report of a condition found within the system or any observed component of the inspected system.

(6) "Dismantle" means to take apart or remove any component, device, or piece of equipment that is bolted, screwed, or fastened by other means that would not be taken apart or removed by a homeowner or operator in the course of normal household maintenance.

(7) "Enter" means to go into an area to inspect all readily accessible, readily openable, and readily visible components.

(8) "Hydraulic Load Test" means the introduction of water or waste water into a system for the purposes of mimicking the system's peak flows.

(9) "Inflow" means extraneous water directly entering a component, such as via a sump pump, foundation drain, condensate line, or infiltration.

(10) "Normal operating controls" means certified operator or homeowner-operated devices.

(11) "Normal wear and tear" means superficial blemishes or defects that do not interfere with the functionality of the component or system.

(12) "Operate" means to cause systems or equipment to function.

(13) "Readily accessible" means approachable or enterable for inspection without the risk of damage to any property or alteration of the accessible space, equipment, or opening.

(14) "Readily openable access panel" means a panel provided for homeowner or certified operator maintenance and operation that has removable or operable fasteners or latch devices in order to be lifted off, swung open, or otherwise removed for inspection. This definition is limited to those wastewater system components not blocked by stored items, furniture, building components or landscaping.

(15) "Readily visible" means seen by using natural or artificial light without the use of equipment or tools other than a probe, flashlight, or mirror.

(16) "Roof drainage systems" means gutters, downspouts, leaders, splash blocks, and similar parts used to carry water off a roof and away from a building.

(17) "Shut down" means a condition or conditions wherein a piece of equipment or system cannot be operated by the device or control that a homeowner should normally use to operate it. If its safety switch or circuit breaker is in the "off" position, or its fuse is missing or blown, the inspector is not required to reestablish the circuit for the purpose of operating the equipment or system.

(18) "Statement of responsibility" means a signed and dated document, from the contractor to the system owner, that acknowledges the requirements of the onsite wastewater system specified by the evaluator.

(19) "Structural component" means a wastewater system component that supports non-variable forces or weights (dead loads) and variable forces or weights (live loads), such as a control panel support, septic tank, D-box, or manifold.

History

• Authority G.S. 90A-71; 90A-74: 130A-336.2
• Eff. October 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2021
• Readopted Eff. November 1, 2025.

21 NCAC 39 .1002 General Requirements for Contractors and Point-of-Sale Inspectors

(a) Point-of-sale inspectors shall:

(1) Provide to the client or the client's representative a written contract, signed by both the client or client's representative and the point-of-sale inspector, before the on-site wastewater system inspection is performed that:

(A) States that the on-site wastewater system inspection is conducted in accordance with Rules .1004, .1005, and .1006 of this Section; and

(B) Describes what services shall be provided and their cost;

(2) Obtain written permission from the owner or owner's representative to perform the inspection;

(3) Inspect readily openable and accessible installed systems and components listed in Rule .1005 of this Section;

(4) Submit a written report to the client or client's representative within 10 business days of the inspection that:

(A) Describes those systems and components required to be described in Rules .1005 through .1006 of this Section;

(B) States which systems and components designated for inspection in this Section have been inspected, and state any systems or components designated for inspection that were not inspected, and the reason for not inspecting. Failure to locate the system or components for inspection or "could not locate" shall not be the same as "not visible." If the system or component is not located, the written report shall state the failure to locate the system or components for inspection or "could not locate;"

(C) States any systems or components inspected that do not function as intended or harm the wastewater treatment system;

(D) States whether the condition reported requires repair or subsequent observation, or warrants further evaluation by the local health department. The statements shall describe the component or system and how the condition is defective, explain the consequences of the condition, and refer the recipient to the local health department or a certified on-site wastewater contractor; and

(E) States the name, license number, and signature of the certified point-of-sale inspector;

(5) Maintain records for a period of seven years.

(b) Contractors that contract with an owner of a system permitted by an evaluator in accordance with G.S. 130A-336.2 shall:

(1) Submit to the evaluator and Board the insurance declaration page verifying errors and omissions, liability, or other coverage, as appropriate for the system designed, prior to commencing installation;

(2) Be responsible for all aspects of the construction and installation of the wastewater system and its components, including adherence to specifications and any special inspections that are prepared, signed, and sealed by the evaluator; and

(3) Submit a dated and signed statement of responsibility to the owner of the wastewater system, prior to commencement of work.

History

• Authority G.S. 90A-71; 90A-72; 90A-74; 130A-336.2
• Eff. October 1, 2011
• Amended Eff. January 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2021
• Readopted Eff. November 1, 2025.

21 NCAC 39 .1004 GENERAL EXCLUSIONS for contractors and POINT-OF-SALE inspectors

(a) Point-of-sale inspectors shall not be required to report on:

(1) Life expectancy of any component or system;

(2) The causes of the need for a repair;

(3) The methods, materials, and costs of corrections;

(4) The suitability of the property for any specialized use;

(5) The market value of the property or its marketability;

(6) The advisability or inadvisability of purchase of the property; or

(7) Normal wear and tear to the system.

(b) Point-of-sale inspectors shall not be required to:

(1) Identify property lines;

(2) Offer warranties or guarantees of any kind;

(3) Calculate the strength, adequacy, or efficiency of any system or component;

(4) Operate any system or component that does not respond to normal operating controls;

(5) Move vegetation, structures, personal items, panels, furniture, equipment, snow, ice, or debris that obstructs access to or visibility of the system and any related components;

(6) Determine the presence or absence of any suspected adverse environmental condition or hazardous substance, including toxins, carcinogens, noise, and contaminants in the building or in soil, water, and air;

(7) Determine the effectiveness of any system installed to control or remove suspected hazardous substances;

(8) Predict future condition, including failure of components;

(9) Project operating costs of components;

(10) Evaluate acoustical characteristics of any system or component; or

(11) Inspect equipment or accessories that are not listed as components to be inspected in this Section.

(c) Point-of-sale inspectors, private compliance inspectors, and Contractors shall not:

(1) Offer or perform any act or service contrary to Article 5 of G.S. 90A or the rules of this Chapter; or

(2) Offer or perform engineering, architectural, plumbing, electrical, pesticide or any other job function requiring an occupational license in the jurisdiction where the inspection, installation, or repair is taking place, unless the on-site wastewater system point-of-sale inspector, private compliance inspector, or contractor holds a valid occupational license in that field, in which case the point-of-sale inspector, private compliance inspector, or contractor shall inform the client that the point-of-sale inspector, private compliance inspector, or contractor is so licensed.

History

• Authority G.S. 90A-72; 90A-74
• Eff. October 1, 2011
• Amended Eff. January 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Readopted Eff. November 1, 2025.

21 NCAC 39 .1005 On-Site Wastewater System Components

(a) When inspecting an on-site wastewater system, the point-of-sale inspector shall inspect and describe the following in a report as set forth in Rule .1002 of this Chapter:

(1) any part of the system located more than five feet from the primary structure that is part of the operations permit;

(2) septic tanks;

(3) pump tanks;

(4) distribution devices;

(5) dispersal fields;

(6) treatment units;

(7) control panels;

(8) any other components required as part of on-site wastewater system permit, including drainage; and

(9) any vegetation and grading with respect only to their effect on the condition of the system or system components.

(b) The point-of-sale inspector shall:

(1) uncover tank lids and distribution devices so as to gain access, unless blocked as described in Rule .1004(b)(5) of this Section. The distribution box may remain covered if the point-of-sale inspector has an alternate method of observing its condition;

(2) probe system components where deterioration is suspected;

(3) report the methods used to inspect the on-site wastewater system;

(4) open readily accessible and readily openable components as defined in Rule .1001 of this Chapter;

(5) report signs of abnormal or harmful water entry into or out of the system or components; and

(6) conduct the inspection using the rules promulgated under Article 11 of Chapter 130A, as set forth in Subchapter 18E of Title 15A of the North Carolina Administrative Code, in effect at the time of the initial construction or renovation of the system, whichever occurs later, and any subsequent installation or replacement of any system or component of the system.

(c) The point-of-sale inspector shall not be required to:

(1) conduct dosing volume calculations;

(2) evaluate soil conditions beyond saturation or ponding;

(3) evaluate for the presence or condition of buried fuel storage tanks;

(4) evaluate the system for proper sizing, design, or use of approved materials pursuant to Article 11 of Chapter 130A and the rules promulgated therefrom, as set forth in Subchapter 18E of Title 15A of the North Carolina Administrative Code; or

(5) perform a hydraulic load test on the system.

History

• Authority G.S. 90A-72; 90A-74
• Eff. October 1, 2011
• Amended Eff. January 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. July 1, 2019
• Readopted Eff. November 1, 2025.

21 NCAC 39 .1006 Minimum on-Site Wastewater System Point-of-Sale Inspection

(a) The point-of-sale inspector shall obtain, evaluate, describe, or determine the following during the inspection:

(1) Advertised number of bedrooms as stated in the realtor Multiple Listing Service information or by a sworn statement of owner or owner's representative; and

(2) Designed system size (gallons per day or number of bedrooms) as stated in available local health department information, such as the current operation permit or the current repair permit.

(b) The point-of-sale inspector shall obtain, evaluate, describe, or determine the following during the inspection:

(1) Requirement for a certified subsurface water pollution control system operator pursuant to G.S. 90A-44, current certified operator's name, and most recent performance, operation, and maintenance reports (if applicable and available);

(2) Type of water supply, such as well, spring, public water, or community water;

(3) Location of septic tank and septic tank details:

(A) Distance from house or other structure;

(B) Distance from well, if applicable;

(C) Distance from water line, if applicable and readily visible;

(D) Distance from property line, if said property lines are known;

(E) Distance from finished grade to top of tank or access riser;

(F) Presence and type of access risers;

(G) Condition of tank lids;

(H) Condition of tank baffle wall;

(I) Water level in tank relative to tank outlet;

(J) Condition of outlet tee;

(K) Presence and condition of outlet filter, if applicable;

(L) Presence and extent of roots in the tank;

(M) Evidence of tank leakage;

(N) Evidence of inflow non-permitted connections, such as from downspouts or sump pumps;

(O) Connection present from house to tank;

(P) Connection present from tank to next component;

(Q) Date tank was last pumped, if known; and

(R) Percentage of solids (sludge and scum) in tank;

(4) Location of pump tank and pump tank details:

(A) Distance from house or other structure;

(B) Distance from well or spring, if applicable;

(C) Distance from water line, if applicable;

(D) Distance from property line, if said property lines are known;

(E) Distance from finished grade to top of tank or access riser;

(F) Distance from septic tank;

(G) Presence and type of access risers;

(H) Condition of tank lids;

(I) Location of control panel;

(J) Condition of control panel;

(K) Audible and visible alarms (as applicable) work;

(L) Pump turns on, and effluent is delivered to next component; and

(M) Lack of electricity at time of inspection prevented complete evaluation;

(5) Location of dispersal field and dispersal field details:

(A) Type of dispersal field;

(B) Distance from property line, if said property lines are known;

(C) Distance from septic tank and also pump tank if a pump tank exists;

(D) Number of lines;

(E) Length of lines;

(F) Evidence of past or current surfacing at time of inspection;

(G) Evidence of traffic over the dispersal field;

(H) Vegetation, grading, and drainage with respect only to their effect on the condition of the system or system components; and

(I) Confirmation that system effluent is reaching the drainfield; and

(6) Conditions that prevented or hindered the inspection or determination of Subparagraphs (b)(1) through (b)(5) of this Rule.

(c) If a client declines to allow a tank to be pumped, the inspection form shall contain the statement:

"Client requesting this inspection has been advised that for a complete inspection to be performed, the tank needs to be pumped. Client has declined to have the tank pumped at inspection and hereby acknowledges they have so declined." A space shall be provided for the client signature and date.

(d) The point-of-sale inspector shall not:

(1) Insert any tool, probe, or testing device inside pump system control panels; or

(2) Dismantle any electrical device or control other than to remove the covers of the main and auxiliary control panels.

History

• Authority G.S. 90A-72; 90A-74
• Eff. October 1, 2011
• Amended Eff. January 1, 2016; April 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Readopted Eff. November 1, 2025.

21 NCAC 39 .1101 Definitions

As used in this Section:

(1) "Accepted wastewater dispersal system" means as defined in G.S. 130A-343.

(2) "Authorized inspector" or "Independent inspector" means an individual employed or contracted by an evaluator to observe and direct the construction of the wastewater system designed, planned, and specified by the evaluator.

(3) "Notice of intent to construct" has the same definition as that set forth in Rule .0101(8) of this Chapter.

(4) "Special inspection" means any continuous or intermittent inspection or visitation performed by the evaluator at the construction site on behalf of the owner.

History

• Authority G.S. 90A-74; 130A-336.2
• Eff. June 1, 2021
• Readopted Eff. November 1, 2025.

21 NCAC 39 .1102 General Requirements for Evaluators

In addition to the duties set forth in G.S. 130A-336.2, evaluators shall:

(1) Provide a "notice of intent to construct" to the owner of a proposed wastewater system, so the owner can submit it to the local health department that has jurisdiction over the location of the proposed wastewater system. A "notice of intent to construct" shall contain the following:

(a) whether the notice is intended for a new system, expansion of a system, repair of a system, relocation of a system, or relocation of repair area;

(b) the name, mailing address, telephone number, and email address of the site owner or their legal representative;

(c) the name, mailing address, telephone number, email address, and certification number of the evaluator;

(d) the address of the site location, including the county;

(e) the tax parcel identification number, subdivision lot, or block number of property of the site location;

(f) the following information about the wastewater system identified in the notice:

(i) the type;

(ii) the daily design flow;

(iii) whether the system is a saprolite system;

(iv) whether a subsurface operator is required; and

(v) whether the water supply type is a private well, public water supply, spring, or other water supply type;

(g) the following information about the facility at the site location:

(i) whether the facility is a residential site and, if so, the number of bedrooms and the maximum number of occupants;

(ii) whether the facility is a business site and, if so, the type of business and basis for flow;

(iii) whether the facility is for public assembly and, if so, the type of public assembly and the basis for flow;

(h) a copy of the plat or site plan;

(i) a copy of an evaluation of soil and site feature by a Licensed Soil Scientist;

(j) an attestation by the individuals identified in Sub-items 1(b) and 1(c) of this Rule that the information set forth in the notice is accurate and complete;

(k) an attestation by the individual identified in Sub-items 1(c) of this Rule that he or she has adhered to the laws and rules governing onsite wastewater systems in the State;

(l) the date the notice will expire;

(m) the dated signature of individuals identified in Sub-items 1(b) and 1(c) of this Rule; and

(n) the dated signature of the local health department representative.

(2) Prepare a signed and sealed statement of special inspections as set forth in G.S. 130A-336.2;

(3) Notify the owner if the system constitutes a water pollution control system, as defined by 15A NCAC 08G .0102(31), for which the owner is required to enter into a contract with a water pollution control system operator certified pursuant to Part 1 of Article 3 of Chapter 90A of the General Statutes; and

(4) Maintain a signed and dated copy of the operation and management program that was provided to the system owner and all inspection reports for a period of seven years.

History

• Authority G.S. 130A-336.2
• Eff. June 1, 2021
• Readopted Eff. November 1, 2025.

21 NCAC 39 .1103 General Exclusions for Evaluators

Evaluators shall not:

(1) Offer or perform any act or service contrary to Article 5 of G.S. 90A, G.S. 130A-336.2, or the rules of this Chapter; or

(2) Offer or perform engineering, architectural, plumbing, electrical, pesticide or any other job function requiring an occupational license in the jurisdiction where the evaluation, inspection, installation, or repair is taking place, unless the evaluator holds a valid occupational license in that field, in which case the evaluator shall inform the client that the evaluator is so licensed.

History

• Authority G.S. 130A-336.2
• Eff. June 1, 2021
• Readopted Eff. November 1, 2025.

21 NCAC 39 .1104 Required Documents for Evaluators

Evaluators shall provide the owner with procedures for the final submittal of information to the local health department at the post-construction conference as set forth in G.S. 130A-336.2(k).

History

• Authority G.S. 90A-74; 130A-336.2
• Eff. June 1, 2021
• Readopted Eff. November 1, 2025.

Chapter 40 Opticians

21 NCAC 40 .0101 Location and Function

The NC State Board of Opticians (Board) is physically located at 3809 Computer Drive, Raleigh, North Carolina 27609. Its mailing address is Post Office Box 6758, Raleigh, North Carolina 27628-6758.

History

• Authority G.S. 90-239
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. January 1, 1994; February 1, 1989; November 1, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018
• Amended Eff. October 1, 2019.

21 NCAC 40 .0102 Mailing Address of Registrants

History

• Status: repealed
• Authority G.S. 93B-3; 90-234 through 90-255
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0103 Change of Location

History

• Status: repealed
• Authority G.S. 93B-3; 90-234 through 90-255
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0104 Information and Application

(a) Potential applicants for a North Carolina optician's license can download application forms from the Board's website www.ncopticiansboard.org. Application forms shall be submitted in order to be considered for licensure by waiver of the examination, or to sit for the licensure examination.

(1) Applicants for licensure examination shall provide documentation of eligibility for examination participation by having met requirements of G.S. 90-240(a)(1) or (2), or G.S. 90-241(b).

(A) Applicants qualifying by G.S. 90-240(a)(2) shall provide a certified transcript showing completion of AAS degree from an accredited school of opticianry.

(B) Applicants qualifying by G.S. 90-241(b) shall provide a certified transcript showing completion of an optical certificate program from an accredited school of opticianry, or a Board-recognized training program.

(2) Applicants for licensure by waiver of examination shall provide documentation for having met requirements of G.S. 90-241(a).

(A) Verification of good standing from the state where licensure was previously obtained.

(B) Affidavits as set forth in 21 NCAC 40 .0319.

(3) Applicants shall provide a certified transcript showing graduation from high school as required by G.S. 90-237 for all applications shown in Subparagraphs (a)(1) through (2) of this Rule.

(b) Any person not able to download licensure information, or the licensure or examination application, or training or renewal application, may request that the Board office mail the materials which the Board will mail to the requesting person.

(c) When submitting an application as set forth in Subparagraphs (a)(1) through (2) of this Rule above, applicants shall submit the fee as set forth in G.S. 90-246. Additionally, the applicant shall provide:

(1) information, including an affirmation regarding whether the applicant has violated G.S. 90, Article 17, or 21 NCAC 40 of the North Carolina Administrative Code, or been convicted of a felony or misdemeanor;

(2) information as to whether the applicant has been named as a defendant or respondent to a lawsuit involving fraud, deceit, or misrepresentation, malpractice, unethical conduct, gross negligence, or gross misconduct;

(3) the applicant's age; and

(4) a passport-size photograph taken within six months of the date the application is submitted to the Board.

History

• Authority G.S. 90-237; 90-239; 90-240; 90-246; 90-249(6); 90-249.1(a)(8)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. September 1, 2012; August 1, 1998; February 1, 1989; February 1, 1988; November 1, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018
• Amended Eff. December 1, 2019.

21 NCAC 40 .0105 Certificate of Registration

History

• Status: repealed
• Authority G.S. 90-234; 90-249
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0106 Copy of the Law

A copy of the laws and rules governing the practice of opticianry in North Carolina is available from the Board at a charge of ten dollars ($10.00).

History

• Authority G.S. 90-249
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. February 1, 1989; November 1, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0107 Inspection of Materials

A record will be kept of all rulemaking proceedings, declaratory rulings, and final orders or decisions of the Board. These records will include all relevant written material and will be available for inspection upon appointment with the executive secretary.

History

• Authority G.S. 90-249; 150B-11(2)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. November 1, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0108 Fees

History

• Status: repealed
• Authority G.S. 90-246; 90-249(a)(9)
• Eff. November 1, 1981
• Temporary Amendment Eff. November 1, 1997
• Amended Eff. April 1, 2004; August 1, 1998; February 1, 1989; February 1, 1988; August 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018
• Repealed Eff. October 1, 2019.

21 NCAC 40 .0109 Election of Members

(a) By April 1 of each year, any licensed optician desiring to be nominated for the Board shall forward a petition endorsed by five licensees to the Board.

(b) By April 10 of each year, the Board shall prepare and distribute by mail to each North Carolina licensed optician:

(1) a notice of the election, and its dates;

(2) the name of each nominee;

(3) biographical information on each nominee;

(4) a ballot; and

(5) a return envelope.

(c) The return envelope containing the ballot shall be postmarked no later than April 30. The enclosed ballot shall not be valid unless the optician's signature, license number, and correct mailing address are on the left top corner of the return envelope.

(d) The Board Chair shall appoint an Election Committee of at least three members, who may be Board members, staff members, or a combination of the two, but who shall not be nominees. The Election Committee shall review all ballots for validity based on Paragraph (c) of this Rule, and count all valid ballots.

(e) Based upon the canvass by the Election Committee, the Board Chair shall submit to the Governor a list of three nominees for each vacancy for completion of the appointment process as set forth in G.S. 90-238.

History

• Authority G.S. 90-238; 90-239
• Eff. November 1, 1981
• Amended Eff. September 1, 2012; April 1, 2011; February 1, 1989; January 1, 1986
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018
• Amended Eff. December 1, 2019.

21 NCAC 40 .0110 Officers

History

• Status: repealed
• Authority G.S. 90-239
• Eff. November 1, 1981
• Repealed Eff. February 1, 1989.

21 NCAC 40 .0111 Subject of Declaratory Rulings

The Board will issue a declaratory ruling upon request of a person determined by the Board to be a "person aggrieved" within the meaning of G.S. 150B-2(6), unless the Board determines that issuance of a declaratory ruling would be undesirable, taking into account such factors as pending litigation or contested cases involving the same subject matter as the requested ruling, the number of licensees possibly affected by the ruling, and whether the same subject is adequately addressed by existing rules or prior declaratory rulings.

History

• Authority G.S. 90-239; 90-249; 150B-17
• Eff. November 1, 1981
• Amended Eff. February 1, 1989; February 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0112 Forms

History

• Status: repealed
• Authority G.S. 90-249
• Eff. November 1, 1981
• Amended Eff. January 1, 1994; February 1, 1989; August 1, 1985; July 1, 1983
• Repealed Eff. April 1, 2011.

21 NCAC 40 .0113 Waiver

(a) The Board may waive any rule in this Chapter that is not statutorily required if a licensee, business or training establishment, trainee, or continuing education course provider submits a written request. Factors the Board shall use in determining whether to grant the waiver are:

(1) degree of disruption to the Board;

(2) cost to the Board;

(3) degree of benefit to the public;

(4) whether the requesting party had control over the circumstances that required the requested waiver;

(5) notice to and opposition by the public;

(6) need for the waiver; and

(7) previous requests for waivers submitted from the requesting party.

(b) The Board may waive any rule in this Chapter that is not statutorily required upon its own initiative during an exercise of emergency authority by a federal, state, or local governmental authority impacting North Carolina citizens based on the factors set forth in Paragraph (a)(1), (2), (3), (5) and (6) of this Rule. If the Board wishes to waive a rule, it shall provide notice by posting a link on their website and sending out information to their interested persons mailing list.

History

• Authority G.S. 90-249; 150B-19(6)
• Emergency Adoption Eff. April 9, 2020
• Temporary Adoption Eff. June 1, 2020
• Eff. April 1, 2021.

21 NCAC 40 .0201 No Display of Refracting Equipment

History

• Status: repealed
• Authority G.S. 90-249
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. February 1, 1989.

21 NCAC 40 .0202 Registration of Optical Place of Business and Optician in Charge

(a) As used in this Rule, "optical place of business" means the principal office, as well as each branch office of the business.

(1) Every optical place of business shall be registered with the Board within 10 days following its opening for business and thereafter annually and in the event of relocation or change of ownership. The registration fee shall be paid for each registration.

(2) Registration of an optical place of business automatically expires on the last day of June of each year, and it shall not engage in business until it is registered for the next annual period.

(3) An optical place of business registration is the responsibility of the owner. Any business that violates the registration requirements of this Rule shall be subject to the Board's disciplinary authority under G.S. 90-249.1, G.S. 90-252, and G.S. 90-254.

(4) An optical place of business registered in compliance with this Rule shall be eligible to be a training establishment when the requirements of Rules .0314 and .0321 of this Chapter are met.

(b) Every optical place of business shall register a licensed optician in charge, who shall serve as the licensee in charge of only one optical place of business.

(1) Every optician in charge shall be registered with the Board within 10 days of the opening of an optical place of business, or change of optician in charge. The registration fee as set forth in G.S. 90-246 shall be paid for each registration.

(2) Registration of an optician in charge automatically expires on the last day of June of each year, and the optical business shall not engage in dispensing activities under G.S. 90-236 until it has a registered optician in charge for the next annual period.

(3) An optician in charge registration is the responsibility of both the licensed optician in charge and the owner. Any optician in charge of an optical place of business that violates the registration requirements of this Rule shall be subject to the Board's disciplinary authority under G.S. 90-249.1, G.S. 90-252, and G.S. 90-254.

History

• Authority G.S. 90-239; 90-243; 90-249(5); 90-252; 90-253
• Eff. February 1, 1976
• Amended Eff. November 1, 1978; June 21, 1978; September 6, 1977
• Readopted Eff. May 23, 1979
• Amended Eff. August 1, 1998; January 1, 1994; August 1, 1991; February 1, 1989; August 1, 1985
• Temporary Amendment Eff. November 1, 2016
• Temporary Amendment Expired Eff. August 12, 2017
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018
• Amended Eff. November 1, 2020.

21 NCAC 40 .0203 Branch Offices

History

• Status: repealed
• Authority G.S. 90-243
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 1985; January 1, 1983; November 1, 1981; November 1, 1978
• Repealed Eff. February 1, 1989.

21 NCAC 40 .0204 Fining of Repetitive Violators of the Law

History

• Status: repealed
• Authority G.S. 90-249
• Eff. February 1, 1976
• Amended Eff. September 6, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0205 Baiting or Deceptive Advertising

(a) Statements regarding optical goods and services must be accurate and truthful pursuant to Article 1, Chapter 75, of the North Carolina General Statutes. Deceptive advertising of any kind is unlawful. Any advertising that tends to mislead the consumer is interpreted to be unlawful.

(b) If an item or service is advertised for sale but the offer is qualified the qualification must be conspicuously placed in the advertisement. For example, if spectacles or eyeglasses are offered for sale and a second pair is offered at a special or reduced price, the advertisement must state expressly whether the second pair is other than a duplicate of the first pair purchased. Likewise if a picture, illustration or description is included in the advertisement, it must accurately represent the item for sale. Bait advertising is an alluring but insincere offer to sell a product or service which the advertiser does not actually wish to sell at the price advertised. A seller may not in any way discourage the purchase of the advertised product. Specifically, he may not refuse to show or sell the advertised product or disparage the same in an attempt to sell another product. Furthermore, he may not demonstrate or show an unattractive or shopworn item or product in place of the advertised product. When a product is offered for sale at a discounted price, the discount must be truthful. In order to be truthful, the discounted price must be based upon a bona fide original price. A bona fide original price is established by selling the product at the original price for a majority of the time that the product is offered for sale.

(c) If the seller offers in an advertisement, whether written, oral, electronic or otherwise, a certificate, check payable to bearer or any coupon representing cash or a discount in any amount off the cost of a pair of spectacles or eyeglasses, the seller must be able to prove that the price has not been increased by that amount or more for the duration of the advertised offer or sale, that is, prior to the advertised discounted sale.

History

• Authority G.S. 90-249
• Eff. February 1, 1976
• Amended Eff. July 1, 1991; February 1, 1989; November 1, 1981; September 6, 1977
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0206 Professional Responsibility; Continuing Education

(a) A licensed optician shall:

(1) maintain equipment and instruments in his or her office at all times to assure professional service to the public, and for use in training apprentices and interns as set forth in 21 NCAC 40 .0321;

(2) make a referral to another healthcare provider when, in the licensee's professional opinion, such referral would benefit the client;

(3) treat all information concerning his or her clients as privileged and not to be communicated to others except when authorized or required by a law or rule, or with express consent of the client; and

(4) take annual courses of study in subjects related to the practice of opticianry for the purpose of enhancing his or her scientific knowledge and professional skills, learning new techniques, and acquiring increased knowledge of laws and rules governing the practice of opticianry, as set forth in Paragraph (b) of this Rule.

(b) A licensee whose license was issued after July 1 shall be exempt from the continuing education requirement for renewal by December 31 of the same year. Otherwise, each North Carolina-licensed optician shall take a total of at least eight hours of continuing education each calendar year as follows:

(1) three hours of study on the practice of contact lens fitting and dispensing. Alternatively, a licensee may take two hours of study on contact lens fitting and dispensing, and one hour of study on either: optical business management, consumer protection, or ethics;

(2) four hours of study on eyeglass fitting and dispensing; and

(3) one hour of education on the laws and rules affecting North Carolina opticians.

(c) All hours shall be currently-approved by the American Board of Opticianry or the National Contact Lens Examiners.

(d) Courses of self-study, taken by licensees through journal articles or online, where organized material is presented and written evaluations are offered prior to or after completing the course or courses shall be eligible for credit, provided the vendor or sponsor submits the course or courses for approval to the Board as described in Paragraph (j) of this Rule prior to offering it to licensed opticians. However, no licensee shall receive credit for more than four hours of continuing education credit by self-study in any calendar year.

(e) Any licensed optician who is not practicing opticianry in the State shall annually obtain a total of at least eight hours of courses of study: three hours shall be on the practice of contact lens fitting and dispensing, and five hours shall be on eyeglass fitting and dispensing. Alternatively, one of the eight hours may be on optical business management, consumer protection, or ethics. No other state's hours pertaining to its laws or rules shall be allowed as credit.

(f) All hours must be taken within the prior or current calendar year for which credit is sought, and a licensee shall not receive continuing education credit for any course that the licensee already has completed during the same calendar year.

(g) Continuing education hours acquired in excess of the number required at the time of renewal shall not be applied to future requirements.

(h) Submission of fraudulent statements or certificates concerning continuing education shall subject the licensee to disciplinary action.

(i) The hours of study set forth in this Rule may not be waived, except by:

(1) declared Board waiver as defined in 21 NCAC 40 .0113;

(2) presentation to the Board of evidence of illness, or residency outside the United States, that makes the licensee's attendance impossible; or

(3) presentation to the Board of active-duty orders for the licensee serving in a branch of the US armed forces.

(j) Courses of study for which a licensee desires continuing education credit must be approved by the Board, meeting the following criteria:

(1) Courses must be directly related to the practice of a dispensing optician as defined in G.S. 90-235 and G.S. 90-236. The education of opticians must be the primary objective of the education provider.

(2) Each course must be made available to all NC licensed opticians.

(3) The following information shall be submitted to the Board office no later than 45 days prior to the date the course is to be made available for presentation:

(A) The method of course presentation; if in-person training is utilized, the location and scheduled time;

(B) The course title;

(C) The instructor's name, mailing address, and resume or curriculum vitae to show education, training qualifications and experience;

(D) A course description, including course length, instructional objectives, or course outline;

(E) Documentation showing the course's approval status granted and course number assigned by the American Board of Opticianry or National Contact Lens Examiners;

(F) The name and address of the provider agency, and its preferred contact information;

(G) A description of the provider's attendance certification process; and

(H) An agreement to provide an electronic attendance roster to the Board, and certified attendance documentation to attendees.

(4) Course content shall be presented in a manner that does not promote the sale or marketing of one company's products or services over another. Presentations on new optical technology shall not include a specific brand/manufacturer of the technology in the title or content. Product-specific "info-mercials" and sales pitches shall not be approved.

(5) Courses shall consist of a minimum 50 minutes' education for each hour's credit.

(6) Online courses shall not exceed two hours in length.

(7) In-person training instructors may not present more than two consecutive hours of continuing education.

(k) Each course to be presented in-person shall be submitted for approval separately each time credit is sought as set forth in Subparagraph (j)(3) of this Rule.

(l) The Board shall not grant retroactive approval of courses.

(m) The course provider shall allow Board representation to attend courses approved for in-person training without registration charge.

(n) Course sponsors shall, no later than 30 days following the presentation of in-person training:

(1) Certify opticians' attendance for the requisite period;

(2) Submit to the Board documentation of attendance in a format provided by the Board that includes:

(A) The course title and classification verification;

(B) The course provider or sponsor identification that includes name and contact information;

(C) The name of and license number of each attending North Carolina licensee;

(D) The sponsor's attestation or verification of attendance.

(o) Any licensee may enter online continuing education hours taken through his or her portal on the Board website or by submitting their online continuing education hours taken to the Board office. The entries or submissions shall include information from the course provider that shall serve as attendance verification. A licensee who is unable to enter his or her hours shall mail the continuing education credits into the Board office during the annual renewal period for credit.

(p) Course sponsors shall maintain for three years records of the names of attendees who complete continuing education hours.

(q) Opticians and course attendees shall:

(1) Retain documentation for a minimum two-year period, beginning with the next renewal year immediately following the date the courses were taken; and

(2) Present the documentation to Board as required during the license renewal process, or complaint or disciplinary investigations.

History

• Authority G.S. 90-235; 90-236; 90-249; 90-249.1
• Eff. February 1, 1976
• Amended Eff. September 6, 1977
• Readopted Eff. September 29, 1977
• Amended Eff. January 1, 2013; July 1, 1991; February 1, 1989; February 1, 1988; January 1, 1986
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018
• Amended Eff. November 1, 2020.

21 NCAC 40 .0207 Location of Licensee, Intern or Apprentice

(a) Prior to performing acts regulated by the Board, each dispensing optician, intern or apprentice shall notify the Board of their employment status and the name and physical address of their employment. Changes in employment status or employment address shall be reported to the Board within 10 days.

(b) Each dispensing optician, apprentice, or intern shall report to the Board, within 30 days, of any change in his or her home address.

(c) Notification from the Board is deemed to have been received if mailed to either the home or business address of the dispensing optician, intern, or apprentice provided by the individual and shown in the records of the Board.

History

• Authority G.S. 90-243; 90-249(a)(4),(8),(11); 90-294.1
• Eff. November 1, 1981
• Amended Eff. September 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0208 License Revocation and Reinstatement

History

• Status: repealed
• Authority G.S. 90-249
• Eff. November 1, 1981
• Repealed Eff. February 1, 1988.

21 NCAC 40 .0209 Display of Registration and License

(a) Each registered optical place of business or training establishment shall display its registration certificate, containing the name of the current optician in charge or the name of the current trainer or trainers, in a visible and public area of the place of business or training establishment.

(b) Each apprentice and intern shall display his or her registration certificate in a visible and public part of the training establishment wherein he or she is engaged as a trainee.

(c) Each optician to whom a license has been granted shall display his or her license and current renewal seal in a visible and public part of the office or establishment wherein he or she is engaged as a dispensing optician.

History

• Authority G.S. 90-244
• Eff. November 1, 1981
• Amended Eff. September 1, 2012; February 1, 1989; July 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018
• Amended Eff. December 1, 2019.

21 NCAC 40 .0210 Prescription and Interpretation

A prescription is a written direction from an ophthalmologist or optometrist for eyeglasses, contact lenses, or other ophthalmic appliances. The prescriber retains discretion in determining the number and type of measurements which will be placed upon the prescription and determines whether the patient is medically or physiologically suited for, or has need for eyeglasses, and/or contact lenses. The optician takes the measurements necessary to fill the prescription and determines the makeup of the lenses, supplementing but not contradicting the prescription. In the event of a question regarding interpretation of the prescription, the question will be discussed with the prescriber and his response shall be promptly recorded in writing by the optician.

History

• Authority G.S. 90-235; 90-236; 90-236.1
• Eff. November 1, 1981
• Amended Eff. February 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0211 Minor Adjustments or Repairs

To make a minor adjustment means to tighten the temple screws of eyeglasses. To make a minor repair means to replace the temple screws.

History

• Authority G.S. 90-239; 90-253
• Eff. January 1, 1986
• Amended Eff. February 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0212 Duty to Provide Direct Supervision

(a) The failure of a licensed optician who owns or has a controlling interest in an optical place of business, or under whose name an optical place of business or branch thereof is registered, to provide direct supervision as set forth in G.S. 90-253 of an unlicensed person working at such business or branch and performing acts constituting the practice of opticianry shall constitute a violation of G.S. 90-249.1(a)(2).

(b) The failure of an optical place of business to schedule a licensed optician to provide direct supervision as set forth in G.S. 90-253 of an unlicensed person working at the business shall constitute a violation of G.S. 90-249.1(a)(2).

(c) Optometrists and ophthalmologists, and individuals employed by them, are exempt from the provision of direct supervision as set forth in G.S. 90-253, except for those employees registered as trainees with the Board when the optometry or ophthalmology practice is registered with the Board as a training establishment.

History

• Authority G.S. 90-239; 90-249.1(a)(2); 90-253
• Eff. February 1, 1988
• Amended Eff. August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018
• Amended Eff. October 1, 2019.

21 NCAC 40 .0213 Negligence in Dispensing Contact Lenses

History

• Status: repealed
• Authority G.S. 90-237; 90-240; 90-249
• Eff. May 1, 1989
• Repealed Eff. April 1, 2011.

21 NCAC 40 .0214 Complaints; Preliminary Determinations

(a) Complaints may be lodged against any dispensing optician or Board registrant, including registered and non-registered businesses, and shall be submitted to the Board in writing with complainant's name, address, and contact information.

(b) A complaint shall be handled initially by the Board's Director, who may recommend to the Board to dismiss it as unfounded or trivial.

(c) Unless the complaint is dismissed pursuant to Paragraph (b) of this Rule, the Director shall notify the accused of the complaint in writing. Correspondence from the Board shall be deemed to have been received if mailed to either the home or business address of the dispensing optician or Board registrant provided by the individual and shown in the records of the Board, or by available public record for non-registered businesses. The correspondence shall require a written response within 20 days from the date of the Board's notification to the accused.

(d) If the accused does not respond to or denies the circumstances and accusations, the Board's Director shall investigate the allegations contained in the complaint, and may recommend to the Board to dismiss the complaint as unfounded or trivial, or may refer the complaint to a Disciplinary Committee for review. The Chair of the Board shall appoint a Disciplinary Committee of no less than two licensee Board members, who shall hear the Director's initial review of complaints and, if determined by the Director to be more than unfounded or trivial, shall hear the complaint, evidence and investigative findings and make preliminary determinations and recommendations to the Board that one of the following actions be taken:

(1) the charges be dismissed as unfounded or trivial;

(2) a Board reprimand be issued to the accused, in a case of admission of guilt;

(3) if the accused is willing, a compromise be accepted which may include probation, civil penalty, disciplinary action, other penalties as permitted in G.S. 90-249.1 or a combination thereof; or

(4) the case be presented to the Board, excluding Board members on the Disciplinary Committee, for a contested case hearing.

(e) The Board is not required to follow the recommendations of the Disciplinary Committee.

(f) Probation cessation shall be conditioned upon the optician or registrant's compliance with all provisions of G.S. 90, Article 17, or Title 21, Chapter 40, of the North Carolina Administrative Code for the period imposed, with suspension, revocation, or refusal to renew or reinstate a license, or loss of registrant's training time or revocation of registration upon failure to comply with the conditions.

History

• Authority G.S. 90-239; 90-249(8); 90-249.1
• Eff. March 1, 1993
• Amended Eff. September 1, 2012; August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0301 Application Photograph Requirement

An applicant for licensure or examination must attach to an application form a passport-size photograph of the applicant's face taken within the past six months. Photographs shall be retained as a part of applicants' files for the purpose of identification.

History

• Authority G.S. 90-249(a)(6)
• Eff. February 1, 1976
• Amended Eff. April 1, 2011; February 1, 1989; November 1, 1981; September 6, 1977
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0302 Licensure Examination Fees

(a) The fee for licensure examination participation as set forth in G.S. 90-246 shall be remitted to the Board by cash, certified check, or money order. There shall be no prorating of the fee.

(b) Licensure examination fees shall not be returned due to the withdrawal of the applicant or failure to take the examination after the fee has been accepted by the Board. If, during its review of an application, the Board determines that information submitted is false, misleading, or deceptive, the Board shall deny the application but retain any fees paid.

History

• Authority G.S. 90-245; 90-246
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. September 1, 2012; February 1, 1989; November 1, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018
• Amended Eff. October 1, 2019.

21 NCAC 40 .0303 Licensure Examination and Re-Examination

(a) The licensure exam shall consist of Basic and Practical components. An optician's license shall not be issued until a passing score has been achieved on all components within three years from the date of a passing score having been achieved on one component.

(b) A candidate who has met the qualifications as defined in G.S. 90-237, and either 90-240 or 90-241(b) shall be admitted to a Practical component of the licensure examination upon the Board's receipt of an executed application and the examination fee as set out in G.S. 90-246.

(c) The examination shall be administered at least twice yearly, at a time and location specified by the Board or any of its examination administration agents.

(d) Exam applications obtained by procedures outlined in Rule .0104 of this Chapter must be executed and received by the Board no later than 60 days prior to the opening of the exam registration period specified by the Board or any of its examination administration agents.

(e) If, during its review of an application, the Board determines that a candidate has participated in a Practical exam without first having their qualifications examined by the Board, the Board shall deny any passing score obtained by the candidate and require subsequent re-examination in the Practical.

(f) A participant who is unsuccessful in passing an exam component may retake the failed components upon registration and remittance of the examination fee being submitted to the administration agent within the deadline specified by the agent.

History

• Authority G.S. 90-240; 90-249; 93B-8
• Eff. February 1, 1976
• Amended Eff. September 1, 2012; February 1, 1989; February 1, 1988; August 1, 1985; July 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018
• Amended Eff. October 1, 2019.

21 NCAC 40 .0304 Qualifications for License

History

• Status: repealed
• Authority G.S. 90-234; 90-236; 90-237; 90-249
• Eff. February 1, 1976
• Amended Eff. July 1, 1983; November 1, 1981; November 1, 1978; September 6, 1977
• Repealed Eff. February 1, 1989.

21 NCAC 40 .0305 Yearly Renewal Fees

History

• Status: repealed
• Authority G.S. 90-246; 90-249
• Eff. February 1, 1976
• Amended Eff. September 6, 1977
• Readopted Eff. September 29, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0306 Reinstatement of License

History

• Status: repealed
• Authority G.S. 90-246; 90-249
• Eff. February 1, 1976
• Amended Eff. September 6, 1977
• Readopted Eff. September 29, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0307 Time and Place of Examination

History

• Status: repealed
• Authority G.S. 90-240; 90-241
• Eff. February 1, 1976
• Amended Eff. September 6, 1977
• Readopted Eff. September 29, 1977
• Amended Eff. July 1, 1991; February 1, 1989; August 1, 1985; November 1, 1981
• Repealed Eff. September 1, 2012.

21 NCAC 40 .0308 Renewal Fees: Late Penalty

History

• Status: repealed
• Authority G.S. 90-249
• Eff. February 1, 1976
• Amended Eff. September 6, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0309 Terms of Re-Examination

History

• Status: repealed
• Authority G.S. 90-249
• Eff. February 1, 1976
• Repealed Eff. September 6, 1977.

21 NCAC 40 .0310 Miscellaneous Fees

History

• Status: repealed
• Authority G.S. 90-249
• Eff. February 1, 1976
• Amended Eff. September 6, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0311 Citizenship

History

• Status: repealed
• Authority G.S. 90-249
• Eff. February 1, 1976
• Repealed Eff. September 6, 1977.

21 NCAC 40 .0312 Approved Schools of Opticianry

A school of opticianry shall be considered approved by the North Carolina State Board of Opticians if it is accredited by the Commission of Opticianry Accreditation and confers a degree of associate in applied science through an ophthalmic dispensing program.

History

• Authority G.S. 90-249
• Eff. February 1, 1976
• Amended Eff. February 1, 1989; February 1, 1988; November 1, 1981; September 6, 1977
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0313 Apprentice Training Restrictions

History

• Status: repealed
• Authority G.S. 90-249
• Eff. February 1, 1976
• Repealed Eff. September 6, 1977.

21 NCAC 40 .0314 Apprenticeship and Internship Requirements: Registration

(a) Each trainee entering the apprenticeship or internship shall register with the Board providing contact information, training establishment wherein training is being served, name of sponsoring trainer, and paying fees per G.S. 90-246.

(1) The apprenticeship registration fee shall be paid on initial registration and on or before June 30 each year for an annual renewal.

(2) The internship registration fee shall be paid on initial registration.

(3) The work as an apprentice or intern shall be full time, defined as a minimum of 32 hours per week, under the training sponsorship of a licensed optician, ophthalmologist, or optometrist.

(4) Part-time work or work as an optical salesman or consultant shall not apply toward completion of apprenticeship or internship.

(5) No more than two persons, whether apprentices or interns or a combination, may be registered and under training sponsorship of any one optician, ophthalmologist, or optometrist at the same time.

(6) An apprentice or intern shall be credited with training time only from the date of registration and fee payment with the Board as an apprentice or intern.

(A) If an apprentice or intern is transferred to another business location or another registered trainer, or ceases employment with the registered training establishment, the trainer shall document to the Board the trainee's beginning and ending dates under their training.

(B) An apprentice or intern shall be credited by the Board with time documented by a prior trainer if the apprentice or intern registers under another trainer within 12 months of ending training with a prior trainer.

(b) In addition to the work specified in Subparagraph (a)(3) of this Rule, the curriculum for the apprentice shall include one of the following, as chosen by the apprentice:

(1) an optical curriculum certificate program presented by a school of opticianry approved pursuant to Rule .0312 of this Chapter; or

(2) the National Academy of Opticianry's home study Career Progression Program; or

(3) any apprenticeship program, approved by the Board, which is offered by an optical place of business registered with the Board pursuant to Rule .0202 of this Chapter. The Board shall approve such apprenticeship program if the program's curriculum summary contains subject matter similar to the curriculum summary of the National Academy of Opticianry's home study Career Progression Program.

The classroom and laboratory time spent in the optical curriculum certificate program shall be credited as part of the apprenticeship period and its minimum of 32 hours per week. Certification that the apprentice has completed and passed one of the approved programs shall be required.

(c) When registering to serve a six month internship, the applicant must have completed the two and one-half years of apprenticeship as required by G.S. 90-240(a)(2) and (3) or have completed the course of training required by G.S. 90-240(a)(1).

(d) Trainers shall document to the Board completion of training for apprentices and interns.

History

• Authority G.S. 90-239; 90-240; 90-243; 90-249
• Eff. February 1, 1976
• Amended Eff. September 6, 1977
• Readopted Eff. September 29, 1977
• Amended Eff. February 1, 1996; January 1, 1994; July 1, 1991; February 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018
• Amended Eff. December 1, 2019.

21 NCAC 40 .0315 Additional Training Requisite to Licensure

History

• Status: repealed
• Authority G.S. 93B-1 through 93B-10; 90-234; 90-235; 90-237 through 90-249
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0316 Authority to Function

History

• Status: repealed
• Authority G.S. 93B-1 through 93B-10; 90-234; 90-235; 90-237 through 90-249
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0317 Scores of Examination

History

• Status: repealed
• Authority G.S. 90-240
• Eff. November 1, 1981
• Repealed Eff. February 1, 1989.

21 NCAC 40 .0318 Terms oF EXAMINATION and re-examination

History

• Status: repealed
• Authority G.S. 90-237; 90-240; 90-249
• Eff. November 1, 1981
• Amended Eff. February 1, 1989
• Repealed Eff. September 1, 2012.

21 NCAC 40 .0319 Applicants from Other States

(a) An applicant seeking licensure in North Carolina under G.S. 90-241(a) shall tender an application to the Board as set out in 21 NCAC 40 .0104 accompanied by affidavits from two employers for whom the applicant worked as an optician for the four years immediately preceding the application to the Board, and affidavits from two persons who can attest to the moral character of the applicant. In addition, the applicant shall furnish affidavits from two licensed refractionists, either ophthalmologists or optometrists, for whom the applicant has practiced the profession of opticianry in the state in which the applicant claims credit for the four years prior to the application. An application under G.S. 90-241(a) shall be filed with the Board within 90 days following the termination of the applicant's out-of-state opticianry work for which the applicant claims credit.

(b) An applicant seeking admission to an examination under G.S. 90-241(b) shall tender an application to the Board as set out in 21 NCAC 40 .0104 accompanied by affidavits from two persons under whom or with whom the applicant worked in the practice of opticianry in the other state, either in one or multiple places of business. The application and the affidavits shall describe the tasks performed by the applicant in the other state and the dates the tasks were performed.

History

• Authority G.S. 90-237; 90-239; 90-241; 90-249(12)
• Eff. November 1, 1981
• Amended Eff. August 1, 1998; December 1, 1994; July 1, 1991; February 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018
• Amended Eff. December 1, 2019.

21 NCAC 40 .0320 License Renewal Information

(a) The Board shall send each registrant an application to renew licensure yearly. The application, credits for required education as set forth in 21 NCAC 40 .0206, and the fee as set forth in G.S. 90-246(3) shall be received in the Board office prior to renewal.

(1) The application form shall provide the registrant's current address, contact and employment information, and an attestation to the Board regarding the registrant's histories concerning arrest and conviction, licensure disciplinary actions, and civil or administrative court proceedings related to occupational licensure or the practice of opticianry.

(b) A registrant in current renewal status may apply to the Board for a change to inactive status. Application for any status change shall be made on the form provided by the Board.

(1) The application form shall provide the registrant's current address and contact information, and an attestation to the Board that the registrant is working in a field other than opticianry, or is not engaged in active opticianry practice at the time of the status change application.

(2) A registrant approved for inactive status shall not practice as a licensed optician.

(A) A registrant in inactive practice status shall not remain in inactive status if found in practice. The registrant shall apply for a change to active status as set forth in this Rule, and is subject to disciplinary action set forth in G.S. 90-249.1(1).

(B) Registrants in inactive status shall complete a renewal form for status renewal and pay the yearly renewal fee as set forth in G.S. 90-246(3) but are not required to obtain annual continuing education hours as set forth in 21 NCAC 40. 0206.

(c) A registrant in inactive status may apply to the Board to change to active status. Application for a status change shall be made on a form provided by the Board.

(1) The application form shall provide the registrant's current address and contact information.

(2) Credits for having attended required education, as set forth in 21 NCAC 40 .0206, the fee as set forth in G.S. 90-246(3), and the application form shall be received in the Board office and approved prior to the registrant's resumption of opticianry practice.

(d) The Board shall notify registrants of receipt of yearly licensure renewal and of approval of status changes.

History

• Authority G.S. 90-239; 90-244(b)
• Eff. November 1, 1981
• Amended Eff. February 1, 1989; February 1, 1988; August 1, 1985; July 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018
• Amended Eff. October 1, 2019.

21 NCAC 40 .0321 Training Establishment Requirements

(a) Any North Carolina licensed optician, ophthalmologist, or optometrist as provided in G.S. 90-237(4) and G.S. 90-240(a)(2) and (3) who are potential trainers for an apprentice or intern to become an optician can download an application form from the Board's website at www.ncopticiansboard.org. Any person not able to download an application form may request that the Board mail the materials which the Board will mail to the requesting person.

(1) In completing the application, applicants shall provide address and contact information for optical place of business, optometry, or ophthalmology office where training will be given, name or names of training sponsors and license numbers, and pay registration fees per G.S. 90-246.

(2) The registration fee shall be paid on initial registration and on or before June 30 each year for an annual renewal.

(b) The apprentice or intern shall provide to the Board documentation to show that the training establishment provides optical equipment and instruments, reference resources and work processes and tasks to conduct training in opticianry.

(c) Optical equipment and instruments required to be on site and used during training are:

(1) Focimeter, also termed lensometer;

(2) Pupillary distance ruler;

(3) Pupillometer;

(4) Lens clock;

(5) Calipers, also termed thickness gauge;

(6) Polariscope;

(7) Salt or bead pan, also termed frame warmer;

(8) Frame adjustment tools;

(9) Distometer;

(10) Staking kit, also termed punch kit;

(11) Frame repair replacement parts to include screws, temples, and hinges; and

(12) Training establishments wherein only interns are registered are not required to have a polariscope as set forth in Paragraph (c) of this Rule.

(d) Reference materials required to be on site for use by trainees may be either one or both of:

(1) The textbooks used by students of the certificate program administered by Durham Technical Community College, or

(2) All volumes of the National Academy of Opticianry's home study Career Progression Program approved pursuant to Rule .0314(b)(1) or (2) of this Section.

(e) Apprentice training shall be comprised of work processes required for proficiency, and successful completion of the licensure examination as defined in G.S. 90-240(b) and Rule .0303(a) of this Section.

(1) Topics and processes to be covered during training, with minimum hours are:

(A) Orientation to opticianry – 38 hours

(B) Ophthalmic optics – 461 hours

(C) Assembly and repair of eyewear – 576 hours

(D) Eyewear fitting – 1,114 hours

(E) Lens grinding – 422 hours

(F) Ocular anatomy and physiology – 422 hours

(G) Contact lenses – 653 hours

(H) Recordkeeping – 177 hours

(2) An apprentice shall complete a competency review test issued by the Board every six months of their registered apprenticeship and have their sponsoring trainer sign to its completion.

(A) The review test shall cover the processes defined in the Board training topics in Paragraph (e) above that correspond to the six-month period of training in which the apprentice is registered and contain multiple-choice answers.

(B) The Board shall return the graded answer sheet of the review test for the trainee and trainer to identify training topics and processes wherein additional training may be beneficial.

(C) A passing score on the review test is not required for apprenticeship registration to continue.

(f) Internship training shall be comprised of work processes required for review of training received during the apprenticeship defined in Paragraph (e) of this Rule, or as required by G.S. 90-240(a)(1) or G.S. 90-240(a1). Topics and processes to be covered during internship, with minimum hours are:

(1) Assembly and repair of eyewear – 355 hours

(2) Repair of eyewear – 160 hours

(3) Eyewear fitting – 375 hours

(4) Recordkeeping – 50 hours

(5) Contact lenses – 100 hours

(g) The apprentice or intern shall provide any information requested by the Board for documentation regarding the manner and method by which training is conducted and allow random inspections by Board staff of the facility wherein training is conducted.

(1) At the time of inspection, Board staff shall verify the presence of the required training equipment and reference materials per Paragraph (d) and (e) of this Rule; the registrations and display of same for trainees and the facility per Rule .0209(a) and (b) of this Chapter; and the documentation maintained by the trainee of the topics and work processes covered in training by trainee and trainer per Paragraph (f) of this Rule.

(2) The trainee and Board staff shall sign the inspection form verifying their acknowledgement of any missing equipment or resources, or missing or incomplete documentation required by this Rule.

History

• Authority G.S. 90-237(4); 90-240(a)(3); 90-243; 90-246; 90-249; 90-249.1
• Eff. November 1, 1981
• Amended Eff. February 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018
• Amended Eff. March 1, 2020.

21 NCAC 40 .0322 Temporary Licenses

History

• Status: repealed
• Authority G.S. 90-241; 90-249; 90-250; 90-252
• Eff. November 1, 1981
• Repealed Eff. February 1, 1989.

21 NCAC 40 .0323 Affidavit of applicant

(a) Applicants for any Board training, registration, examination, and licensure process shall attest to the completeness and accuracy of the information contained in applications.

(b) Upon obtaining agreement from an applicant, the Board shall conduct a criminal background check during review of an applicant as identified in Paragraph (a) of this Rule. Application fees are inclusive of costs involved for such investigations, and no additional charges shall be assessed against the applicant.

(c) If an applicant submits incomplete, false, or misleading information, the Board shall deny the applicant admission to examination, apprenticeship, internship, business, or training establishment registrations or licensure.

(d) It is a violation of G.S. 90-249.1 for any optician shown on a registration application to submit incomplete, false, or misleading information.

History

• Authority G.S. 90-243; 90-249; 90-249.1
• Eff. November 1, 1981
• Amended Eff. September 1, 2012; February 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018
• Amended Eff. December 1, 2019.

21 NCAC 40 .0324 Character; Convictions

When any provision of G.S. 90, Article 17, requires an applicant to have good moral character, the applicant shall submit to the Board affidavits of two persons who have been acquainted with the applicant for at least three years immediately preceding the application. The Board shall require applicants for licensure and for license renewals and reinstatements to state whether the applicant has been convicted of a crime.

History

• Authority G.S. 90-237(2a); 90-239; 90-241(a)(2); 90-249.1(a)(8)
• Eff. August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0325 Licensure for Military-Trained Applicant; Licensure for Military Spouse

(a) Licensure for a military-trained applicant. Upon receipt of a request for licensure pursuant to G.S. 93B-15.1 from a military-trained applicant, the Board shall issue a license to the applicant who satisfies the following conditions:

(1) submission of a complete application with applicant's name and contact information, and date of birth;

(2) providing documentation to satisfy conditions set out in G.S. 93B-15.1(a)(1) and (2); and

(3) providing documentation that the applicant has not committed any act in any jurisdiction that would constitute grounds for refusal, suspension, or revocation of a license in North Carolina at the time the act was committed.

(b) Licensure for a military spouse. Upon receipt of a request for licensure pursuant to G.S. 93B-15.1 from a military spouse, the Board shall issue a license to the applicant who satisfies the following conditions:

(1) submission of a complete application with applicant's name and contact information, and date of birth;

(2) submission of written documentation demonstrating that the applicant is married to an active member of the U.S. military; and

(3) providing documentation to satisfy conditions set out in G.S. 93B-15.1(b)(1) through (4).

History

• Authority G.S. 90-234; 90-239; 93B-15.1
• Eff. December 1, 2019.

21 NCAC 40 .0401 Notice of Hearing

History

• Status: repealed
• Authority G.S. 1A-1; 90-249; 150A-23(a); 150A-25(a); 150A-27; 150A-33(5)
• 150A-43 through 150A-46
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0402 Aggrieved Person

History

• Status: repealed
• Authority G.S. 1A-1; 90-249; 150A-23(a); 150A-25(a); 150A-27; 150A-33(5)
• 150A-43 through 150A-46
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0403 Intervention During Hearing

History

• Status: repealed
• Authority G.S. 1A-1; 90-249; 150A-23(a); 150A-25(a); 150A-27; 150A-33(5)
• 150A-43 through 150A-46
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0404 Types of Intervention

History

• Status: repealed
• Authority G.S. 1A-1; 90-249; 150A-23(a); 150A-25(a); 150A-27; 150A-33(5)
• 150A-43 through 150A-46
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0405 Failure to Appear

History

• Status: repealed
• Authority G.S. 1A-1; 90-249; 150A-23(a); 150A-25(a); 150A-27; 150A-33(5)
• 150A-43 through 150A-46
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0406 Simplification of Issues

History

• Status: repealed
• Authority G.S. 1A-1; 90-249; 150A-23(a); 150A-25(a); 150A-27; 150A-33(5)
• 150A-43 through 150A-46
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0407 Subpoenas

History

• Status: repealed
• Authority G.S. 1A-1; 90-249; 150A-23(a); 150A-25(a); 150A-27; 150A-33(5)
• 150A-43 through 150A-46
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0408 Applicable Hearing Rules

When the Board elects to have the Office of Administrative Hearings hear a contested case, the Board's rules pertaining to contested case hearings, instead of the rules of the Office of Administrative Hearings, shall apply.

History

• Authority G.S. 90-249; 150B-38(h)
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0409 Right to Hearing

When the Board acts or proposes to act, other than in rulemaking or declaratory ruling proceedings, in a manner which will affect the rights, duties, or privileges of a specific, identifiable person, such person has the right to an administrative hearing. When the Board proposes to act in such a manner, it shall give all such affected persons notice of their right to a hearing by mailing to them, by certified mail, at their last known address a notice of the proposed action and a notice of a right to a hearing.

History

• Authority G.S. 90-239; 150B-11; 150B-38
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0410 Request for Hearing

(a) Any time an individual believes that individual's rights, duties, or privileges have been affected by the Board's administrative action, but has not received notice of a right to an administrative hearing, that individual may file a formal request for a hearing.

(b) Before an individual may file a request, that individual is encouraged to exhaust all reasonable efforts to resolve the issue informally with the Board.

(c) Subsequent to such informal action, if still dissatisfied, the individual should submit a request to the Board's office, with the request bearing the notation: REQUEST FOR ADMINISTRATIVE HEARING. The request should contain the following information:

(1) name and address of the petitioner,

(2) a concise statement of the action taken by the Board which is challenged,

(3) a concise statement of the way in which the petitioner has been aggrieved, and

(4) a clear and specific statement of request for a hearing.

(d) The request will be acknowledged promptly and, if deemed appropriate by the Board in accordance with 21 NCAC 40 Rule .0411, a hearing will be scheduled.

History

• Authority G.S. 90-239; 150B-11; 150B-38
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0411 Granting or Denying Hearing Request

(a) The Board will grant a request for a hearing if it determines that the party requesting the hearing is a "person aggrieved" within the meaning of G.S. 150B-2(6).

(b) The denial of a request for a hearing will be issued immediately upon decision, and in no case later than 60 days after the submission of the request. Such denial shall contain a statement of the reasons leading the Board to deny the request.

(c) Approval of a request for a hearing will be signified by issuing a notice as required by G.S. 150B-38(b) and explained in Rule .0412 of this Section.

History

• Authority G.S. 90-239; 150B-11; 150B-38
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0412 Notice of Hearing

(a) The Board shall give the party or parties in a contested case a notice of hearing not less than 15 days before the hearing. Said notice shall contain the following information, in addition to the items specified in G.S. 150B-38(b):

(1) the name, position, address, and telephone number of a person at the offices of the Board to contact for further information or discussion;

(2) the date, time, and place for a pre-hearing conference, if any; and

(3) any other information deemed relevant to informing the parties as to the procedure of the hearing.

(b) If the Board determines that the public health, safety or welfare requires such action, it may issue an order summarily suspending a license. Upon service of the order, the licensee to whom the order is directed shall immediately cease the practice of opticianry in North Carolina. The Board shall promptly give notice of hearing pursuant to G.S. 150B-38 following service of the order. The suspension shall remain in effect pending issuance by the Board of a final agency decision pursuant to G.S. 150B-42.

History

• Authority G.S. 90-239; 150B-3(c); 150B-11; 150B-38
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0413 Who Shall Hear Contested Cases

All administrative hearings will be conducted by the Board, a panel consisting of a majority of the members of the Board, or an administrative law judge designated to hear the case pursuant to G.S. 150B-40(e).

History

• Authority G.S. 90-239; 150B-11; 150B-38; 150B-40
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0414 Informal Procedures

The Board and the party or parties may agree in advance to simplify the hearing by: decreasing the number of issues to be contested at the hearing; accepting the validity of certain proposed evidence; accepting the findings in some other case with relevance to the case at hand; or agreeing to such other matters as may expedite the hearing.

History

• Authority G.S. 90-239; 150B-11; 150B-41
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0415 Petition for Intervention

(a) A person desiring to intervene in a contested case must file a written petition with the Board's office. The request should bear the notation: PETITION TO INTERVENE IN THE CASE OF (Name of case).

(b) The petition must include the following information:

(1) the name and address of petitioner;

(2) the business or occupation of petitioner, where relevant;

(3) a full identification of the hearing in which petitioner is seeking to intervene;

(4) the statutory or non-statutory grounds for intervention;

(5) any claim or defense in respect of which intervention is sought; and

(6) a summary of the arguments or evidence petitioner seeks to present.

(c) If the Board determines to allow intervention, notice of that decision will be issued promptly to all parties, and to the petitioner. In cases of discretionary intervention, such notification will include a statement of any limitations of time, subject matter, evidence or whatever else is deemed necessary which are imposed on the intervenor.

(d) If the Board's decision is to deny intervention, the petitioner will be notified promptly. Such notice will be in writing, identifying the reasons for the denial, and will be issued to the petitioner and all parties.

History

• Authority G.S. 90-239; 150B-11; 150B-38
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0416 Types of Intervention

(a) Intervention of Right. A petition to intervene as of right, as provided in the North Carolina Rules of Civil Procedure, Rule 24, will be granted if the petitioner meets the criteria of that rule and the petition is timely.

(b) Permissive Intervention. A petition to intervene permissively as provided in the North Carolina Rules of Civil Procedure, Rule 24 will be granted if the petitioner meets the criteria of that rule and the Board determines that:

(1) There is sufficient legal or factual similarity between the petitioner's claimed rights, privileges, or duties and those of the parties to the hearing; and

(2) Permitting intervention by the petitioner as a party would aid the purpose of the hearing.

(c) Discretionary Intervention. The Board may allow discretionary intervention, with whatever limits and restrictions are deemed appropriate.

History

• Authority G.S. 90-239; 150B-11; 150B-38
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0417 Disqualification of Board Members

(a) Self-disqualification. If for any reason a Board member determines that personal bias or other factors render that member unable to hear a contested case and perform all duties in an impartial manner, that Board member shall voluntarily decline to participate in the hearing or decision.

(b) Petition for Disqualification. If for any reason any party in a contested case believes that a Board member is personally biased or otherwise unable to hear a contested case and perform all duties in an impartial manner, the party may file a sworn, notarized affidavit with the Board. The title of such affidavit should bear the notation: AFFIDAVIT OF DISQUALIFICATION OF BOARD MEMBER IN THE CASE OF (Name of case).

(c) Contents of Affidavit. The affidavit must state all facts the party deems to be relevant to the disqualification of the Board member.

(d) Timeliness and Effect of Affidavit. An affidavit of disqualification will be considered timely if filed ten days before commencement of the hearing. Any other affidavit will be considered timely provided it is filed at the first opportunity after the party becomes aware of facts which give rise to a reasonable belief that a Board member may be disqualified under this Rule. Where a petition for disqualification is filed less than ten days before or during the course of a hearing, the hearing shall continue with the challenged Board member sitting. Petitioner shall have the opportunity to present evidence supporting his petition, and the petition and any evidence relative thereto presented at the hearing shall be made a part of the record. The Board, before rendering its decision, shall decide whether the evidence justifies disqualification. In the event of disqualification, the disqualified member will not participate in further deliberation or decision of the case.

(e) Procedure for Determining Disqualification:

(1) The Board will appoint a Board member to investigate the allegations of the affidavit.

(2) The investigator will report to the Board the findings of the investigation.

(3) The Board shall decide whether to disqualify the challenged individual.

(4) The person whose disqualification is to be determined will not participate in the decision but may be called upon to furnish information to the other members of the Board.

(5) When a Board member is disqualified prior to the commencement of the hearing or after the hearing has begun, such hearing will continue with the remaining members sitting provided that the remaining members still constitute a majority of the Board.

(6) If four or more members of the Board are disqualified pursuant to this Rule, the Board shall petition the Office of Administrative Hearings to appoint an administrative law judge to hear the contested case pursuant to G.S. 150B-40(e).

History

• Authority G.S. 90-239; 150B-11; 150B-38; 150B-40
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0418 Subpoenas

(a) Requests for subpoenas for the attendance and testimony of witnesses or for the production of documents, either at a hearing or for the purposes of discovery, shall be made in writing to the Board, shall identify any document sought with specificity, and shall include the full name and home or business address of all persons to be subpoenaed and, if known, the date, time, and place for responding to the subpoena. The Board shall issue the requested subpoenas within three days of receipt of the request.

(b) Subpoenas shall contain: the caption of the case; the name and address of the person subpoenaed; the date, hour and location of the hearing in which the witness is commanded to appear; a particularized description of the books, papers, records or objects the witness is directed to bring with him to the hearing, if any; the identity of the party on whose application the subpoena was issued; the date of issue; the signature of the presiding officer or his designee; and a "return of service". The "return of service" form, as filled out, shows the name and capacity of the person serving the subpoena, the date on which the subpoena was delivered to the person directed to make service, the date on which service was made, the person on whom service was made, the manner in which service was made, and the signature of the person making service.

(c) Subpoenas shall be served by the sheriff of the county in which the person subpoenaed resides, when the party requesting such subpoena prepays the sheriff's service fee. The subpoena shall be issued in duplicate, with a "return of service" form attached to each copy. A person serving the subpoena shall fill out the "return of service" form for each copy and properly return one copy of the subpoena, with the attached "return of service" form completed, to the Board.

(d) Any person receiving a subpoena from the Board may object thereto by filing a written objection to the subpoena with the Board's office.

(e) Such objection shall include a concise, but complete, statement of reasons why the subpoena should be revoked or modified. These reasons may include lack of relevancy of the evidence sought, or any other reason sufficient in law for holding the subpoena invalid, such as that the evidence is privileged, that appearance or production would be so disruptive as to be unreasonable in light of the significance of the evidence sought, or other undue hardship.

(f) Any such objection to a subpoena must be served on the party who requested the subpoena simultaneously with the filing of the objection with the Board.

(g) The party who requested the subpoena, in such time as may be granted by the Board, may file a written response to the objection. The written response shall be served by the requesting party on the objecting witness simultaneously with filing the response with the Board.

(h) After receipt of the objection and response thereto, if any, the Board shall issue a notice to the party who requested the subpoena and the party challenging the subpoena, and may notify any other party or parties of an open hearing, to be scheduled as soon as practicable, at which evidence and testimony may be presented, limited to the narrow questions raised by the objection and response.

(i) Promptly after the close of such hearing, the majority of the Board members hearing the contested case will rule on the challenge and issue a written decision. A copy of the decision will be issued to all parties and made a part of the record.

History

• Authority G.S. 90-239; 150B-11; 150B-38; 150B-39; 150B-40
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0419 Witnesses

Any party may be a witness and may present witnesses on the party's behalf at the hearing. All oral testimony at the hearing shall be under oath or affirmation and shall be recorded. At the request of a party or upon the Board's own motion, the presiding officer may exclude witnesses from the hearing room so that they cannot hear the testimony of other witnesses.

History

• Authority G.S. 90-239; 150B-11; 150B-38; 150B-40
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0420 Final Decision

In all cases heard by the Board, the Board will issue its decision within 60 days after its next regularly scheduled meeting following the close of the hearing. This decision will be the prerequisite "final agency decision" for the right to judicial review.

History

• Authority G.S. 90-239; 150B-11; 150B-38; 150B-42
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0421 Proposals for Decisions

(a) When an administrative law judge conducts a hearing pursuant to G.S. 150B-40(e), a "proposal for decision" shall be rendered within 45 days of the hearing pursuant to the Rules of the Office of Administrative Hearings, 26 NCAC 3 .0026. The parties may file written exceptions to this "proposal for decision" and submit their own proposed findings of fact and conclusions of law. The exceptions and alternative proposals must be filed within ten days after the party has received the "proposal for decision" as drafted by the administrative law judge.

(b) Any exceptions to the procedure during the hearing, the handling of the hearing by the administrative law judge, rulings on evidence, or any other matter must be written and refer specifically to pages of the record or otherwise precisely identify the occurrence to which exception is taken. The exceptions must be filed with the Board within ten days of the receipt of the proposal for decision. The written exceptions should bear the notation: EXCEPTIONS TO THE PROCEEDINGS IN THE CASE OF (Name of case).

(c) Any party may present oral argument to the Board upon request. The request must be included with the written exceptions.

(d) Upon receipt of request for further oral argument, notice will be issued promptly to all parties designating the time and place for such oral argument.

(e) Giving due consideration to the proposal for decision and the exceptions and arguments of the parties, the Board may adopt the proposal for decision or may modify it as the Board deems necessary. The decision rendered will be a part of the record and a copy thereof given to all parties. The decision as adopted or modified becomes the "final agency decision" for the right to judicial review. Said decision will be rendered by the Board within 60 days of the next regularly scheduled meeting following the oral arguments, if any. If there are no oral arguments presented, the decision will be rendered within 60 days of the next regularly scheduled Board meeting following receipt of the written exceptions.

History

• Authority G.S. 90-239; 150B-11; 150B-38; 150B-40
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0422 Motions for Continuance

(a) The Chair or presiding officer shall grant motions for a continuance of a hearing upon a showing of good cause. In determining whether good cause exists, the Chair or presiding officer shall consider the ability of the party requesting a continuance to:

(1) Proceed effectively without a continuance;

(2) Obtain legal counsel, and whether efforts to obtain counsel have been diligent;

(3) Obtain consent of the other party in the hearing;

(4) Have key witnesses that are unavailable for the hearing; and

(5) Have witnesses who have been served with a subpoena unavailable for the hearing.

(b) Motions for a continuance shall be in writing and shall be received in the office of the Board no less than seven calendar days before the hearing date.

(c) A motion for a continuance which is filed less than seven calendar days from the date of the hearing shall be denied, unless the reason for the motion could not have been ascertained earlier.

(d) Motions for continuance filed on the day of the hearing shall be ruled on by the Chair or presiding officer.

History

• Authority G.S. 90-239
• Eff. September 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 22, 2018.

21 NCAC 40 .0501 Subjects of Declaratory Rulings

History

• Status: repealed
• Authority G.S. 90-249; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0502 Submission of Request for Ruling

History

• Status: repealed
• Authority G.S. 90-249; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0503 Disposition of Requests

History

• Status: repealed
• Authority G.S. 90-249; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0601 Request to Participate

History

• Status: repealed
• Authority G.S. 90-249; 150A-12(a); 150A-12(d); 150A-12(e)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0602 Contents of Request: Time Limitations

History

• Status: repealed
• Authority G.S. 90-249; 150A-12(a); 150A-12(d); 150A-12(e)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0603 Written Submissions

History

• Status: repealed
• Authority G.S. 90-249; 150A-12(a); 150A-12(d); 150A-12(e)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0604 Board Presiding at Hearing

History

• Status: repealed
• Authority G.S. 90-249; 150A-12(a); 150A-12(d); 150A-12(e)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. November 1, 1981.

21 NCAC 40 .0605 Statement of Reasons for Decision

History

• Status: repealed
• Authority G.S. 90-249; 150A-12(a); 150A-12(d); 150A-12(e)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. November 1, 1981.

Chapter 42 Optometry

Subchapter A

21 NCAC 42A .0101 Contacting the board

The Board mailing address is 521 Yopp Rd., Suite 214 #444, Jacksonville, NC 28540. The Board's phone number is (910) 285-3160; its toll free number is (800) 426-4457 (in-state only); and its fax number is (910) 285-4546. The email address is info@ncoptometry.org and its website is www.ncoptometry.org.

History

• Authority G.S. 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. October 1, 1994; April 1, 1993; June 1, 1989; September 30, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015
• Amended Eff. January 1, 2023.

21 NCAC 42A .0102 Purpose

The purpose of the Board is to regulate the practice of optometry in the State of North Carolina, and to carry out the purposes and enforce the provisions of the laws of North Carolina relating thereto.

History

• Authority G.S. 90-116; 90-121.2(a)
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42A .0103 Records

History

• Status: repealed
• Authority G.S. 90-116; 90-117; 90-117.2
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42A .0104 Structure

History

• Status: repealed
• Authority G.S. 90-116; 90-117; 90-117.2
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42A .0105 Definitions

The following definitions apply to 21 NCAC 42 only:

(1) The term "Board" refers to the North Carolina State Board of Examiners in Optometry.

(2) The term "President" refers to the President of the North Carolina State Board of Examiners in Optometry.

(3) The term "Secretary" refers to the Secretary-Treasurer of the North Carolina State Board of Examiners in Optometry.

(4) The term "Executive Director" refers to the Executive Director of the North Carolina State Board of Examiners in Optometry.

History

• Authority G.S. 90-117; 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. April 1, 1993; June 1, 1989; September 30, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42A .0106 Meetings

History

• Status: repealed
• Authority G.S. 90-117.3; 90-117.5; 90-122; 93B-5; 138-6(a)
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42A .0107 Secretarial Assistance

History

• Status: repealed
• Authority G.S. 90-117.3; 90-117.5; 90-122; 93B-5; 138-6(a)
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42A .0108 Expense Allowance

History

• Status: repealed
• Authority G.S. 90-117.3; 90-117.5; 90-122; 93B-5; 138-6(a)
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

Subchapter B

21 NCAC 42B .0101 Approved Schools of Optometry

The Board may grant recognition and approval, deny or rescind recognition and approval, or make any recognition and approval granted by the Board conditional or probational, to any school accredited by the Accreditation Council on Optometric Education. The Board, in its discretion, may base such determination on its assessment of the quality of the educational programs and offerings of each school or college of optometry.

History

• Authority G.S. 90-117.5; 90-118(a),(b)
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. April 1, 2011; April 1, 1993; June 1, 1989; September 30, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23,
• 2015
• Amended Eff. March 1, 2023.

21 NCAC 42B .0102 Requirements for Licensure

History

• Status: repealed
• Authority G.S. 90-118
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42B .0103 Application for Licensure by Examination

One desiring to obtain the application form for licensure by examination shall specify the date of the examination when requesting the application form. The application shall be made on Form BEO-1 supplied by the Board. The completed application form and the proper fee must be received in the Board office 60 days prior to the examination date.

History

• Authority G.S. 90-118; 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. April 1, 1993; June 1, 1989; September 30, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42B .0104 Application for Licensure by Reciprocity

History

• Status: repealed
• Authority G.S. 90-117.5; 90-118.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. April 1, 1993; June 1, 1989; September 30, 1981
• Repealed Eff. August 1, 2012.

21 NCAC 42B .0105 Application for Intern Permit

History

• Status: repealed
• Authority G.S. 90-118.8; 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42B .0106 Fees

History

• Status: repealed
• Authority G.S. 90-117.5; 90-123
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. September 30, 1981
• Repealed Eff. June 1, 1989.

21 NCAC 42B .0107 National Board EXAMINATIONS

(a) Each applicant shall direct the National Board of Examiners in Optometry (NBEO) to release his or her official score report to the Board as evidence of having achieved a passing score as determined by the NBEO on:

(1) Parts I and II of the National Board of Examiners in Optometry (NBEO) Examinations as offered in the calendar year the applicant graduated from an accredited school or college of optometry;

(2) NBEO's Treatment and Management of Ocular Disease Examination if offered in the calendar year the applicant graduated from an accredited school or college of optometry;

(3) Part III of the NBEO's Clinical Skills Examination if offered in the calendar year the applicant graduated from an accredited school or college of optometry;

(4) Part III of the NBEO's Patient Encounters Examination if offered in the calendar year the applicant graduated from an accredited school or college of optometry; and

(5) NBEO's Injection Skills Examination.

(b) The applicant shall authorize the release of his or her official NBEO score report to the Board prior to the approval by the Board of his or her application to take the North Carolina Clinical Practicum Examination.

History

• Authority G.S. 90-117.5; 90-118
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. June 1, 2014; April 1, 2011; July 1, 1998; May 1, 1995; April 1, 1993; June 1, 1989; September 30, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015
• Amended Eff. May 1, 2026; July 1, 2023.

21 NCAC 42B .0108 Clinical Practicum Examinations

(a) Each applicant, after paying the fee set in Subchapter 42J and having met the requirements of Rule .0107 of this Subchapter, will be given clinical practicum examinations which may be in oral, written, clinical and practical form, said examinations to cover those subjects essential to the practice of optometry as defined in G.S. 90-114.

(b) To ensure proper examination of all applicants within a reasonable amount of time, the Board is authorized to employ clinical examiners, such clinical examiners to be licensed optometrists in the State of North Carolina who have been in practice no less than five years and who have demonstrated to their peers that they have superior clinical expertise.

(c) It shall be the duty of the optometrists who are members of the Board to prepare or oversee the preparation of the clinical practicum examinations. Psychometric consultants, subject matter experts and clinicians who have served as either members of the Board or as clinical examiners for the Board may be engaged by the Board in the design, implementation and grading of the examinations.

History

• Authority G.S. 90-114; 90-117.5; 90-118
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. June 1, 1989; September 30, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42B .0109 Clinical Examination

History

• Status: repealed
• Authority G.S. 90-118
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42B .0110 Passing Score

An applicant must attain an average grade of 75 on the clinical practicum examinations to pass the examination and be issued a license. No applicant who has received a grade of less than 60 on any part of the clinical practicum examination shall be considered eligible for licensure even though his overall clinical practicum score may average 75. Each applicant will be notified by the Executive Director as to his success or failure after the results of the examination have been determined by the Board.

History

• Authority G.S. 90-117.5; 90-118
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. May 1, 1995; April 1, 1993; June 1, 1989; September 30, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42B .0111 Residency

History

• Status: repealed
• Authority G.S. 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. September 30, 1981
• Repealed Eff. June 1, 1989.

21 NCAC 42B .0112 Time and Location

There shall be at least one examination for the purpose of licensure held each year for those persons applying for a license to practice optometry in the State of North Carolina. Said examination shall be at such time and location as the Board may determine; provided, however, the date and place of examination shall be announced by the Board no less than six months prior to the examination.

History

• Authority G.S. 90-117.5; 90-118
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. June 1, 1989; September 30, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42B .0113 Reexamination

(a) A completed application, except for school transcripts, birth certificate, and National Board scores, is required in case of reexamination. The completed application accompanied by the proper fee must be received in the Board office 60 days prior to the examination date.

(b) Any applicant who has failed the clinical practicum examination three times after the effective date of this Rule shall be deemed ineligible to apply for reexamination until he successfully completes an additional course of study in clinical optometry encompassing at least one academic year, such course to be approved by the Board. Such applicant shall submit evidence satisfactory to the Board of the additional study at the time he makes application for reexamination.

History

• Authority G.S. 90-117.5; 90-118
• Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42B .0114 Military License

(a) Permanent Unrestricted License Military Optometrist: The Board shall issue a permanent license to a military-trained applicant to allow the applicant to lawfully practice optometry in North Carolina if, upon application to the Board, the applicant satisfies the following conditions:

(1) Awarded a military occupational specialty in optometry and has done all of the following at a level that the Board, through an oral interview or administration of a clinical practicum examination, determines to be substantially equivalent to or exceeds the requirements for licensure in this State:

(A) completed a military program of optometry training that includes additional clinical experience in the diagnosis, treatment, and management of diseases of the eye and its adnexa;

(B) completed testing or equivalent training and experience; and

(C) performed in the occupational specialty;

(2) Engaged in the practice of optometry for at least two of the five years, which may include clinical residency, preceding the date of the application under this Paragraph;

(3) Not committed any act in any jurisdiction that would have constituted grounds for refusal, suspension, or revocation of a license to practice optometry in this State at the time the act was committed; and

(4) Pays the application, examination, and licensing fees required by the Board.

(b) Permanent Unrestricted License-Optometrist Spouse of Military Personnel: The Board shall issue to a military spouse a license to practice optometry in this State if, upon application to the Board, the military spouse satisfies the following conditions:

(1) Holds a current license, certification, or registration from another jurisdiction, and that jurisdiction's requirements for licensure, certification, or registration are substantially equivalent to or exceed the requirements for licensure in this State;

(2) Can demonstrate competency in optometry through methods determined by the Board, such as passing the Board's clinical practicum examination, completing continuing education units, or having had recent clinical experience in the diagnosis, treatment, and management of diseases of the eye and its adnexa for at least two of the five years preceding the date of the application under this Paragraph;

(3) Not committed any act in any jurisdiction that would have constituted grounds for refusal, suspension, or revocation of a license to practice optometry in this State at the time the act was committed;

(4) Submits written evidence demonstrating that the applicant is married to an active member of the U.S. military:

(5) Is in good standing and has not been disciplined by the agency that had jurisdiction to issue the license, certification, or permit; and

(6) Pays the application, examination, and licensing fees required by the Board.

(c) All optometric medical experience of a military service member in the discharge of official duties or, for a military spouse, all optometric medical experience, including full-time and part-time experience, regardless of whether in a paid or volunteer capacity, shall be credited in the calculation of years of practice required under Paragraphs (a) and (b) of this Rule.

(d) A nonresident licensed under this Rule shall be entitled to the same rights and subject to the same obligations as required of a resident licensed by the Board in this State.

History

• Authority G.S. 90-123; 93B-15.1
• Eff. July 1, 2014.

21 NCAC 42B .0201 Beginning Practice; Relocating Practice

Prior to beginning practice, a licensee shall notify the Board in writing as to the full and complete mailing address, including the street address, of his or her office and the telephone number of such office. Prior to relocating an office, the licensee involved shall notify the Board in writing of his or her new office address and telephone number. The address so identified shall constitute his or her primary practice address and the address to which all information pertaining to his or her licensure shall be addressed.

History

• Authority G.S. 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. April 1, 1993; June 1, 1989; September 30, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015
• Amended Eff. November 1, 2023.

21 NCAC 42B .0202 Branch Office

(a) A branch office is any location, facility, or mobile facility, other than an optometrist's primary office location, in which the optometrist provides professional optometric services as provided in G.S. 90-114(1)-(3).

(b) Before opening or beginning practice in a branch office, an optometrist shall obtain a branch license which shall be displayed in accordance with G.S. 90-118.2. The application for a branch office license must be made through the individual licensee's portal on the Board's website. The application requires the applicant furnish the following information:

(1) office name;

(2) phone number;

(3) fax number;

(4) date beginning practice at this location;

(5) whether this location is exclusively or primarily a telemedicine office;

(6) address, city, state, zip code, county; and

(c) Each branch office shall comply with the requirements for maintaining medical equipment and record keeping in accordance with 21 NCAC 42E .0102(2) and 42E .0102(5).

Upon receipt of the completed branch office application and the fee required by G.S. 90-123, the Board, subject to G.S. 90-121.2, shall issue such branch office license. A branch office license is not transferable from one practice location to another, nor from one practitioner to another.

(d) A branch office license shall be renewed annually.

History

• Authority G.S. 90-114; 90-117.5; 90-118.2; 90-118.10; 90-118.11; 90-121.2; 90-123
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. April 1, 1993; June 1, 1989; September 30, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015
• Amended Eff. October 1, 2024.

21 NCAC 42B .0203 Temporary or Relief Optometrist

Before providing optometric services on a temporary or relief basis for which he will receive compensation, for any period of time, an optometrist must first obtain a duplicate license for each location at which he will provide such services. The identity of such temporary or relief optometrist shall clearly appear in the record of each patient to whom such optometrist renders optometric services.

History

• Authority G.S. 90-117.5; 90-118.2; 90-118.4
• Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42B .0204 Ceasing Practice

(a) In the event an optometrist shall cease to practice at any practice location (primary or branch) as defined in Rules .0201 and .0202 of this Section, the optometrist shall notify the Board in writing within ten days of ceasing practice, indicating the reason for discontinuing practice and the disposition of patient records.

(b) On ceasing practice at any location, the licensee shall notify those patients whose records he retains in accordance with 21 NCAC 42E .0102(5) and (6) of the disposition or availability of such records. Such notice shall be given by direct mail, email, or through a public announcement in a newspaper of general circulation in the county or counties wherein the patients reside. If such notice is given by publication, such publication shall occur not less than weekly for a period of not less than ninety days. Proof of the giving of such notice shall be retained by the licensee.

(c) Any licensee ceasing practice shall maintain control and custody of the records located at that practice location until such time as such records are transferred to the patients or to the custody of another practitioner similarly licensed.

History

• Authority G.S. 90-117.5; 90-118.2
• Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015
• Amended Eff. January 1, 2024.

21 NCAC 42B .0301 Fee

History

• Status: repealed
• Authority G.S. 90-123
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. September 30, 1981
• Repealed Eff. June 1, 1989.

21 NCAC 42B .0302 Continuing Education

(a) Each optometrist holding a certificate of registration shall take annual courses of study approved by the Board as related to and essential to the practice of optometry as defined in G.S. 90-114. The Board shall approve courses whose content and quality of presentation are reasonably assured to the end that the licensee's abilities to meet the public demand of acceptable standards of care are enhanced and that currency of knowledge is insured.

(b) Each licensee shall determine if a course has been approved by the Board prior to the taking of the course and submitting it for credit.

(c) No course or course offering shall be considered for approval unless the vendor or sponsor has submitted to the Board no later than 30 days prior to the offering of the course information deemed sufficient by the Board as to the course title, course format, course content and learning purpose, lecturers including curriculum vitae, dates courses are offered, city and state where offered, and the name, address, and telephone number of the vendor or sponsor and the contact person(s) to whom inquiries can be made.

(d) Those courses that are approved, including the type and number of hours of credit, shall be entered by the Board's staff into the Board's central data base and the vendor or sponsor notified. Information concerning those courses that have been approved shall be made available to any licensee making inquiry concerning course approval.

(e) The Board shall maintain continuing education data on-line in its central data base for a minimum period of five years preceding the next annual license renewal date. A yearly listing of credits shall be furnished each licensee at the time of license renewal. Additional reports shall be available on request and with payment of a transcript fee of five dollars ($5.00). Telephone inquiries as to current status of continuing education hours may be made during normal business hours.

(f) Notification of the number of hours required by the Board for license renewal shall be given to each licensee at the time the licensee receives notice of annual license renewal. Such notice shall state the number of hours of approved continuing education required in the following year in order to renew a license for the second following year. The number of required continuing education hours is 25 hours.

(g) In any calendar year no less than 12 hours of the continuing education requirement must be in courses focused on current practices and advancements in the fields of ocular and general pharmacology, diagnosis and therapeutics, or advanced clinical procedures, said hours to be deemed "certified" credit hours by the Board. Courses certified to meet this special requirement shall be of sufficient length and depth to address the subject matter in the course description(s) and taught by individuals who have training and experience in the area taught.

(h) Courses of self-study by vendors meeting the standards and criteria set by the Council on Optometric Postgraduate Education (COPE) or the Accreditation Council for Continuing Medical Education (ACCME), said course(s) meant to be taken by individuals through journal articles or over the internet where organized material is presented and written evaluations are made prior to or after completing the course(s) are eligible for approval provided the vendor or sponsor has submitted the course or courses for approval as described in this Rule prior to its being offered to the licensee. However, no licensee shall receive credit for more than six hours of educational credit by this means in any calendar year.

(i) Courses that are classified as practice administration shall be accepted by the Board for credit provided that no more than four hours of the total number of continuing education hours required shall be accepted within one calendar year for the purpose of credit for any licensee.

(j) All courses accepted for credit must be taken within the calendar year for which the credit is applied; provided, however, that any course dependent upon an examination for successful completion may be certified to the Board following examination even if the examination or the results thereof are not available until the next calendar year.

(k) Attendance at any course or courses approved by the Board shall be for the requisite period. The vendor or sponsor of the course shall assure compliance with this requirement and shall so certify to the Board no later than 30 days following the courses being offered. Documentation of attendance may be transmitted:

(1) By the vendor or sponsor of the education provided the documentation contains the following information:

(A) Course title and classification verification;

(B) Vendor or sponsor identification;

(C) Name of and license number of North Carolina licensee; and

(D) Vendor or sponsor's attestation or verification of attendance.

(2) By any licensee directly to the Board provided that the attendance is documented by the vendor or sponsor of the education, on a form given the licensee attending the course(s) attesting to their attendance, and the original form, not a photocopy or facsimile, is submitted.

(l) Electronic transfer of attendance records in a data base format compatible to the Board's data management system is acceptable; provided, however, the Board may at any time within three years of the date of transfer call for a hard copy verification if in its opinion such verification is necessary.

History

• Authority G.S. 12-3.1; 90-117.5; 90-123.1
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. April 1, 2011; April 1, 1993; June 1, 1989; September 30, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42B .0303 FAILURE TO MEET continuing EDUCATION REQUIREMENT

For a first failure to comply with 21 NCAC 42B .0302 the Board may require that the optometrist complete an additional five hours of attendance at approved continuing education programs. In the calendar year following such failure to comply, the optometrist must complete a sufficient number of hours at approved continuing education programs to cure the prior year's shortfall, meet the current year's continuing education obligation, and meet any penalty imposed as a result of the prior year's shortfall. Any subsequent failure to comply with 21 NCAC 42B .0302 may subject the optometrist to disciplinary action under G.S. 90-121.2.

History

• Authority G.S. 90-117.5; 90-121.2; 90-123.1
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. June 1, 1989; September 30, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015
• Amended Eff. March 1, 2023.

21 NCAC 42B .0304 application for license renewal

To apply for license renewal, the licensee shall fully and accurately complete the application that is available through the portal on the Board's website. The application shall be made available before November 15 of each year preceding the date on which the application and the fees are due.

History

• Authority G.S. 90-117.5; 90-118.10
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. June 1, 1989; September 30, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015
• Amended Eff. September 1, 2023.

21 NCAC 42B .0305 Suspension of Authority to Expend Funds

In the event the Board's authority to expend funds is suspended pursuant to Session Law 2009-125, the Board shall continue to issue and renew licenses and all fees tendered shall be placed in an escrow account maintained by the Board for this purpose. Once the Board's authority is restored, the funds shall be moved from the escrow account into the general operating account.

History

• Authority G.S. 93B-2(b)
• Eff. April 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

Subchapter C

21 NCAC 42C .0101 Certification of Registration (repealed)

History

• Status: repealed
• Authority G.S. 90-117.5; 55B-12
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42C .0102 Application

An optometrist who has a certificate of registration issued by the Board may make application to the Board for a certificate of registration for a "professional corporation" or "professional limited liability company". When the Board makes the findings in G.S. 55B-10, it shall issue a certificate of registration for a professional corporation or professional limited liability company upon payment of the registration fee. The certificate shall remain effective until January 1 following the date of registration.

History

• Authority G.S. 55B-10; 57C-2-01; 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. October 1, 1994; June 1, 1989; September 30, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42C .0103 Fee

History

• Status: repealed
• Authority G.S. 55B-10
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. June 1, 1989.

21 NCAC 42C .0104 Naming Corporation or Limited Liability Company

(a) A corporate or limited liability company name must include either:

(1) the name of a shareholder or member of the corporation or limited liability company and the shareholder's or member's degree; or

(2) the word or words "optometry", "optometric", or "optometrists", followed, in the case of corporation, by the words "professional association" or the abbreviation "P.A.", or, in the case of a limited liability company, by the words "professional" and "limited liability company," or some abbreviation thereof that is permissible under G.S. 57C-2-01(c) and 57C-2-30 or 57C-7-06.

(b) The name of the shareholder or member, the shareholder's or member's degree, and the words "optometrists", "optometry", or "optometric" must appear on any corporate or limited liability company sign or advertisement.

History

• Authority G.S. 55B-5; 57C-2-01; 57C-2-30; 57C-7-06; 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. October 1, 1994; June 1, 1989; September 30, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42C .0105 Annual Renewal

A certificate of registration for a professional corporation or professional limited liability company must be renewed on or before December 31. The required renewal fee must accompany the application.

History

• Authority G.S. 55B-11; 57C-2-01; 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. October 1, 1994; June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42C .0106 Compliance with Law: Rules and Regulations

History

• Status: repealed
• Authority G.S. 90-117.5; 55B-9
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

Subchapter D

21 NCAC 42D .0101 Definitions

History

• Status: repealed
• Authority G.S. 90-115.1(6); 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. June 1, 1989; September 30, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015
• Repealed Eff. March 1, 2023.

21 NCAC 42D .0102 Function

(a) For the purposes of this Rule, "paraoptometric personnel" means an optometric assistant, optometric technician, or similarly titled position who qualifies by training and experience to perform duties of an administrative, technical, or clinical nature and is directed and supervised by a licensed optometrist.

(b) Paraoptometric personnel shall perform his or her functions within the scope of his or her training, as directed by and assigned by an optometrist, so long as those functions are at the specific direction and under the supervision of the licensee.

History

• Authority G.S. 90-115.1(6); 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. June 1, 1989; September 30, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015
• Amended Eff. March 1, 2023.

21 NCAC 42D .0103 Application

History

• Status: repealed
• Authority G.S. 90-115.1(6); 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. June 1, 1989; September 30, 1981
• Repealed Eff. August 1, 2012.

21 NCAC 42D .0104 Registration

History

• Status: repealed
• Authority G.S. 90-115.1(6); 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. June 1, 1989; September 30, 1981
• Repealed Eff. August 1, 2012.

21 NCAC 42D .0105 Annual Renewal

History

• Status: repealed
• Authority G.S. 90-115.1(6); 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. June 1, 1989; September 30, 1981
• Repealed Eff. August 1, 2012.

21 NCAC 42D .0106 Accreditation

History

• Status: repealed
• Authority G.S. 90-115.1(6); 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. June 1, 1989; September 30, 1981
• Repealed Eff. August 1, 2012.

21 NCAC 42D .0107 Qualification by Examination

History

• Status: repealed
• Authority G.S. 90-115.1(6); 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42D .0108 Termination of Registration

History

• Status: repealed
• Authority G.S. 90-115.1(6); 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. June 1, 1989; September 30, 1981
• Repealed Eff. August 1, 2012.

21 NCAC 42D .0109 Fees

History

• Status: repealed
• Authority G.S. 90-115.1(6); 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. September 30, 1981
• Repealed Eff. June 1, 1989.

Subchapter E

21 NCAC 42E .0101 Professional Code

The optometrist shall keep the visual welfare of the patient uppermost at all times, promote the best care of the visual needs of mankind, strive continuously to develop educational, professional, clinical, and technical proficiency and keep himself informed as to new developments within his profession.

History

• Authority G.S. 90-121.2(a)
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. September 30, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42E .0102 Professional Responsibility

In keeping with the professional code, the optometrist shall:

(1) attend to the visual needs of all those seeking his services without regard to financial remuneration;

(2) maintain adequate equipment and instruments in his office at all times to assure proper and complete examination of patients. Such equipment and instruments shall include, but not be limited to, the following: a direct ophthalmoscope; an indirect ophthalmoscope; condensing lenses; proper instrumentation for foreign body removal; biomicroscope; instrument for plotting central and peripheral fields; applanation tonometer; distance and near acuity charts; test objects for stereopsis and fusion; color vision testing apparatus; refractor, trial frame or phorometer with trial case lenses; keratometer; and retinoscope;

(3) sterilize according to usage all instruments or equipment used in the treatment of optometric patients, including those instruments or equipment used for the removal of foreign bodies from the external eye or its adnexa. All optometric offices shall follow infection control recommendations as set forth in the infection control manual as recommended by the American Optometric Association's Committee on Primary Care and Ocular Disease, or in the clinical guidelines of the American Optometric Association's Clinical Guidelines and Quality Assurance Coordinating Committee or their successors including subsequent adoptions, amendments, and editions. These materials are incorporated herein by reference. Copies are available for inspection at the Board's office and may be obtained by paying a fee of ten dollars ($10.00) to the Board;

(4) assist his patients in whatever manner possible in obtaining further care when in his opinion other than his care is needed;

(5) maintain adequate and available records on every patient containing case history, findings, diagnosis, treatment, and disposition. In compliance with this requirement, the patient record shall include the name of the patient's family physician or any other physician who may be consulted with regard to the care of the patient. The name and dosage of any medication prescribed shall be recorded with the diagnosis and instructions to the patient concerning follow-up;

(6) retain full and independent control of and responsibility for patient records. This requirement does not preclude the licensee from providing copies of patient spectacle prescriptions for subsequent optical services, nor does it preclude the licensee from providing copies of patient records to any entity with the consent and authorization of the patient. Patient records shall be maintained by the optometrist responsible for such records for a period of not less than 5 years following the last entry into the patient's chart;

(7) treat all information concerning his patients as confidential and not to be communicated to others except when authorized to do so by the patient or required by law;

(8) have an established and appropriate procedure for the provision of eye care to his patients in the event of an emergency outside of normal professional hours, or when the licensee is not available due to vacation, personal illness, attendance at professional meetings or continuing education programs, or other absences of a similar nature. Patients shall be informed of such procedure. The procedure referred to herein may include, but is not limited to, cooperative arrangements with another licensed optometrist or a physician licensed under North Carolina General Statutes Chapter 90, Article 1, a telephone answering system or pager; or written or posted instructions to the patient;

(9) maintain full and independent control of the terms and conditions of any professional liability insurance coverage pertaining to his services.

History

• Authority G.S. 90-18; 90-114; 90-121.2; 90-127.2
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. April 1, 1993; June 1, 1989, September 30, 1981
• Temporary Amendment Eff. September 15, 1997
• Amended Eff. August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42E .0103 Prescriptions; Dispensing

(a) All prescription forms shall conform to 21 NCAC 46 .2301 and shall include the name, address, state licensure number, and the Drug Enforcement Administration number of the prescriber, if applicable. The provisions of 16 C.F.R. 315.2 and 16 C.F.R. 456.1(g) are hereby incorporated by reference, including subsequent amendments and editions. The provisions of the Code of Federal Regulations (C.F.R.) cited in this rule may be accessed at no charge at https://www.ecfr.gov/current/title-16. The optometrist shall be responsible for implementing appropriate safeguards, including but not limited to the optometrist keeping a physical prescription pad in his or her personal possession or under lock and key at all times and password-protecting his or her electronic prescription form, within his or her practice to prevent the unauthorized use of his or her prescription forms, and shall immediately notify the Board upon determining that prescription blanks might be missing or misused.

(b) Any optometrist licensed by the Board who wishes to dispense drugs pursuant to G.S. 90-127.4 must first register with the North Carolina Board of Pharmacy pursuant to G.S. 90-85.26B.

(c) Any optometrist licensed by the Board shall provide their patients a copy of his or her eyeglass prescription, once such prescription is determined and finalized, consistent with Federal Trade Commission regulations. The provisions of 16 C.F.R. 456.2(a) are hereby incorporated by reference, including subsequent amendments and editions. An expiration date of not less than one year from the date of the prescribing examination shall appear on every such prescription. The prescription may show a statement of caution or a disclaimer if such a statement or disclaimer is supported by documented patient records.

(d) Any optometrist licensed by the Board shall provide their patients a copy of his or her contact lens prescription, once determined and finalized, consistent with Federal Trade Commission regulations. The provisions of 16 C.F.R. 315.4 are hereby incorporated by reference, including subsequent amendments and edition. A prescription for contact lenses shall explicitly state that it is for contact lenses and specify the lens type and all specifications necessary for the ordering and fabrication of the lenses. Words or phrases such as "OK for contact lenses", "fit with contact lenses", "contact lenses may be worn", or similar wording do not constitute a contact lens prescription. The prescriber cannot write the contact lens prescription until all the requirements of a satisfactory fit of contact lenses have been determined by the prescriber. All contact lenses used in the determination of a contact lens prescription are considered to be diagnostic lenses. An expiration date of not less than one year from the date of the prescribing examination shall appear on every such prescription unless there is a medical justification for a shorter duration. If the prescriber has such a medical justification, the prescriber must document the medical reason for the shorter expiration date in the patient's medical record consistent with Federal Trade Commission regulations. The provisions of 16 C.F.R. 315.6(a)(3) and (b)(1) are hereby incorporated by reference, including subsequent amendments and editions. If a patient is not adhering to appropriate regimens of care and follow-up with regard to the continuing use of contact lenses, the prescribing optometrist may terminate optometric care for that patient and notify the patient that he or she is terminating such relationship and the reasons for doing so.

(e) An optometrist shall provide a copy of a requesting patient's eyeglass prescription or contact lens prescription so long as the requested prescription has not expired.

History

• Authority G.S. 90-114; 90-117.5; 90-127.2; 90-127.3; 90-127.4
• Eff. June 1, 1989
• Amended Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015
• Amended Eff. June 1, 2024.

21 NCAC 42E .0104 Access to and Control Over Practice

(a) The licensee shall maintain full and independent control of the scheduling and provision of his optometric services.

(b) Each licensee is responsible for and shall retain full and independent control of information disseminated to the public through any advertising or other commercial medium when such information relates to optometric services being provided by the licensee whether or not such advertising is paid for or sponsored by the optometrist. Provided however, it shall not be a violation of this subsection to include in an advertisement not disseminated by the licensee a statement advertising the availability of optometric services, including eye examinations, by an independent doctor of optometry adjacent to or in proximity to a retail optical establishment, or a statement containing substantially similar language.

(c) The licensee shall have physical access to his practice location at all times.

(d) Whenever any licensee enters into a lease or rental agreement to locate his practice within the exterior walls of a commercial or retail establishment, that practice location shall include an outside entrance to assure such access as may be needed by the optometrist and his patients to his optometric practice at all times. Further, the practice location within the commercial or retail establishment may have interior access from and to a public aisle, but such interior access shall not pass through or into any retail optical space within the establishment to the effect that the optometric practice shall be operated under the complete control of the optometrist.

(e) A licensee shall not enter into any lease, rental agreement, or agreement or contract of employment for the provision of optometric services which infringes upon his independent professional judgment with regard to the operation of his practice or the care of his patients. Provisions within a lease, rental agreement, or agreement or contract of employment for the provision of optometric services or provisions within any master lease to which a lease is subject which would violate this Rule include, but are not limited to, provisions which control or attempt to control: malpractice liability insurance beyond a requirement that the licensee maintain a professionally-reasonable amount of malpractice liability insurance; regulation of the optometrist's business hours beyond 50 hours a week, except that the optometrist may agree to furnish coverage in excess of 50 hours a week either personally or by providing a temporary or relief optometrist to provide such coverage; custody and control of the optometrist's patient records; the scheduling or rescheduling of patient examinations or follow-up care; the setting or discounting of professional fees, except for participation in managed care or other third-party programs; or the specification of particular drugs or optical goods to be dispensed to or prescribed for a patient. Any lease which is subject to a master lease to which the optometrist does not have ready access for purposes of assuring compliance with this Rule shall be deemed in violation of this Rule and Rule .0201 of Section .0200 of this Subchapter.

History

• Authority G.S. 90-117.5; 90-121.2
• Eff. June 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42E .0201 General

(a) The optometrist shall conduct his practice in a decorous, dignified and professional manner and in keeping with the rules as adopted by the Board.

(b) It is the continuing responsibility of the optometrist to maintain control over his practice to the end that this independent professional judgment is not compromised in the rendering of patient care.

(c) In any printed or oral reference by an optometrist to his practice, the primary designation must be "optometrist", "optometry", or "doctor of optometry".

History

• Authority G.S. 90-121.2
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. June 1, 1993; June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42E .0202 Advertising

History

• Status: repealed
• Authority G.S. 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. September 30, 1981
• Repealed Eff. June 1, 1989.

21 NCAC 42E .0203 Consultant: Advisor, Staff Optometrist, or Independent Contractor

(a) An optometrist may:

(1) be engaged as a consultant, advisor, or independent contractor for industrial plants where industrial vision programs are being or have been instituted; or

(2) be engaged as a staff optometrist, independent contractor, or optometric administrator for health programs sponsored or funded by any agency of municipal, county, state or federal government, or research organizations educational institutions, insurance companies, health maintenance organization, or hospitals.

(b) In acting in the capacity of consultant, advisor, independent contractor, or staff optometrist, the optometrist shall at all times remain cognizant of his professional responsibilities and shall with demeanor, decorum and determination retain his right of independent professional judgment and title in all situations and circumstances as he would in his own office. If at any time the right of independent professional title and judgment is abridged by the party or parties engaging the optometrist's services, it shall be mandatory upon the optometrist to resign or terminate the position as consultant, advisor, staff optometrist, or independent contractor and in so doing the intent of G.S. 90-125 would not be violated.

History

• Authority G.S. 90-117.5; 90-125
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. April 1, 1993; June 1, 1989; September 30, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42E .0301 Punishment for Violation of Rules

The Board may invoke such disciplinary measures as it deems appropriate, including issuing a letter of warning or caution, reprimand, censure, suspension of a license, revocation of a license, and probation for violation of any statute governing the practice of optometry or of any Rule adopted by the Board.

History

• Authority G.S. 90-117.5; 90-121.2
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. April 1, 1993; June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42E .0302 Unethical Practices

It is unethical for an optometrist to:

(1) solicit by means of advertising considered by the Board to be untruthful, false, misleading, deceptive, bait-and-switch, or fraudulent;

(2) allow, permit, or otherwise condone by his failure to act in a timely manner to prevent his name, his practice, or his practice location from being presented to the public through any type of advertising which is false, deceptive, or misleading;

(3) offer to discount his professional fees as a condition to the sale of optical goods by himself or any optical dispensary located adjacent to or in close proximity to his practice;

(4) fail to use the word "optometrist", the abbreviation "O.D.", or the words "doctor of optometry" whenever the optometrist's name appears in connection with his practice of optometry;

(5) fail to list the name of each practitioner on any sign or lettering denoting the location of the practice or in any advertising promoting a practice when there is more than one optometrist practicing at the same location; the lettering of the optometrist's name and the lettering denoting the optometrist's designation as an optometrist shall be of comparable size and readability;

(6) use the title "Optometrist" in connection with a profession or business considered foreign to the practice of optometry;

(7) present his practice or practice location to the public as an optical store in order to entice the public to avail themselves of his professional optometric service while shopping for optical goods. In keeping with this Rule, an optometrist may make use of frame bars or selection cabinets provided such frame bars or selection cabinets are so placed within an office that they are not visible from outside the office;

(8) allow his professional judgment to be unreasonably influenced by someone not directly responsible for the patient's well-being or welfare. Persons directly responsible for the patient's welfare would include another optometrist, a physician, or a member of the patient's family;

(9) give or accept rebates in any form to or from any person in return for an opportunity to generate or receive a professional fee;

(10) practice or use his license in a manner deemed to be in violation of G.S. 90-121.2 or 90-125;

(11) knowingly aid another person to violate the laws governing optometry;

(12) engage in practice involving conduct which is inconsistent with the dignity of the profession or the rules of the Board. Such "unprofessional conduct" includes, but is not limited to, conduct which violates or does not meet any standard of behavior which through professional experience has become established in the profession of optometry in North Carolina.

History

• Authority G.S. 90-117.5; 90-121.2
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. June 1, 1993; June 1, 1989; September 30, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

Subchapter F

21 NCAC 42F .0101 Rule-Making and Administrative Procedures

History

• Status: repealed
• Authority G.S. 90-117.5; 90-121.2; 150A-11; 150A-14
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. September 30, 1981
• Repealed Eff. June 1, 1989.

21 NCAC 42F .0102 Contents of Petition

History

• Status: repealed
• Authority G.S. 90-117.5; 90-121.2(a); 150A-16
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0103 Disposition of Petitions

History

• Status: repealed
• Authority G.S. 90-117.5; 90-121.2(a); 150A-16
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0201 Timing of Notice

History

• Status: repealed
• Authority G.S. 90-117.5; 90-121.2(a); 150A-12
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0202 Notice Mailing List

History

• Status: repealed
• Authority G.S. 90-117.5; 90-121.2(a); 150A-12
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0203 Additional Information

History

• Status: repealed
• Authority G.S. 90-117.5; 90-121.2(a); 150A-12
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0301 Request to Participate

History

• Status: repealed
• Authority G.S. 90-117.5; 90-121.1(a); 150A-12(a),(d),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0302 Contents of Request: General Time Limitations

History

• Status: repealed
• Authority G.S. 90-117.5; 90-121.1(a); 150A-12(a),(d),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0303 Receipt of Request: Specific Time Limits

History

• Status: repealed
• Authority G.S. 90-117.5; 90-121.1(a); 150A-12(a),(d),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0304 Written Submissions

History

• Status: repealed
• Authority G.S. 90-117.5; 90-121.1(a); 150A-12(a),(d),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0305 Presiding Officer: Powers and Duties

History

• Status: repealed
• Authority G.S. 90-117.5; 90-121.1(a); 150A-12(a),(d),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0306 Statement of Reasons for Decision

History

• Status: repealed
• Authority G.S. 90-117.5; 90-121.1(a); 150A-12(a),(d),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0307 Record of Proceedings

History

• Status: repealed
• Authority G.S. 90-117.5; 90-121.1(a); 150A-12(a),(d),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0308 Emergency Rules

History

• Status: repealed
• Authority G.S. 90-117.5; 90-121.1(a); 150A-12(a),(d),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0401 Subjects of Declaratory Rulings

History

• Status: repealed
• Authority G.S. 90-117.5; 90-121.2(a); 150A-17; 150A-12; 150A-12(e)
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0402 Submission of Request for Ruling

History

• Status: repealed
• Authority G.S. 90-117.5; 90-121.2(a); 150A-17; 150A-12; 150A-12(e)
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0403 Disposition of Requests

History

• Status: repealed
• Authority G.S. 90-117.5; 90-121.2(a); 150A-17; 150A-12; 150A-12(e)
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0404 Record of Decision

History

• Status: repealed
• Authority G.S. 90-117.5; 90-121.2(a); 150A-17; 150A-12; 150A-12(e)
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0405 Definition

History

• Status: repealed
• Authority G.S. 90-117.5; 90-121.2(a); 150A-17; 150A-12; 150A-12(e)
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0501 Right to Hearing

History

• Status: repealed
• Authority G.S. 1A-1; Rule 24; 90.117.5; 90.121.2(a); 150A-2(2); 150A-23; 150A-25
• 150A-32
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0502 Request for Hearing

History

• Status: repealed
• Authority G.S. 1A-1; Rule 24; 90.117.5; 90.121.2(a); 150A-2(2); 150A-23; 150A-25
• 150A-32
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0503 Granting or Denying Hearing Requests

History

• Status: repealed
• Authority G.S. 1A-1; Rule 24; 90.117.5; 90.121.2(a); 150A-2(2); 150A-23; 150A-25
• 150A-32
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0504 Notice of Hearing

History

• Status: repealed
• Authority G.S. 1A-1; Rule 24; 90.117.5; 90.121.2(a); 150A-2(2); 150A-23; 150A-25
• 150A-32
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0505 Who Shall Hear Contested Cases

History

• Status: repealed
• Authority G.S. 1A-1; Rule 24; 90.117.5; 90.121.2(a); 150A-2(2); 150A-23; 150A-25
• 150A-32
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0506 Petition for Intervention

History

• Status: repealed
• Authority G.S. 1A-1; Rule 24; 90.117.5; 90.121.2(a); 150A-2(2); 150A-23; 150A-25
• 150A-32
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0507 Types of Intervention

History

• Status: repealed
• Authority G.S. 1A-1; Rule 24; 90.117.5; 90.121.2(a); 150A-2(2); 150A-23; 150A-25
• 150A-32
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0508 Disqualification of Hearing Officers

History

• Status: repealed
• Authority G.S. 1A-1; Rule 24; 90.117.5; 90.121.2(a); 150A-2(2); 150A-23; 150A-25
• 150A-32
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0601 Failure to Appear

History

• Status: repealed
• Authority G.S. 90-117.5; 90-121.2(a); 150A-25(a); 150A-27; 150A-33(5); 150A-43
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0602 Simplification of Issues

History

• Status: repealed
• Authority G.S. 90-117.5; 90-121.2(a); 150A-25(a); 150A-27; 150A-33(5); 150A-43
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0603 Subpoenas

History

• Status: repealed
• Authority G.S. 90-117.5; 90-121.2(a); 150A-25(a); 150A-27; 150A-33(5); 150A-43
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42F .0604 Final Decisions in Administrative Hearings

History

• Status: repealed
• Authority G.S. 90-117.5; 90-121.2(a); 150A-25(a); 150A-27; 150A-33(5); 150A-43
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

Subchapter G

21 NCAC 42G .0101 Designation

History

• Status: repealed
• Authority G.S. 150A-11
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42G .0102 Access to Forms

History

• Status: repealed
• Authority G.S. 150A-11
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42G .0103 Form Beo-1

History

• Status: repealed
• Authority G.S. 150A-11
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42G .0104 Form Beo-2

History

• Status: repealed
• Authority G.S. 150A-11
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42G .0105 Form Beo-3

History

• Status: repealed
• Authority G.S. 150A-11
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42G .0106 Form Beo-4

History

• Status: repealed
• Authority G.S. 150A-11
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42G .0107 Form Beo-5

History

• Status: repealed
• Authority G.S. 150A-11
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42G .0108 Form Beo-6

History

• Status: repealed
• Authority G.S. 150A-11
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42G .0109 Form Beo-7

History

• Status: repealed
• Authority G.S. 150A-11
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42G .0110 Form Beo-8

History

• Status: repealed
• Authority G.S. 150A-11
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42G .0111 Form Beo-9

History

• Status: repealed
• Authority G.S. 150A-11
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42G .0112 Form Beo-10

History

• Status: repealed
• Authority G.S. 150A-11
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42G .0113 Form Beo-11

History

• Status: repealed
• Authority G.S. 150A-11
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

Subchapter H

21 NCAC 42H .0101 Definitions

History

• Status: repealed
• Authority G.S. 90-115.1(3); 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. June 1, 1989.

21 NCAC 42H .0102 Function

History

• Status: repealed
• Authority G.S. 90-115.1(3); 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. June 1, 1989.

21 NCAC 42H .0103 Qualifications

History

• Status: repealed
• Authority G.S. 90-115.1(3); 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. June 1, 1989.

21 NCAC 42H .0104 Application and Registration

History

• Status: repealed
• Authority G.S. 90-115.1(3); 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. June 1, 1989.

21 NCAC 42H .0105 Remuneration and Expenses

History

• Status: repealed
• Authority G.S. 90-115.1(3); 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. June 1, 1989.

21 NCAC 42H .0106 Termination

History

• Status: repealed
• Authority G.S. 90-115.1(3); 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. June 1, 1989.

Subchapter I

21 NCAC 42I .0101 Definitions

History

• Status: repealed
• Authority G.S. 90-115.1(3); 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42I .0102 Function

History

• Status: repealed
• Authority G.S. 90-115.1(3); 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42I .0103 Qualifications

History

• Status: repealed
• Authority G.S. 90-115.1(3); 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42I .0104 Application and Registration

History

• Status: repealed
• Authority G.S. 90-115.1(3); 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42I .0105 Remuneration and Expenses

History

• Status: repealed
• Authority G.S. 90-115.1(3); 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

21 NCAC 42I .0106 Termination

History

• Status: repealed
• Authority G.S. 90-115.1(3); 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Repealed Eff. September 30, 1981.

Subchapter J

21 NCAC 42J .0101 Fees

History

• Status: repealed
• Authority G.S. 55B-10; 55B-11; 57D-2-02; 90-117.5; 90-123
• Eff. June 1, 1989
• Amended Eff. October 1, 1994; March 1, 1992
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015
• Amended Eff. November 10, 2016
• Repealed Eff. September 1, 2024.

Subchapter K

21 NCAC 42K .0101 Purpose

This Subchapter establishes basic minimum procedures for the adoption, amendment, or repeal of administrative rules. These procedures ensure the participation of the public in the regulatory and policy-making activities of the Board.

History

• Authority G.S. 150B-21.1; 150B-21.2
• Eff. June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42K .0102 Organization of Subchapter

(a) Sections .0200 through .0600 of this Subchapter pertain to the agency's procedures for adopting, amending, or repealing rules pursuant to the requirements of Chapter 150B, Article 2A.

(b) Section .0700 of this Subchapter deals with the issuance of declaratory rulings under the authority of G.S. 150B-4.

History

• Authority G.S. 150B-4; 150B-21.1; 150B-21.2
• Eff. June 1, 1989
• Amended Eff. March 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42K .0201 Nature of the Petition

A petition for rule-making is a method by which a person may focus the agency's attention upon areas under the agency's rule-making authority where a need for new or changed procedures exists. A petition for rule-making may request action to adopt new rules or to amend or repeal existing rules.

History

• Authority G.S. 150B-20
• Eff. June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42K .0202 Submitting the Petition

Any person wishing to request the Board to adopt, amend, or repeal a rule shall address a petition to the Board. The envelope containing the petition should clearly bear the notation: RULE-MAKING PETITION RE: and the subject area.

History

• Authority G.S. 150B-20
• Eff. June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42K .0203 Contents of the Petition

There is no particular form required for a rule-making petition. However, the petitioner should include the following:

(1) an indication of the subject area to which the petition is directed [for example: "This is a petition to conduct rule-making to amend (rule number)"];

(2) either a draft of the proposed rule or a summary of its contents, or an identification of the rule to be amended or repealed;

(3) reasons for the proposal;

(4) the effect of the proposal on existing rules and practices;

(5) any data supporting the proposal; and

(6) the name and address of each petitioner.

History

• Authority G.S. 150B-20
• Eff. June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42K .0204 Agency Response to a Rule-Making Petition

(a) The President of the Board may designate one or more board members to determine whether the public interest will be served by granting a rule-making petition. Prior to making this determination, the Board may request additional information from the petitioner, may contact interested persons or persons likely to be affected by the proposal and request their comments, or may use any other appropriate method for obtaining information upon which to base the determination of public interest.

(b) The designated Board member or members will recommend to the Board either the institution of rule-making proceedings or the denial of the petition, as the total information obtained suggests to be proper and in the public interest.

(c) The Board will decide whether to grant or deny the petition within the time limits set in G.S. 150B-20. If the decision is to deny the petition, the Board shall notify each petitioner in writing, stating the reasons for the denial. If the decision is to grant the petition, the Board shall immediately initiate a rule-making proceeding as described in these rules and in G.S. 150B-21.1 or G.S. 150B-21.2.

History

• Authority G.S. 150B-20; 150B-21.1; 150B-21.2
• Eff. June 1, 1989
• Amended Eff. March 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42K .0205 Recourse to Denial of the Petition

If the Board denies a petition for rule-making, the petitioner may seek judicial review of the denial to determine whether the Board abused its discretion. This action requires that the petitioner file a civil suit against the Board in the Superior Court of Wake County.

History

• Authority G.S. 150B-20; 150B-45
• Eff. June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42K .0301 Soliciting Public Comment

In addition to seeking information by other methods, the Board may solicit comments from the public on a subject matter of possible rule-making under active consideration by the Board. Should public comment be desired at this preliminary stage of rule-making, the Board may give notice in any manner it determines to be appropriate.

History

• Authority G.S. 150B-21.2
• Eff. June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42K .0401 Timing and Manner of Notice

When the Board decides to conduct a rule-making proceeding, either in response to a petition or otherwise, the Board shall give notice as required by G.S. 150B-21.2.

History

• Authority G.S. 150B-21.2
• Eff. June 1, 1989
• Amended Eff. March 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42K .0402 Obtaining Additional Information on Proposed Rules

Persons desiring information in addition to that provided in a published notice of rule-making proceedings may contact the Board in writing at its address. The envelope containing the request should clearly bear the notation: "REQUEST FOR INFORMATION ON PROPOSED RULES". The request should clearly indicate the rule-making proceeding which is the subject of the inquiry. The sender should enclose a self-addressed stamped envelope for the Board's use in providing such information.

History

• Authority G.S. 150B-21.2
• Eff. June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42K .0501 Request to Participate in Hearing

(a) Any person desiring to present oral data, views, or arguments at the rule-making hearing on a proposed rule should file a request to participate with the Board at least three full business days prior to the hearing.

(b) The request to participate should contain a clear reference to the proposed rule, a brief summary of the person's views with respect thereto, and how long the person desires to speak. The envelope containing the request should clearly bear the notation: "REQUEST TO PARTICIPATE IN RULE-MAKING HEARING RE&gml" and the subject matter of the proposed rule.

History

• Authority G.S. 150B-21.2
• Eff. June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42K .0502 Response to the Request to Participate

Upon receipt of a request to participate in a rule-making hearing, the Board will acknowledge receipt of the request and inform the person in writing or by telephone of any limitations on oral presentations deemed necessary for a full and effective public proceeding on the proposed rule, including denial of the request and the reasons therefor. Failure by the Board to acknowledge a request shall not constitute approval of any request to participate. In general, each presentation will be limited to 15 minutes unless some other time limit is prescribed by the hearing officer for the rule-making hearing.

History

• Authority G.S. 150B-21.2
• Eff. June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42K .0503 Presentation of Oral Comment

(a) The hearing officer at a rule-making hearing shall create an agenda of members of the public whose requests to participate in the hearing have been approved.

(b) If time allows, the hearing officer shall permit limited comment by attending members of the public who have not submitted requests to participate.

(c) Any person making an oral presentation is encouraged to submit a written copy of the presentation to the hearing officer or the Board prior to or during the rule-making hearing.

History

• Authority G.S. 150B-21.2
• Eff. June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42K .0504 Powers and Duties of the Hearing Officer

(a) The hearing officer at a rule-making hearing shall have complete control of the proceedings, including:

(1) extending any time limitations;

(2) recognizing speakers;

(3) setting time allotments for presentations;

(4) questioning speakers;

(5) directing the discussion; and

(6) otherwise managing the hearing.

(b) The hearing officer, at all times, will take care that each person participating in the hearing is given a fair opportunity to present views, data, and comments.

History

• Authority G.S. 150B-21.2
• Eff. June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42K .0601 Filing Written Comments on Proposed Rules

(a) Any person may file with the Board a written submission containing data, comments, or arguments for or against a rule, after publication of a Notice of Rule-making by the Board. Written comments must be received not later than 30 days after the notice is issued, unless a different period has been prescribed in the notice or granted upon request.

(b) The envelope containing the written submission should bear the notation "WRITTEN COMMENT RE:" and clearly state the rule or rules commented upon.

(c) Upon receipt of written comments, the Board will acknowledge the receipt in writing with an assurance that the comments therein will be considered fully.

History

• Authority G.S. 150B-21.2
• Eff. June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42K .0602 Statement of Reasons for the Board's Decision

(a) Upon request by an interested person, the Board shall provide a concise statement of the principal reasons for and against the adoption of a rule and the factors that led to overruling the considerations urged against its adoption.

(b) The request must be made in writing and received by the Board prior to adoption of the rule or within 30 days thereafter. The envelope containing the request should clearly bear the notation "REQUEST FOR STATEMENT OF REASONING RE:" and clearly state the rule or rules in question.

History

• Authority G.S. 150B-21.2
• Eff. June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42K .0603 Public Access to the Rule-Making Record

(a) A record of each rule-making proceeding will be maintained by the Board for as long as the rule is in effect and for two years thereafter.

(b) The record will contain:

(1) the original petition for rule-making, if any;

(2) the Notice of Rule-making;

(3) all written memoranda and information submitted by the public;

(4) a record or summary of oral presentations, if any;

(5) all requests for a Statement of Reasons with the Board's response thereto.

(c) The record of rule-making proceedings will be available for public inspection during the regular office hours of the Board.

History

• Authority G.S. 132-6; 150B-21.2
• Eff. June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42K .0701 Nature of the Declaratory Ruling

(a) A declaratory ruling is a quasi-judicial order of the Board, by which it addresses issues raised by an interested person regarding:

(1) the manner in which a statute administered by the Board applies to a given fact situation;

(2) the manner in which a rule adopted by the Board applies to a given fact situation; or

(3) whether a particular rule of the Board is valid.

(b) A declaratory ruling issued by the Board:

(1) is binding upon the Board and upon the person requesting it;

(2) may be reviewed by the courts in the same manner as the final agency decision in a contested case; and

(3) may be altered by a subsequent declaratory ruling of the Board, but may not be altered retroactively.

History

• Authority G.S. 150B-4
• Eff. June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42K .0702 Submitting a Request for Declaratory Ruling

(a) All requests for declaratory rulings shall be written and mailed to the Board. The envelope containing the request should clearly bear the notation: "REQUEST FOR DECLARATORY RULING".

(b) Each Request for Declaratory Ruling must include the following information:

(1) the name and address of the person requesting the ruling;

(2) the statute or rule to which the request relates;

(3) a concise statement of the manner in which the requesting person is affected by the statute or rule or its potential application to that person;

(4) a statement whether an oral hearing is desired and, if so, the reason therefor.

History

• Authority G.S. 150B-4
• Eff. June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42K .0703 Response to the Request

(a) Upon receipt of a Request for Declaratory Ruling, the Board shall determine whether a ruling is appropriate under the facts stated.

(b) The Board shall proceed to issue a declaratory ruling where the person requesting the ruling shows that, with regard to the facts presented:

(1) the statute or rule in question is unclear on its face;

(2) circumstances are so changed since the adoption of the statute or rule that a declaratory ruling is warranted;

(3) the factors specified in the request were not given appropriate consideration by the Board at the time the rule was adopted;

(4) the statute administered by the Board is unclear in its application to the requesting person's facts; or

(5) a fair question exists regarding the validity of the rule due to:

(A) an absence of statutory authority to adopt the rule;

(B) irregularities in the rule-making proceedings; or

(C) improper filing or distribution of the rule after the Board's adoption thereof.

(c) When the Board determines for good cause that the issuance of a declaratory ruling is undesirable, the Board shall notify, in writing, the person requesting the ruling, stating the reasons for the denial of the request. The Board will ordinarily decline to issue a declaratory ruling where:

(1) there has been a similar controlling factual determination made by the Board in a contested case;

(2) the rule-making record shows that the factual issues raised by the request were specifically considered prior to adoption of the rule; or

(3) the subject-matter of the request is involved in pending litigation in any state or federal court in North Carolina.

(d) Prior to issuing a declaratory ruling, the Board may give notice of the declaratory proceedings to any person it deems appropriate and may direct that fact-finding proceedings appropriate to the circumstances of the particular request be conducted. The proceedings may consist of written submissions, an oral hearing, or other appropriate procedures. Any proceedings conducted by the Board shall be scheduled to provide the desired facts to the Board so that a decision on the declaratory ruling request may be issued within 60 days after receipt of the request.

(e) If the Board finds evidence that the factors listed in Subparagraphs (b)(1), (2), or (3) of this Rule exist or potentially exist despite a lack of evidence of the existence of such factors presented in a particular petition for a declaratory ruling, the Board shall consider rule-making proceedings on the rule.

History

• Authority G.S. 150B-4
• Eff. June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42K .0704 Record of Declaratory Ruling

(a) A record of each declaratory ruling and the proceedings held in connection with such ruling will be maintained by the Board at least until:

(1) the statute or rule interpreted by the declaratory ruling is amended or repealed;

(2) the Board prospectively changes the declaratory ruling;

(3) any court sets aside the ruling in litigation between the Board and the party requesting the ruling; or

(4) any court of the Appellate Division of the General Court of Justice construes the statute or rule that is the subject of the declaratory ruling in a manner plainly irreconcilable with the declaratory ruling.

(b) The record will contain:

(1) the Request for Declaratory Ruling;

(2) all written submissions filed in the request, whether filed by the person requesting the ruling or by any other person;

(3) a record or summary of oral presentation, if any; and

(4) a copy of the declaratory ruling.

(c) Records of declaratory rulings will be available for public inspection during the regular office hours of the Board.

History

• Authority G.S. 132-6; 150B-4
• Eff. June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

Subchapter L

21 NCAC 42L .0101 Right to Hearing

When the Board acts or proposes to act, other than in rule-making or declaratory ruling proceedings, in a manner which will affect the rights, duties, or privileges of a specific, identifiable person, such person has the right to an administrative hearing. When the Board proposes to act in such a manner, it shall give all such affected persons notice of their right to a hearing by mailing by certified mail to them at their last known address a notice of the proposed action and a notice of a right to a hearing.

History

• Authority G.S. 90-117.5; 150B-11; 150B-38
• Eff. June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42L .0102 Request for Hearing

(a) When an individual believes that individual's rights, duties, or privileges have been affected by the Board's administrative action, but he has not received notice of a right to an administrative hearing, that individual may file a formal request for a hearing.

(b) Any person affected by or aggrieved by the Board's action or proposed action must file his request for an administrative hearing in the Board's office so that it is received by the Board within sixty days of the date such person receives notice of the Board's action or proposed action. For purposes of this Rule, "notice" is given by the Board and received by the affected individual:

(1) for an action taken or proposed to be taken by the entire Board, on the date notice of such action is mailed by the Board to the affected person at his or her last known address according to the records of the Board;

(2) for an action proposed by a committee of the Board, including a probable cause or investigatory committee, from the date the proposed resolution, proposal for settlement, or other proposed action is mailed to the affected person at his last known address as contained in the Board records. Provided, however, that if within thirty days of receipt of such notice the affected person proposes in writing to continue informal negotiations to settle the matters at issue, the Board or its committee handling such matter may, in its discretion, agree to toll the running of the sixty-day period or extend the sixty-day period on such terms as the Board deems appropriate;

(3) for any person affected by a decision of the Board concerning licensure, including an approval or rejection of an application form for licensure, the approval or denial of an application for licensure under G.S. 90-118.5 or 90-118.7, or a decision by the Board that an applicant has passed or failed a clinical practicum examination administered by the Board, from the date notice of such decision is mailed to the affected person at his last known mailing address as contained in the Board records.

(c) To request an administrative hearing, the affected individual shall submit a request bearing the following notation to the Board's office: REQUEST FOR ADMINISTRATIVE HEARING. The request shall contain the following information:

(1) name and address of the petitioner,

(2) a concise statement of the action taken by the Board which is challenged,

(3) a concise statement of the way in which the petitioner has been aggrieved, and

(4) a clear and specific statement of request for a hearing.

(d) The request will be acknowledged promptly and, if deemed appropriate by the Board in accordance with Rule .0103 of this Section, a hearing will be scheduled.

History

• Authority G.S. 90-117.5; 150B-38
• Eff. June 1, 1989
• Amended Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42L .0103 Granting or Denying Hearing Request

(a) The Board will grant a request for a hearing if it determines that the party requesting the hearing is a "person aggrieved" within the meaning of G.S. 150B-2(6).

(b) The denial of a request for a hearing will be issued immediately upon decision, and in no case later than 60 days after the submission of the request. Such denial shall contain a statement of the reasons leading the Board to deny the request.

(c) Approval of a request for a hearing will be signified by the issuing of a notice as required by G.S. 150B-38(b) and explained in Rule .0104 of this Section.

History

• Authority G.S. 90-117.5; 150B-11; 150B-38
• Eff. June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42L .0104 Committee on Investigations

(a) Upon receipt of a written complaint alleging misconduct that might subject a licensee or other person to discipline, or upon notice of such otherwise coming to the Board's attention through investigatory means, the Board may investigate such matter to determine whether probable cause exists to institute formal disciplinary proceedings.

(b) The President shall appoint one member from the Board to serve with the Executive Director of the Board as the probable cause or investigatory committee. The probable cause committee may be assisted by any attorney retained by the Board for the purpose of such investigation, or any investigator retained by the Board.

(c) The probable cause committee shall investigate the complaint referred to it by the Board. The committee shall determine whether or not there is probable cause to believe that the licensee has violated any statute or board rule which would justify a disciplinary hearing. If the committee determines that such probable cause exists, the committee may confer with the licensee in an attempt to settle the matter through informal means. If the committee and the licensee reach an agreement on the disposition of the matter under investigation, the committee may cause to be drafted a proposed settlement agreement, which may include proposed findings of fact, conclusions of law, and a consent order, for presentation to and consideration by the Board. Such settlement agreement shall be presented to and approved by the licensee before they are presented to the Board for consideration and approval.

(d) If the probable cause committee and the licensee are not able to settle the matter under investigation by informal means, the licensee may request an administrative hearing pursuant to Rule .0002 of this Section or the Board may give notice of a disciplinary or contested case hearing, if required.

(e) Any Board member who has been appointed to a probable cause committee shall not be assigned to make a decision or to make findings of fact and conclusions of law in any administrative hearing concerning the particular matter on which he served on the probable cause committee. Such Board member may be called as a witness and may give testimony at any administrative hearing resulting from such investigation.

(f) Subsequent to the issuance of a notice of hearing, the attorney prosecuting the contested case for the Board may not communicate, directly or indirectly, in connection with any issue of fact of question of law, with any party or his representative, including the members of the Board assigned to make a decision or to make findings of fact and conclusions of law in the contested case, except on notice and opportunity for all parties to participate. However, the attorney prosecuting the matter for the Board may continue to communicate concerning such contested case with the members of the probable cause committee who investigated such matter, and he may communicate with persons not parties to the contested case who may be called as witnesses, including the person who filed the complaint against the optometrist. He also may communicate with the Board members about other matters.

History

• Authority G.S. 90-117.5; 150B-38; 150B-40
• Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42L .0105 Notice of Hearing

(a) The Board shall give the party or parties in a contested case a notice of hearing not less than 15 days before the hearing. Said notice shall contain the following information, in addition to the items specified in G.S. 150B-38(b):

(1) the name, position, address and telephone number of a person at the office of the Board to contact for further information or discussion;

(2) the date, time, and place for a pre-hearing conference, if any; and

(3) any other information deemed relevant to informing the parties as to the procedure of the hearing.

(b) If the Board determines that the public health, safety, or welfare requires such action, it may issue an order summarily suspending a license. Upon service of the order, the licensee to whom the order is directed shall immediately cease the practice of optometry in North Carolina. The Board shall promptly give notice of hearing pursuant to G.S. 150B-38 following service of the order. The suspension shall remain in effect pending issuance by the Board of a final agency decision pursuant to G.S. 150B-42.

History

• Authority G.S. 90-117.5; 90-121.2; 150B-3(c); 150B-11; 150B-38
• Eff. June 1, 1989
• Renumbered from 21 NCAC 42L .0004 Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42L .0106 Written Response to the Notice of Hearing

(a) Any party served with a notice of hearing may file a written response. Such response shall be served on the Board by certified mail at the address specified in 21 NCAC 42A .0001. The U.S. Post Office postmark or cancellation stamp date on such envelope shall be deemed the date such response was served on the Board.

(b) If the written response is submitted in lieu of a personal appearance by the party at the hearing, the envelope containing the response must bear the notation: "RESPONSE IN LIEU OF APPEARANCE IN THE CASE OF (name of case)" and the official file or reference number of the proceeding. The party shall mail the response in lieu of appearance by first class mail, postmarked not less than ten full days prior to the date set for the hearing.

History

• Authority G.S. 90-117.5; 150B-38
• Eff. June 1, 1989
• Amended Eff. April 1, 1993
• Renumbered from 21 NCAC 42L .0005 Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42L .0107 Who Shall Hear Contested Cases

All administrative hearings will be conducted by the Board, a panel consisting of a majority of the members of the Board, or an administrative law judge designated to hear the case pursuant to G.S. 150B-40(e).

History

• Authority G.S. 90-117.5; 150B-11; 150B-38; 150B-40
• Eff. June 1, 1989
• Renumbered from 21 NCAC 42L .0006 Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42L .0108 Pre-Hearing Conference

(a) The Board may direct the parties to conduct an informal pre-hearing conference, or the parties may request such a conference, at a time and place selected by the parties. If the parties do not agree on the time and place for the pre-hearing conference within a reasonable time, the Board may set the time and place of the pre-hearing conference, giving reasonable written notice to all parties in the proceedings. The Board may designate one or more persons from among its members and its attorneys to conduct the conference.

(b) At the discretion of the Board, all or part of the pre-hearing conference may be conducted by telephone or other electronic means, if each party has an opportunity to participate while the conference is taking place.

(c) The parties shall conduct the pre-hearing conference to deal, where applicable, with:

(1) exploring settlement possibilities;

(2) formulating, clarifying, and simplifying the issues to be contested at the hearing;

(3) preparing stipulations of facts or findings;

(4) ruling on the identity and number of witnesses;

(5) determining the extent to which direct evidence, rebuttal evidence, or cross-examination will be presented in written form and the extent to which telephone, video tape, or other electronic means will be used as a substitute for proceedings in person;

(6) determining what depositions, discovery orders, or subpoenas will be needed;

(7) determining the need for consolidation of cases or joint hearing;

(8) determining the order of presentation of evidence and cross-examination; and

(9) considering any other matters which may promote the prompt, orderly, and efficient disposition of the case.

History

• Authority G.S. 90-117.5; 150B-33
• Eff. June 1, 1989
• Renumbered from 21 NCAC 42L .0007 Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42L .0109 Petition for Intervention

(a) A person desiring to intervene in a contested case must file a written petition with the Board's office. The petition should bear the notation: PETITION TO INTERVENE IN THE CASE OF (Name of Case).

(b) The petition must include the following information:

(1) the name and address of petitioner;

(2) the business or occupation of petitioner, where relevant;

(3) a full identification of the hearing in which petitioner is seeking to intervene;

(4) the statutory or non-statutory grounds for intervention;

(5) any claim or defense in respect of which intervention is sought; and

(6) a summary of the arguments or evidence petitioner seeks to present.

(c) If the Board determines to allow intervention, notice of that decision will be issued promptly to all parties, and to the petitioner. In cases of discretionary intervention, such notification will include a statement of any limitations of time, subject matter, evidence or whatever else is deemed necessary which are imposed on the intervenor.

(d) If the Board's decision is to deny intervention, the petitioner will be notified promptly. Such notice will be in writing, will identify the reasons for the denial, and will be issued to the petitioner and all parties.

History

• Authority G.S. 90-117.5; 150B-11; 150B-38
• Eff. June 1, 1989
• Renumbered from 21 NCAC 42L .0008 Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42L .0110 Types of Intervention

(a) Intervention of Right. A petition to intervene as of right, as provided in the North Carolina Rules of Civil Procedure, Rule 24, will be granted if the petitioner meets the criteria of that rule and the petition is timely.

(b) Permissive Intervention. A petition to intervene permissively, as provided in the North Carolina Rules of Civil Procedure, Rule 24, will be granted if the petitioner meets the criteria of that rule and the Board determines that:

(1) There is sufficient legal or factual similarity between the petitioner's claimed rights, privileges, or duties and those of the parties to the hearings; and

(2) Permitting the petitioner to intervene as a party would aid the purpose of the hearing.

(c) Discretionary Intervention. The Board may allow discretionary intervention, with whatever limits and restrictions are deemed appropriate.

History

• Authority G.S. 90-117.5; 150B-11; 150B-38
• Eff. June 1, 1989
• Renumbered from 21 NCAC 42L .0009 Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42L .0111 Disqualification of Board Members

(a) Self-disqualification. If for any reason a Board member determines that personal bias or other factors render that member unable to hear a contested case and perform all duties in an impartial manner, that Board member shall voluntarily decline to participate in the hearing or decision.

(b) Petition for Disqualification. If for any reason any party in a contested case believes that a Board member is personally biased or otherwise unable to hear a contested case and perform all duties in an impartial manner, the party may file a sworn, notarized affidavit with the Board. The affidavit should bear the notation: AFFIDAVIT FOR DISQUALIFICATION OF BOARD MEMBER IN THE CASE OF (name of case).

(c) Contents of Affidavit. The affidavit must state all facts the party deems to be relevant to the disqualification of the Board member.

(d) Timeliness and Effect of Affidavit. An affidavit of disqualification will be considered timely if filed ten days before commencement of the hearing. Any other affidavit will be considered timely provided it is filed at the first opportunity after the party becomes aware of facts which give rise to a reasonable belief that a Board member may be disqualified under this Rule.

(e) Where a petition for disqualification is filed less than ten days before or during the course of a hearing, the hearing shall continue with the challenged Board member sitting. Petitioner shall have the opportunity to present evidence supporting his petition, and the petition and any evidence relative thereto presented at the hearing shall be made a part of the record. The Board, before rendering its decision, shall decide whether the evidence justifies disqualification. In the event of disqualification, the disqualified member will not participate in further deliberation or decision of the case.

(f) Procedure for Determining Disqualification:

(1) The Board will appoint a board member or the Board's attorney to investigate the allegations of the affidavit.

(2) The investigator will report to the Board the findings of the investigation.

(3) The Board shall decide whether to disqualify the challenged individual.

(4) The person whose disqualification is to be determined will not participate in the decision but may be called upon to furnish information to the other members of the Board.

(5) When a Board member is disqualified prior to the commencement of the hearing or after the hearing has begun, such hearing will continue with the remaining members sitting provided that the remaining members still constitute a majority of the Board.

(6) If a sufficient number of Board members are disqualified pursuant to this Rule so that a majority of the Board cannot conduct the hearing, the Board shall petition the Office of Administrative Hearings to appoint an administrative law judge to hear the contested case pursuant to G.S. 150B-40(e).

History

• Authority G.S. 90-117.5; 150B-11; 150B-38; 150B-40
• Eff. June 1, 1989
• Renumbered from 21 NCAC 42L .0010 Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42L .0112 Subpoenas

(a) Requests for subpoenas for the attendance and testimony of witnesses or for the production of documents, either at a hearing or for the purposes of discovery, shall be made in writing to the Board, shall identify any document sought with specificity, and shall include the full name and home or business address of all persons to be subpoenaed and, if known, the date, time, and place for responding to the subpoena. The President or the Secretary of the Board shall issue the requested subpoenas within three days of receipt of the request.

(b) Subpoenas shall contain: the caption of the case; the name and address of the person subpoenaed; the date, hour and location of the hearing in which the witness is commanded to appear; a particularized description of the books, papers, records or objects the witness is directed to bring with him to the hearing, if any; the identity of the party on whose application the subpoena was issued; the date of issue; the signature of the presiding officer or his designee; and a "return of service". The "return of service" form, as filled out, shows the name and capacity of the person serving the subpoena, the date on which the subpoena was delivered to the person directed to make service, the date on which service was made, the person on whom service was made, the manner in which service was made, and the signature of the person making service.

(c) Subpoenas may be served by the sheriff or other proper official of the county in which the person subpoenaed resides when the party requesting such subpoena prepays the sheriff's service fee. The subpoena shall be issued in duplicate, with a "return of service" form attached to each copy. A person serving the subpoena shall fill out the "return of service" form for each copy and properly return one copy of the subpoena, with the attached "return of service" form completed, to the Board.

(d) Any person receiving a subpoena from the Board may object thereto by filing a written objection to the subpoena with the Board's office.

(e) Such objection shall include a concise, but complete, statement of reasons why the subpoena should be revoked or modified. These reasons may include lack of relevancy of the evidence sought, or any other reason sufficient in law for holding the subpoena invalid, such as that the evidence is privileged, that appearance or production would be so disruptive as to be unreasonable in light of the significance of the evidence sought, or other undue hardship.

(f) Any such objection to a subpoena must be served on the party who requested the subpoena simultaneously with the filing of the objection with the Board.

(g) The party who requested the subpoena, within such time as may be granted by the Board, may file a written response to the objection. The written response shall be served by the requesting party on the objecting witness simultaneously with filing the response with the Board.

(h) After receipt of the objection and response thereto, if any, the Board shall issue a notice to the party who requested the subpoena and the party challenging the subpoena, and may notify any other party or parties of an open hearing, to be scheduled as soon as practicable, at which evidence and testimony may be presented, limited to the narrow questions raised by the objection and response.

(i) Promptly after the close of such hearing, a majority of the Board members hearing the contested case will rule on the challenge and issue a written decision. A copy of the decision will be issued to all parties and made a part of the record.

History

• Authority G.S. 90-117.4; 90-117.5; 150B-11; 150B-38; 150B-40
• Eff. June 1, 1989
• Renumbered from 21 NCAC 42L .0011 Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42L .0113 Witnesses

Any party may be a witness and may present witnesses on the party's behalf at the hearing. All oral testimony at the hearing shall be under oath or affirmation and shall be recorded. At the request of a party or upon the Board's own motion, the presiding officer may exclude witnesses from the hearing room so that they cannot hear the testimony of other witnesses.

History

• Authority G.S. 90-117.5; 150B-11; 150B-38; 150B-40
• Eff. June 1, 1989
• Renumbered from 21 NCAC 42L .0012 Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42L .0114 Pleadings: Briefs: Motions: Service

(a) The Board shall give all parties full opportunity, at appropriate stages of the proceedings, to file pleadings, motions, objections, and offers of settlement.

(b) The Board may give all parties full opportunity, at appropriate stages of the proceedings, to file briefs, proposed findings of fact and conclusions of law, and proposed orders.

(c) A party who files any such item shall serve copies on all parties by personal service or by mail.

History

• Authority G.S. 90-117.5; 150B-33
• Eff. June 1, 1989
• Renumbered from 21 NCAC 42L .0013 Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42L .0115 Final Decision

In all cases heard by the Board, the Board will issue its decision within 60 days after its next regularly scheduled meeting following the close of the hearing. This decision will be the prerequisite "final agency decision" for the right to judicial review.

History

• Authority G.S. 90-117.5; 150B-11; 150B-38; 150B-42
• Eff. June 1, 1989
• Renumbered from 21 NCAC 42L .0014 Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42L .0116 Proposals for Decision

(a) When an administrative law judge conducts a hearing pursuant to G.S. 150B-40(e), a "proposal for decision" shall be rendered within 45 days of the hearing pursuant to the Rules of the Office of Administrative Hearings, 26 N.C.A.C. 3 .0026. The parties may file written exceptions to this "proposal for decision" and submit their own proposed findings of fact and conclusions of law. The exceptions and alternative proposals must be filed within ten days after the party has received the "proposal for decision" as drafted by the administrative law judge.

(b) Any exceptions to the procedure during the hearing, the handling of the hearing by the administrative law judge, rulings on evidence, or any other matter must be written and refer specifically to pages of the record or otherwise precisely identify the occurrence to which exception is taken. The exceptions must be filed with the Board within ten days of the receipt of the proposal for decision. The written exceptions should bear the notation: EXCEPTIONS TO THE PROCEEDINGS IN THE CASE OF (Name of case).

(c) Any party may present oral argument to the Board upon request. The request must be included with the written exceptions.

(d) Upon receipt of a request for further oral argument, notice will be issued promptly to all parties designating the time and place for such oral argument.

(e) Giving due consideration to the proposal for decision and the exceptions and arguments of the parties, the Board may adopt the proposal for decision or may modify it as the Board deems necessary. The decision rendered will be a part of the record and a copy thereof given to all parties. The decision as adopted or modified becomes the "final agency decision" for the right to judicial review. Said decision will be rendered by the Board within 60 days of the next regularly scheduled meeting following the oral arguments, if any. If there are no oral arguments presented, the decision will be rendered within 60 days of the next regularly scheduled Board meeting following receipt of the written exceptions.

History

• Authority G.S. 90-117.5; 150B-11; 150B-38; 150B-40
• Eff. June 1, 1989
• Renumbered from 21 NCAC 42L .0015 Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

Subchapter M

21 NCAC 42M .0101 Definitions

As used in this Subchapter:

(1) An "institution" is a school or college of optometry approved by the Board in accordance with Rule 21 NCAC 42B .0101.

(2) A "preceptee" is an individual who is still enrolled as a student in a school or college of optometry approved by the Board and whose clinical training is continuing under the auspices and control of the institution in which he or she is enrolled and under the supervision of the preceptor to which he or she has been assigned by his or her institution.

(3) A "preceptor" is an optometrist, duly licensed in the State of North Carolina, credentialed by the institution for which he is serving as preceptor and who has been approved by the Board to act as such and under whose supervision a preceptee serves.

(4) A "preceptorship" is a course of study in which students enrolled in a school approved pursuant to Rule 21 NCAC 42B .0101 receive part of their clinical training in a private practice setting outside the direct confines of the educational institution and whose training is continuing under the auspices and overall responsibility of the institution in which he or she is enrolled and under the supervision of a preceptor credentialed by the institution for which he or she is acting as a preceptor and whose credentials have been approved by the board.

History

• Authority G.S. 90-115.1(3); 90-117.5
• Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015
• Amended Eff. March 1, 2023.

21 NCAC 42M .0102 Function

(a) Preceptees may perform all functions which a duly licensed optometrist may perform under Article 6 of Chapter 90 of the North Carolina General Statutes, provided that such are performed at the direction and under the supervision of the preceptor to whom the preceptee is registered; provided, however, nothing in this part shall be construed to permit a preceptee to prescribe for any patient in his own name or prior to the patient's chart being reviewed and signed by the preceptor. Further, in an instance where a pharmaceutical agent is being prescribed, the preceptor shall physically examine the patient prior to the prescription being authorized and given to the patient.

(b) A preceptee shall wear appropriate identification at all times when involved in patient care that will identify him to patients both by name and as a "student". Acceptable terms that would meet this requirement include but are not limited to "intern", "preceptee", "extern", and "optometry student".

(c) Prior to the undertaking of any examination of a patient by a preceptee, the patient shall be made aware that the care being rendered to him is being performed by a student in training and the patient's record shall note the patient's consent.

History

• Authority G.S. 90-115.1(3); 90-117.5
• Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42M .0103 Qualifications

(a) To qualify for a preceptorship, an individual must:

(1) be a student in good academic standing currently enrolled in an optometric program leading to a doctorate degree in optometry at a school whose preceptorship program has been approved by the Board;

(2) submit evidence satisfactory to the Board of an educational background sufficient to enable the applicant to function in a clinical environment;

(3) be recommended for participation in a preceptorship by the dean of the optometry school or college or his designee;

(4) be approved and registered by the Board.

(b) Within 60 days of the completion of a preceptorship, the institution under whose auspices the preceptorship was offered shall furnish the Board with an evaluation of the preceptee's performance in the preceptorship, such evaluation to include copies of no fewer than one case report for each week the preceptee was engaged in the program.

History

• Authority G.S. 90-115.1(3); 90-117.5
• Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42M .0104 Application and Registration

(a) An institution establishing a preceptorship within the State of North Carolina shall be approved by the Board in accordance with Rule 21 NCAC 42B .0101 and shall:

(1) notify the Board in writing outlining in sufficient detail the educational purposes of the program, the clinical experience they expect the preceptee to gain, the supervision or protocols that the institution, the preceptor and the preceptee agree to in order to assure safe and effective patient care, the standards by which they will credential preceptors, the facilities that are required and made available by the preceptor to the preceptee, the maximum and minimum number of weeks a student will be assigned to the same preceptor and the means or methods they use to evaluate the student's performance in the program. If the Board finds that the preceptorship serves the educational goals as outlined by the institution and patient care and safety will not be compromised by lack of proper supervision, the Board will notify the institution of the approval by the Board of their preceptorship program.

(2) within 30 days of the beginning of each academic year furnish the Board with a current list of optometrists licensed in North Carolina who are recommended by the institution to the Board as having proper credentials and adequate facilities to serve as preceptors. If "new" preceptors are to be added to the institution's preceptorship program after the institution has filed the preceptor list with the Board, the Board shall be notified prior to a preceptee being assigned to a new preceptor.

(b) To receive Board approval and be registered as a preceptee, the individual must file an application, Form BEO-7, provided by the Board and must submit such to the Board complete in every detail. The application must be accompanied by evidence of educational qualifications as required by Rule .0003 of this Subchapter.

(c) To receive Board approval and be registered as a preceptor, the optometrist must file an application, Form BEO-8, provided by the Board and must submit such to the Board complete in every detail.

History

• Authority G.S. 90-115.1(3); 90-117.5
• Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

21 NCAC 42M .0105 Remuneration and Expenses

The preceptor shall serve as such without remuneration for his or her services. Any funds given to the preceptee shall be only for reimbursement of expenses and subsistence costs.

History

• Authority G.S. 90-115.1(3); 90-117.5
• Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015
• Amended Eff. January 1, 2024.

21 NCAC 42M .0106 Termination

(a) Approval and registration of a preceptor shall continue in effect until terminated by the Board, by the institution from whom he or she received his or her credentials as a preceptor, or until 30 days after written notification of termination is submitted by the preceptor to the Board. The approval and registration of a preceptor may be terminated, after notice and hearing, for any violation of these Rules.

(b) The approval of a preceptee shall be terminated by the Board no later than 30 days following the date of graduation or when, after notice and hearing, the Board finds:

(1) that the preceptee has held himself or herself out or permitted another to represent him or her as a licensed optometrist;

(2) that the preceptee has in fact performed professional services while not under the supervision of an optometrist licensed by the Board or has been delegated and preformed a task or tasks beyond his or her competence;

(3) that the preceptee is a user of intoxicants or drugs to such an extent that he or she is unable to perform as a preceptee to an optometrist;

(4) that the preceptee has been convicted in any court, state or federal, of any felony or other criminal offense involving moral turpitude;

(5) that the preceptee has been adjudicated a mental incompetent or whose mental condition renders him or her unable to safely perform as a preceptee to an optometrist; or

(6) that the preceptee has committed any act or omission which would subject him or her to discipline under G.S. 90-121.2 or under these Rules.

(c) Approval of a preceptorship shall continue in effect until terminated by the Board or until 30 days after written notification of termination is submitted by the institution to the Board. A preceptorship may be terminated, after notice and hearing, for any violation of the rules of this Chapter.

History

• Authority G. S. 90-115.1(3); 90-117.5; 90-121.2
• Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015
• Amended Eff. March 1, 2023.

Chapter 44 Osteopathic Examination (Repealed)

21 NCAC 44 .0101 Osteopathic Medicine Defined

History

• Status: repealed
• Authority G.S. 90-129; 90-130; 90-132; 90-133; 90-134; 90-136
• 90-137; 93B-4; 93B-5; 93B-6
• Eff. February 1, 1976
• Repealed Eff. March 1, 1989 in accordance with G.S. 150B-59(c).

21 NCAC 44 .0102 Board of Examiners

History

• Status: repealed
• Authority G.S. 90-129; 90-130; 90-132; 90-133; 90-134; 90-136
• 90-137; 93B-4; 93B-5; 93B-6
• Eff. February 1, 1976
• Repealed Eff. March 1, 1989 in accordance with G.S. 150B-59(c).

21 NCAC 44 .0103 Annual Audit

History

• Status: repealed
• Authority G.S. 90-129; 90-130; 90-132; 90-133; 90-134; 90-136
• 90-137; 93B-4; 93B-5; 93B-6
• Eff. February 1, 1976
• Repealed Eff. March 1, 1989 in accordance with G.S. 150B-59(c).

21 NCAC 44 .0104 Examination Requirements

History

• Status: repealed
• Authority G.S. 90-129; 90-130; 90-132; 90-133; 90-134; 90-136
• 90-137; 93B-4; 93B-5; 93B-6
• Eff. February 1, 1976
• Repealed Eff. March 1, 1989 in accordance with G.S. 150B-59(c).

21 NCAC 44 .0105 License by Reciprocity

History

• Status: repealed
• Authority G.S. 90-129; 90-130; 90-132; 90-133; 90-134; 90-136
• 90-137; 93B-4; 93B-5; 93B-6
• Eff. February 1, 1976
• Repealed Eff. March 1, 1989 in accordance with G.S. 150B-59(c).

21 NCAC 44 .0106 Annual Registration

History

• Status: repealed
• Authority G.S. 90-129; 90-130; 90-132; 90-133; 90-134; 90-136
• 90-137; 93B-4; 93B-5; 93B-6
• Eff. February 1, 1976
• Repealed Eff. March 1, 1989 in accordance with G.S. 150B-59(c).

21 NCAC 44 .0107 Compensation of Board Members

History

• Status: repealed
• Authority G.S. 90-129; 90-130; 90-132; 90-133; 90-134; 90-136
• 90-137; 93B-4; 93B-5; 93B-6
• Eff. February 1, 1976
• Repealed Eff. March 1, 1989 in accordance with G.S. 150B-59(c).

21 NCAC 44 .0108 State and Municipal Regulations

History

• Status: repealed
• Authority G.S. 90-129; 90-130; 90-132; 90-133; 90-134; 90-136
• 90-137; 93B-4; 93B-5; 93B-6
• Eff. February 1, 1976
• Repealed Eff. March 1, 1989 in accordance with G.S. 150B-59(c).

21 NCAC 44 .0109 Revocation of License

History

• Status: repealed
• Authority G.S. 90-129; 90-130; 90-132; 90-133; 90-134; 90-136
• 90-137; 93B-4; 93B-5; 93B-6
• Eff. February 1, 1976
• Repealed Eff. March 1, 1989 in accordance with G.S. 150B-59(c).

21 NCAC 44 .0110 Restoration of Revoked License

History

• Status: repealed
• Authority G.S. 90-129; 90-130; 90-132; 90-133; 90-134; 90-136
• 90-137; 93B-4; 93B-5; 93B-6
• Eff. February 1, 1976
• Repealed Eff. March 1, 1989 in accordance with G.S. 150B-59(c).

Chapter 45 Pastoral Counselors, Fee-Based Practicing

21 NCAC 45 .0101 Address

(a) The mailing address for the North Carolina State Board of Fee-Based Practicing Pastoral Counselors ("Board") is P.O. Box 447, Kernersville, NC 27285-0447.

(b) The website address for the Board is www.ncpastoralcounseling.org.

History

• Authority G.S. 90-385
• Eff. March 1, 1996
• Amended Eff. February 1, 2016
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. October 1, 2020.

21 NCAC 45 .0201 Information Required

(a) The following information shall be required in application for Fee-Based Practicing Pastoral Counselor and Pastoral Counseling Associate:

(1) A typed or printed Application form;

(2) A typed or printed Documentation for Certification form;

(3) Official graduate transcript(s) sent directly to the Board by the training institution(s);

(4) Three completed reference forms from persons who affirm to the applicant's moral character;

(5) Completed supervision reports from past and present supervisors.

(b) Applicants for Fee-Based Practicing Pastoral Counselor shall provide written evidence, transcripts or other document(s) evidencing satisfactory completion of a course of study in pastoral psychotherapy.

History

• Authority G.S. 90-385(f); 90-387(a)(4); 90-387-(b)(4)
• Eff. May 1, 1996
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 45 .0202 Review Procedure

(a) The applicant shall submit the information required in Rule .0201(a) of this Section to the Board. The Board shall review the information submitted at a Board meeting to determine compliance with G.S. 90-387.

(b) The Board shall publish information on its website about the exam that the applicant may use as assistance in preparing for it.

(c) The Board shall notify an applicant if the credentials are denied and explain the area(s) that do not meet G.S. 90-387. Applicants may remedy deficiencies within one year from the date of notification without having to reapply.

History

• Authority G.S. 90-385(f); 90-387(a)(4); 90-387(b)(4)
• Eff. March 1, 1996
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. October 1, 2020.

21 NCAC 45 .0203 Issuance of Certificate

An applicant who has met all of the requirements as a Fee-Based Practicing Pastoral Counselor or Fee-Based Pastoral Counseling Associate shall be issued a certificate. This certificate displays the applicant's name, date of certification, certification number, the signature of the current chairperson, and the official seal of the Board.

History

• Authority G.S. 90-385(f); 90-387(a); 90-387(b)
• Eff. March 1, 1996
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 45 .0301 Types

(a) The Board shall administer a written and oral examination to test an applicant's knowledge in the following areas:

(1) Code of Ethics as set forth in G.S. 90-390(a)(7);

(2) Fee-Based Practicing Pastoral Counselors Certification G.S. 90, Article 26;

(3) Individual Pastoral Counseling and Psychotherapy;

(4) Marriage, Family, or Group Counseling and Psychotherapy; and

(5) Religion, Theology, and Ethics of Pastoral Counseling.

(b) A passing score shall consist of 70% correct responses on the written exam.

(c) The Board shall administer the oral examination at a Board meeting. A passing score on the oral examination shall be determined by the applicant's ability to satisfy G.S. 90-387, including the applicant's ability to articulate his or her theory of pastoral counseling and psychotherapy as defined in G.S. 90-382, and elaborate on written exam portions set forth in Subparagraphs (a)(3) through (a)(5) of this Rule.

History

• Authority G.S. 90-385(f); 90-387
• Eff. May 1, 1996
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. October 1, 2020.

21 NCAC 45 .0302 Reporting of Scores

Each applicant for certification shall be informed in writing of passage or failure on the Pastoral Counseling Certification Examination. Those who have not passed the examination shall be informed of the policy regarding re-examination.

History

• Authority G.S. 90-385(f); 90-387(a)(3); 90-387(b)(3)
• Eff. March 1, 1996
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 45 .0303 Re-Examination

An applicant who has not passed the written/oral examination may retake the examination provided at least six months has lapsed between the examinations and the applicant pays the required examination fee.

History

• Authority G.S. 90-385(f); 90-387(a)(4)h; 90-387(b)(4)s
• Eff. March 1, 1996
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 45 .0401 Certification Renewal Form

The Board shall make renewal forms accessible through its website to each licensee each year. The licensee shall return the completed form on or before January 1 of the following year. The form shall ask for current home and business addresses, telephone numbers, and an email address. Pastoral Counseling Associates shall submit an additional form documenting required supervision as stated in Rule .0801 of this Chapter.

History

• Authority G.S. 90-385(f); 90-389
• Eff. March 1, 1996
• Amended Eff. March 1, 2016
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. October 1, 2020.

21 NCAC 45 .0402 Second Notice

After the renewal date has passed, a second notice shall be sent to every delinquent individual, advising them that the renewal fee of one hundred dollars ($100.00), as well as the late fee of twenty five dollars ($25.00), are due.

History

• Authority G.S. 90-385(f); 90-389
• Eff. May 1, 1996
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

21 NCAC 45 .0403 Reinstatement after suspension

(a) A license that is suspended pursuant to G.S. 90-390(b) may be reinstated if, within two years of suspension date, the renewal fees are paid and evidence of completing continuing education requirements is submitted. The continuing education requirements documented at the time of reinstatement must equal the hours required had the license not expired.

(b) A license that has been suspended for nonpayment of renewal fees or failure to comply with continuing education requirements for a period of more than two years shall not be reinstated. A new license may be granted pursuant to paying the applicable license application fees and meeting the licensing requirements under Sections .0200 and .0300 of this Chapter.

History

• Authority G.S. 90-390(b); 90-390(d)
• Eff. October 1, 2020.

21 NCAC 45 .0501 Continuing Education Requirements

(a) A certified person shall submit a form with continuing education requirements with his or her annual renewal form, which the Board will make accessible through its website. Each Fee-Based Practicing Pastoral Counselor and Pastoral Counseling Associate shall complete a total of 50 hours of continuing education each year in the following areas:

(1) Category I - Pastoral Theology;

(2) Category II - Clinical Theory and Practice;

(3) Category III - Pastoral, Psychological, and Psychiatric Diagnosis;

(4) Category IV - Consultation and Supervision; and

(5) Category V - Reading Books and Professional Journals in the field of Pastoral Counseling and Psychotherapy.

(b) In a continuing education year, 20 hours of the 50 hours required shall be hours in Category I, II, and III.

(c) A continuing education year shall be defined as January 1 through December 31.

(d) A member of the armed forces whose license is in good standing and to whom G.S. 105-249.2 grants an extension of time to file a tax return shall receive that same extension of time to pay the license renewal fee and complete any continuing education requirements prescribed by the Board. A copy of the military order or the extension approval by the Internal Revenue Service or by the North Carolina Department of Revenue shall be furnished to the Board.

History

• Authority G.S. 90-385(f); 90-389
• Eff. May 1, 1996
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. October 1, 2020.

21 NCAC 45 .0601 Equivalency

(a) For the purposes of G.S. 90-387(a)(4)(c), (d), (f), and (g), as well as G.S. 90-387(b)(4)(c), (e), (f), and (h), "equivalency" shall be determined by the Board on a case-by-case basis as set forth in this Rule.

(b) Candidates wishing to establish equivalent experience, education, or training shall submit a written request to the Board. The request shall be addressed by the Board based on equivalent standards to education, experience, and training set forth in G.S. 90-387 and a written response shall be sent to the candidate. For any experience, education, or training involved in their request, candidates shall submit documentation of completion with their application.

History

• Authority G.S. 90-385(f); 90-387
• Eff. May 1, 1996
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. October 1, 2020.

21 NCAC 45 .0701 Issuance of Temporary Certificate

(a) A person who requests a temporary certification as a Fee-Based Practicing Pastoral Counselor or a Fee-Based Practicing Pastoral Counseling Associate shall:

(1) Submit an application to take the next examination offered by the Board and pay the non-refundable application fee set forth in G.S. 90-387;

(2) Pay the non-refundable examination fee of four hundred dollars ($400.00) for Fee-Based Practicing Pastoral Counselor or the non-refundable examination fee of two hundred and fifty dollars ($250.00) for Fee-Based Practicing Pastoral Counseling Associate;

(3) Submit the information required in Rule .0201 of this Chapter to the Board; and

(4) Pass the portions of the written exam set forth in Rule .0301(a)(1) and (a)(2) of this Chapter.

(b) Temporary certificates shall be valid for no longer than one year and shall be automatically terminated at the time of the next examination given by the Board.

History

• Authority G.S. 90-384; 90-385(f)
• Eff. May 1, 1996
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. October 1, 2020.

21 NCAC 45 .0801 Approved Supervision

The hours of supervision required for certification as a Fee-Based Practicing Pastoral Counselor and a Fee-Based Practicing Pastoral Counseling Associate set forth in G.S. 90-387 shall be documented as provided by a:

(1) North Carolina Certified Fee-Based Practicing Pastoral Counselor;

(2) A mental health professional licensed or certified to practice in North Carolina, which is defined as a Licensed Clinical Mental Health Counselor (LCMHC); Licensed Clinical Mental Health Counselor Supervisor (LCMHCS); Licensed Marriage and Family Therapist (LMFT); Licensed Clinical Social Worker (LCSW); Licensed Psychologist; Licensed Medical Doctor with a Medical Board certification in psychiatry; or Psychiatric Nurse Practitioner; or

(3) An individual with equal or greater clinical qualifications to one of these professionals that is approved by the Board through written equivalency request submitted to the Board.

History

• Authority G.S. 90-385(f); 90-387
• Eff. October 1, 1996
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016
• Amended Eff. October 1, 2020.

Chapter 46 Pharmacy

21 NCAC 46 .0101 General Purpose of the Board

History

• Status: repealed
• Authority G.S. 90-56; 90-57; 90-58
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0102 Election of the Board

History

• Status: repealed
• Authority G.S. 90-56; 90-57; 90-58
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0103 Meetings of the Board

History

• Status: repealed
• Authority G.S. 90-56; 90-57; 90-58
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0104 Quorums

History

• Status: repealed
• Authority G.S. 90-56; 90-57; 90-58
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0105 Office of the Board

History

• Status: repealed
• Authority G.S. 90-56; 90-57; 90-58
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0106 Fiscal Year

History

• Status: repealed
• Authority G.S. 90-56; 90-57; 90-58
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0201 Scope of Definitions

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0202 Board: Officers

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0203 Drugs

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0204 Poisons

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0205 Nonpoisonous Domestic Remedies

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0206 Patent or Proprietary Preparation

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0207 Pharmacy or Drugstore

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0208 Original Drugstore Permit

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0209 Person

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0210 Pharmacist or Druggist

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0211 Assistant Pharmacist

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0212 Pharmacy Extern

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0213 Pharmacy Intern

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0214 Licensed Pharmacist Intern

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0215 Duly Accredited School or College of Pharmacy

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0216 Graduate of an Accredited School or College of Pharmacy

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0217 Two Years College Training

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0218 Gross Immorality

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0219 Habitual Indulgence

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0220 Immediate Supervision

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0221 Temporary Absence

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0222 Pharmaceutical Services

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0223 Compounding

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0224 Dispensing

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0225 Administering

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0226 Hospital Pharmacy

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0227 Prescription

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1; 90-65; 90-71; 90-72; 90-73; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0301 Definition: Other Place

History

• Status: repealed
• Authority G.S. 90-18.1; 90-57; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0302 Registration and Permits

History

• Status: repealed
• Authority G.S. 90-18.1; 90-57; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0303 Personnel: Equipment: and Inspection

History

• Status: repealed
• Authority G.S. 90-18.1; 90-57; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0304 Pharmacist-Manager

History

• Status: repealed
• Authority G.S. 90-18.1; 90-57; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0305 Supervision: Schedule of Attendance by Pharmacist

History

• Status: repealed
• Authority G.S. 90-18.1; 90-57; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0306 Health Care Facilities Not Employing a Pharmacist

History

• Status: repealed
• Authority G.S. 90-18.1; 90-57; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0307 Supervision of Drugs in Areas Outside a Pharmacy

History

• Status: repealed
• Authority G.S. 90-18.1; 90-57; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0308 Access to Drug Stocks: Records: Emergency Drug Kits

History

• Status: repealed
• Authority G.S. 90-18.1; 90-57; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0309 Medication in Hospital Emergency Departments

History

• Status: repealed
• Authority G.S. 90-18.1; 90-57; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0310 Practitioners of Medicine Excepted

History

• Status: repealed
• Authority G.S. 90-18.1; 90-57; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0311 Minimal Standards for Pharmacy Service

History

• Status: repealed
• Authority G.S. 90-18.1; 90-57; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0312 Federal and State Statutes Control

History

• Status: repealed
• Authority G.S. 90-18.1; 90-57; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0401 Application

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. January 1, 1982; October 21, 1981; January 15, 1981; May 4, 1980
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0402 Age

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. January 1, 1982; October 21, 1981; January 15, 1981; May 4, 1980
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0403 Experience in Pharmacy

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. January 1, 1982; October 21, 1981; January 15, 1981; May 4, 1980
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0404 Education

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. January 1, 1982; October 21, 1981; January 15, 1981; May 4, 1980
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0405 Examination

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. January 1, 1982; October 21, 1981; January 15, 1981; May 4, 1980
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0406 Rules of Examination Conduct

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. January 1, 1982; October 21, 1981; January 15, 1981; May 4, 1980
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0407 Partial Examination

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-61.1
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. January 1, 1982; October 21, 1981; January 15, 1981; May 4, 1980
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0501 Pharmacy or Drugstore Permits

History

• Status: repealed
• Authority G.S. 90-57; 90-71; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. May 4, 1980
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0502 Failure to Comply: Penalty

History

• Status: repealed
• Authority G.S. 90-57; 90-71; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. May 4, 1980
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0503 Drugstores in Towns of Less Than 800 Population

History

• Status: repealed
• Authority G.S. 90-57; 90-71; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. May 4, 1980
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0504 Absence from Practice

History

• Status: repealed
• Authority G.S. 90-57; 90-71; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. May 4, 1980
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0505 Reciprocal Licensure

History

• Status: repealed
• Authority G.S. 90-57; 90-64
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981; January 15, 1981
• Repealed Eff. January 1, 1982.

21 NCAC 46 .0506 License by Reciprocity

History

• Status: repealed
• Authority G.S. 90-57; 90-64
• Eff. March 1, 1982
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0601 Dispensing by Registered Nurse or Physician's Assistant

History

• Status: repealed
• Authority G.S. 90-18.1; 90-57; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0602 Dispensing Supervised by Licensed Pharmacist

History

• Status: repealed
• Authority G.S. 90-18.1; 90-57; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0603 Drugs to Be Dispensed

History

• Status: repealed
• Authority G.S. 90-18.1; 90-57; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0604 Prepackaging of Drug Products Dispensed

History

• Status: repealed
• Authority G.S. 90-18.1; 90-57; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0605 Records of Dispensing

History

• Status: repealed
• Authority G.S. 90-18.1; 90-57; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0701 Definition

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-64; 90-66; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0702 Application for Pharmacist's License

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-64; 90-66; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0703 Application for Pharmacy Permit

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-64; 90-66; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0704 Renewal of Pharmacist's License

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-64; 90-66; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0705 Replacement of Certificates

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-64; 90-66; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0706 Reciprocity Data Questionnaire

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-64; 90-66; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0707 Application for Reciprocity

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-64; 90-66; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0708 Registration for Practical Pharmacy Training

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-64; 90-66; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0709 Practical Pharmacy Experience

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-64; 90-66; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0710 Certificate of Experience Outside North Carolina

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-64; 90-66; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0711 Certificate of Graduation

History

• Status: repealed
• Authority G.S. 90-57; 90-61; 90-64; 90-66; 90-75
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0801 Right to Hearing

History

• Status: repealed
• Authority G.S. 1A-1, Rule 24; 90-57; 90-65; 150A-2(2); 150A-23(a)
• 150A-23(2); 150A-32
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0802 Request for Hearing

History

• Status: repealed
• Authority G.S. 1A-1, Rule 24; 90-57; 90-65; 150A-2(2); 150A-23(a)
• 150A-23(2); 150A-32
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0803 Granting or Denying Hearing Requests

History

• Status: repealed
• Authority G.S. 1A-1, Rule 24; 90-57; 90-65; 150A-2(2); 150A-23(a)
• 150A-23(2); 150A-32
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0804 Notice of Hearing

History

• Status: repealed
• Authority G.S. 1A-1, Rule 24; 90-57; 90-65; 150A-2(2); 150A-23(a)
• 150A-23(2); 150A-32
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0805 Who Shall Hear Contested Cases

History

• Status: repealed
• Authority G.S. 1A-1, Rule 24; 90-57; 90-65; 150A-2(2); 150A-23(a)
• 150A-23(2); 150A-32
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0806 Petition for Intervention

History

• Status: repealed
• Authority G.S. 1A-1, Rule 24; 90-57; 90-65; 150A-2(2); 150A-23(a)
• 150A-23(2); 150A-32
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0807 Types of Intervention

History

• Status: repealed
• Authority G.S. 1A-1, Rule 24; 90-57; 90-65; 150A-2(2); 150A-23(a)
• 150A-23(2); 150A-32
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0808 Disqualification of Hearing Officers

History

• Status: repealed
• Authority G.S. 1A-1, Rule 24; 90-57; 90-65; 150A-2(2); 150A-23(a)
• 150A-23(2); 150A-32
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0901 Failure to Appear

History

• Status: repealed
• Authority G.S. 90-57; 150A-25(a); 150A-33(5); 150A-34(a); 150A-43
• 150A-72
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0902 Simplification of Issues

History

• Status: repealed
• Authority G.S. 90-57; 150A-25(a); 150A-33(5); 150A-34(a); 150A-43
• 150A-72
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0903 Subpoenas

History

• Status: repealed
• Authority G.S. 90-57; 150A-25(a); 150A-33(5); 150A-34(a); 150A-43
• 150A-72
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0904 Final Decisions in Administrative Hearings

History

• Status: repealed
• Authority G.S. 90-57; 150A-25(a); 150A-33(5); 150A-34(a); 150A-43
• 150A-72
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .0905 Proposals for Decisions

History

• Status: repealed
• Authority G.S. 90-57; 150A-25(a); 150A-33(5); 150A-34(a); 150A-43
• 150A-72
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .1001 Petitions

History

• Status: repealed
• Authority G.S. 90-57; 150A-12; 150A-16; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .1002 Notice

History

• Status: repealed
• Authority G.S. 90-57; 150A-12; 150A-16; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .1003 Hearings

History

• Status: repealed
• Authority G.S. 90-57; 150A-12; 150A-16; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .1004 Emergency Rules

History

• Status: repealed
• Authority G.S. 90-57; 150A-12; 150A-16; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .1005 Declaratory Rulings

History

• Status: repealed
• Authority G.S. 90-57; 150A-12; 150A-16; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .1006 Rules and Regulations Severable

History

• Status: repealed
• Authority G.S. 90-57; 150A-12; 150A-16; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 22, 1977
• Amended Eff. August 16, 1981
• Repealed Eff. April 1, 1983.

21 NCAC 46 .1101 Board of Pharmacy Elections: Compositions and Duties

History

• Status: repealed
• Authority G.S. 90-55(a),(b)
• Eff. January 1, 1982
• Repealed Eff. April 1, 1983.

21 NCAC 46 .1102 Eligibility to Vote

History

• Status: repealed
• Authority G.S. 90-55(a),(b)
• Eff. January 1, 1982
• Repealed Eff. April 1, 1983.

21 NCAC 46 .1103 Geographic Representations

History

• Status: repealed
• Authority G.S. 90-55(a),(b)
• Eff. January 1, 1982
• Repealed Eff. April 1, 1983.

21 NCAC 46 .1104 Committee on Nominations

History

• Status: repealed
• Authority G.S. 90-55(a),(b)
• Eff. January 1, 1982
• Repealed Eff. April 1, 1983.

21 NCAC 46 .1105 Nomination by Petition

History

• Status: repealed
• Authority G.S. 90-55(a),(b)
• Eff. January 1, 1982
• Repealed Eff. April 1, 1983.

21 NCAC 46 .1106 Consent to Nomination

History

• Status: repealed
• Authority G.S. 90-55(a),(b)
• Eff. January 1, 1982
• Repealed Eff. April 1, 1983.

21 NCAC 46 .1107 Ballots: Casting and Counting

History

• Status: repealed
• Authority G.S. 90-55(a),(b)
• Eff. January 1, 1982
• Repealed Eff. April 1, 1983.

21 NCAC 46 .1201 General Purpose of the Board

(a) The purpose of the Board is to regulate the practice of pharmacy in North Carolina in order to safeguard and protect the life and health of the people of North Carolina, and in order to promote the public welfare.

(b) The Board regulates the practice of pharmacy:

(1) by determining the qualifications of persons seeking to practice pharmacy and authorizing persons who have met the statutory requirements to so practice; and

(2) by enforcing the provisions of laws governing the practice of pharmacy and places for rendering pharmaceutical services, and those duly enacted rules designed to ensure a high degree of competency in the practice of pharmacy.

History

• Authority G.S. 90-85.2; 90-85.6
• Eff. April 1, 1983
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1202 Election of Officers of the Board

Election of officers of the Board shall be held in May of each year.

History

• Authority G.S. 90-85.6; 90-85.8
• Eff. April 1, 1983
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1203 Meetings of the Board

The Board shall meet at least twice each year at a place designated by the Board for the purpose of examining candidates for a license to practice pharmacy in North Carolina and may hold such other examination meetings as it may deem appropriate, and in addition may regularly meet at other times for the purpose of transacting business and holding hearings. Special meetings of the Board may be called by the president, the executive director, or two or more members of the Board when deemed necessary, and notice shall be given to each member of the Board of the time and place of such special meetings and the business to be transacted at such meetings.

History

• Authority G.S. 90-85.6; 90-85.9
• Eff. April 1, 1983
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1204 Office of the Board

History

• Status: repealed
• Authority G.S. 90-85.6
• Eff. April 1, 1983
• Amended Eff. November 1, 2003; July 1, 1996; May 1, 1989
• Repealed Eff. October 1, 2010.

21 NCAC 46 .1205 Fiscal Year

The fiscal year of the Board shall be from October 1st through September 30th of the following calendar year.

History

• Authority G.S. 90-85.6
• Eff. April 1, 1983
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1206 Fees

The fees provided for in G.S. 90-85.24 as maximum fees which the Board is entitled to charge and collect are hereby established as the fees for each of the items in G.S. 90-85.24.

History

• Authority G.S. 90-85.6; 90-85.24
• Eff. November 1, 1983
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1207 Device and Medical Equipment Committee

(a) The device and medical equipment committee shall consist of the following:

(1) a representative of the medical equipment suppliers;

(2) a representative of the medical oxygen suppliers;

(3) a representative of the rehabilitation technology suppliers; and

(4) two Board members.

(b) Each of the members of the device and medical equipment committee shall be appointed by the Board. Device and medical equipment permit holders may provide input in these appointments. The representative must practice in the area for which he or she is nominated, but need not practice exclusively in that area. In case of death, resignation, or removal from the committee, the Board shall fill the vacancy with a representative who meets the criteria for the position.

History

• Authority G.S. 90-85.6; 90-85.22
• Eff. April 1, 2020.

21 NCAC 46 .1301 Scope of Definitions

History

• Status: repealed
• Authority G.S. 90-85.3; 90-85.6; 90-85.8; 90-85.13; 90-85.15; 90-85.15(b)
• 90-85.21; 90-85.38(3); 90-85.40(a)
• Eff. April 1, 1983
• Amended Eff. January 1, 1985; March 1, 1984; April 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 46 .1302 Board: Officers

History

• Status: repealed
• Authority G.S. 90-85.3; 90-85.6; 90-85.8; 90-85.13; 90-85.15; 90-85.15(b)
• 90-85.21; 90-85.38(3); 90-85.40(a)
• Eff. April 1, 1983
• Amended Eff. January 1, 1985; March 1, 1984; April 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 46 .1303 Pharmacy Permit

History

• Status: repealed
• Authority G.S. 90-85.3; 90-85.6; 90-85.8; 90-85.13; 90-85.15; 90-85.15(b)
• 90-85.21; 90-85.38(3); 90-85.40(a)
• Eff. April 1, 1983
• Amended Eff. January 1, 1985; March 1, 1984; April 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 46 .1304 Druggist

History

• Status: repealed
• Authority G.S. 90-85.3; 90-85.6; 90-85.8; 90-85.13; 90-85.15; 90-85.15(b)
• 90-85.21; 90-85.38(3); 90-85.40(a)
• Eff. April 1, 1983
• Amended Eff. January 1, 1985; March 1, 1984; April 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 46 .1305 Pharmacy Intern

History

• Status: repealed
• Authority G.S. 90-85.3; 90-85.6; 90-85.8; 90-85.13; 90-85.15; 90-85.15(b)
• 90-85.21; 90-85.38(3); 90-85.40(a)
• Eff. April 1, 1983
• Amended Eff. January 1, 1985; March 1, 1984; April 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 46 .1306 Duly Approved School or College of Pharmacy

History

• Status: repealed
• Authority G.S. 90-85.3; 90-85.6; 90-85.8; 90-85.13; 90-85.15; 90-85.15(b)
• 90-85.21; 90-85.38(3); 90-85.40(a)
• Eff. April 1, 1983
• Amended Eff. January 1, 1985; March 1, 1984; April 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 46 .1307 Graduate/Approved School/College of Pharmacy

History

• Status: repealed
• Authority G.S. 90-85.3; 90-85.6; 90-85.8; 90-85.13; 90-85.15; 90-85.15(b)
• 90-85.21; 90-85.38(3); 90-85.40(a)
• Eff. April 1, 1983
• Amended Eff. January 1, 1985; March 1, 1984; April 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 46 .1308 Two Years College Work

History

• Status: repealed
• Authority G.S. 90-85.3; 90-85.6; 90-85.8; 90-85.13; 90-85.15; 90-85.15(b)
• 90-85.21; 90-85.38(3); 90-85.40(a)
• Eff. April 1, 1983
• Amended Eff. January 1, 1985; March 1, 1984; April 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 46 .1309 Indulgence in the Use of Drugs

History

• Status: repealed
• Authority G.S. 90-85.3; 90-85.6; 90-85.8; 90-85.13; 90-85.15; 90-85.15(b)
• 90-85.21; 90-85.38(3); 90-85.40(a)
• Eff. April 1, 1983
• Amended Eff. January 1, 1985; March 1, 1984; April 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 46 .1310 Supervision

History

• Status: repealed
• Authority G.S. 90-85.3; 90-85.6; 90-85.8; 90-85.13; 90-85.15; 90-85.15(b)
• 90-85.21; 90-85.38(3); 90-85.40(a)
• Eff. April 1, 1983
• Amended Eff. January 1, 1985; March 1, 1984; April 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 46 .1311 Institutional Pharmacy

History

• Status: repealed
• Authority G.S. 90-85.3; 90-85.6; 90-85.8; 90-85.13; 90-85.15; 90-85.15(b)
• 90-85.21; 90-85.38(3); 90-85.40(a)
• Eff. April 1, 1983
• Amended Eff. January 1, 1985; March 1, 1984; April 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 46 .1312 Pharmacist Manager

History

• Status: repealed
• Authority G.S. 90-85.3; 90-85.6; 90-85.8; 90-85.13; 90-85.15; 90-85.15(b)
• 90-85.21; 90-85.38(3); 90-85.40(a)
• Eff. April 1, 1983
• Amended Eff. January 1, 1985; March 1, 1984; April 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 46 .1313 Limited Service Pharmacy Permit

History

• Status: repealed
• Authority G.S. 90-85.3; 90-85.6; 90-85.8; 90-85.13; 90-85.15; 90-85.15(b)
• 90-85.21; 90-85.38(3); 90-85.40(a)
• Eff. April 1, 1983
• Amended Eff. January 1, 1985; March 1, 1984; April 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 46 .1314 Apothecary

History

• Status: repealed
• Authority G.S. 90-85.3; 90-85.6; 90-85.8; 90-85.13; 90-85.15; 90-85.15(b)
• 90-85.21; 90-85.38(3); 90-85.40(a)
• Eff. April 1, 1983
• Amended Eff. January 1, 1985; March 1, 1984; April 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 46 .1315 Drugstore

History

• Status: repealed
• Authority G.S. 90-85.3; 90-85.6; 90-85.8; 90-85.13; 90-85.15; 90-85.15(b)
• 90-85.21; 90-85.38(3); 90-85.40(a)
• Eff. April 1, 1983
• Amended Eff. January 1, 1985; March 1, 1984; April 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 46 .1316 Undergraduate Professional Degree in Pharmacy

History

• Status: repealed
• Authority G.S. 90-85.3; 90-85.6; 90-85.8; 90-85.13; 90-85.15; 90-85.15(b)
• 90-85.21; 90-85.38(3); 90-85.40(a)
• Eff. April 1, 1983
• Amended Eff. January 1, 1985; March 1, 1984; April 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 46 .1317 Definitions

Terms used in this Chapter and G.S. 90, Article 4A, are defined as follows, unless otherwise defined in G.S. 90, Article 4A:

(1) "Ambulation assistance equipment" means devices that aid in walking, excluding canes, crutches, and walkers.

(2) "Approved school or college of pharmacy" means a school or college of pharmacy accredited by the Accreditation Council for Pharmacy Education ("ACPE") through its PharmD Program Accreditation Standards. It does not include any accreditation, certification, or other designation through the ACPE's International Services Program.

(3) "Diagnostic equipment" means equipment used to record physiological information while a person goes about normal daily living or while asleep in order to document a disease process. Early pregnancy tests (EPTs), thermometers, glucose meters, and cholesterol equipment are not included as diagnostic equipment.

(4) "Drug regimen review" or "drug use review" means a review of a patient's record by a licensed pharmacist that involves interpretation and evaluation of the drug therapy and other pharmaceutical care services to achieve intended medication outcomes and minimize negative effects of drug therapy.

(5) "Employee" means a person who is or would be considered an employee under the North Carolina Workers' Compensation Act. This definition applies to locations, both within and outside of this State, holding pharmacy or device and medical equipment permits and without regard to the number of persons employed by the permit holder.

(6) "Graduate of an approved school or college of pharmacy" means a person who has received an undergraduate professional degree in pharmacy from an approved school or college of pharmacy.

(7) "Health Care Facility" means one of the following organizations whose primary purpose is to provide a physical environment for patients to obtain health care services:

(a) a hospital;

(b) a long-term care facility;

(c) a mental health facility;

(d) a drug abuse treatment center;

(e) an assisted living facility;

(f) an ambulatory surgical center;

(g) a penal institution; or

(h) a hospice.

(8) "Health Care Facility Pharmacy" means a pharmacy permitted by the Board that provides services to patients of a Health Care Facility.

(9) "Internet pharmacy" means:

(a) A pharmacy that maintains an Internet web site for the purpose of selling or distributing prescription drugs; or

(b) A pharmacy that uses the Internet, either itself, or through agreement with a third party, to communicate with or obtain information from patients; uses such communication or information, in whole or in part, to solicit, fill or refill prescriptions; or otherwise uses such communication or information, in whole or in part, to engage in the practice of pharmacy.

Notwithstanding Sub-items (a) and (b) above, a pharmacy shall not be deemed an Internet pharmacy if it maintains each Internet web site for the following purposes only:

(i) To post advertisements that do not attempt to facilitate, directly or through agreement with a third party, an actual transaction involving a prescription drug;

(ii) To allow a patient to communicate a request for a refill of a valid prescription originally filled by the pharmacy that maintains the Internet web site;

(iii) To allow a customer to research drug interactions and clinical pharmacology information; or

(iv) To allow a patient to send an electronic mail message to a pharmacist licensed in North Carolina.

(10) "Medication Order" means an order for a drug, device, or medical equipment for a patient from a person authorized by law to prescribe them.

(11) "Mobility equipment" means devices that aid a person in self-movement other than walking, including manual or power wheelchairs and scooters.

(12) "North Carolina resident" or "resident of North Carolina" includes not just any patient who is domiciled in the State of North Carolina, but also any patient who is present in the State of North Carolina at the time a drug, device, or medical equipment is dispensed to that person.

(13) "Oxygen and respiratory care equipment" means equipment or devices used to administer oxygen or other legend drugs, maintain viable airways, or monitor cardio-respiratory conditions or events, including the following:

(a) compressed medical gases;

(b) oxygen concentrators;

(c) liquid oxygen;

(d) nebulizers;

(e) compressors;

(f) aerosol therapy devices;

(g) portable suction machines;

(h) nasal continuous positive airway pressure (CPAP) machines;

(i) Bi-phasic positive pressure devices (BiPAP);

(j) infant monitors, such as apnea monitors and cardio-respiratory monitors;

(k) positive and negative pressure mechanical ventilators; and

(l) pulse oximeters.

(14) "Patient medication profile," "patient profile," or "pharmacy profile" means a list of all medications prescribed for or dispensed to a patient.

(15) "Pharmacist-Manager" means the person who accepts responsibility for the operation of a pharmacy in conformance with all statutes and rules pertinent to the practice of pharmacy and distribution of drugs by signing the permit application, its renewal, or addenda thereto.

(16) "Pharmacy Intern" means any person who is registered with the Board under the internship program of the Board to acquire pharmacy experience or enrolled in approved academic internship programs. A pharmacy intern working under a pharmacist preceptor or supervising pharmacist may, while under supervision, perform all acts constituting the practice of pharmacy.

(17) "Rehabilitation environmental control equipment" means equipment or devices that permit a person with disabilities to control his or her immediate surroundings.

(18) "Undergraduate professional degree in pharmacy" means a Bachelor of Science in Pharmacy or a Doctor of Pharmacy degree.

History

• Authority G.S. 90-85.3; 90-85.6; 90-85.13; 90-85.14; 90-85.15; 90-85.21; 90-85.21A; 90-85.22; 90-85.26; 90-85.32; 90-85.33; 90-85.34; 90-85.38; 90-85.40
• Eff. May 1, 1989
• Amended Eff. March 1, 2013; February 1, 2007; March 1, 2004; April 1, 1999; May 1, 1997; September 1, 1995; September 1, 1993; October 1, 1990; January 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. October 1, 2022; November 1, 2021.

21 NCAC 46 .1401 Registration and Permits

(a) All Health Care Facilities providing services within the practice of pharmacy shall apply for and receive a pharmacy permit as provided in G.S. 90-85.21.

(b) Physically separate dispensing areas operated by a Health Care Facility are not required to secure separate permits if those dispensing areas are contained in the same building as the permitted pharmacy or contained in a building located on property contiguous to the permitted pharmacy. However, even as to dispensing areas otherwise within the coverage of this Paragraph, a separate permit is required for a physically separate dispensing area for which the majority of its activity is dispensing drugs to or compounding drugs for a patient's use outside the Health Care Facility.

(c) Nothing in these rules shall be construed to require the registration with the Board of those Health Care Facilities in which there occurs only the administration of drugs.

History

• Authority G.S. 90-85.6; 90-85.21
• Eff. April 1, 1983
• Amended Eff. May 1, 1997; May 1, 1989; March 1, 1984
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. November 1, 2024.

21 NCAC 46 .1402 Supervision of Drugs in Areas Outside of Pharmacy

History

• Status: repealed
• Authority G.S. 90-18.1; 90-18.2; 90-85.6; 90-85.21
• Eff. April 1, 1983
• Amended Eff. April 1, 1992; May 1, 1989; March 1, 1984
• Repealed Eff. May 1, 1997.

21 NCAC 46 .1403 Institutional Pharmacy Drug Inventories and Emergency Kits

History

• Status: repealed
• Authority G.S. 90-18.1; 90-18.2; 90-85.6; 90-85.21
• Eff. April 1, 1983
• Amended Eff. April 1, 1992; May 1, 1989; March 1, 1984
• Repealed Eff. May 1, 1997.

21 NCAC 46 .1404 Medication in Institutional Emergency Departments

History

• Status: repealed
• Authority G.S. 90-18.1; 90-18.2; 90-85.6; 90-85.21
• Eff. April 1, 1983
• Amended Eff. April 1, 1992; May 1, 1989; March 1, 1984
• Repealed Eff. May 1, 1997.

21 NCAC 46 .1405 Standards for Pharmacy Service

History

• Status: repealed
• Authority G.S. 90-85.2; 90-85.6
• Eff. March 1, 1984
• Repealed Eff. May 1, 1989.

21 NCAC 46 .1406 Automatic Stop Orders

History

• Status: repealed
• Authority G.S. 90-85.2; 90-85.3(r); 90-85.6
• Eff. March 1, 1984
• Amended Eff. May 1, 1989
• Repealed Eff. May 1, 1997.

21 NCAC 46 .1407 Institutional Formulary

History

• Status: repealed
• Authority G.S. 90-85.2; 90-85.3(r); 90-85.6
• Eff. March 1, 1984
• Repealed Eff. May 1, 1989.

21 NCAC 46 .1408 Institutional Discharge Medication Option

History

• Status: repealed
• Authority G.S. 90-85.6; 90-85.32
• Eff. March 1, 1984
• Amended Eff. May 1, 1989
• Repealed Eff. May 1, 1997.

21 NCAC 46 .1409 Research Participation

History

• Status: repealed
• Authority G.S. 90-85.3(r); 90-85.6; 90-85.34
• Eff. March 1, 1984
• Repealed Eff. May 1, 1989.

21 NCAC 46 .1410 Personnel

(a) The health care facility pharmacy must be directed by a legally qualified pharmacist, hereinafter referred to as the pharmacist-manager, who shall be responsible for meeting the requirements set forth by Federal and State law, this Section, 21 NCAC 46 .2502, and other applicable Rules of the Board. The pharmacist-manager shall be thoroughly familiar with the specialized functions of health care facility pharmacy practice. The pharmacist-manager shall be an employee of the health care facility or contracted for by the health care facility in which the pharmacy is located.

(b) The pharmacist-manager shall be assisted by a sufficient number of pharmacists and supportive personnel to operate such pharmacy competently, safely, and to meet the needs of the patients of the health care facility.

(c) The pharmacist-manager shall ensure that an adequate number of qualified and trained pharmacists are employed. The pharmacist- manager shall develop and implement written policies and procedures to specify the duties to be performed by such pharmacists.

(d) The pharmacist-manager shall ensure that a sufficient number of qualified, trained, and adequately supervised supportive personnel are employed to provide technical services, as well as ensuring that all such functions and activities are performed competently, safely, and without risk of harm to patients. The relationship between the supervising pharmacist and the supportive personnel shall be such that the pharmacist is fully aware of and responsible for all activities involved in the preparation and dispensing of medications prior to release to the patient, including the maintenance of appropriate records.

(e) Secretarial and clerical support shall be provided to assist with record keeping, report submission and other administrative duties.

History

• Authority G.S. 90-85.6; 90-85.21
• Eff. May 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1411 Responsibilities of the Pharmacist-Manager

(a) The pharmacist-manager shall establish written procedures for the safe and effective distribution of pharmaceutical products. Procedures shall be reviewed annually to assure they reflect current practice in the facility. A copy of such procedures shall be available in the pharmacy.

(b) The pharmacist-manager is responsible for the safe and effective distribution of, control over and accountability for drugs, including intravenous and irrigation solutions. The pharmacist-manager may delegate responsibilities to other health care facility staff for ordering, distributing, and accounting for pharmaceutical materials to achieve this purpose. Whenever there is a violation of the rules in this Section, the facility's pharmacy permit is subject to action by the Board. In addition to the requirements of 21 NCAC 46 .2502, the pharmacist-manager is responsible for:

(1) the development of policies and procedures for the compounding, admixture, labeling, and dispensing of parenteral medications in the health care facility, including relevant education and training of all pharmacy and nursing personnel involved in the preparation of parenteral medications;

(2) the establishment of specifications or use of compendia specifications for procurement of all pharmaceuticals, including drugs, chemicals, and biologicals used in direct patient care, subject to approval of the appropriate committee of the health care facility;

(3) participation in development and maintenance of a drug formulary when required by the health care facility;

(4) participation in those aspects of pharmaceutical care that affect drug distribution and control;

(5) preparing, packaging, compounding and labeling all drugs;

(6) assuring that drugs are dispensed only by a pharmacist or other persons allowed by law to dispense and that supportive pharmacy personnel are directed and supervised in compliance with all applicable laws and regulations;

(7) the development and implementation of policies and procedures to ensure that discontinued drugs; outdated drugs; drugs recalled; containers with worn, illegible, or missing labels; or products that are otherwise unusable are returned to the pharmacy for disposition in compliance with all applicable laws and regulations;

(8) maintaining records and reports required by law to ensure patient health, safety and welfare;

(9) developing and implementing policies and procedures that effectively address the safeguarding and handling of all drugs and devices, as defined in G.S. 90-85.3(e), throughout the health care facility, or other locations where legend drug products are transferred, including medications that originate from a source outside the facility. When discrepancies in controlled substance counts are identified:

(A) they shall be reviewed, and a report of this action, including steps taken to prevent recurrence, where possible, shall be provided to the pharmacist-manager within 24 hours of occurrence. This report shall be maintained by the pharmacist-manager; and

(B) they shall be reported to the Board and the Drug Enforcement Administration in compliance with all applicable laws and regulations;

(10) developing and implementing policies and procedures to ensure that auxiliary medication inventories are inspected in accordance with the pharmacy's policies;

(11) all drugs and devices dispensed by the pharmacy as defined in G.S. 90-85.3(e) that are ordered for and used within the health care facility; and

(12) maintaining policies and procedures regarding drug samples and patient's personal medications.

History

• Authority G.S. 90-85.6; 90-85.21; 90-85.32
• Eff. May 1, 1997
• Amended Eff. March 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1412 Physical Requirements

A health care facility pharmacy shall have sufficient floor space allocated to it to ensure that drugs are prepared in sanitary, well lighted, and enclosed places. It shall have equipment and physical facilities for proper compounding, dispensing, and storage of drugs, including parenteral preparations. In addition to the requirements of Section .1600 of this Chapter, the equipment and physical facilities shall include the following:

(1) Dispensing areas;

(2) Compounding areas that comply with Section .2800 of this Chapter;

(3) Receiving and storage areas;

(4) Packaging and repackaging areas;

(5) Office space sufficient to allow for administrative functions without interference with the safe compounding and dispensing of medications and security of the pharmacy;

(6) Storage. All drugs shall be stored in designated areas within the pharmacy or decentralized pharmacy sufficient to provide sanitation to prevent contamination, moisture control, and security to prevent access from unauthorized personnel. Controlled substances shall be stored in compliance with applicable Federal and State laws and regulations. Alcohol and flammables shall be stored in areas that shall meet basic local building code requirements for the storage of volatile substances and all other laws, ordinances, or regulations that may apply; and

(7) Security. All areas occupied by the health care facility pharmacy, to include auxiliary drug supplies and unit dose carts, shall remain secured at all times.

History

• Authority G.S. 90-85.6; 90-85.21; 90-85.32
• Eff. May 1, 1997
• Amended Eff. January 1, 2015; March 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1413 Absence of Pharmacist

(a) When a health care facility pharmacy is not open 24 hours a day, seven days a week, arrangements shall be made in advance by the pharmacist-manager for provision of drugs and pharmaceutical care to the medical staff, other authorized personnel, and patients of the health care facility by use of an "on call" pharmacist accessible to the facility during all absences, and auxiliary medical inventories as described in Rule .1414(d) of this Section. In addition, one or both of the options in Subparagraphs (a)(1) and (2) may be authorized by the pharmacist-manager to assure access to drugs and pharmaceutical care in the absence of a pharmacist:

(1) a contractual arrangement with another health care facility, pharmacy, or pharmacist; or

(2) a nurse trained and authorized by the pharmacist-manager to remove drugs or devices from the pharmacy in the absence of a pharmacist. Entry into the pharmacy in the absence of a pharmacist shall occur only if the drug needed is not in the auxiliary medication inventory. The pharmacist-manager shall maintain a current list of authorized persons and document the initial orientation, continuing education, and quality control processes on an ongoing basis. The pharmacist-manager shall maintain a list of restricted medications that shall not be taken from the pharmacy and may only be removed after contacting the "on call" pharmacist to verify the appropriateness and accuracy of the medication order and medication removed from the pharmacy at the time of removal. For medications not on the restricted list, an "on call" pharmacist must be accessible for questions by the authorized nurse. Within 24 hours, a pharmacist shall verify the accuracy and appropriateness of the medication order and the medication removed from the pharmacy.

(b) A record of drugs or devices removed from auxiliary medication inventories or from pharmacy inventory shall be maintained for three years in the health care facility in compliance with all applicable laws and regulations. The pharmacist-manager shall at least quarterly verify the accuracy of the records.

(c) Supportive personnel approved by the pharmacist-manager may be present in the pharmacy at other than regular service hours to perform clerical, repackaging and distributive functions according to written policies and procedures if the drugs so handled are not permitted to leave the pharmacy until all work performed has been checked and certified as being correct by the pharmacist.

(d) Only drugs in unit-of-use packaging shall be removed from the auxiliary medication inventory or from the pharmacy; they shall be used for administration to a specific patient only, in amounts sufficient to meet the needs for immediate therapeutic requirements. Controlled substances may be stocked and removed from auxiliary medication inventories; controlled substances may not be removed from the pharmacy in the absence of a pharmacist. Drugs shall be pre-labeled by the pharmacist with drug name, strength, lot number and expiration date. A copy of written orders for new medications shall be provided to the pharmacy.

History

• Authority G.S. 90-85.6; 90-85.21; 90-85.32; 90-85.33; 90-85.34
• Eff. May 1, 1997
• Amended Eff. March 1, 2013; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1414 Drug Distribution and Control

(a) MEDICATION ORDERS.

(1) Pharmacists shall dispense medications from a health care facility pharmacy only upon receipt of a medication order. A mechanism shall be in place to verify the authenticity of the medication order. Oral orders shall be recorded immediately and signed within the time frame established by regulatory agencies and health care facility policies and procedures.

(2) All medication orders shall be received and reviewed by a pharmacist and shall contain the:

(A) patient's name, location and other identifying information such as history or medical records number;

(B) medication name, strength, dosage form, route of and directions for administration. In the absence of a facility policy on interpretation of routes of administration, the route of administration must be specified;

(C) discernible quantity to be dispensed. Medical orders issued from a health care facility shall, in the absence of a different indicated quantity or facility policy, be deemed to authorize dispensing of a 30-day supply;

(D) date the order was written; and

(E) prescriber's signature as set out in Subparagraph (a)(1) of this Rule (may include electronic signature or verification).

(3) The health care facility pharmacy and the pharmacist-manager shall ensure that medication orders for patients requiring continuous drug therapy are entered into a patient medication profile, either manual or automated. The medication profile shall contain the:

(A) patient's name, location, and clinical data required for safe dispensing and administration of medication orders, such as age, height, weight, sex, and allergies;

(B) medication name, strength, dosage form, route of, and directions for administration;

(C) medication start date;

(D) medication discontinuance date; and

(E) identification of pharmacist responsible for or verifying technician entry of the medication order.

(4) Abbreviations used in medication orders shall be agreed to, jointly adopted, and published by the medical, nursing, pharmacy, and medical records staff of the health care facility.

(5) A method to protect the health care facility patients from indefinite, open-ended medication orders must be provided. The prescriber shall be notified that the order shall be stopped before such action takes place by one or more of the following:

(A) the routine monitoring of patient's drug therapy by a pharmacist;

(B) a health care facility-approved, drug class-specific, automatic stop order policy covering those drug orders not specifying a number of doses or duration of therapy; or

(C) a health care facility-approved automatic cancellation of all medication orders after a predetermined time interval unless rewritten by the prescriber.

(6) Health care facilities that credential practitioners for prescribing privileges within the facility shall provide the health care facility pharmacy with credentialing information annually or immediately upon discharge or when privileges are suspended or terminated.

(b) DISPENSING. In health care facilities with 24 hour pharmacy services, all dispensing shall be done by a pharmacist. In health care facilities without 24 hour pharmacy services, Rules .1413 and .1417 of this Section apply in the absence of a pharmacist.

(c) LABELING.

(1) The health care facility pharmacy and the pharmacist dispensing the drug shall ensure that all drugs dispensed from within a health care facility pharmacy are labeled and identified up to the point of administration;

(2) When a drug is added to a parenteral admixture, it shall be labeled with a distinctive supplementary label indicating the name and amount of the drug added, expiration date, and expiration time, if applicable. For admixtures prepared outside the health care facility pharmacy, the pharmacist-manager shall develop policies and procedures for preparation and labeling.

(d) AUXILIARY MEDICATION INVENTORIES.

(1) The pharmacist-manager of the health care facility pharmacy shall, in consultation with medical staff, develop a list of drugs and devices that may be stocked in auxiliary medication inventories (which may include patient care unit medication inventories, ancillary drug cabinet inventories, and emergency kits) located at the health care facility. This list shall include those drugs and devices that may be required to meet the immediate therapeutic needs of patients, but that are not reasonably available from the health care facility pharmacy in sufficient time to prevent prolonged discomfort or risk of harm to the health care facility's patients.

(2) The pharmacist-manager of the health care facility pharmacy shall develop, implement, and monitor compliance with policies and procedures that ensure auxiliary medication inventories are accessed only in compliance with all applicable laws and regulations and only by licensed health-care professionals or those authorized by North Carolina law to administer medications. If an auxiliary medication inventory is accessed in an unauthorized manner, the health care facility personnel who become aware of the access shall notify the health care facility pharmacy's pharmacist-manager.

(3) An auxiliary medication inventory shall contain drugs and devices only in amounts sufficient to meet immediate therapeutic needs of patients.

(4) Drugs and devices contained in an auxiliary medication inventory shall be labeled with the name, strength, lot number, manufacturer, and expiration date. A listing of the drugs and devices contained within an auxiliary medication inventory, including the name, strength, and quantity of each, shall be attached.

(5) When an auxiliary medication inventory is accessed, the health care facility personnel who become aware of the access shall provide a copy of both the record of withdrawal and patient medication order to the health care facility pharmacy's pharmacist-manager. The record of withdrawal shall contain:

(A) the date of the removal;

(B) the name, strength, dosage form, and quantity of drug or device removed;

(C) the name of the patient for whom the drug or device was ordered; and

(D) the name or other identification of the authorized person who removed the drug or device.

(6) The health care facility's pharmacist-manager shall ensure that auxiliary medication inventories are reviewed on a schedule set by the health care facility pharmacy's policies to ensure the purity, potency, and integrity of drugs and devices contained within;

(7) An auxiliary medication inventory containing controlled substances must comply with 10A NCAC 26E .0408.

(e) RESERVED.

(f) RESERVED.

(g) RESERVED.

(h) RESERVED.

(i) RESERVED.

(j) RECORDS.

(1) The pharmacist-manager shall, in addition to the requirements for preserving prescription orders as set forth in G.S. 90-85.26, develop a system of daily accountability for medication compounding and dispensing that permits the identification of the responsible pharmacists and pharmacy technicians. Readily retrievable records of accountability shall be maintained for at least 30 days. This system shall identify all personnel who perform these activities and the pharmacist responsible for:

(A) interpretation and appropriateness of new medication orders;

(B) profile entry of new medication orders;

(C) dispensing of new medication orders including stat doses;

(D) daily cart fills;

(E) intravenous admixtures;

(F) compounded medications; and

(G) assessing the quality of pharmacy procedures for preparation and release of drugs and devices for replenishment of auxiliary medication inventories and automated dispensing devices in locations outside the pharmacy.

(2) Upon notification of medication errors resulting from the administration of an incorrect medication or dose, the pharmacist-manager shall document the medication error. Documentation shall include chronological information and include documentation on health care facility forms. These documents shall be archived in a readily retrievable manner, open for inspection, for a period of three years.

(3) Upon notification of information that reasonably suggests that there is a probability a prescription drug or device dispensed from a location holding a permit has caused or contributed to the death of a patient (see 21 NCAC 46 .2502(k)), the pharmacist-manager shall retain all documents, labels, vial, supplies, substances, and internal investigative reports relating to the event. All such items shall be maintained by the health care facility, accessible to the pharmacist-manager, and open to the Board of Pharmacy.

(4) The pharmacist-manager shall maintain records of ordering, receiving, dispensing, or transfer of controlled substances. These records shall include the following:

(A) Invoices or other documents verifying the ordering and receipt of controlled substances;

(B) Perpetual inventories of controlled substances transferred to auxiliary medication inventories and automated dispensing devices. These inventories shall record the transfer date; the location transferred to; the identity of the drug; the strength, dosage form, and quantity transferred; and the transferring pharmacist's name;

(C) Records of disposition of a controlled substance prepared for a patient but not used, including documentation of the details of the destruction or other disposition and identification of the individuals involved in that destruction or other disposition;

(D) A record of controlled substances dispensed directly to the patient to include the patient's name; date dispensed; dispensing pharmacist's name; name, strength, dosage form, and quantity of the drug dispensed. The records shall also document drugs returned and credited; and

(E) A perpetual inventory on all controlled substances awaiting destruction or return to a vendor.

(5) Automated systems may be used to collect and store information required by Subparagraph (j)(4) of this Rule provided such system allows for the immediate retrieval of original medication order information and dispensing history consistent with criteria cited in 21 CFR .1306.

(6) With the exception of Subparagraph (j)(l) of this Rule, all records required by this Section shall be maintained for a period of three years. Such records shall be archived in a uniform manner, retrievable to the pharmacy within 48 hours, and open for review, copying, or seizure by a member or designated employee of the Board.

History

• Authority G.S. 90-85.6; 90-85.21; 90-85.32; 90-85.33; 90-85.34
• Eff. May 1, 1997
• Amended Eff. March 1, 2013; February 1, 2005; April 1, 2003; April 1, 1999; August 1, 1998.
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1415 Medication in Health Care Facility Emergency Departments

(a) In those Health Care Facilities with 24-hour outpatient pharmacy service, all drugs dispensed to outpatients, including emergency department patients, must be dispensed by the permitted pharmacy during times that it is open for outpatient pharmacy service.

(b) When the permitted pharmacy in the Health Care Facility is closed for outpatient service, drugs may be dispensed for use outside the emergency department by the physician, registered nurse under physician supervision, or a person authorized to prescribe and dispense drugs pursuant to G.S. 90-18.1 or 90-18.2 subject to the following:

(1) Drugs shall be dispensed only to a patient of the emergency department;

(2) The pharmacist-manager shall develop and supervise a system of control and accountability of all drugs administered in, or dispensed from, the emergency department;

(3) The pharmacist-manager shall develop a formulary of prescription drugs that may be dispensed from the emergency department for patients receiving care in that department. This formulary shall consist of drugs of the nature and type to meet the immediate needs of emergency department patients;

(4) The emergency department staff may dispense no more than a seven-day supply or the smallest quantity prepackaged by the manufacturer for patient dispensing, whichever is greater;

(5) Drugs shall be prepackaged in safety closure containers and shall be pre-labeled by a pharmacist to comply with Rule .1414(d)(4) of this Section. Prior to dispensing, the following information shall be placed on the label:

(A) the name, address, and telephone number of the health care facility pharmacy;

(B) the dispensing date;

(C) the full name of patient;

(D) the generic or trade name, or in the absence of a brand name, the established name of the product dispensed;

(E) directions for use to the patient;

(F) the name of physician prescribing and dispensing the product; and

(G) required precautionary or further accessory cautionary information as may be desirable for proper use and safety to the patient;

(6) A perpetual record of dispensing of all drugs, including drug samples and starter packages, shall be maintained as part of the pharmacy's records for three years. The pharmacist-manager or designee shall verify the accuracy of these records at least once a month. The record shall contain the following:

(A) the date dispensed;

(B) the patient's name;

(C) the physician's name; and

(D) the name, strength, dosage form, quantity, and dose of the drug dispensed.

(7) The drug may be dispensed only if there is an order from a prescriber that complies with applicable laws governing such prescriptions.

(c) The physician, registered nurse under physician supervision, or person who is authorized to prescribe and dispense drugs pursuant to G.S. 90-18.1 or 90-18.2 shall comply with all rules governing the dispensing of medications including patient counseling as defined in 21 NCAC 46 .2504.

History

• Authority G.S. 90-18.1; 90-18.2; 90-85.6; 90-85.21; 90-85.32; 90-85.33
• Eff. May 1, 1997
• Amended Eff. March 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. November 1, 2024.

21 NCAC 46 .1416 Repackaging

(a) Drugs which are prepackaged from within a health care facility pharmacy for subsequent dispensing or administration shall be labeled to include:

(1) the generic or trade name, strength, and quantity of drug;

(2) identification of the manufacturer, and lot or control number;

(3) the expiration date of the drug being repackaged; and

(4) cautionary notations, if applicable.

(b) A batch number assigned by the pharmacy may be placed on the label in lieu of the manufacturer's name and lot number, provided that the pharmacy maintains a readily retrievable record which identifies, by batch number, the manufacturer, manufacturer's expiration date, and lot number of the drug.

(c) The pharmacy shall have and use facilities, personnel, operational practices, packaging material, and control procedures to assure that the purity, integrity, safety, and effectiveness of the drugs are not affected by such repackaging. All repackaging must be performed by or under the supervision of a pharmacist.

History

• Authority G.S. 90-85.6; 90-85.21; 90-85.32; 90-85.33
• Eff. May 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1417 Remote Medication Order Processing Services

History

• Status: repealed
• Authority G.S. 90-85.6; 90-85.21; 90-85.21A; 90-85.26; 90-85.32; 90-85.34
• Eff. February 1, 2006
• Amended Eff. December 1, 2015; March 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Repealed Eff. March 1, 2022.

21 NCAC 46 .1418 Health Care Facility Pharmacy Technicians

(a) For the purposes of this Rule, a "Validating Technician" shall be a pharmacy technician who:

(1) is registered with the Board and trained as specified in G.S. 90-85.15A;

(2) is a certified technician;

(3) is employed by a Health Care Facility pharmacy; and

(4) either:

(A) holds an associate's degree in pharmacy technology conferred by one of the following: (i) an institution within the North Carolina Community College System or University System; (ii) an institution accredited by one of the regional accrediting agencies recognized by the United States Department of Education; or (iii) a program accredited by the American Society of Health System Pharmacists; or

(B) holds a current Advanced Certified Pharmacy Technician (CPhT-Adv) credential from the Pharmacy Technician Certification Board (PTCB), and also holds a current Technician Product Verification Certificate either as part of or in addition to the CPhT-Adv credential. The Subparagraphs in this Rule may require other specific certifications for functions described in those Subparagraphs.

(b) A Health Care Facility may utilize Validating Technicians to validate the following functions for a Health Care Facility pharmacy:

(1) stocking of patient care unit medication inventories;

(2) stocking of ancillary drug cabinet inventories;

(3) stocking of automated dispensing or drug supply devices;

(4) stocking of emergency kits;

(5) prepackaging of prescription drugs within the Health Care Facility pharmacy;

(6) selection of the correct dose by an automated medication system that has been stocked and restocked in compliance with 21 NCAC 46 .3404, only in the following circumstances:

(A) If a pharmacist has performed a Drug Regimen Review to ensure that dispensing the order is safe and effective for the patient, and that the requirements of 21 NCAC 46. 1414 have been met; and

(B) If the order has not changed following the Drug Regimen Review and review for compliance with 21 NCAC 46 .1414;

(7) preparation of a product by an automated compounding device, only in the following circumstances:

(A) If the technician qualifies as a Validating Technician by virtue of holding the certifications set out in Part (a)(4)(B) of this Rule, in addition to those qualifications, the Validating Technician must hold a current Certified Compounded Sterile Preparation Technician credential from the PTCB. If the technician qualifies as a Validating Technician by virtue of the educational requirements set out in Part (a)(4)(A) of this Rule, the technician is not required to hold this credential;

(B) A Health Care Facility pharmacist must prepare the automated compounding device to compound the appropriate compounded product; and

(C) The automated compounding device must automatically measure and compound the components for the compounded product, and must keep and maintain records of all steps in the compounding process; or

(8) validating the preparation and repackaging by other registered pharmacy technicians of non-sterile low-risk products that are compounded in multi-patient volume and whose composition does not vary by patient. If the technician qualifies as a Validating Technician by virtue of holding the certifications set out in Part (a)(4)(B) of this Rule, in addition to those qualifications, the Validating Technician must hold a current Nonsterile Compounding Certificate from the PTCB, either as part of or in addition to the CPhT-Adv credential. If the technician qualifies as a Validating Technician by virtue of the educational requirements set out in Part (a)(4)(A) of this Rule, the technician is not required to hold this credential.

(c) If the Health Care Facility elects to utilize Validating Technicians for functions described in this Rule, the pharmacist-manager shall develop written policies and procedures that:

(1) establish the parameters for pharmacist supervision of pharmacy technician validation functions;

(2) establish facility-specific training for pharmacy technician validation functions;

(3) establish an ongoing evaluation and assessment program to ensure that pharmacy technician validation functions are performed safely and accurately; and

(4) establish a recordkeeping system that shall permit the identification of the Validating Technician who performs activities authorized by this Rule. Readily retrievable records generated by this system shall be maintained for the period of time specified in 21 NCAC 46 .1414(j)(1) and (2).

(d) A Health Care Facility's pharmacist-manager is responsible for the oversight of all validation functions, and that responsibility may not be delegated pursuant to 21 NCAC 46 .1411. This Rule does not permit a pharmacy technician to perform any act requiring the exercise of professional judgment by a pharmacist.

(e) Pursuant to G.S. 90-85.15A(c), the Board approves a pharmacist's supervision of more than two pharmacy technicians where the additional technicians are Validating Technicians. This Rule does not relieve the pharmacist-manager of the obligation to request and receive written Board approval for a pharmacist's supervision of more than two pharmacy technicians where the additional technicians are certified pharmacy technicians but are not Validating Technicians.

History

• Authority G.S. 90-85.6; 90-85.15A; 90-85.21; 90-85.26; 90-85.32; 90-85.33; 90-85.34
• Eff. June 18, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. May 1, 2026.

21 NCAC 46 .1419 Automated Dispensing or Drug Supply Devices

(a) Automated dispensing or drug supply devices may be used in health care facility pharmacies and where a pharmacy permit exists for a patient profile dispensing system, provided the utilization of the devices is under the supervision of a pharmacist. The pharmacist-manager shall develop and implement procedures to assure safe and effective use of medications and shall assure that:

(1) only authorized personnel, as indicated by written policies and procedures, may obtain access to the drug inventories;

(2) a system of accountability exists for all drugs contained therein and the purity, potency, and integrity of the drugs is preserved;

(3) requirements for controlled substances security are met; and

(4) prior to the drug being released for access by the nurse, the pharmacist enters the medication order into a computerized pharmacy profile that is interfaced to the automated dispensing unit, so that drug allergy screening, therapeutic duplication, and appropriate dose verification is done prior to the drug being administered.

(b) Notwithstanding the provisions of 21 NCAC 46 .2501, a pharmacist is required to supervise only the following activities pursuant to this Rule:

(1) The packaging and labeling of drugs to be placed in the dispensing devices. Such packaging and labeling shall conform to all requirements pertaining to containers and label contents;

(2) The placing of previously packaged and labeled drug units into the dispensing device; and

(3) The restocking of automated dispensing devices.

(c) Only persons authorized by the pharmacist-manager may remove drugs from the dispensing devices and only in the quantity of doses needed to satisfy immediate patient needs. Should a violation of the foregoing occur, the pharmacist-manager shall conduct an investigation and report any violations to the entity having jurisdiction over these issues.

(d) Bar code scanning of drug packaging and storage units may be utilized as a quality control mechanism if this technology is available in the automated dispensing system.

(e) An automated dispensing or drug supply device that is used solely as an Auxiliary Medication Inventory as defined in 21 NCAC 46 .1414(d) shall be governed by the requirements of that Rule.

History

• Authority G.S. 90-85.6; 90-85.32; 90-85.33
• Eff. April 1, 1999
• Amended Eff. March 1, 2013; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Recodified from 21 NCAC 46 .1814 Eff. May 1, 2021.

21 NCAC 46 .1420 Standardized Orders

(a) This Rule applies if a Health Care Facility has developed a set of standardized orders for its patients. As used in this Rule, standardized orders are pre-established written protocols that allow authorized practitioners at the Health Care Facility to administer medications to a patient who meets defined criteria.

(b) A pharmacist-manager of a Health Care Facility Pharmacy may establish which of those standardized orders are safe and effective for all patients presenting a set of predetermined criteria established by the pharmacist-manager. Those orders must be safe and effective for all patients presenting those criteria, regardless of any drugs, supplements, or other substances that might have been consumed by any patient. Any standardized orders so designated by the pharmacist-manager may be dispensed by the pharmacy to a Health Care Facility patient without any patient-specific drug regimen review being performed by the pharmacist.

(c) The pharmacist-manager must maintain policies and procedures sufficient to identify the standardized orders and the criteria for issuing those standardized orders, as well as the process by which those orders are to be dispensed. The pharmacist-manager must also keep records of all dispensing pursuant to this Rule, including the authorized practitioner's determination that the standardized order was appropriate and documentation that any criteria have been met.

(d) This Rule does not apply to outpatient pharmacies or to drugs dispensed pursuant to 21 NCAC 46 .1415.

History

• Authority G.S. 90-18.1; 90-18.2; 90-85.6; 90-85.21; 90-85.26; 90-85.33; 90-85.34
• Eff. September 1, 2026.

21 NCAC 46 .1501 Application

(a) All applications for examination shall be made on forms provided by the Board, filed with the Board 45 days prior to the date of the examination, and accompanied by the required fee.

(b) All applicants shall submit to the Board a signed release form, completed Fingerprint Record Card, and such other form(s) required to perform a criminal history check at the time of application.

History

• Authority G.S. 90-85.6; 90-85.15; 90-85.24
• Legislative Objection Lodged Eff. March 29, 1983
• Eff. April 1, 1983
• Curative Eff. April 1, 1983
• Amended Eff. July 1, 2005; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1502 Age

Proof of age must be shown by birth certificate, biblical records, or other acceptable proof.

History

• Authority G.S. 90-85.15; 93B-9
• Eff. April 1, 1983
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1503 Experience in Pharmacy and Pharmacy Internship

(a) An applicant for license must show that the applicant has received 1500 hours of practical experience under the supervision of a licensed pharmacist which has been acquired while enrolled in a school of pharmacy accredited by the Accreditation Council for Pharmacy Education.

(b) All practical pharmacy experience gained within the State of North Carolina must be acquired as follows:

(1) All practical pharmacy experience must be validated through registration in the internship program administered by the Board. A person does not receive credit for any practical experience unless and until that person is registered with the Board as a pharmacy intern.

(2) Practical experience shall be credited only when it has been obtained in a location holding a pharmacy permit, or a location approved by the Board for practical experience, and only after the pharmacy intern notifies the Board of the location of the practical experience. If the pharmacy intern's location of employment changes, the pharmacy intern must notify the Board of the change before commencing an internship at the new location.

(3) The person acquiring practical experience shall at all times comply with the Board's rules and the laws governing the practice of pharmacy and the distribution of drugs. Failure of the pharmacist intern to do so is grounds to disqualify the experience from counting toward the minimum requirements.

(4) The Board shall accept hours of experience certified by the school from which the applicant has graduated, provided that the applicant has satisfied Subparagraphs (1)-(3) of this Paragraph. The Board shall not allow credit for claims of practical experience required under the pharmacy laws, unless such claims can be corroborated by records on file in the Board's office showing the beginning and the ending of the practical experience claimed as supplied by the applicant during this training period.

(c) A person is eligible to register or renew and be employed as a pharmacy intern only if, and so long as, the person is:

(1) Currently enrolled in a pharmacy school accredited by the Accreditation Council for Pharmacy Education. In order to qualify as "enrolled" in a pharmacy school, the student must be attending pharmacy school at the time, or on a break between academic terms;

(2) A graduate of a foreign school of pharmacy who has successfully completed the Foreign Pharmacy Graduate Equivalency Examination offered by the National Association of Boards of Pharmacy and the Test of English as a Foreign Language and who is acquiring the practical experience required for licensure;

(3) A pharmacist licensed in another state who is gaining practical experience required for a license by reciprocity under Rule .1602 of this Chapter;

(4) A pharmacist with an inactive North Carolina license who is gaining practical experience required for reinstatement of a license under Rule .1612 of this Chapter;

(5) A graduate of a school of pharmacy who has not been licensed in any State, who has not been denied a license in any State, who has an active application for licensure to practice pharmacy in North Carolina and who has met all requirements for licensure other than taking and passing the North American Pharmacist Licensure Examination and the Multistate Pharmacy Jurisprudence Examination, and who is gaining practical experience to prepare for the examination in order to achieve licensure.

(d) In order to register or renew as a pharmacy intern, an applicant must submit proof of eligibility under Paragraph (c) of this Rule. The applicant further must provide releases for the Board to verify the applicant's eligibility, including confirming enrollment in or graduation from pharmacy school.

(e) Pharmacy intern registrations are valid until the September 1 immediately following registration. If the person remains eligible for registration as a pharmacy intern, the registration shall be renewed between August 1 and September 1 of the year in which the registration expires. If the registration expires for a pharmacy intern, that person is not eligible to work as a pharmacy intern in the State of North Carolina unless and until the registration is reinstated after a new application.

(f) If a pharmacy intern ceases to be eligible to be registered and employed as a pharmacy intern under Paragraph (c) of this Rule, that person must immediately cease working as a pharmacy intern and must notify the Board within five calendar days of a change in status and request that the person's registration be made inactive.

(g) The Board may accept practical experience gained in another state pursuant to internship registration in this or another state if the Board is satisfied that such experience is equivalent.

(h) A registered pharmacy intern working under a pharmacist preceptor or supervising pharmacist may, while under supervision of that pharmacist, perform all acts constituting the practice of pharmacy. Because the pharmacy intern may perform all acts constituting the practice of pharmacy under supervision under this provision, doing so without being registered with the Board is the unlicensed practice of pharmacy.

(i) A supervising pharmacist, pharmacist preceptor, or pharmacist-manager who causes or permits a pharmacy intern to violate any laws, rules, or regulations applicable to the practice of pharmacy or the distribution of drugs forfeits his or her right to supervise pharmacy interns and is subject to additional disciplinary action. A supervising pharmacist, pharmacist preceptor, or pharmacist-manager who violates any laws, rules, or regulations applicable to the supervision of pharmacy interns forfeits his or her right to supervise pharmacy interns and is subject to additional disciplinary action. This includes, but is not limited to, making false representations or withholding material information about the pharmacy intern's practical experience or employing a pharmacy intern who is not registered with the Board. A pharmacist who has been found in violation of laws, rules, or regulations governing the practice of pharmacy and the distribution of drugs cannot serve as a supervising pharmacist or pharmacist preceptor without the approval by the Board.

(j) The Board may consider any of the acts set forth in G.S. 90-85.38(a) that are committed by a pharmacy intern in considering whether to grant that person a license to practice pharmacy or what conditions are appropriate to ensure that the person can practice pharmacy safely.

(k) The practical experience hours gained prior to the effective date of any amendment to this Rule are governed by the requirements of this Rule in effect at the time the hours were obtained.

History

• Authority G.S. 90-85.6; 90-85.14; 90-85.15; 90-85.38
• Eff. April 1, 1983
• Amended Eff. March 1, 2004; September 1, 1993; April 1, 1992; October 1, 1990; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. May 1, 2022.

21 NCAC 46 .1504 Education

All applicants shall furnish on forms provided by the Board satisfactory evidence that they have received an undergraduate professional degree from an approved school.

History

• Authority G.S. 90-85.15
• Legislative Objection Lodged Eff. March 29, 1983
• Eff. April 1, 1983
• Curative Eff. April 1, 1983
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1505 Examination

(a) The applicant shall pass the following examinations:

(1) the North American Pharmacist Licensure Examination ("NAPLEX"); and

(2) the North Carolina version of the Multistate Pharmacy Jurisprudence Examination ("MPJE").

(b) In order to pass either the NAPLEX or the MPJE, the applicant shall achieve the passing score set by the National Association of Boards of Pharmacy (or any organization designated by the National Association of Boards of Pharmacy to administer the NAPLEX or the MPJE).

(c) An applicant who achieves a passing score on one examination must achieve a passing score on the remaining examination within a two calendar year period starting from the date of the first passing score. Failure to achieve passing scores on both examinations in this two calendar year period shall result in the applicant's application for licensure being denied. The applicant may, subject to the testing attempt limitations of Paragraph (d) of this Rule, reapply for licensure and restart the examination process.

(d) The applicant shall be afforded a total of five attempts to achieve a passing score on each examination. Failure to achieve a passing score on each examination within five attempts shall result in the applicant being ineligible for licensure.

History

• Authority G.S. 90-85.15; 90-85.16
• Eff. April 1, 1983
• Amended Eff. May 1, 2017; April 1, 2004; April 1, 2003; July 1, 1996; December 31, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1506 Rules of Examination Conduct

History

• Status: expired
• Authority G.S. 90-85.6; 90-85.15; 90-85.16
• Eff. April 1, 1983
• Amended Eff. May 1, 1989
• Expired Eff. November 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 46 .1507 Partial Examination

History

• Status: repealed
• Authority G.S. 90-85.6; 90-85.15; 90.85.16
• Eff. April 1, 1983
• Amended Eff. May 1, 1989
• Repealed Eff. January 1, 2009.

21 NCAC 46 .1508 Prerequisites for Disease State Management Examination

History

• Status: repealed
• Authority G.S. 90-85.6; 90-85.34
• Eff. August 1, 2000
• Repealed Eff. July 1, 2005.

21 NCAC 46 .1601 Pharmacy Permits

(a) Applications for pharmacy permits, whether original or renewal, shall be made upon forms provided by the Board. The Board shall not issue any original or annual renewal pharmacy permit until the Board is satisfied that:

(1) The pharmacist-manager is sure that at all times adequate qualified personnel have been secured by the management of the store to properly render pharmaceutical service in the manner prescribed by law.

(2) The pharmacy posts in a location conspicuous to the public the specific hours that a pharmacist is on duty in the pharmacy. This requirement does not apply to hospitals, nursing homes, and similar institutions subject to the provisions of Section .1400 of this Chapter.

(3) The pharmacist-manager shall be responsible for obtaining and maintaining equipment in the pharmacy adequate to meet the pharmaceutical care needs of the pharmacy's patients.

(4) The pharmacist-manager shall be responsible for obtaining and maintaining a reference library in the pharmacy. The library shall include current references, either hard copy or electronically accessible, covering:

(A) State and federal statutes and rules relating to the practice of pharmacy and the legal distribution of drugs;

(B) Drug interactions, adverse effects, therapeutic use, dosing and toxicology;

(C) Patient-oriented reference materials for counseling in proper drug usage as specified in 21 NCAC 46 .2504;

(D) Equivalent drug products as defined in G.S. 90-85.27; and

(E) Any reference materials otherwise required by state or federal law, including any otherwise required in these Rules.

(5) The pharmacy is equipped with sanitary appliances including lavatory facilities with hot and cold running water; is well lighted; and is kept in a clean, orderly, and sanitary condition.

(6) All prescription medications are labeled in accordance with G.S. 106-134 and 106-134.1.

(b) In addition to the requirements for issuance and renewal of a pharmacy permit imposed by statute and rules of the Board, a permit shall not be issued or renewed to any person to operate a pharmacy wherein the prescriptions of medical practitioners are compounded or dispensed and distributed when such distribution is effected by mail and the practitioner-pharmacist-patient relationship does not exist, until the Board is satisfied that:

(1) The pharmacy maintains records of prescriptions compounded or dispensed and distributed in manner that is readily retrievable;

(2) During the pharmacy's regular hours of operation but not less than six days per week, for a minimum of forty hours per week, a toll-free telephone service is provided to facilitate communication between patients and a pharmacist at the pharmacy who has access to the patient's records. This toll-free number must be disclosed on the label affixed to each container of dispensed drugs;

(3) The pharmacy complies with all lawful orders, directions, and requests for information from the Boards of pharmacy of all states in which it is licensed and all states into which it distributes prescription drugs;

(4) The pharmacy complies with all United States Pharmacopeia and Food and Drug Administration requirements regarding the storage, packaging, and shipping of prescription medications. The pharmacist-manager and all other pharmacists employed in the pharmacies permitted pursuant to this Paragraph shall be subject to all Federal and State statutes and regulations concerning the dispensing of prescription medications including 21 NCAC 46 .1801 and .1805 and 21 CFR 1306.01, 1306.05, and 1306.21.

(c) The Board shall not issue an original or renewal permit to any person to operate a drugstore or pharmacy as a department in or a part of any other business serving the general public (except hospitals, nursing homes, and similar institutions subject to the provisions of Section .1400 of this Chapter) unless such pharmacy facility:

(1) is physically separated from such other business;

(2) is separately identified to the public both as to name and any advertising;

(3) completes all transactions relative to such pharmacy within the registered facility; and

(4) meets the same requirements for registration as all other pharmacies.

(d) In addition to all of the other requirements for issuance and renewal of a pharmacy permit imposed by statute and rules of the Board, the Board shall not issue any original or annual renewal pharmacy permit to any Internet pharmacy until the Board is satisfied that:

(1) The Internet pharmacy is certified by the National Association of Boards of Pharmacy under its Digital Pharmacy Accreditation program;

(2) The Internet pharmacy has certified the percentage of its annual business conducted via the Internet on a form provided by the Board, when it applies for permit or renewal; and

(3) The Internet pharmacy has provided the Board with the names, addresses, social security numbers, phone numbers, facsimile numbers, email addresses, and titles of all principal corporate officers of the Internet pharmacy; the names, addresses, social security numbers, phone numbers, facsimile numbers, email addresses, and titles of all principal officers of any company, partnership, association, or other business entity holding any ownership interest in the Internet pharmacy; the names, addresses, social security numbers, phone numbers, facsimile numbers, email addresses, and titles of any individual holding any ownership interest in the Internet pharmacy.

This Paragraph does not relieve an out-of-state pharmacy from compliance with all provisions of 21 NCAC 46 .1607 governing out-of-state pharmacies.

(e) Permits to operate pharmacies, whether original or renewal, shall be issued to the pharmacist-manager of such pharmacy pursuant to a joint application of the owner and pharmacist-manager for the conduct and management of said pharmacy. The issuance of said permit shall not be complete and the permit shall not be valid until it has been countersigned by the pharmacist-manager as represented in the application. The permit so issued is valid only so long as the pharmacist-manager to whom it was issued assumes the duties and responsibilities of pharmacist-manager. Permits may be reissued at any time to a successor pharmacist-manager pursuant to the proper amendment of the application for the permit.

(f) Upon application, the Board may issue and renew separate permits for pharmacies operating at one location. Records for each permitted pharmacy must be maintained separately. Prior to issuance of an original permit, each pharmacy shall submit a plan to the Board that shall assure accountability for the actions of each pharmacy at the location.

History

• Authority G.S. 90-85.6; 90-85.21; 132-1.10
• Eff. April 1, 1983
• Amended Eff. November 1, 2012; April 1, 2007; April 1, 2003; April 1, 1999; October 29, 1998; July 1, 1996; September 1, 1995; May 1, 1989; August 1, 1988; March 1, 1984
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. May 1, 2020.

21 NCAC 46 .1602 License by Reciprocity

(a) An applicant for licensure without examination, must have:

(1) Originally been licensed as a pharmacist by an examination equivalent to the North Carolina examination specified in Rule .1505(a)(1) of this Chapter;

(2) Achieved scores on an equivalent examination, such as the NABPLEX examination, which would qualify for licensure in this state at the time of examination; and

(3) Been licensed by a state which deems licensees from this state to be equivalent to the extent that they are suitable for licensure in that state without further substantial examination.

(b) All applicants shall submit to the Board a signed release form, completed Fingerprint Record Card, and such other form(s) required to perform a criminal history check at the time of application.

(c) The Board shall require an applicant for licensure without examination who has not practiced pharmacy within two years prior to application to obtain additional continuing education, practical pharmacy experience, successfully complete one or more parts of the Board's licensure examination, or a combination of the foregoing, as the Board deems necessary to ensure that the applicant can safely and properly practice pharmacy.

(d) The Board shall also restrict licenses granted pursuant to this Rule for such period of time as the Board deems necessary to ensure that the applicant can safely and properly practice pharmacy.

History

• Authority G.S. 90-85.6; 90-85.20
• Eff. April 1, 1983
• Amended Eff. February 1, 2006; July 1, 2005; March 1, 2004; April 1, 2003, July 1, 1996; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1603 When New Permit Required

A new pharmacy, device, or medical equipment permit is required for a new location, a change to a different or successor business entity, or a change resulting in a different person or entity owning more than 50 percent interest in the permit holder or any entity in the chain of ownership above the permit holder, except as provided in 21 NCAC 46 .1604 of this Section. A new permit is required if there is a change in the authority to control or designate a majority of the members or board of directors of a nonprofit corporation holding a pharmacy permit or any nonprofit corporation in the chain of ownership above the permit holder.

History

• Authority G.S. 90-85.6; 90-85.21; 90-85.22
• Eff. May 1, 1989
• Amended Eff. March 1, 2004; April 1, 2001; August 1, 1998; April 1, 1997; September 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1604 When New Permit Not Required

(a) A new pharmacy, device or medical equipment permit is not required in the following situations:

(1) the permit holder is a publicly-traded corporation and continues to hold the permit; or

(2) the permit holder is a corporation which is a wholly-owned subsidiary, and any change in the ownership of any corporation in the chain of ownership above the permit holder is due to the stock of such corporation being publicly-traded.

(b) A permit which has been served with a notice of hearing for a pending disciplinary proceeding before the Board may not be surrendered.

History

• Authority G.S. 90-85.6; 90-85.21; 90-85.22
• Eff. May 1, 1989
• Amended Eff. June 1, 2004; April 1, 2001; August 1, 1998; May 1, 1997; September 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1605 Charge for Verification for Reinstatement

History

• Status: expired
• Authority G.S. 90-85.6; 90-85.17; 90-85.21; 90-85.22; 150B-19(5)(e)
• Eff. September 1, 1993
• Amended Eff. February 1. 2006; September 1, 1995
• Expired Eff. November 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 46 .1606 North Carolina-Specific Education for Permit Applicants

Prior to issuance of any original pharmacy permit or device and medical equipment permit, the pharmacist-manager for the applicant pharmacy or the person in charge of the facility applying for the device and medical equipment permit shall complete an educational module on the North Carolina Pharmacy Practice Act and the Board's regulations that govern the operation of permits. That educational module is available in the on-line permit application section of the Board's Licensure Gateway. The pharmacist-manager or person in charge must personally complete the educational module and may not delegate this responsibility to any other person.

History

• Authority G.S. 90-85.6; 90-85.21; 90-85.21A; 90-85.22
• Eff. April 1, 1994
• Amended Eff. April 1, 2003; April 1, 1999; September 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. May 1, 2022.

21 NCAC 46 .1607 Out-of-State Pharmacies

(a) In order to protect the public health and safety and implement G.S. 90-85.21A, the following provisions apply to out-of-state pharmacies that ship, mail, or deliver in any manner a dispensed legend drug, device, or medical equipment into this State.

(b) An out-of-state pharmacy may not ship, mail, or deliver in any manner even a single dispensed legend drug, device, or piece of medical equipment into this State until it receives a permit from the Board. All unpermitted dispensing must be disclosed on any permit application, and any permit applicant must update any application within 24 hours of any dispensing into this State that occurs while a permit application is pending. The Board may deny a permit based on that dispensing or on a failure to disclose it.

(c) In addition to the requirements contained in G.S. 85-21A, these pharmacies shall:

(1) supply all information requested by the Board in carrying out the Board's responsibilities under the statutes and rules pertaining to out-of-state pharmacies;

(2) during the pharmacy's regular hours of operation but not less than six days per week, for a minimum of 40 hours per week, provide a toll-free telephone service to facilitate communication between patients and pharmacists at the pharmacy who have access to the patient's records. This toll-free number must be disclosed on the label for each dispensed drug, device, or piece of medical equipment;

(3) comply with all USP and FDA requirements regarding the storage, packaging, and shipping of drugs, devices, and medical equipment;

(4) develop policies governing:

(A) normal delivery protocols and times;

(B) the procedure to be followed if the patient's drug, device, or medical equipment is not available at the out-of-state pharmacy, or if delivery will be delayed beyond the normal delivery time;

(C) the procedure to be followed upon receipt of a prescription for a condition that requires treatment before the drug, device, or medical equipment would be delivered in the normal delivery time, which shall include a procedure for delivery of the drug, device, or medical equipment to the patient from the out-of-state pharmacy at the earliest possible time (such as courier delivery), or an alternative that assures the patient the opportunity to obtain the drug, device, or medical equipment at the earliest possible time; and

(D) the procedure to be followed when the out-of-state pharmacy is advised that the patient's drug, device, or medical equipment has not been received within the normal delivery time and that the patient is out of the drug, device, or medical equipment and requires interim dosage until the pharmacy can provide the drug, device, or medical equipment;

(5) disclose the location, names, and titles, of all officers and direct and indirect owners of the pharmacy. Disclose the names and license numbers of all pharmacists dispensing drugs, devices, or medical equipment to an ultimate user in this State, the names and, if available, license or registration numbers of all pharmacy personnel employed by the out-of-state pharmacy who assist pharmacists in dispensing. The pharmacist-manager for the out-of-state permit issued by this Board must be the same person as the pharmacist-manager (whether called a pharmacist-manager, a person-in-charge or otherwise) of the pharmacy on the permit issued by the pharmacy's home state. A report containing this information shall be made on an annual basis and within 30 days of each change of any pharmacist-manager, officer, or owner (whether direct or indirect) of the pharmacy. A new permit shall be required under the circumstances set out in Rule .1603 of this Section, and a new permit must be secured before any legend drugs, devices, or medical equipment may be dispensed into the State of North Carolina following any of the enumerated changes in circumstances. The existing permit becomes void upon one of the events in Rule .1603, and any dispensing into the State of North Carolina following one of those events is unlawful and grounds for denial of a new permit;

(6) submit evidence of possession of a valid license, permit, or registration as a pharmacy in compliance with the laws of the state in which the pharmacy is located;

(7) designate a registered office and registered agent in North Carolina for service of process pursuant to Article 4 of Chapter 55D of the North Carolina General Statutes. The Board may serve or deliver any notice or other document provided for under the Pharmacy Practice Act or these Rules on that registered agent. The Board may further serve or deliver any notice or other document provided for under the Pharmacy Practice Act or these Rules on the Secretary of State when the Secretary of State becomes an agent of the entity pursuant to Article 4 of Chapter 55D of the North Carolina General Statutes; and

(8) notify the Board within five days of receipt of any order or decision by a Board of Pharmacy or other state or federal agency imposing discipline of any sort on the pharmacy, or receipt of any warning letter from the Food and Drug Administration.

(d) The facilities and records of an out-of-state pharmacy shall be subject to inspection by the Board. The Board also may require submission of inspection reports by the licensing entity of the state in which the pharmacy is located or records transmitted by the pharmacy to the Board offices.

(e) Any person who ships, mails, or delivers prescription drugs to North Carolina residents from more than one out-of-state pharmacy location shall register each pharmacy separately.

(f) An out-of-state permit holder may be disciplined as set forth in the Pharmacy Practice Act. The suspension or revocation of the pharmacy's home state permit will result in the immediate suspension or revocation of the out-of-state permit issued by this Board.

(g) An out-of-state pharmacy permit shall expire on December 31 of each year.

(h) The fees provided for in G.S. 90-85.21A as maximum fees which the Board is entitled to charge and collect are hereby established as the fees for each original permit and for annual renewal of each permit.

History

• Authority G.S. 90-85.6; 90-85.15A; 90-85.21A; 90-85.22; 90-85.26; 90-85.30; 90-85.32
• Eff. July 1, 1994
• Amended Eff. March 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. May 1, 2022.

21 NCAC 46 .1608 Device and Medical Equipment Permits

(a) Applications for device and medical equipment permits, whether original or renewal, shall be made upon forms provided by the Board. The Board shall not issue any original or annual renewal device and medical equipment permit until the Board is satisfied that:

(1) Adequate qualified personnel have been secured by the management of the facility to properly render device and medical equipment services in the manner prescribed by law.

(2) Such personnel shall be maintained during the period for which the permit is issued.

(3) If the applicant dispenses medical oxygen to a patient, then the applicant must reasonably ensure that the following medical equipment is maintained:

(A) Sufficient backup of oxygen in that patient's home and supplies for equipment serviced to maintain continuation of therapy for 24 hours; and

(B) An oxygen analyzer in the permitted facility, if concentrators are dispensed.

(4) Suitable facilities shall be maintained to house inventory, to allow for fabrication work space, and to record and file prescription orders as required by law.

(5) A copy of the pharmacy laws of North Carolina, including the North Carolina Pharmacy Practice Act and the rules of the Board shall be present in the facility at all times.

(6) The facility is equipped with a functioning lavatory where hot and cold running water or hand washing appliances or waterless hand cleaner are available.

(7) The facility is kept in a clean, orderly, and sanitary condition.

(8) The applicants' services are accessible to its customer base.

(9) All prescription medications are labeled in accordance with G.S. 106-134 and 106-134.1.

(10) The applicant complies with all USP and FDA requirements regarding the storage, packaging, and shipping of prescription medications, including medical oxygen.

(11) The applicant's services are available 24 hours, seven days per week when essential to the maintenance of life or when the lack of such services might reasonably cause harm.

(12) The applicant implements and maintains a written procedure at each location for handling complaints and problems, which includes a complaint file documenting complaints and problems and resolution of the complaints or problems.

(13) The applicant complies with local/state fire and building laws.

(14) The applicant complies with current Occupational Safety and Health Administration (OSHA) laws and requirements as enforced by the NC Department of Labor/Division of OSHA, including the approach to infection control known as "Universal Precautions."

(b) Device and medical equipment permits, whether original or renewal, shall be issued to the person in charge of the facility pursuant to a joint application of the owner and person in charge. The issuance of said permit shall not be complete and the permit shall not be valid until it has been countersigned by the person in charge as represented in the application. The permit so issued is valid only so long as the person in charge to whom it was issued assumes his duties and responsibilities. Permits may be reissued at any time to a successor person in charge pursuant to the proper amendment of the application for the permit. The hours of operation shall be posted conspicuously at the facility for public viewing. The person in charge or the designee of the person in charge shall be present at the facility during the hours of operation of the facility. The person in charge shall notify the Board in writing of a change in the facility address within 30 days from the date of the change.

(c) When a device and medical equipment dispensing facility is to be closed permanently, the person in charge shall inform the Board of the closing and arrange for the proper disposition of devices and medical equipment and return the permit to the Board's offices within 10 days of the closing date. The person in charge, jointly with the owner (if the owner is someone other than the person in charge), shall provide for the orderly transfer of records to another permit holder for maintenance of patient therapy and inform the public of such transfer by posted notice or otherwise.

(d) Charitable organizations providing devices and medical equipment at no charge must register with the Board. The Board shall waive the fee for a permit upon a showing that the organization meets the Internal Revenue Service charitable purpose requirements for exemption from taxation and that at least 75 percent of the organization's funds are used for a charitable purpose. Loaner closets providing device and medical equipment at no charge, excluding oxygen or other life support devices, must register with the Board but are exempt from the fee for device and medical equipment permits.

History

• Authority G.S. 90-85.6; 90-85.22
• Eff. September 1, 1995
• Amended Eff. April 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1609 Permit Renewal

Permits issued by the Board expire on December 31 and become invalid 60 days following expiration.

History

• Authority G.S. 90-85.6; 90-85.21
• Eff. September 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1610 Reinstatement of Forfeited Licensing Privileges

An individual whose licensing privileges have been forfeited pursuant to G.S. 15A-1331, shall immediately surrender to the Board office his or her permit or license, current renewal certificate, and wallet card. In order to have the licensing privileges reinstated, the individual must appear before the Board and submit evidence that it would be in the public interest to reinstate the licensing privileges and that he or she can safely and properly practice pharmacy.

History

• Authority G.S. 15A-1331.1; 90-85.19
• Eff. September 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1611 Fee for Submittal of Dishonored and Returned Check

History

• Status: expired
• Authority G.S. 25-3-506
• Eff. September 1, 1995
• Amended Eff. February 1, 2006
• Expired Eff. November 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 46 .1612 Reinstatement of Licenses and Permits

(a) All licenses and registrations issued to individuals that are not renewed by March 1 of the succeeding year, lapse and are subject to the maximum reinstatement and renewal fees set out in G.S. 90-85.24 in order to be reinstated. All permits and registrations issued to locations that are reinstated after March 1 and prior to April 1 of the succeeding year are subject to the maximum reinstatement and renewal fees set out in G.S. 90-85.21A and 90-85.24. After March 31, permits and registrations issued to locations shall submit new applications and are subject to the maximum original registration fees. This Rule also applies to licenses, registrations, and permits reinstated following voluntary surrender or disciplinary action by the Board.

(b) All applicants shall submit to the Board a signed release form, completed Fingerprint Record Card, and such other form(s) required to perform a criminal history check at the time of application.

(c) The Board shall require applicants for reinstatement of a lapsed license who have not practiced pharmacy within two years prior to application for reinstatement to obtain continuing education in addition to that required by Rule .2201 of this Chapter, practical pharmacy experience, successfully complete one or more parts of the Board's licensure examination, or a combination of the foregoing, as the Board deems necessary to ensure that the applicant can safely and properly practice pharmacy.

(d) The Board shall also restrict licenses reinstated pursuant to G.S. 90-85.19 for such period of time as the Board deems necessary to ensure that the applicant can safely and properly practice pharmacy.

History

• Authority G.S. 90-85.19; 90-85.24
• Eff. April 1, 1999
• Amended Eff. March 1, 2006; July 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1613 Extension Period for Certain Members of the Armed Forces

(a) Definitions:

(1) "Eligible licensee" means a pharmacist who holds a license in good standing from the Board of Pharmacy, who serves the armed forces of the United States, and who is eligible for an extension of time in which to file a tax return pursuant to G.S. 105-249.2. "Eligible licensee" includes a pharmacist who holds a Clinical Pharmacist Practitioner credential or who is an immunizing pharmacist.

(2) "Eligible registrant" means a pharmacy intern, pharmacy technician, dispensing physician, dispensing optometrist, dispensing nurse practitioner or dispensing physician assistant who holds a registration in good standing from the Board of Pharmacy, who serves the armed forces of the United States, and who is eligible for an extension of time in which to file a tax return pursuant to G.S. 105-249.2.

(3) "Extension period" means the time period specified in 26 U.S.C. 7508.

(4) "Good standing" means a license or registration that is not suspended, revoked, or subject to a current disciplinary order.

(b) Extension of time to pay license or registration renewal fees and waiver of continuing education requirements:

(1) An eligible licensee or registrant shall notify the Board of eligibility for the extension period before his or her current license or registration expires. Upon such notification, the Board shall maintain the license or registration in active status through the extension period.

(2) If an eligible licensee or registrant fails to notify the Board of eligibility for the extension period before his or her current license or registration expires, upon receipt and acceptance of a renewal application within the extension period and presentation of proof that the licensee or registrant was an eligible licensee or registrant on the date that is the deadline for renewal, the expired license or registration shall be deemed retroactively to have not expired.

(3) Notwithstanding 21 NCAC 46 .1612(a) and .3301(a), an eligible licensee or registrant who submits a renewal application and pays the renewal fee required by the Board within the extension period shall not be deemed to hold a lapsed license or registration subject to reinstatement fees.

(4) Notwithstanding 21 NCAC 46 .2201, .3101(d) and .2507(c)(8), an eligible licensee may renew his or her license within the extension period despite failing to complete the specified continuing education requirements.

(5) A licensee or registrant shall provide proof of eligibility for the extension period when the licensee or registrant submits the renewal application.

History

• Authority G.S. 90-18.1; 90-18.2; 90-85.6; 90-85.15A; 90-85.15B; 90-85.17; 90-85.21(b); 90-85.24; 90-85.26A; 90-85.26B; 93B-15
• Eff. April 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. May 1, 2024; May 1, 2022.

21 NCAC 46 .1614 Suspension of Authority to Expend Funds

In the event that the Board's authority to expend funds is suspended pursuant to G.S. 93B-2(d), the Board shall continue to issue and renew licenses, registrations and permits and collect all fees set forth in G.S. 90-85.24, but all fees tendered shall be placed in an escrow account maintained by the Board for this purpose. Once the Board's authority is restored, the funds shall be moved from the escrow account into the general operating account.

History

• Authority G.S. 90-85.6; 90-85.24
• Eff. August 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1615 E-Profile Number Required for License, Permit, or Registration

(a) As part of the application for issuance or renewal of any in-state or out-of-state pharmacy permit, device and medical equipment permit, license to practice pharmacy, pharmacy intern registration, or pharmacy technician registration issued by the Board, the permittee, licensee, or registrant must report an e-Profile number to the Board.

(b) An applicant, permittee, licensee, or registrant may obtain an e-Profile number at no cost by contacting the National Association of Boards of Pharmacy by phone at (847) 391-4406; by mail at 1600 Feehanville Drive, Mount Prospect, Illinois 60056; or electronically at www.nabp.pharmacy.

History

• Authority G.S. 90-85.6; 90-85.14; 90-85.15; 90-85.15A; 90-85.17; 90-85.20; 90-85.21; 90-85.21A; 90-85.22
• Eff. May 1, 2017
• Amended Eff. May 1, 2022.

21 NCAC 46 .1616 Limited Service Permits

(a) The following pharmacy practice locations are eligible to apply for "limited service permits," which are pharmacy locations whose operations are modified by the provisions set forth in Paragraphs (b), (c), and (d) of this Rule:

(1) auxiliary medication inventories permitted and operating in health care facilities pursuant to Rule .1414(d) of this Chapter;

(2) automated dispensing or drug supply devices permitted and operating in health care facilities pursuant to Rule .1419 of this Chapter;

(3) direct to patient systems that are not located at the home pharmacy's facility pursuant to Rule .1821 of this Chapter;

(4) alternate delivery sites pursuant to Rule .1822 of this Chapter;

(5) facilities where drugs are dispensed only by nurse practitioners or physician assistants pursuant to Section .1700 of this Chapter;

(6) county health departments or other governmental entities providing local health services under G.S. 130A-34 where drugs are dispensed only by registered nurses and only pursuant to G.S. 90-85.34A and Section .2400 of this Chapter;

(7) county health departments or other governmental entities providing local health services under G.S. 130A-34 that engage in dispensing beyond that set out in G.S. 90-85.34A and Section .2400 of this Chapter;

(8) free clinics, as defined in G.S. 90-85.44(a)(6); or

(9) critical access hospitals, as defined in G.S. 131E-76.

(b) A pharmacist-manager for a limited service permit may designate one assistant pharmacist-manager but is not required to do so. The assistant pharmacist-manager shall be responsible for exercising all of the responsibilities of a pharmacist-manager when the assistant pharmacist-manager is present and the pharmacist-manager is not present at the location holding the limited service permit. If a designation is made or changed after the limited service permit is issued, the pharmacist-manager shall notify the Board, in writing, within 15 days of a change in the designation. Notwithstanding the pharmacist-manager's designation of an assistant pharmacist-manager, the pharmacist-manager shall be responsible for ensuring the pharmacy's compliance with all statutes, rules, and standards at all times.

(c) For limited service permits, the pharmacist-manager attendance requirements set out in Rule .2502(b) of this Chapter are modified only as follows:

(1) For limited service permits described in Subparagraphs (a)(1), (2), (3), and (4) of this Rule, either the pharmacist-manager or the assistant pharmacist-manager shall perform an in-person, on-site visit once per calendar quarter to inspect the location holding the permit, review the operations of the location holding the permit with the persons involved in accessing them as permitted by the rules referenced in Subparagraphs (a)(1), (2), (3), and (4) of this Rule, and ensure that the location holding the permit is operated in compliance with all applicable State and federal laws.

(2) For limited service permits described in Subparagraphs (a)(5) and (6) of this Rule, either the pharmacist-manager or the assistant pharmacist-manager shall perform an in-person, on-site visit once per week to inspect the location holding the permit, review the operations of the location holding the permit with the persons involved in dispensing, and ensure that the location holding the permit is operated in compliance with all applicable State and federal laws.

(3) For limited service permits described in Subparagraphs (a)(7), (8), and (9) of this Rule, either the pharmacist-manager or the assistant pharmacist-manager employed or otherwise engaged to supply pharmaceutical services may have a flexible schedule of attendance but shall be present for one-half of the hours the pharmacy is open or 20 hours a week, whichever is less. For the limited service permits described in Subparagraphs (a)(7) and (8) of this Rule, a licensed pharmacist shall be present when the pharmacy is open as described in Rule .2502(e) of this Chapter. For the limited service permits described in Subparagraph (a)(9) of this Rule, the location holding the limited service permit may operate in the absence of a pharmacist only as set out in Rule .1413 of this Chapter.

(4) The limited service permit holder may name a temporary pharmacist-manager or assistant pharmacist-manager for a period not to exceed 90 days from the departure date of the previous pharmacist-manager or assistant pharmacist-manager. The temporary pharmacist-manager or assistant pharmacist-manager shall accept the responsibilities of that position and shall be present as set forth in this Rule. A location holding a limited service permit may not operate for more than 30 days without a pharmacist employed or otherwise engaged as a pharmacist-manager or temporary pharmacist-manager who has signed the permit for that pharmacy.

(d) A person may serve as the pharmacist-manager or the assistant pharmacist-manager for multiple limited service permits, and may do so while also serving as the pharmacist-manager for a maximum of one permit other than a limited service permit. A person serving multiple limited service permit locations shall fulfill all of that person's duties under State and federal law as to each location.

(e) Except as expressly set forth in this Rule, the pharmacist-manager shall provide oversight and supervision as provided elsewhere in this Chapter.

History

• Authority G.S. 90-18.1(c); 90-18.2; 90-85.6; 90-85.21; 90-85.32; 90-85.33; 90-85.34
• Eff. November 1, 2021
• Amended Eff. September 1, 2026; September 1, 2023.

21 NCAC 46 .1701 Dispensing by Registered Nurse or Physician's Assistant

History

• Status: repealed
• Authority G.S. 90-18.1; 90-18.2; 90-85.6
• Eff. April 1, 1983
• Amended Eff. May 1, 1989
• Repealed Eff. April 1, 1997.

21 NCAC 46 .1702 Dispensing Supervised by Licensed Pharmacist

History

• Status: repealed
• Authority G.S. 90-18.1; 90-18.2; 90-85.6
• Eff. April 1, 1983
• Amended Eff. May 1, 1989
• Repealed Eff. April 1, 1997.

21 NCAC 46 .1703 Drugs to Be Dispensed

(a) The nurse practitioner may dispense any and all drugs that the nurse practitioner is authorized by law to prescribe.

(b) The physician assistant may dispense any and all drugs that the physician assistant is authorized by law to prescribe.

(c) All drugs dispensed by a nurse practitioner or physician assistant must be dispensed from a place holding a current pharmacy permit from the Board as required by G.S. 90-85.21.

(d) The pharmacist-manager, or another licensed pharmacist working under the pharmacist-manager's supervision, shall be available for consultation in person, by telephone, or other means of direct communication at all times when drugs are dispensed, including to perform drug regimen review for patients as needed.

(e) All drugs dispensed pursuant to G.S. 90-18.1(c), 90-18.2(c), and the rules of this Section shall be packaged, labeled, and otherwise dispensed in compliance with State and federal law, and records of dispensing shall be kept in compliance with State and federal law. The pharmacist-manager shall be responsible for compliance with these laws at all times, regardless of whether the pharmacist-manager is present at the time of dispensing.

History

• Authority G.S. 90-18.1; 90-18.2; 90-85.6
• Eff. April 1, 1983
• Amended Eff. April 1, 1999; May 1, 1997; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. November 1, 2021.

21 NCAC 46 .1704 Prepackaging of Drugs Dispensed

History

• Status: repealed
• Authority G.S. 90-18.1; 90-18.2; 90-85.6; 90-85.36
• Eff. April 1, 1983
• Amended Eff. September 1, 1995; May 1, 1989
• Repealed Eff. April 1, 1997.

21 NCAC 46 .1705 Records of Dispensing

History

• Status: repealed
• Authority G.S. 90-18.1; 90-18.2; 90-85.6; 90-85.36
• Eff. April 1, 1983
• Amended Eff. September 1, 1995; May 1, 1989
• Repealed Eff. April 1, 1997.

21 NCAC 46 .1706 Retrospective Review and Consultation

During the weekly in-person, on-site visit required by Rule .1616(c)(2) of this Chapter, if not more frequently, the pharmacist-manager or assistant pharmacist-manager shall retrospectively perform a drug regimen review of all drugs dispensed by a nurse practitioner or physician assistant. During this review, the pharmacist-manager or assistant pharmacist-manager shall:

(1) review the appropriateness of the choice of medication(s) for each patient and the patient's therapeutic regimen, including choice of medication, dose, frequency, and route of administration;

(2) identify and resolve therapeutic duplication in each patient's medication regimen; and

(3) consider patient-specific medication contraindications.

History

• Authority G.S. 90-18.1; 90-18.2; 90-85.6
• Eff. April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. November 1, 2021.

21 NCAC 46 .1801 Exercise of Professional Judgment in Filling Prescriptions

(a) A pharmacist or device and medical equipment dispenser shall have a right to refuse to fill or refill a prescription order if doing so would be contrary to his or her professional judgment.

(b) A pharmacist or device and medical equipment dispenser shall not fill or refill a prescription order if, in the exercise of professional judgment, there is or reasonably may be a question regarding the order's accuracy, validity, authenticity, or safety for the patient.

(c) A prescription order is valid only if it is a lawful order for a drug, device, or medical equipment issued by a health care provider for a legitimate medical purpose, in the context of a patient-prescriber relationship, and in the course of legitimate professional practice as recognized by the occupational licensing board governing the health care provider.

History

• Authority G.S. 90-85.6; 90-85.32
• Eff. April 1, 1983
• Amended Eff. August 1, 2015; February 1, 2007; March 1, 2004; April 1, 2003; September 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1802 Prescription Refills

(a) Authorization for prescription refills is presumed to be within the prescribed dosage or normal therapeutic use. Refilling prescriptions more frequently than the prescribed dosage would require, or refilling prescriptions in significant excess of normal therapeutic use, may be considered as negligence under G.S. 90-85.38(a)(9).

(b) If deemed appropriate in the pharmacist's professional judgment, a patient may receive upon request drug quantities in excess of the face amount of a prescription for a non-controlled substance, up to the total amount authorized. The pharmacist shall not dispense in excess of the face amount of a prescription for a controlled substance or psychotherapeutic drug without authorization from the prescriber.

History

• Authority G.S. 90-85.6; 90-85.32
• Eff. April 1, 1983
• Amended Eff. September 1, 1993; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1803 Prescription Records

All records pertaining to the filling and refilling of prescriptions shall be available to designated employees of the Board during normal business hours.

History

• Authority G.S. 90-85.6; 90-85.32; 90-85.36
• Eff. April 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1804 Prescription: Receiving and Dispensing

(a) In order to assure that the practitioner-pharmacist-patient relationship exists and to promote the safe and secure distribution of drugs and devices from a pharmacy, prescription orders may be received for filling and refilling only by a pharmacist or a bona fide employee of the pharmacy. The pharmacist-manager of the pharmacy shall be ultimately responsible for the safe, lawful and secure receipt of prescription orders and delivery of prescription drugs. Notwithstanding the provisions of this Rule, prescription drugs also may be delivered by mail in accordance with the provisions of 21 NCAC 46 .1601(b).

(b) In filling or refilling prescription orders, the pharmacist shall not be required to deal with parties, including managed care companies and insurance providers, outside the practitioner-pharmacist-patient relationship.

(c) In order to promote the safe and secure distribution of devices and medical equipment from a facility holding a device and medical equipment permit, prescription orders for devices and medical equipment may be received for filling and refilling only by the person in charge of the facility holding the device and medical equipment permit or a bona fide employee of the facility. The person in charge shall be ultimately responsible for the safe, lawful and secure receipt of prescription orders and delivery of devices and medical equipment. Unless the location also holds a pharmacy permit, a facility holding a device and medical equipment permit shall not acquire, receive, store, or deliver prescription drugs.

History

• Authority G.S. 90-85.6; 90-85.32
• Eff. December 1, 1983
• Amended Eff. April 1, 2004; August 1, 2000; September 1, 1995; May 1, 1989; August 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1805 Dispensing Drugs Without a Prescription

The dispensing of or any delivery of a prescription drug, including the surrender of control or possession in any manner which results in a delivery of a prescription drug, without a valid prescription order is unlawful. Refilling a prescription for a prescription drug without authorization is unlawful.

History

• Authority G.S. 90-85.3(s); 90-85.6; 90-85.32
• Eff. March 1, 1984
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1806 Transfer of Prescriptions

(a) Transferring prescriptions between pharmacies is permissible subject to the following requirements:

(1) the transfer is communicated directly from either a pharmacist or certified technician to either a pharmacist or certified technician and not by only one pharmacist or certified technician gaining access to an information file containing data for another pharmacy, unless both pharmacies are under common ownership or the transfer is performed pursuant to contractual agreement of the pharmacies;

(2) the transferring pharmacist or certified technician deactivates the original prescription;

(3) the transferring pharmacist or certified technician records:

(A) the date of the transfer;

(B) the identity of the pharmacist or certified technician transferring the prescription; and

(C) the identity of the pharmacy to which the prescription was transferred and the identity of the pharmacist or certified technician receiving it; and

(4) the pharmacist or certified technician receiving the transferred prescription records:

(A) the date of the original prescription, and the original prescription number;

(B) the number of refills authorized and remaining on the prescription;

(C) the date of the last fill or refill (if any);

(D) the manufacturer or brand of the drug previously dispensed, if the drug is a narrow therapeutic index drug under G.S. 90-85.27;

(E) the date of the transfer; and

(F) the identity of the pharmacy from which the prescription information was transferred, and the identity of the pharmacist or certified technician transferring the prescription.

(b) Transferring prescriptions between device and medical equipment permit holders is permissible so long as the transferring permit holder provides all records and documentation necessary for dispensing and does not interfere with the service and claims processing procedures of the receiving permit holder.

History

• Authority G.S. 90-85.6(a); 90-85.32
• Eff. December 31, 1985
• Amended Eff. June 1, 2004; September 1, 1995; July 1, 1992; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. September 1, 2026.

21 NCAC 46 .1807 Facsimile Transmission of Prescription Orders

History

• Status: repealed
• Authority G.S. 90-85.6(a); 90-85.32
• Eff. October 1, 1990
• Amended Eff. September 1, 1995
• Repealed Eff. March 1, 2004.

21 NCAC 46 .1808 Repackaged Pharmaceuticals

History

• Status: expired
• Authority G.S. 90-85.6(a); 90-85.32
• Eff. December 1, 1991
• Expired Eff. November 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 46 .1809 Emergency Prescription Refills

In the event a pharmacist or device and medical equipment permit holder receives a request for a prescription refill and the pharmacist or permit holder is unable to obtain refill authorization from the prescriber, the pharmacist or permit holder may dispense a one-time emergency refill of up to a 30 day supply of the prescribed medication, provided that:

(1) The prescription is not for a Schedule II controlled substance;

(2) The medication is essential to the maintenance of life or to the continuation of therapy in a chronic condition;

(3) In the pharmacist's or permit holder's professional judgment, the interruption of therapy might reasonably produce undesirable health consequences;

(4) The dispensing pharmacist or permit holder creates a written order containing all of the prescription information required by Section .2300 of these Rules and signs that order;

(5) The dispensing pharmacist or permit holder notifies the prescriber or the prescriber's office of the emergency dispensing within 72 hours after such dispensing.

History

• Authority G.S. 90-85.6; 90-85.25; 90-85.32
• Eff. September 1, 1993
• Amended Eff. April 1, 1999; September 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1810 Compounding

History

• Status: repealed
• Authority G.S. 90-85.6; 90-85.32
• Eff. September 1, 1995
• Amended Eff. August 1, 1998
• Repealed Eff. January 1, 2015.

21 NCAC 46 .1811 Excessive Dispensing of Prescription Drugs

Pharmacists shall not dispense and permit holders shall not allow a pharmacist to dispense prescription drugs at such a rate per hour or per day as to pose a danger to the public health or safety.

History

• Authority G.S. 90-85.6; 90-85.32
• Eff. July 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1812 Changes in Prescription Orders

A permit holder or registrant requesting a change from the prescription drug originally prescribed to a different prescription drug shall disclose to the prescriber at the time of the request any business relationship between the permit holder or registrant and the manufacturer of the requested prescription drug.

History

• Authority G.S. 90-85.6; 90-85.32
• Eff. April 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1813 TRANsMISSION OF PRESCRIPTION ORDERS

(a) Prescription orders may be transmitted by using a facsimile machine ("FAX") or by other electronic transmission from a prescriber to a pharmacy. "Electronic transmission" means transmission of the digital representation of information by way of electronic equipment.

(b) All prescription drug orders transmitted by FAX or by electronic transmission shall:

(1) be transmitted directly to a pharmacist or certified technician in a pharmacy of the patient's choice with no intervening person altering the content of the prescription drug order;

(2) identify the transmitter's phone number for verbal confirmation, the time and date of transmission, and the identity of the pharmacy intended to receive the transmission;

(3) be transmitted by an authorized practitioner or his designated agent and contain either a written signature or an electronic signature unique to the practitioner;

(4) be deemed the original prescription drug order, provided it meets all requirements of federal and state laws and regulations; and

(5) if a refill order, contain all information required for original prescription orders except for the prescriber's signature.

(c) The prescribing practitioner may authorize his agent to transmit by FAX or by electronic transmission a prescription drug order to a pharmacist or certified technician in a pharmacy provided that the identity of the transmitting agent is included in the order.

(d) The pharmacist shall exercise professional judgment regarding the accuracy, validity, and authenticity of a prescription drug order transmitted by FAX or by electronic transmission consistent with federal and state laws and regulations.

(e) All equipment for receipt of prescription drug orders by FAX or by electronic transmission shall be maintained so as to ensure against unauthorized access.

(f) Prescriptions may be transferred by FAX or by electronic transmission if all the requirements of Rule .1806 of this Section are met.

(g) No agreement between a prescriber and a pharmacy or device and medical equipment permit holder shall require that prescription orders be transmitted by FAX or by electronic transmission from the prescriber to only that pharmacy or device and medical equipment permit holder.

History

• Authority G.S. 90-85.6; 90-85.32
• Eff. August 1, 1998
• Amended Eff. March 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1815 Emergency Prescription Refill Due to Interruption of Medical Services

In the event a pharmacist or device and medical equipment permit holder receives a request for a prescription refill and the pharmacist or permit holder is unable to readily obtain refill authorization from the prescriber because of the prescriber's inability to provide medical services to the patient, the pharmacist or permit holder may dispense a one-time emergency supply of up to 90 days of the prescribed medication, provided that:

(1) The prescription is not for a Schedule II controlled substance;

(2) The medication is essential to the maintenance of life or to the continuation of therapy in a chronic condition;

(3) In the pharmacist's or permit holder's professional judgment, the interruption of therapy might reasonably produce undesirable health consequences;

(4) The dispensing pharmacist or permit holder creates a written order entered in the pharmacy's automated data processing system containing all of the prescription information required by Section .2300 of these Rules and signs that order;

(5) The dispensing pharmacist or permit holder notifies, or makes a good faith attempt to notify, the prescriber or the prescriber's office of the emergency dispensing within 72 hours after such dispensing.

History

• Authority G.S. 90-85.6; 90-85.25; 90-85.32
• Temporary Adoption Eff. October 29, 1998
• Eff. August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1816 CENTRALIZED pharmacy services

(a) This Rule sets out the requirements under which pharmacies may engage in "centralized pharmacy services," which consist of both centralized prescription filling services and remote medication order processing services, as defined in this Rule, with respect to any prescription to be dispensed by a pharmacy located within this State, or shipped, mailed, or delivered in any manner into this State.

(b) Regardless of whether located within or outside the State of North Carolina, the following requirements apply to any pharmacy involved with any part of the practice of pharmacy in centralized pharmacy services:

(1) The pharmacies must be permitted by the Board before providing any centralized pharmacy services.

(2) The pharmacies must either:

(A) Be owned by the same person or entity; or

(B) Before dispensing any prescription within or into this State, must have entered into a written contract that specifies the services to be provided and the responsibilities and accountabilities of each pharmacy to ensure compliance with state and federal statutes, rules, and regulations.

(3) The pharmacies must share a real-time, online database, or have technology to allow secure access to the pharmacies' information system and to provide access to the information required to provide centralized pharmacy services in compliance with state and federal statutes, rules, and regulations.

(4) The pharmacies, their pharmacist-managers, and their pharmacy personnel must comply with all provisions of the Pharmacy Practice Act, this Chapter and all other State of North Carolina and federal statutes, rules, and regulations applicable to the practice of pharmacy and the distribution of drugs, devices, and medical equipment, in addition to the statutes, rules, and regulations of the state(s) in which the pharmacies are located (if not located in North Carolina) and into which any drugs, devices, or medical equipment are shipped and dispensed (if not North Carolina). The pharmacies, their pharmacist-managers, and their pharmacy personnel are responsible for ensuring that these statutes, rules, and regulations are followed.

(5) The pharmacies must notify the Board before providing centralized pharmacy services.

(c) Centralized prescription filling services.

(1) "Centralized prescription filling services" consist of a receiving pharmacy receiving a prescription from an originating pharmacy, processing that prescription, and either:

(A) Delivering the drug, device, or medical equipment to the originating pharmacy for dispensing to the patient; or

(B) Delivering the drug, device, or medical equipment directly to the patient, if the patient requests delivery from the receiving pharmacy.

(2) In this Rule, the "originating pharmacy" is the pharmacy that was presented the prescription, whether by the patient or the prescriber or by transfer. In this Rule, the "receiving pharmacy" is the pharmacy that processes the prescription and delivers the drug, device, or medical equipment as set forth in Subparagraph (c)(1) of this Rule.

(3) The receiving pharmacy may process a request for the filling or refilling of a prescription order received by the originating pharmacy, provided:

(A) Both the originating pharmacy and the receiving pharmacy satisfy the requirements in Paragraph (b) of this Rule.

(B) The drug, device, or medical equipment is labeled with both the name and address of the receiving pharmacy and the name and address of the originating pharmacy; and

(C) The originating pharmacy satisfies all responsibility for compliance with the requirements of Federal and State statutes, rules, and regulations regarding recordkeeping and patient counseling, and the receiving pharmacy further maintains all required records of each prescription for at least three years.

(4) Centralized prescription filling services do not include prescriptions that are either:

(A) Transferred to another pharmacy to perform all acts related to dispensing or delivery, including recordkeeping and counseling, for which the pharmacies shall comply with the requirements for the originating pharmacy to transfer the prescription under Rule .1806 of this Chapter; or

(B) Prescriptions for which remote order processing services are performed, but all physical acts in the dispensing process are performed by the pharmacy to which the prescription was presented, for which the pharmacies shall comply with the requirements for remote medication order processing services in Paragraph (d) of this Rule.

(d) Remote medication order processing services.

(1) "Remote medication order processing services" consist of a pharmacy performing some act in the practice of pharmacy, other than a physical act in the dispensing process, for another pharmacy that dispenses a drug, device, or medical equipment. Remote medication order processing services include the following:

(A) receiving, interpreting, or clarifying medication orders;

(B) entering data and transferring medication order information;

(C) performing drug regimen review;

(D) interpreting patient clinical data to ensure proper prescription drug therapy;

(E) performing therapeutic interventions; and

(F) providing patient counseling or other drug information to patients and providers concerning prescriptions or drugs, devices, or medical equipment; however, if the drug, device or medical equipment is dispensed in person to the patient or the patient's agent, an offer must be made for a pharmacist at the dispensing pharmacy to counsel the patient in accordance with the requirements of Rule .2504 of this Chapter.

(2) In this Rule, the "dispensing pharmacy" is the pharmacy that was presented the prescription and dispenses the drug, device, or medical equipment. In this Rule, a "remote medication order processing pharmacy" is a pharmacy that provides an act in the practice of pharmacy for the dispensing pharmacy pursuant to this Rule.

(3) The remote medication order processing pharmacy may provide remote medication order processing services for the dispensing pharmacy, provided:

(A) The dispensing pharmacy and the remote medication order processing pharmacy satisfy the requirements in Paragraph (b) of this Rule.

(B) The pharmacies involved in remote medication order processing services jointly develop, maintain, and follow a manual of policies and procedures that include policies and procedures for:

(i) operation of the system described in Subparagraph (b)(3) of this Rule;

(ii) following the dispensing pharmacy's policies regarding medication order processing;

(iii) defining and ensuring the performance of each pharmacy's responsibilities;

(iv) maintaining contact information for how to communicate with the pharmacies at all times when remote medication order processing services are performed;

(v) training and annual review of pharmacy personnel of the remote medication order processing pharmacy;

(vi) communicating and resolving questions or problems arising during the remote medication order processing services;

(vii) communicating changes in the formulary to pharmacy personnel;

(viii) protecting the confidentiality and integrity of patient information;

(ix) identifying the name(s), initial(s) or identification code(s) and specific activity or activity of each pharmacy personnel who perform any remote medication order processing services;

(x) complying with all state and federal laws;

(xi) operating a quality improvement program designed to objectively and systematically monitor and evaluate the quality and appropriateness of patient care, to pursue opportunities to improve patient care, and resolve identified problems;

(xii) updating these policies and procedures any time changes are necessary; and

(xiii) communicating changes in these policies and procedures to pharmacy personnel.

(C) The policy and procedures manual is reviewed at least annually, updated as needed, and any review and changes are documented and communicated to all pharmacy personnel.

(D) The remote medication order processing pharmacy trains all pharmacy personnel providing remote medication order processing services on the policies and procedures required by Part (B) of this Subparagraph. The pharmacist-manager of the remote medication order processing pharmacy must ensure that pharmacy personnel are able to perform at the same level of competence, attention, and proficiency as if the personnel were in the dispensing pharmacy. The pharmacist-manager shall document all training.

(E) All remote medication order processing services are provided at a site operated by a remote medication order processing pharmacy, located within the United States, and with access to the technology required in Subparagraph (b)(3) of this Rule. This may include a remote site outside of the remote medication order processing pharmacy, so long as all requirements of state and federal statutes, rules, and regulations, including this Rule, are satisfied.

(F) Each remote medication order processing pharmacy must notify the Board of each pharmacist who will provide remote medication order processing services before those pharmacy personnel perform any such services.

(G) In order for the Board to ensure continual monitoring of pharmacist good standing, each pharmacist who will provide remote medication order processing services must either hold a North Carolina license to practice pharmacy or participate in the NABP Verify service before and at all times when that pharmacist provides remote medication order entry services. The remote medication order entry pharmacy must provide the NABP Verify information for each pharmacist when it notifies the Board that the pharmacist may provide remote medication order entry services.

(H) Pharmacy technicians may perform remote medication order processing services only if they are registered or otherwise permitted to work as a pharmacy technician in their home state. While pharmacy technicians either within or outside of this State may perform remote medication order processing services, pharmacy technicians may provide only those remote medication order processing services that both (a) they are permitted to perform under the laws of the state in which they are located, and (b) pharmacy technicians are permitted to perform under G.S. 90-85.3(q2), regardless of where they are located.

(I) The remote medication order processing pharmacy, its pharmacist-manager, and its pharmacy personnel are responsible for compliance with all state and federal statutes, rules and regulations and the pharmacies' policies and procedures governing the provision of remote medication order processing services.

(J) The dispensing pharmacy satisfies all responsibility for compliance with the requirements of state and federal statutes, rules, and regulations regarding recordkeeping, and the records document the activities of each pharmacy personnel providing remote medication order processing services and the specific activity or activities performed by each person. These records shall be maintained for a period of at least three years.

(4) Remote medication order processing services do not include services with respect to prescriptions in which some physical act in the dispensing process is performed by a pharmacy other than the dispensing pharmacy. If a pharmacy receiving a prescription from a patient or prescriber or by transfer wishes for another pharmacy to perform a physical act in the dispensing process, it must either transfer the prescription to that pharmacy under Rule .1806 of this Chapter, or follow the procedures for centralized prescription filling services in this Rule.

(e) Nothing in this Rule relieves a pharmacy receiving centralized pharmacy services (i.e., an originating pharmacy or a dispensing pharmacy) of the need to provide on-site services required for permitting as provided in the Pharmacy Practice Act and this Chapter.

History

• Authority G.S. 90-85.6; 90-85.21; 90-85.21A; 90-85.26; 90-85.32; 90-85.34
• Eff. August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. March 1, 2022.

21 NCAC 46 .1817 Proof of Identification

(a) As a precondition to filling any prescription or dispensing any drug, a pharmacist or person acting at the direction of a pharmacist may demand, inspect and record proof of identification, including valid photographic identification, from any patient presenting a prescription or any person acting on behalf of the patient. Valid photographic identification includes but is not limited to the following:

(1) A valid motor vehicle operator's license;

(2) A valid identification card;

(3) A valid United States passport; or

(4) Other valid, tamper-resistant, photographic identification.

(b) A pharmacist or person acting at the direction of a pharmacist may exercise discretion and refuse to fill any prescription or dispense any drug if unsatisfied as to the legitimacy or appropriateness of any prescription presented, the validity of any photographic identification or the identity of any patient presenting a prescription or any person acting on behalf of the patient. Refusal to fill pursuant to this Paragraph shall be noted on the prescription by the pharmacist or person acting at the direction of a pharmacist.

History

• History Notes: Authority G.S. 90-85.6; 90-85.32
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1818 Prescription Labels

Prescription labels shall list at a minimum the generic name of the drug, even if the generic drug is unavailable to dispense or even if the substitution of a generic drug is not authorized.

History

• Authority G.S. 90-85.6; 90-85.32
• Eff. January 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1819 Covid-19 Drug Preservation Rule

History

• Status: repealed
• Authority G.S. 90-85.6; 90-85.26; 90-85.32
• Emergency Adoption Eff. April 1, 2020
• Temporary Adoption Eff. June 26, 2020
• Eff. February 1, 2021
• Repealed Eff. March 1, 2023.

21 NCAC 46 .1820 Code of Ethics

All pharmacists must comply with the American Pharmacist Association Code of Ethics, which is hereby incorporated by reference, along with all subsequent amendments or editions. A copy of the Code of Ethics is available free of charge on the Board's website at http://ncbop.org/lawandrules.htm. Any contrary conduct is unprofessional conduct under G.S. 90-85.38.

History

• Authority G.S. 90-85.3A; 90-85.6; 90-85.15A; 90-85.15B; 90-85.22; 90-85.26; 90-85.26A; 90-85.32; 90-85.33; 90-85.34; 90-85.38; 90-85.44; S.L. 2021-110, s. 4.(a)
• Eff. July 1, 2022.

21 NCAC 46 .1821 Direct-to-Patient Delivery Systems

(a) This Rule sets out the requirements for pharmacies to employ "direct-to-patient" or ("DTP") delivery systems for delivery in the State of North Carolina.

(b) Definitions.

(1) "Direct to patient system" or "DTP system" means any delivery system through which a pharmacy delivers drugs, devices, or medical equipment to a patient through any means other than:

(A) in-person delivery to a patient by pharmacy personnel inside a pharmacy;

(B) in-person delivery to a patient's residence, to a health care provider treating that patient, or at an alternate delivery site governed by Rule .1822 of this Section;

(C) shipping through common carrier to a patient or to a health care provider treating that patient; or

(D) the use of an automated dispensing device by a health care facility pharmacy that is governed by Rule .1419 of this Chapter.

Except as provided in this Rule or one of the exceptions set out in Parts (b)(1)(A)-(D) of this Subparagraph, no person holding any license or permit from the Board shall participate in an arrangement for prescription orders or prescription drugs, devices, or medical equipment to be left at, picked up from, accepted by, or delivered to any other place. The only DTP systems allowed are "lockers" and "kiosks" as defined herein.

(2) The "home pharmacy" means the pharmacy responsible for delivering prescription drugs, devices, or medical equipment through a DTP system.

(3) A "locker" means a secure container in which pharmacy personnel place labeled patient-specific drugs, devices, or medical equipment to be picked up by the patient.

(4) A "kiosk" means an automated system that is capable of filling, labeling, and delivering drugs, devices, or medical equipment to a patient.

(c) A DTP system located within the State of North Carolina (whether a locker or a kiosk) shall meet the following requirements:

(1) Before prescription drugs, devices, or medical equipment may be delivered from a DTP system, the home pharmacy shall have been issued a pharmacy permit by the Board pursuant to G.S. 90-85.21 or 90-85.21A. In addition, before prescription drugs, devices, or medical equipment may be delivered from the DTP system, the DTP system shall hold a limited service permit under Rule .1616 of this Section if it is not located at the home pharmacy's permitted facility.

(2) The home pharmacy shall notify the Board, in writing, through the home pharmacy's online permit portal, prior to beginning to use a DTP system, including the address and geographical coordinates of the DTP system and the licensed pharmacist(s) responsible for the DTP system. The home pharmacy shall notify the Board prior to moving the DTP system and shall secure a new limited service permit, if one is required by Subparagraph (c)(1) of this Rule, before operating the DTP system in the new location. The home pharmacy shall notify the Board within 10 days after discontinuing patient use of a DTP system.

(3) A DTP system shall be used exclusively by the home pharmacy.

(4) A DTP system shall be 60 miles or fewer from the home pharmacy (via the shortest surface street route).

(5) A DTP system may be placed in the office of a prescriber only if the DTP system is under the control of the home pharmacy, which is responsible for compliance with all laws, rules, and regulations regarding the DTP system. The home pharmacy shall maintain the DTP system in the prescriber's office only if the prescriber offers patients a choice of pharmacy. The home pharmacy shall not give compensation to or receive compensation from the prescriber for the placement of the DTP system or for any prescription orders filled by the DTP system.

(6) The home pharmacy shall prohibit access to the DTP system and its contents by unauthorized personnel and maintain confidentiality of patient information. The DTP system shall be under the continuous supervision of a pharmacist employed by the home pharmacy, which may be satisfied by real-time remote supervision of the pharmacy through video and audio connections.

(7) The DTP system shall display the home pharmacy's name, address, phone number, North Carolina permit number, and the name of the home pharmacy's pharmacist-manager, as well as (where applicable) the limited service permit number for the DTP system and the name of the limited service permit's pharmacist-manager and assistant pharmacist-manager, if any.

(8) The home pharmacy shall ensure that there is continuous, recorded video surveillance of the DTP system and any persons using or accessing the DTP system. It shall maintain recordings for 90 days.

(9) The home pharmacy shall develop, maintain, and follow a manual of policies and procedures that includes policies and procedures for:

(A) maintaining the security of the DTP system and the drugs, devices, and medical equipment within the DTP system.

(B) determining and applying criteria regarding which drugs, devices, and medical equipment are appropriate for placement in the DTP system and which patients are eligible to use the DTP system.

(C) maintaining drugs, devices, and medical equipment at temperatures, humidities and other environmental conditions to ensure that they do not become adulterated under G.S. 106-133 and to ensure that they are transported and stored in accordance with manufacturer's specifications, if any, for those items.

(D) removing outdated drugs, devices, and medical equipment from the DTP system as set forth in Subparagraph (c)(11) of this Rule on a regular basis so that patients do not receive drugs, devices, and medical equipment with a beyond use date during the period when the patient is to use the item.

(E) describing the assignment of responsibilities to, and training of, pharmacy personnel regarding the maintenance and filling procedures for the DTP system.

(F) orienting participating patients on use of the DTP system; notifying patients when expected prescription drugs, devices, or medical equipment are not available in the DTP system or when the DTP system is not functioning and notifying them of alternate methods for having those prescription drugs, devices, or medical equipment delivered; and ensuring that patient use of the DTP system does not interfere with the delivery of prescription drugs, devices, and medical equipment to patients.

(G) inspecting the DTP system during each required inspection.

This written manual of policies and procedures shall be reviewed and updated annually.

(10) The home pharmacy shall comply with federal and state controlled substance laws and rules, including but not limited to registrations that may be required for a DTP system, before delivering controlled substances from the DTP system. The home pharmacy shall comply with G.S. 90-106.1 in delivering prescription drugs covered by that statute from a DTP system, and shall visually confirm that the person seeking the delivery is the same as the person on the photographic identification provided.

(11) Only pharmacy personnel who are licensed with this Board as pharmacists or registered with this Board as technicians or pharmacy interns shall stock drugs, devices, and medical equipment in, or remove drugs, devices, and medical equipment from, the inventory of a DTP system. The home pharmacy shall maintain records of access to the DTP system by pharmacy personnel stocking or otherwise accessing the DTP system.

(12) Before a home pharmacy delivers prescription drugs, devices, and medical equipment to a patient through a DTP system, the home pharmacy shall secure the affirmative consent of the patient to use the DTP system.

(13) The dispensing pharmacist on prescription drugs, devices, or medical equipment delivered from a DTP system in the State of North Carolina shall be licensed with this Board.

(14) Before delivering a prescription drug, device or medical equipment from the DTP system, the dispensing pharmacist at the home pharmacy shall verify the prescription order and shall conduct a drug utilization review and otherwise assure that the drug, device, or medical equipment may safely be dispensed to the patient.

(15) Prescription drugs, devices, and medical equipment delivered from a DTP system shall be labeled for the individual patient and contain all information required by law, including but not limited to having the dispensing pharmacist identified on the label.

(16) The home pharmacy shall create and maintain records of dispensing for prescription drugs, devices, and medical equipment delivered by a DTP system in compliance with State and federal law. A kiosk shall be connected to the home pharmacy's automated data processing system, and prescription drugs, devices, or medical equipment delivered from a locker shall be recorded in the home pharmacy's recordkeeping system. The recordkeeping system shall be capable of producing a record of prescription drugs, devices, and medical equipment dispensed from the DTP system.

(17) The DTP system shall have a means to identify a patient (or that patient's authorized agent) and release only that patient's prescription drugs, devices, or medical equipment to the patient (or the patient's authorized agent).

(18) The DTP system shall convey the home pharmacy's offer to counsel a patient as required by Rule .2504 of this Chapter and shall provide the ability for the patient to have an immediate real-time consultation with a pharmacist licensed by this Board and employed by the home pharmacy who has access to all of the home pharmacy's information related to the patient. The communication link shall protect the confidentiality of the patient's information. The home pharmacy shall check the communication link at least daily and the DTP system shall be closed if the link malfunctions or if a licensed pharmacist is not available from the home pharmacy for counseling, unless a licensed pharmacist is physically present at the DTP system. A pharmacist who is responsible for counseling may not provide that service for more than three sites simultaneously. If the DTP system is placed in the same physical space as the dispensing area of the home pharmacy, this provision may be satisfied when the pharmacy is open by informing the patient how to receive counseling from a pharmacist in the home pharmacy. If the dispensing pharmacist has determined that the patient should receive counseling before the prescription drug, device, or medical equipment is delivered, the DTP system shall provide the ability for the pharmacist to force counseling before the DTP system delivers the drug, device, or medical equipment.

(19) The home pharmacy shall record and review any incident involving a complaint, delivery error, or omission regarding a DTP system as part of the home pharmacy's quality assurance program.

(20) Drugs, devices, or medical equipment that are not picked up by a patient may be returned to stock under the same conditions as if the item had been maintained in the pharmacy, as long as the requirements of this Rule for operating the DTP system have been followed.

(d) With respect to prescription drugs, devices, or medical equipment dispensed through a kiosk, the following additional requirements shall be met:

(1) The dispensing pharmacist shall electronically compare via video link the stock bottle, prescription drug dispensed, the strength, and the beyond-use date. The dispensing pharmacist shall verify the entire label for accuracy on the video link.

(2) The kiosk shall use a barcode system that prints the barcode of the stock bottle or other packaging on the label of the dispensed prescription drug, device, or medical equipment. If the stock bottle or other packaging does not have a barcode, the home pharmacy shall create one. Pharmacy personnel shall scan both the stock bottle or other packaging and the label of the dispensed prescription drug, device, or medical equipment to verify that the item dispensed is the same as the one in the stock bottle or other packaging for each prescription drug, device, or medical equipment dispensed.

(3) Prescription drugs, devices, or medical equipment dispensed by the kiosk shall be packaged only by a licensed manufacturer or repackager, or prepackaged by the home pharmacy in compliance with the Pharmacy Practice Act, Article 4A of Chapter 90 of the General Statutes, and this Chapter.

(4) The home pharmacy shall keep a perpetual inventory of controlled substances that are received and dispensed from a kiosk.

(5) The home pharmacy shall not dispense compounded medications through a kiosk.

(6) The kiosk shall not accept returns of drugs, devices and medical equipment from patients.

(e) This Rule does not alter the method by which patients or providers shall transmit prescription orders to the home pharmacy. Prescription orders may not be collected by the home pharmacy through the DTP system.

History

• Authority G.S. 90-85.6; 90-85.15A; 90-85.21; 90-85.32
• Eff. September 1, 2023
• Amended Eff. September 1, 2026.

21 NCAC 46 .1822 Alternate Delivery Sites

(a) This Rule sets out the requirements under which pharmacies may utilize alternate delivery sites for delivery of drugs, devices, or medical equipment or for receipt of prescriptions in the State of North Carolina.

(b) Before any drugs, devices, or medical equipment may be delivered at an alternate delivery site, the pharmacy shall have been issued a pharmacy permit by the Board pursuant to G.S. 90-85.21 or G.S. 90-85.21A, and the alternate delivery site shall have been issued a limited service permit under Rule .1616 of this Chapter. The limited service permit shall be granted only if, and so long as, compliance with all requirements of this Rule can be assured.

(c) Location.

(1) An alternate delivery site shall be within the State of North Carolina and 60 miles or fewer from the pharmacy (via the shortest surface street route).

(2) An alternate delivery site may not be located in the same building or on the same property as the pharmacy or any pharmacy under common ownership.

(3) An alternate delivery site may be placed in the office of a prescriber only if the alternate delivery site is under the control of the pharmacy, which is responsible for compliance with all laws, rules, and regulations regarding the alternate delivery site, and only if the alternate delivery site is staffed with pharmacy personnel, as set forth herein. The pharmacy shall maintain the alternate delivery site in the prescriber's office only if the prescriber offers patients a choice of pharmacy. The pharmacy shall not give compensation to or receive compensation from the prescriber for the placement of the alternate delivery site or for any prescriptions delivered at the alternate delivery site.

(4) An alternate delivery site may not be located on residential property.

(5) The pharmacy shall notify the Board within 10 days after discontinuing patient use of any alternate delivery site.

(d) Staffing and Management.

(1) When the alternate delivery site is open, it must be continuously staffed by a pharmacist or certified pharmacy technician who is an employee of the pharmacy.

(2) The alternate delivery site shall be used exclusively by the one pharmacy whose pharmacist-manager is responsible for the alternate delivery site's operation.

(3) The dispensing pharmacist for any drugs, devices, or medical equipment delivered to an alternate delivery site shall be employed by the pharmacy and licensed with this Board.

(4) At all times that the alternate delivery site is open, a pharmacist employed by the pharmacy must be available for counseling, as set forth in this Rule, and for consultation with the staff of the alternate delivery site.

(5) All staff at the alternate delivery site shall wear identification badges as set forth in G.S. 90-640.

(e) Services Limited to Prescription Pickup and Drop Off for the Pharmacy.

(1) At the alternate delivery site, a pharmacist or a certified technician employed by the pharmacy may personally deliver any drug, device, or medical equipment to the patient or the patient's agent, after that drug, device, or medical equipment has been previously dispensed by the pharmacy. All physical steps in the dispensing process (other than delivery to the patient) must occur at the pharmacy, including, but not limited to, filling and patient-specific labeling. No drugs, devices, or medical equipment may be maintained at the alternate delivery site, other than completed patient-specific labeled and previously dispensed drugs, devices, or medical equipment that have been transported from the pharmacy to the alternate delivery site to be delivered.

(2) At the alternate delivery site, a pharmacist or certified pharmacy technician who is an employee of the pharmacy may personally accept a written prescription from the patient or the patient's agent, so long as the prescription is then transmitted to the pharmacy so that all physical steps in the dispensing process may take place in the pharmacy. Patients or their agents may not leave prescriptions at the alternate delivery site, other than by personally delivering them to the pharmacist or certified pharmacy technician.

(f) Requirements for Use of Alternate Delivery Site.

(1) Before a pharmacy delivers drugs, devices, or medical equipment to a patient at an alternate delivery site, the pharmacy shall secure the affirmative consent of the patient to use the alternate delivery site. The pharmacy shall not require patients to pick up their prescriptions from an alternate delivery site, rather than at the pharmacy or through delivery mechanisms otherwise available at the pharmacy.

(2) To ensure appropriate coordination of patient care, the pharmacy shall notify the alternate delivery site of the anticipated arrival time of the transportation of the drug, device, or medical equipment to the alternate delivery site, the name of the patient for whom the drug, device or medical equipment was dispensed, and any special storage requirements.

(3) The hours of the alternate delivery site shall be reported to the Board, and the alternate delivery site shall be open during the hours that have been reported to the Board. Emergency closure of the alternate delivery site shall require the pharmacist-manager of the pharmacy to follow the procedures in Rule .2516 of this Chapter.

(4) The pharmacist or certified pharmacy technician at the alternate delivery site shall convey the pharmacy's offer to counsel a patient as required by Rule .2504 of this Chapter and shall provide the ability for the patient to have an immediate real-time consultation with a pharmacist licensed by this Board and employed by the pharmacy who has access to all of the pharmacy's information related to the patient. The communication link shall protect the confidentiality of the patient's information. A pharmacist who is responsible for counseling may not provide that service for more than three limited service permits simultaneously. A certified pharmacy technician staffing an alternate delivery site may not perform counseling of any sort.

(5) The alternate delivery site shall have real-time access to the pharmacy's information system and shall comply with all recordkeeping requirements for drugs, devices, and medical equipment delivered at the site.

(6) The pharmacist or certified pharmacy technician delivering drugs, devices, or medical equipment has the authority conferred by Rule .1817 of this Section with respect to proof of identification.

(7) Controlled substances may be delivered to an alternate delivery site only if permitted by state and federal controlled substances laws. If permitted, both the pharmacy and alternate delivery site shall comply with any federal and state controlled substance laws and rules, including but not limited to receiving any registrations that may be required for any alternate delivery site, before any controlled substances are delivered to any alternate delivery site. The pharmacist or certified pharmacy technician delivering drugs at the alternate delivery site must comply with G.S. 90-106.1 in delivering any drugs covered by that statute from an alternate delivery site and shall visually confirm that the person seeking the delivery is the same as the person on the photographic identification provided.

(8) The pharmacy shall retrieve any drugs, devices, or medical equipment not delivered to the patient within twenty-one days of being delivered to the alternate delivery site.

(9) Drugs, devices, or medical equipment that are not picked up by a patient may be returned to stock under the same conditions as if the item had been maintained in the pharmacy, as long as the requirements of this Rule for operating the alternate delivery site have been followed and the drugs, devices, or medical equipment can be returned to stock consistent with the public health, safety, and welfare.

(g) Safety and Security.

(1) The pharmacist-manager shall not deliver drugs, devices, or medical equipment to or at the alternate delivery site unless the pharmacist-manager is satisfied that drugs, devices, or medical equipment may be as safely and effectively stored and delivered at the alternate delivery site as in the pharmacy itself.

(2) Drugs, devices, or medical equipment delivered to the alternate delivery site shall be stored in a lockable room or lockable cabinet or other irremovable device. The lockable storage must remain locked at all times except when a drug, device, or medical equipment is being actively removed from storage. If prescriptions require special storage, such as refrigeration, those storage devices must be similarly secured. Access shall be restricted to the pharmacist or certified pharmacy technician who is personally delivering the prescriptions.

(3) The pharmacy shall ensure the transportation and storage of any drugs, devices, and medical equipment at temperatures, humidities, and other environmental conditions to ensure that they do not become adulterated under G.S. 106-133 and to ensure that they are transported and stored in accordance with manufacturer's specifications, if any, for those items.

(4) The pharmacy shall ensure that there is continuous, recorded video surveillance of the storage and delivery of drugs, devices, and medical equipment at the alternate delivery site. It shall maintain any recordings for a minimum of 90 days.

(h) Policies and Procedures: The pharmacy must develop and implement written policies and procedures to ensure that the requirements of the Pharmacy Practice Act, Article 4A of Chapter 90 of the General Statutes, and its rules and regulations are complied with at the alternate delivery site. These shall include:

(1) Tracking and maintaining the security of delivery of drugs, devices, and medical equipment between the pharmacy and the alternate delivery site.

(2) Maintaining the security of the alternate delivery site and the drugs, devices, and medical equipment at the alternate delivery site.

(3) Transporting and maintaining any drugs, devices, and medical equipment in the appropriate environmental conditions.

(4) Describing the assignment of responsibilities to, and training of, pharmacy personnel regarding the transportation, storage, and delivery procedures for the alternate delivery site.

(5) Offering to counsel and providing counseling at the alternate delivery site, including keeping records of offers to counsel.

(6) Orienting participating patients on use of the alternate delivery site; notifying patients when their dispensed prescription will be available at the alternate delivery site; and ensuring that use of the alternate delivery site does not interfere with the delivery of drugs, devices, and medical equipment to patients.

(7) Keeping records of the delivery of drugs, devices, and medical equipment to patients at the alternative delivery site.

(8) Returning to the pharmacy any drugs, devices, or medical equipment that are not delivered to the patient.

(9) Assuring confidentiality of patient information.

(10) Inspecting the alternate delivery site during each required inspection.

This written manual of policies and procedures shall be maintained both in the pharmacy and at the alternate delivery site. The manual shall be reviewed and updated annually.

(i) The pharmacy shall record and review any incident involving a complaint, delivery error, or omission regarding an alternate delivery site as part of the pharmacy's quality assurance program.

(j) This Rule does not prohibit the use of other delivery methods set forth in Rule .1821(b)(1) of this Section, which are exclusive.

History

• Authority G.S. 90-85.6; 90-85.15A; 90-85.21; 90-85.21A; 90-85.26
• Eff. September 1, 2026.

21 NCAC 46 .1901 Definition

For use in the discharge of the statutory duties of the Board, it has adopted certain official forms which are described in this Section. Forms referred to in this Chapter are those forms described in this Section, and are available from the Board's office.

History

• Authority G.S. 90-85.6
• Eff. April 1, 1983
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1902 Application for Pharmacist's License

History

• Status: expired
• Authority G.S. 90-85.6; 90-85.15
• Eff. April 1, 1983
• Amended Eff. May 1, 1989
• Expired Eff. November 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 46 .1903 Application for Pharmacy Permit

History

• Status: expired
• Authority G.S. 90-85.6; 90-85.15
• Eff. April 1, 1983
• Amended Eff. May 1, 1989
• Expired Eff. November 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 46 .1904 Renewal of Pharmacist's License

The form for application for renewal of a pharmacist's license is entitled "Pharmacist License Annual Renewal Notice," and must be completed and returned to the Board yearly for those individuals who desire to continue their license to practice pharmacy. This form requests updated information on the registrant's activity, nature of practice, and other matters.

History

• Authority G.S. 90-85.6; 90-85.17
• Eff. April 1, 1983
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1905 Replacement of Certificates

The form for application for replacement of certificates is entitled "Order for Certificate of Registration." In addition to the ordinary identification information, this form requires the completion of an affidavit describing the loss or destruction of the original certificate.

History

• Authority G.S. 90-85.6
• Eff. April 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1906 Reciprocity Data Questionnaire

The form for application to initiate reciprocity procedures is entitled "Reciprocity Data Questionnaire" and begins the process of reciprocating a pharmacist's license to North Carolina from another state. Along with the usual identification material, it requests information on education, experience, and other activities necessary to determine the person's eligibility to reciprocate.

History

• Authority G.S. 90-85.6; 90-85.20
• Eff. April 1, 1983
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1907 Application for Reciprocity

Following receipt from the applicant for reciprocity of the Data Questionnaire, the form for application for reciprocity, entitled "Preliminary Application for Reciprocal Licensure," will be mailed to the applicant by the Board to facilitate reciprocity through the National Association of Boards of Pharmacy. The form is printed by the National Association of Boards of Pharmacy and is distributed as a service to applicants by the North Carolina Board.

History

• Authority G.S. 90-85.6; 90-85.20
• Eff. April 1, 1983
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1908 Registration for Practical Pharmacy Training

The form for registration for practical pharmacy training is entitled "Application for Registration in Pharmacy Training Program." This form must be completed by individuals at the beginning of the training necessary to be eligible for examination for licensure. Information requested includes identification, education, experience, supervising personnel, and location, along with approximate hours of training per week.

History

• Authority G.S. 90-85.6; 90-85.15
• Eff. April 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1909 Practical Pharmacy Experience

The form for certification of experience in North Carolina is entitled "Practical Pharmacy Experience Affidavit," and is used to certify training in North Carolina. This form requires information necessary to certify the hours completed and the preceptor responsible for training.

History

• Authority G.S. 90-85.6; 90-85.15
• Eff. April 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .1910 Certificate of Experience Outside North Carolina

History

• Status: repealed
• Authority G.S. 90-85.6; 90-85.15
• Eff. April 1, 1983
• Amended Eff. May 1, 1989
• Repealed Eff. July 1, 1996.

21 NCAC 46 .1911 Certificate of Graduation

History

• Status: expired
• Authority G.S. 90-85.6; 90-85.15
• Eff. April 1, 1983
• Amended Eff. May 1, 1989
• Expired Eff. November 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 46 .1912 Application for Registration as a Dispensing Physician

History

• Status: expired
• Authority G.S. 90-85.6; 90-85.21; 90-85.22
• Eff. February 1, 1991
• Expired Eff. November 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 46 .1913 Application for Device Dispensing Permit

History

• Status: expired
• Authority G.S. 90-85.6; 90-85.21; 90-85.22
• Eff. February 1, 1991
• Expired Eff. November 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 46 .2001 Filing and Service

(a) Parties shall file all papers provided for in this Section with the Board, either before service or within five days after service. The Board shall consider a paper to be filed when the Board actually receives it. Parties shall direct filings to the Enforcement Manager, North Carolina Board of Pharmacy, 6015 Farrington Road, Suite 201, Chapel Hill, North Carolina 27517.

(b) In addition to filing all papers with the Board, the Board and other parties shall serve all papers as follows:

(1) The Board shall serve a notice of hearing under Rule .2006 of this Section on all parties by any method for service of process permitted by G.S. 150B-38(c).

(2) Parties shall serve subpoenas under Rule .2013 of this Section by any method for service permitted by G.S. 150B-39(c). While investigating, preparing for, or during a contested case, among others who are authorized to serve subpoenas, Board staff may serve subpoenas on behalf of the Board, pursuant to G.S. 1A-1, Rule 45.

(3) Parties shall serve all other papers in the contested case on all parties, including counsel to the Board, by any method for service permitted by G.S. 1A-1, Rule 5.

(4) The Board shall serve all its orders by any method for service permitted by G.S. 150B-42(a).

History

• Authority G.S. 90-85.6; 90-85.38; 150B-38; 150B-39; 150B-40; 150B-41; 150B-42
• Eff. April 1, 1983
• Amended Eff. October 1, 1990; May 1, 1989; July 1, 1988; March 1, 1987
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. March 1, 2024; August 1, 2020.

21 NCAC 46 .2002 Rules and Regulations Severable

History

• Status: repealed
• Authority G.S. 90-85.6; 150A-11; 150A-14
• Eff. April 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 46 .2003 Rule-Making

History

• Status: repealed
• Authority G.S. 90-85.6; 150A-11; 150A-14
• Eff. April 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 46 .2004 Request for Hearing

(a) A person aggrieved by a Board administrative action who has not received a notice of hearing from the Board may file a request for a hearing.

(b) The request for hearing shall contain the following information:

(1) the petitioner's name and address;

(2) a short and plain statement of the Board action that the petitioner challenges;

(3) a short and plain statement of the way in which the petitioner has been aggrieved; and

(4) an explicit statement of request for a hearing.

(c) In order to preserve a person's rights with respect to a Board action, the person shall file a request for hearing with the Board within 60 days after the person receives notice of the Board action that the person challenges.

History

• Authority G.S. 90-85.6; 150B-38
• Eff. September 1, 1988
• Amended Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. August 1, 2020.

21 NCAC 46 .2005 Granting or Denying Hearing Request

(a) The Board shall grant a request for a hearing if it determines that the petitioner is a "person aggrieved" within the meaning of G.S. 150B-2(6). The Board shall provide notice of the time and place for the hearing. If the party fails to appear, the Board may deny the party's request for failure to prosecute it or may proceed to hear the matter in the party's absence.

(b) If the Board determines the petitioner is not a person aggrieved, the Board shall issue a denial that shall constitute a final agency decision.

History

• Authority G.S. 90-85.6; 150B-38; 150B-40; 150B-42
• Eff. July 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. August 1, 2020.

21 NCAC 46 .2006 Notice of Hearing

(a) Before imposing final discipline under G.S. 90-85.38 on a person who holds a license, registration, permit, or other privilege issued by the Board, the Board shall file and serve a notice of hearing pursuant to G.S. 150B-38(b).

(b) A party who has been served with a notice of hearing may file and mail to all other parties a written response not less than 10 days before the date set for the hearing. If the party wishes to submit this written response instead of personally appearing at the hearing, the party shall state that desire in the written response, and the Board shall consider the written response in lieu of a personal appearance.

(c) If a party who has been served with a notice of hearing neither appears pursuant to the notice nor files and serves a written response as set out in Paragraph (b) of this Rule, the Board shall rule the party to be in default and the allegations of the notice admitted. The Board may enter a final agency decision by default granting any relief available to the Board.

(d) If the Board determines that the public health, safety, or welfare requires action, it may summarily suspend a license, registration, permit, or other privilege granted by the Board. Upon service of the order, the licensee, registrant, or permit holder to whom the order is directed shall immediately stop practicing pharmacy and stop dispensing devices and medical equipment in North Carolina. Failure to receive the order shall not invalidate the order. The suspension shall remain in effect pending a final agency decision pursuant to G.S. 150B-42. However, pursuant to Rules .2004 and .2005 of this Section, a person subject to a summary suspension may request a hearing on whether the public health, safety, or welfare permits terminating or modifying the terms of the summary suspension pending a final agency decision. Neither an order of summary suspension nor a decision on whether the summary suspension order shall be terminated or modified is a final agency decision.

History

• Authority G.S. 90-85.6; 90-85.12; 90-85.38; 150B-3; 150B-38; 150B-40; 150B-42
• Eff. July 1, 1988
• Amended Eff. September 1, 1995; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. August 1, 2020.

21 NCAC 46 .2007 Who Shall Hear Contested Cases

(a) A majority of the Board shall conduct all hearings, as set forth in G.S. 150B-40(b), except as provided in G.S. 150B-40(e).

(b) The Board President shall be the presiding officer at any hearing, unless the President is disqualified, absent, or otherwise determines that he or she is unable to serve in that capacity. In the event that the President does not preside, the Board Vice President shall be the presiding officer at any hearing, unless the Vice President is disqualified, absent, or otherwise determines that he or she is unable to serve in that capacity. In the event that neither the President nor the Vice President preside, the Board shall designate another presiding officer. The presiding officer shall have all duties and powers set forth in G.S. 150B-40(c).

History

• Authority G.S. 90-85.6; 90-85.12; 150B-38; 150B-40
• Eff. July 1, 1988
• Amended Eff. September 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. August 1, 2020.

21 NCAC 46 .2008 Informal Procedures

(a) Before issuing a notice of hearing, the Board may conduct one or more conferences in which a member of the Board and the party or parties meet to consider the possibility of resolving the dispute or any other matter as may aid in the disposition of the dispute. The member of the Board may direct one or more of the following dispositions:

(1) Submission to the Board with a recommendation to dismiss with no action;

(2) Submission to the Board with a recommendation that Board staff provide informal guidance to resolve the dispute;

(3) Submission to the Board with a recommendation to resolve the dispute or to expedite the hearing by consent order; or

(4) Scheduling, with appropriate notice, for contested case hearing.

The Board must approve all recommendations under Subparagraphs (1), (2) and (3) of this Paragraph. The Board member who participated in the conference may participate in Board discussions concerning any recommendation made but may not vote upon the recommendation. The Board member who participated in the conference shall disqualify himself or herself in accordance with Rule .2011 of this Section from participation in any hearing or decision in the matter discussed in the conference if the matter results in a contested case hearing before the Board.

(b) The Board and the party or parties may agree to simplify the hearing by stipulation or any other method provided by G.S. 150B-41(c).

History

• Authority G.S. 90-85.6; 150B-38; 150B-39; 150B-40; 150B-41; 150B-42
• Eff. July 1, 1988
• Amended Eff. April 1, 2001; September 1, 1995; October 1, 1990; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. August 1, 2020.

21 NCAC 46 .2009 Motions

Except as otherwise provided in this Section, parties must file and serve motions related to a contested case at least ten days before the hearing, except those made during the hearing. The presiding officer may decide to hear pre-hearing motions either before the hearing or at the hearing before witnesses testify.

History

• Authority G.S. 90-85.6; 150B-38; 150B-39; 150B-40; 150B-41
• Eff. July 1, 1988
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. August 1, 2020.

21 NCAC 46 .2010 Types of Intervention

History

• Status: repealed
• Authority G.S. 90-85.6; 150B-38
• Eff. July 1, 1988
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Repealed Eff. August 1, 2020.

21 NCAC 46 .2011 Disqualification of Board Members

(a) If a Board member determines that personal bias or other reason for that Board member's disqualification exists in a contested case, that Board member shall decline to participate in the hearing or decision.

(b) If any party in a contested case, in good faith, has evidence that a Board member is personally biased or another reason for disqualification exists, the party may file and serve a motion for disqualification, which must be supported by a sworn, notarized affidavit testifying to the facts relevant to disqualification.

(c) Ex parte communication by or on behalf of a party with a Board member about the facts of a case at any time during either the investigation or prosecution of potential violations shall be grounds for disqualification of that Board member, other than communications by Board counsel and staff during the course of seeking a summary suspension or communications during any other proceeding before the Board. Before a hearing begins, or during the hearing, if applicable, both the Board member and the party must disclose the communications between the Board member and a party about the facts of the case to the Board and to the parties.

(d) A party may file and serve a motion for disqualification less than ten days before or during a hearing only when based on newly discovered evidence that by due diligence could not have been discovered in time to file a timely motion. Under these circumstances, the hearing shall continue with the challenged Board member sitting.

(e) The Board shall decide whether the evidence requires disqualification before it renders the final agency decision in the contested case. The decision about the disqualification of a Board member shall be made by the other Board members. The Board is not required to grant a new hearing if a Board member is disqualified during the course of a hearing.

(f) The presiding officer may determine the method of resolving the motion for disqualification in the presiding officer's discretion under G.S. 150B-40. This may include the authority to direct that the Board's Executive Director oversee an investigation of the allegations and report the findings to the Board.

(g) In the event of disqualification, the disqualified member shall not participate in further deliberation or decision of the case but may be called on to furnish information to the other members of the Board.

(h) If three or more members of the Board are disqualified pursuant to this Rule, the Board shall petition the Office of Administrative Hearings to appoint an administrative law judge to hear the contested case pursuant to G.S. 150B-40(e).

History

• Authority G.S. 90-85.6; 150B-38; 150B-39; 150B-40; 150B-41
• Eff. July 1, 1988
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. August 1, 2020.

21 NCAC 46 .2013 Subpoenas

(a) A party shall file and serve a request for a subpoena, attaching a proposed subpoena. A form of subpoena is available on the Board's website at ncbop.org/lawandrules.htm. The Board may issue the subpoena in accordance with G.S. 150B-39(c). Subpoenas must be issued and signed by the Presiding Officer, the Board's Executive Director, the Board's legal counsel, or a Board staff member designated by the Executive Director.

(b) The party shall serve the subpoena along with the fees and expenses required by G.S. 150B-39(c).

(c) After service of the subpoena, the party serving the subpoena shall file and serve sworn proof of the method of service, demonstrating compliance with G.S. 150B-39(c).

(d) G.S. 150B-39(c) governs the recipients' duties in responding to subpoenas. A party to the case or person subject to the subpoena may object to a subpoena by filing a motion to quash. The movant shall file and serve the motion to quash within 10 days of service of the subpoena or seven days before the contested case hearing, whichever is sooner. The Board shall hear and rule on objections as provided in G.S. 150B-39(c).

History

• Authority G.S. 90-85.6; 150B-38; 150B-39; 150B-40
• Eff. September 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. August 1, 2020.

21 NCAC 46 .2014 Witnesses

All testimony at the hearing shall be under oath or affirmation and shall be recorded. The presiding officer may exclude witnesses from the hearing room so that they cannot hear the testimony of other witnesses.

History

• Authority G.S. 90-85.6; 150B-38; 150B-39; 150B-40; 150B-41; 150B-42
• Eff. July 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. August 1, 2020.

21 NCAC 46 .2015 Final Decision

In a contested case, the Board shall issue a final agency decision in compliance with G.S. 150B-42. All final agency decisions shall be drafted by Board staff or Board counsel and presented to the presiding officer. In the event that the presiding officer determines that the drafted order does not reflect the Board's findings of fact, conclusions of law, or ruling, the presiding officer shall revise the drafted order to reflect the Board's decision.

History

• Authority G.S. 90-85.6; 90-85.38; 150B-3; 150B-38; 150B-40; 150B-41; 150B-42
• Eff. July 1, 1988
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. August 1, 2020.

21 NCAC 46 .2016 Proposals for Decisions

(a) When an administrative law judge conducts a hearing pursuant to G.S. 150B-40(e), that statute governs the procedures before the administrative law judge.

(b) Within 10 days after the proposal for decision is served on the parties under G.S. 150B-40(e), a party may file and serve written exceptions to this proposal for decision and submit its own proposed findings of fact and conclusions of law. The party shall explicitly state what exceptions are taken to the decision or procedure and what relief the party seeks. Exceptions must refer to pages of the record or otherwise identify the occurrence to which the party takes exception. Each proposed finding of fact shall refer to pages of the record or otherwise identify the evidence supporting the proposed finding, and each proposed conclusion of law must refer to or otherwise identify both the findings of fact and legal support for the proposed conclusion. A party may file and serve written arguments along with the exceptions and proposed findings of fact and conclusions of law.

(c) A party may ask to present oral argument to the Board. The party must file and serve the request with the written submissions under Paragraph (b) of this Rule. If a party requests oral argument, the Board will notice the time and place for such oral argument. The presiding officer may set the terms of oral argument, including order of argument and time limitations.

(d) After the procedures set forth in this Section, the Board will issue a final agency decision in accordance with Rule .2015 of this Section.

History

• Authority G.S. 90-85.6; 150B-38; 150B-40; 150B-41; 150B-42
• Eff. July 1, 1988
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. August 1, 2020.

21 NCAC 46 .2017 Reapplications, Reinstatement, Rehearing, and Reconsideration

(a) The following terms govern reapplication, reinstatement, rehearing, and other reconsideration requests from a final agency decision, unless otherwise expressly provided in that final agency decision:

(1) No individual who holds a license, registration, or other privilege from the Board who has that license, registration, or other privilege either revoked or actively suspended indefinitely or for more than five years may petition for reinstatement, to have the revocation or suspended lifted, for reconsideration or rehearing, or otherwise for modification or rescinding the order, until at least five years from the effective date of the revocation or suspension.

(2) No individual who has had an application for a license, registration, or other privilege from the Board denied may submit another application or petition for reconsideration or rehearing or otherwise for modification or rescinding the denial, until at least two years from the date of the most recent application that the Board denied. At that time, the individual must submit a new application for the Board to consider.

(3) No permit holder who has had that permit either revoked or actively suspended indefinitely or for more than five years may submit another application or petition for reinstatement, to have the revocation or suspended lifted, for reconsideration or rehearing, or otherwise for modification or rescinding the order, until at least five years from the effective date of the revocation or suspension.

(4) No proposed permit holder who has had an application for a permit denied may submit another application for a permit or petition for reconsideration or rehearing or otherwise for modification or rescinding the denial, until at least two years from the date of the most recent application that was denied. At that time, the proposed permit holder must submit a new application for the Board to consider.

(5) If any license, registration, permit, or any other privilege is subject to a stayed suspension or an active suspension for a period of five years or shorter, the person holding that privilege may not submit another application, or petition for reinstatement, to have the suspension lifted, for reconsideration or rehearing, or otherwise for modification or rescinding the order, before the conclusion of that suspension.

(6) For the purposes of Subparagraphs (3), (4), and (5) of this Paragraph, the Board shall treat a permit holder or proposed permit holder the same as a prior permit holder or proposed permit holder if either of the following two conditions is true:

(A) the permit holder or proposed permit holder has the same pharmacy manager and there is more than 10 percent common ownership as the prior permit holder or proposed permit holder; or

(B) the permit holder or proposed permit holder has 50 percent or more common ownership as the prior permit holder or proposed permit holder.

To determine common ownership under this Rule, the Board shall consider business entities to be identical to other business entities if there is more than a 50 percent common ownership. Furthermore, to determine common ownership under this Rule, the Board shall combine the interests of individuals with the interests of any business entities in which the individuals have more than a 10 percent interest, as well as with the interests of individuals in the same family.

(b) The Board may alter the terms provided in Paragraph (a) of this Rule, after applying the facts and circumstances of the matter and its application of the disciplinary provision in G.S. 90-85.38. Unless the Board expressly modifies these terms in the final agency decision, the terms of Paragraph (a) of this Rule apply to that decision.

(c) If a person submits a petition or application that does not meet the requirements set forth in this Rule, the Executive Director shall not schedule any hearing on the petition or application before the Board until the limits set forth in this Rule are satisfied.

(d) Upon a petition for reinstatement or to submit a new application permitted under this Rule, the Board will grant or reinstate a license, registration, permit, or other privilege only after a finding that the grant or reinstatement is appropriate under the Pharmacy Practice Act and the Board's rules and regulations. In making that decision, the Board will consider the gravity of the misconduct that caused the denial, suspension, or revocation; the applicant's history; the applicant's current ability to practice pharmacy with reasonable skill, competence, and safety to the public; and the applicant's conduct since the order of denial, suspension, or revocation.

History

• Authority G.S. 90-85.6; 90-85.38; 150B-38; 150B-40; 150B-42
• Eff. August 1, 2020.

21 NCAC 46 .2101 Board of Pharmacy Elections: Composition and Duties

History

• Status: repealed
• Authority G.S. 90-85.7
• Eff. April 1, 1983
• Repealed Eff. May 1, 1989.

21 NCAC 46 .2102 Eligibility to Vote

Eligible voters for Board members shall be the pharmacists licensed in North Carolina and residing in North Carolina on October 31 of the year the election begins.

History

• Authority G.S. 90-85.7; 90-85.22
• Eff. April 1, 1983
• Amended Eff. May 1, 2017; September 1, 1995; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. April 1, 2020.

21 NCAC 46 .2103 Geographic Representations

Pharmacist members of the Board shall be elected from five geographic areas of the state. These five geographic areas are:

(1) The Western District, consisting of Alexander, Alleghany, Ashe, Avery, Buncombe, Burke, Caldwell, Catawba, Cherokee, Clay, Cleveland, Gaston, Graham, Haywood, Henderson, Jackson, Lincoln, Macon, Madison, McDowell, Mitchell, Polk, Rutherford, Swain, Transylvania, Watauga, Wilkes and Yancey Counties;

(2) The Northern District, consisting of Alamance, Caswell, Forsyth, Guilford, Orange, Person, Rockingham, Stokes, Surry and Yadkin Counties;

(3) The Central District, consisting of Anson, Cabarrus, Chatham, Davidson, Davie, Iredell, Lee, Mecklenburg, Montgomery, Moore, Randolph, Richmond, Rowan, Stanly and Union Counties;

(4) The Northeastern District, consisting of Bertie, Camden, Chowan, Currituck, Dare, Durham, Edgecombe, Franklin, Gates, Granville, Halifax, Hertford, Hyde, Martin, Nash, Northampton, Pasquotank, Perquimans, Tyrell, Vance, Wake, Warren, Washington and Wilson Counties; and

(5) The Southeastern District, consisting of Beaufort, Bladen, Brunswick, Carteret, Columbus, Craven, Cumberland, Duplin, Greene, Harnett, Hoke, Johnston, Jones, Lenoir, New Hanover, Onslow, Pamlico, Pender, Pitt, Robeson, Sampson, Scotland and Wayne Counties.

History

• Authority G.S. 90-85.7
• Eff. April 1, 1983
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2104 Committee on Nominations

In the event that no eligible candidates have petitioned for nomination, the Board may appoint an advisory committee on nominations in September of each year that an election for Board position(s) begins. Members of this committee shall submit at least two names of eligible candidates for each position to be filled on the Board by October 1 for the next election.

History

• Authority G.S. 90-85.7
• Eff. April 1, 1983
• Amended Eff. May 1, 2017; July 1, 1996; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. April 1, 2020.

21 NCAC 46 .2105 Nomination by Petition

Nominations may also be made by the petition of 10 eligible voters from a geographic area as specified in Rule .2103 of this Section. Any petition shall be filed in the Board office or postmarked before October 1 for the next election.

History

• Authority G.S. 90-85.7
• Legislative Objection Lodged Eff. March 29, 1983
• Eff. April 1, 1983
• Curative Eff. April 1, 1983
• Amended Eff. May 1, 2017; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2106 Consent to Nomination

A person's name shall not be placed on the ballot without their written consent.

History

• Authority G.S. 90-85.7
• Eff. April 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2107 Ballots: Casting and Counting

(a) The ballot casting period for each election for a Board position shall begin on the November 1 six months prior to the expiration of a Board member's five-year term of office and shall conclude the March 1 after the ballot casting period begins.

(b) The Board shall provide access to an electronic ballot to all eligible voters on November 1 of each year that an election for Board position(s) begins.

(c) A description of a nominee's qualifications shall be accessible to all eligible voters.

(d) On or before the March 1 that the ballot casting period ends, all ballots shall be cast electronically.

(e) Ballots received shall be counted and certified by the Board of Pharmacy at the next regularly scheduled Board meeting following an election or at a special Board meeting called and noticed for the purpose of counting and certifying the ballots cast. The Board of Pharmacy shall determine the validity of any challenged ballot, and electronic or mechanical devices may be used in compiling election results. No person standing for election may participate in the counting and certification of ballots for the election involving that person.

(f) If, by operation of Rule .2108 of this Section, a candidate is eligible to request a run-off election, that candidate must provide a request for a run-off, in writing to the Board's Executive Director within one week of the date that the Board certifies the election results. The run-off election shall begin one week from the date that the eligible candidate requests the run-off election and the ballot casting period shall be open for two weeks. With the exception of ballot casting period dates, a run-off election shall follow the same procedures described in this Rule.

(g) The Executive Director shall convey the certified election results to the Governor.

History

• Authority G.S. 90-85.7
• Eff. April 1, 1983
• Amended Eff. May 1, 2017; January 1, 2009; April 1, 2003
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2108 Determination of Election Results

The determination of election results under this Section shall be in accordance with G.S. 163-111(a)(1) and (b)(1). A copy of G.S. 163-111 is available at www.ncleg.gov.

History

• Authority G.S. 90-85.7
• Eff. March 1, 1991
• Amended Eff. May 1, 2017; December 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. March 1, 2025.

21 NCAC 46 .2109 Device and Medical Equipment Committee Representatives

History

• Status: repealed
• Authority G.S. 90-85.6; 90-85.22
• Eff. September 1, 1995
• Amended Eff. April 1, 2003
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Repealed Eff. April 1, 2020.

21 NCAC 46 .2201 Hours: Records: Providers: Correspondence: Reciprocity

(a) As a condition of license renewal, a pharmacist shall accumulate 15 hours of continuing education annually.

(b) Five of these continuing education hours shall be obtained through contact programs. Contact programs are those in which there is an opportunity for live two-way communication between the presenter and attendee. An online continuing education course may satisfy this contact-hour requirement provided that the continuing education course includes live two-way communication between the presenter and attendee.

(c) A pharmacist who accumulates more than the required 15 hours of continuing education in a single year may carry forward up to five surplus hours to be applied to the following year's continuing education requirements.

(d) A pharmacist shall preserve all continuing education records for three years. If a continuing education provider approved in Paragraph (f) of this Rule maintains an electronic database of all pharmacists granted continuing education credits accredited by the provider, then the storage of that information in the provider's database shall be deemed to satisfy the pharmacist's recordkeeping requirement.

(e) Upon license renewal, the pharmacist shall report continuing education hours through the Board's online license renewal portal. The Board shall require a pharmacist to submit records, reports of accredited hours and certificates of credit as part of any continuing education audit.

(f) All continuing education shall be obtained through continuing education courses accredited by the Accreditation Council for Pharmacy Education or the North Carolina Association of Pharmacists. Pharmacists may also acquire five hours continuing education credit for precepting, for at least 160 hours, a student enrolled in the University of North Carolina Eshelman School of Pharmacy, the Campbell University College of Pharmacy and Health Sciences, the Wingate University School of Pharmacy, or the High Point University Fred Wilson School of Pharmacy as part of these schools' academic program.

(g) A pharmacist shall be exempt from the requirements of this Rule if:

(1) The pharmacist is eligible for a waiver of continuing education requirements under 21 NCAC 46 .1613; or

(2) For the entire year preceding license renewal, the pharmacist resided in another state, did not practice pharmacy in North Carolina, and satisfied the state of residence's continuing education requirements for pharmacist licensure. For the purposes of this Rule, a pharmacist's residence is determined by where the individual is a resident for state income tax purposes under G.S. 105-153.3(15).

(h) Continuing education shall not serve as a barrier to reciprocity; however, all licensees by reciprocity shall observe the continuing education standards specified in Paragraphs (a), (b), (c), (d), (e), (f), and (g) of this Rule within the first renewal period after licensure in this state.

History

• Authority G.S. 90-85.6; 90-85.17; 90-85.18
• Eff. January 1, 1985
• Amended Eff. January 1, 2008; April 1, 2005; August 1, 2004; August 1, 1998; September 1, 1993; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. August 1, 2024; January 1, 2018.

21 NCAC 46 .2301 Prescription: Drug Order Requirements

(a) Prescription orders shall include, but not be limited to:

(1) date of issuance;

(2) name and address of patient;

(3) name, address and telephone number of prescriber except that indication of the name of the prescriber is sufficient if a data file specified in (b) of this Rule is current and in effect;

(4) Drug Enforcement Agency (DEA) number of prescriber in the case of controlled substances;

(5) name, strength, dosage form and quantity of drug prescribed;

(6) refills if authorized or, in institutions, the stop date;

(7) route of administration of drug prescribed; and

(8) directions for use.

(b) Information in Subparagraphs (a)(2), (a)(3), (a)(4), (a)(6) and (a)(7) may be stored in a readily retrievable data file specifically compiled for use in the pharmacy, which is not a commercial publication, in lieu of the requirements of the named Subparagraphs.

History

• Authority G.S. 90-85.6(a); 90-85.32; 90-106(h)
• Eff. December 31, 1985
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2302 Records of Dispensing

(a) Records of dispensing for original and refill prescriptions shall be made and kept by pharmacies for three years and shall include:

(1) the quantity dispensed, if the quantity of the refill is different than the quantity of the original;

(2) the date of dispensing;

(3) the serial number (or equivalent in an institution);

(4) the identification of the pharmacist responsible for dispensing; and

(5) records of refills to date.

(b) Records in institutional pharmacies may be made and kept as part of the patient's medical record.

History

• Authority G.S. 90-85.6(a); 90-85.26; 90-85.30; 90-85.35; 90-106(h)
• Eff. December 31, 1985
• Amended Eff. March 1, 2013; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2303 Records of Prescription Filling and Refilling

In a pharmacy with a manual system of recordkeeping of prescription filling and refilling, the dispensing pharmacist shall indicate by date and initial the filling or refilling of a prescription on the document. In a pharmacy with an automated data processing system as provided in Rule .2304 of this Section, a designation of the dispensing pharmacist filling or refilling each prescription is required as provided in Rule .2304 of this Section. Information must be kept for three years. This does not preclude the use of unlicensed personnel entering information in a data system provided that supervision is maintained pursuant to Board rules.

History

• Authority G.S. 90-85.6(a); 90-85.26; 90-85.32
• Eff. December 31, 1985
• Amended Eff. March 1, 2013; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2304 Automated Data Processing Systems

An automated data processing system may be employed as a record-keeping system in a pharmacy if the following conditions are met:

(1) The system has the capability of producing sight-readable documents of all original and refilled prescription information. The term "sight-readable" means that a regulatory agent is able to examine the record and read the information. In administrative proceedings before the Board, records must be provided in a readable paper printout form.

(2) Information includes the prescription requirements and records of dispensing as indicated in Rules .2301 and .2302 of this Section.

(3) The individual pharmacist responsible for completeness and accuracy of the entries to the system provides documentation of the fact that prescription information entered into the computer is correct.

(4) Documentation in Item (3) of this Rule is provided in the pharmacy within 72 hours of date of dispensing.

(5) An auxiliary recordkeeping system is established for the documentation of refills if the automated data processing system is inoperative for any reason. When the automated data processing system is restored to operation, the information regarding prescriptions filled, refilled or transferred during the inoperative period shall be entered into the automated data processing system within the time equal to the number of inoperative days times three; for example, if the system were inoperative for five days then all interim data shall be entered within 15 days of the last inoperative day. However, nothing in this Item precludes the pharmacist from using professional judgment for the benefit of a patient's health and safety. The auxiliary record keeping system shall be backed up at least weekly.

(6) The pharmacy makes arrangements with the supplier of data processing services or materials to assure that the pharmacy continues to have adequate and complete prescription and dispensing records if the relationship with the supplier is terminated for any reason. A pharmacy shall assure continuity in the maintenance of records.

(7) A current version of drug interactions software is used and policies and procedures are established to address overriding the software's alerts of any drug interactions.

History

• Authority G.S. 90-85.6(a); 90-85.26; 90-85.32; 90-107
• Eff. December 31, 1985
• Amended Eff. March 1, 2013; April 1, 1999; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2305 Security

To maintain the confidentiality of patients' prescription orders, there must exist adequate safeguards or security of the records.

History

• Authority G.S. 90-85.6(a); 90-85.36
• Eff. December 31, 1985
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2401 Medication in Health Departments

A registered nurse employed by a local health department may dispense prescription drugs or devices under the following conditions:

(1) Drugs or devices may be dispensed only to health department patients, with the exception of:

(a) opioid antagonists, which may be dispensed either to health department patients or to others as permitted by G.S. 90-12.7; and

(b) epinephrine auto-injectors, which may be dispensed either to health department patients or to school personnel as permitted by G.S. 115C-375.2A;

(2) No drugs or devices may by dispensed except at health department clinics;

(3) The health department shall secure the services of a pharmacist-manager who shall be responsible for compliance with all statutes, rules, and regulations governing the practice of pharmacy and dispensing of drugs at the health department;

(4) Only the general categories of drugs or devices listed in Rule .2403 of this Section may be dispensed by a health department registered nurse; and

(5) All drugs or devices dispensed pursuant to G.S. 90-85.34A and the rules of this Section shall be packaged, labeled, and otherwise dispensed in compliance with state and federal law, and records of dispensing shall be kept in compliance with state and federal law. The pharmacist-manager shall verify the accuracy of the records at least weekly, and where health department personnel dispense to 30 or more patients in a 24-hour period per dispensing site, the pharmacist-manager shall verify the accuracy of the records within 24 hours after dispensing occurs.

History

• Authority G.S. 90-12.7; 90-85.6; 90-85.34A; 115C-375.2A
• Eff. March 1, 1987
• Amended Eff. September 1, 2016; January 1, 2015; August 1, 2014; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2402 Training of Health Department Nurses

(a) No registered nurse may dispense drugs or devices or perform any duties pursuant to G.S. 90-85.34A prior to satisfactory completion of training acceptable to the Board. The Board may require registered nurses to complete additional training regarding substantive changes in the law governing labelling and packaging of prescription drugs and devices.

(b) Proposed curricula for initial training for registered nurses secured by health departments must be submitted to the Board for its approval no later than 60 days prior to the date training is to commence. No registered nurses may be enrolled in any such proposed training course until written Board approval is obtained. Initial training must include, but need not be limited to, instruction in labelling and packaging of prescription drugs and devices.

(c) Written proposals shall be sent to the Board's offices, and shall include the following information:

(1) description of topics or courses to be covered;

(2) instructor for each topic or course, and his or her qualifications and credentials;

(3) anticipated duration of each topic or course.

History

• Authority G.S. 90-85.6; 90-85.34A
• Eff. March 1, 1987
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2403 Drugs and Devices to Be Dispensed

History

• Status: repealed
• Authority G.S. 90-12.7; 90-85.6; 90-85.34A; 115C-375.2A
• Eff. March 1, 1987
• Amended Eff. September 1, 2016; January 1, 2015; August 1, 2014; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. March 1, 2019
• Repealed Eff. October 1, 2022.

21 NCAC 46 .2501 Supervision

In order to properly exercise the supervision of unlicensed personnel required by these rules, the responsible pharmacist must physically review the prescription order and the dispensed product before the product is delivered to the patient or person acting on the patient's behalf.

History

• Authority G.S. 90-85.6; 90-85.40(a)
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2502 Responsibilities of Pharmacist-Manager

(a) The pharmacist-manager shall assure that prescription legend drugs and controlled substances are safe and secure within the pharmacy.

(b) Except as expressly provided in Rule .1616 of this Chapter, the pharmacist-manager employed or otherwise engaged to supply pharmaceutical services may have a flexible schedule of attendance but shall be present for at least one-half the hours the pharmacy is open or 32 hours a week, whichever is less. A pharmacist employee not meeting this requirement may serve as temporary pharmacist-manager of the permit holder for a period not to exceed 90 days from the departure date of the previous pharmacist-manager, if the pharmacist employee is present at least 20 hours per week in the pharmacy. A pharmacy may not operate for a period of more than 30 days without a pharmacist employed or otherwise engaged as a permanent or temporary pharmacist-manager who has signed the permit for that pharmacy.

(c) Whenever a change of ownership or change of pharmacist-manager occurs, the successor pharmacist-manager shall complete an inventory of all controlled substances in the pharmacy within 10 days. A written record of the inventory, signed and dated by the successor pharmacist-manager, shall be maintained in the pharmacy with other controlled substances records for a period of three years.

(d) The pharmacist-manager shall develop and implement a system of inventory record-keeping and control that will enable that pharmacist-manager to detect any shortage or discrepancy in the inventories of controlled substances at that pharmacy at the earliest practicable time.

(e) The pharmacist-manager shall maintain authority and control over all access to the pharmacy and shall be responsible for the security of the pharmacy. Except as provided in Rules .1413(c) and .1616(c)(1) and (2) of this Chapter, a pharmacist must be present at both the opening and closing of the pharmacy. If no pharmacist will be present in the pharmacy for a period of 90 minutes or more between the opening and closing of the pharmacy, the pharmacy shall be secured to prohibit unauthorized entry.

(f) These duties shall be in addition to the duties of pharmacist-managers as set forth in the other rules in this Chapter.

(g) A person shall not simultaneously serve as pharmacist-manager for more than one permit, unless:

(1) any additional permits beyond that one permit is a limited service permit as provided in Rule .1616 of this Chapter;

(2) the person is serving simultaneously as pharmacist-manager at two pharmacies holding full service permits, one of which is a newly permitted pharmacy that has not yet begun providing pharmacy services to patients. When the newly permitted pharmacy begins providing pharmacy services to patients or six months from the issuance of the new pharmacy permit, whichever occurs sooner, the person shall relinquish the former pharmacist-manager position and notify the Board of having done so.

(h) When a pharmacy is to be closed permanently, the pharmacist-manager shall inform the Board and the United States Drug Enforcement Administration of the closing, arrange for the proper disposition of the pharmaceuticals, and return the pharmacy permit to the Board's offices within 10 days of the closing date. If possible, notice of the closing shall be given to the public by posted notice at the pharmacy at least 30 days prior to the closing date and 15 days after the closing date. Such notice shall notify the public that prescription files may be transferred to a pharmacy of the patient's or customer's choice during the 30-day period prior to the closing date. During the 30-day period prior to the closing date, the pharmacist-manager and the pharmacy's owner (if the owner is other than the pharmacist-manager), shall transfer prescription files to another pharmacy chosen by the patient or customer, upon request. Absent specific instructions from the patient or customer, the pharmacist-manager and the pharmacy's owner (if the owner is other than the pharmacist-manager), shall transfer prescription files to another pharmacy for maintenance of patient therapy and shall inform the public of such transfer by posted notice at the pharmacy for 15 days after the closing date, if possible. Controlled substance records shall be retained for the period of time required by law.

(i) If possible, the pharmacist-manager shall ensure that notice of the temporary closing of any pharmacy for more than 14 consecutive days is given to the public by posted notice at the pharmacy at least 30 days prior to the closing date, and 15 days after the closing date. Such notice shall notify the public that prescription files may be transferred to a pharmacy of the patient's or customer's choice during the 30-day period prior to the closing date. During the 30-day period prior to the closing date, the pharmacist-manager and the pharmacy's owner (if the owner is other than the pharmacist-manager), shall transfer prescription files to another pharmacy chosen by the patient or customer, upon request.

(j) The pharmacist-manager shall prepare a plan to safeguard prescription records and pharmaceuticals and minimize the interruption of pharmacy services in the event of a natural disaster such as hurricane or flood.

(k) The pharmacist-manager shall separate from the dispensing stock all drug products more than six months out of date.

(l) The pharmacist-manager shall report to the Board information that reasonably suggests that there is a probability that a prescription drug or device dispensed from a location holding a permit has caused or contributed to the death of a patient or customer. This report shall be filed in writing on a form provided by the Board within 14 days of the owner representative or pharmacist-manager's becoming aware of the event. The pharmacist-manager shall retain all documents, labels, vials, supplies, substances, and internal investigative reports relating to the event. All such items shall be made available to the Board upon request.

(m) The Board shall not disclose the identity of a pharmacist-manager who makes a report under Paragraph (l) of this Rule, except as required by law. No report made under Paragraph (l) of this Rule shall be released except as required by law.

(n) In any Board proceeding, the Board shall consider compliance with Paragraph (l) of this Rule as a mitigating factor and noncompliance with Paragraph (l) of this Rule as an aggravating factor.

History

• Authority G.S. 90-85.6; 90-85.21; 90-85.21A; 90-85.25; 90-85.26; 90-85.32
• Eff. May 1, 1989
• Amended Eff. April 1, 2006; February 1, 2005; August 1, 2002; December 1, 2001; April 1, 2001; April 1, 1999; July 1, 1996; March 1, 1992; October 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. November 1, 2021; March 1, 2019.

21 NCAC 46 .2503 Research Participation

History

• Status: expired
• Authority G.S. 90-85.3(r); 90-85.6
• Eff. May 1, 1989
• Expired Eff. November 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 46 .2504 Patient Counseling

(a) In order to ensure that a prescription is safe for a patient and to counsel a patient effectively, a reasonable effort shall be made to obtain, record, maintain, and update patient information that, in the pharmacist's professional judgment, is pertinent to safe dispensing, including:

(1) contact information for reaching the patient or patient's representative;

(2) age and sex; and

(3) medical history relevant to safe use of the drug, device, or medical equipment, which may include:

(A) disease states;

(B) allergies and drug reactions;

(C) current list of non-prescription and prescription medications, devices, and medical equipment; and

(D) past experience with the patient's drug, device or medical equipment.

A "reasonable effort" shall mean an effort that is consistent with a pharmacist's professional judgment under the specific circumstances.

(b) To the extent necessary to undertake a reasonable effort to obtain the information required in Paragraph (a) of this Rule, information shall be obtained from the patient, the patient's representative, or the patient's health care providers. The information required in Paragraph (a) of this Rule shall be obtained, recorded, maintained, and updated by:

(1) In a pharmacy, either

(A) a pharmacist, or

(B) a pharmacy technician or pharmacy intern supervised by the pharmacist; or

(2) In a device or medical equipment facility, the person-in-charge to whom the permit is issued under Rule .1608(b) of this Chapter, or a person who is trained in obtaining, recording, maintaining, and updating the information required in Paragraph (a) of this Rule.

(c) A pharmacist, pharmacy intern under the supervision of a pharmacist, or person-in-charge of the device or medical equipment facility shall review, interpret, clarify where necessary, and apply the information set out in Paragraph (a) of this Rule before each prescription or order is dispensed to screen for potential therapeutic issues due to:

(1) therapeutic duplication;

(2) drug-disease contraindication;

(3) drug-drug interactions, including interactions with prescription or over-the-counter drugs;

(4) incorrect drug dosage or duration of drug treatment;

(5) drug-allergy interactions; and

(6) clinical abuse or misuse.

(d) An offer to counsel shall be made as follows:

(1) An offer to counsel shall be made in the following circumstances:

(A) On any new or transfer prescription; and

(B) On any prescription when deemed necessary in the exercise of the professional judgment of a pharmacist or a person-in-charge of a device or medical equipment facility.

(2) The offer to counsel shall be communicated by:

(A) In a pharmacy, a pharmacist, pharmacy technician, pharmacy intern, or other employee supervised by the pharmacist; or

(B) In a device or medical equipment facility, the person-in-charge or an employee supervised by that person-in-charge.

(3) The offer to counsel shall be communicated:

(A) At the time that in-person delivery occurs at the pharmacy or at a device or medical equipment facility;

(B) With respect to other delivery, by information or materials provided accompanying the delivery, with instructions on how to access patient counseling via live communication without cost to the patient with one of the persons listed in Subparagraph (e)(2) of this Rule.

(e) Counseling shall be provided as follows:

(1) Counseling shall be performed in the following circumstances:

(A) Unless the offer to counsel is refused;

(B) If a patient requests counseling at a time other than when the offer to counsel is conveyed; and

(C) If a pharmacist or person-in-charge deems counseling necessary in the exercise of the professional judgment.

(2) Counseling shall be performed by:

(A) With respect to a pharmacy, a pharmacist or a pharmacy intern under the supervision of a pharmacist; or

(B) With respect to a device or medical equipment facility, either the person-in-charge; or an employee of the device or medical equipment facility whom the person-in-charge has determined is proficient in explaining the safe and proper use of devices or medical equipment, in the person-in-charge's professional judgment.

(C) With respect to instances in which non-pharmacists and non-persons-in-charge are authorized to dispense drugs, devices or medical equipment, by those persons authorized to perform the dispensing.

(3) Counseling shall be performed on those subjects needed for the safe use of the drug, device or medical equipment, within the professional judgment of a pharmacist or the person-in-charge of a device or medical equipment facility. The pharmacist or person-in-charge shall consider the following subjects for counseling, as appropriate under the specific circumstances:

(A) name, description, and purpose of the medication;

(B) route, dosage, administration, and continuity of therapy;

(C) special directions for use by the patient;

(D) common severe side or adverse effects or interactions and therapeutic contraindications that may be encountered, including their avoidance, and the action required if they occur;

(E) techniques for self-monitoring drug therapy;

(F) proper storage;

(G) prescription refill information; and

(H) action to be taken in the event of a missed dose.

(4) As an initial matter, upon request by the patient or patient's representative, counseling may be conducted by recorded communication accompanied by instructions on how to access additional follow-up patient counseling via live communication from one of the persons in Subparagraph (2) of this Paragraph unless:

(A) A pharmacist or person-in-charge may need to receive additional information regarding a patient in order to provide counseling consistent with this Rule in the exercise of professional judgment;

(B) The recorded communication does not address all subjects of counseling that should be covered under the standard of Subparagraph (3) of this Paragraph; or

(C) The circumstances require the pharmacist or person-in-charge of the device or medical facility to ensure that the patient understands the subjects of counseling in the exercise of professional judgment.

(5) The person performing counseling under this Paragraph is authorized to use recorded communication and alternative forms of patient information as a supplement to counseling in any circumstance in which it is within the exercise of professional judgment.

(f) With respect to inmates:

(1) With respect to Paragraphs (a) and (b) of this Rule, a pharmacist or person-in-charge of a device or medical equipment facility, is not required to gather information beyond what may be gathered from records available to the pharmacy, including, for example, from the pharmacy's own records, from the penal institution, from the controlled substance reporting system, or from the health care provider.

(2) The requirements of Paragraph (c) of this Rule remain in effect as to the information available under Subparagraph (1) of this Paragraph.

(3) Offers to counsel under Paragraph (d) and patient counseling under Paragraph (e) may be made:

(A) Through printed or electronic material, where such material can be provided to the patient; or

(B) By a correctional or law enforcement officer, where such material cannot be provided or in addition to such material.

(g) With respect to inpatients of health care facilities, as defined in Rule .1317 of this Chapter, who are administered a drug, device, or medical equipment by an authorized health care professional in the health care facility:

(1) The requirements of Paragraphs (a), (b) and (c) of this Rule remain in effect, though the information required in Paragraph (a) of this Rule may be gathered by any authorized health care professional, in addition to or instead of the persons set forth in Paragraph (b) of this Rule.

(2) Paragraphs (d) and (e) of this Rule do not apply.

(h) In addition to the counseling set forth in this Rule and regardless of patient request, persons-in-charge of device and medical equipment permit holders shall give written notice of warranty, if any, regarding service after the sale.

(i) Records of compliance with this Rule shall be maintained for three years in accordance with Section .2300 of this Chapter.

History

• Authority G.S. 90-85.6; 90-85.22; 90-85.32; 42 U.S.C. 1396r-8(g)
• Eff. January 4, 1993
• Amended Eff. June 1, 2004; July 1, 1996; September 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. September 1, 2024.

21 NCAC 46 .2505 Veterinary Prescription Drugs

A drug that under federal law is required, prior to being dispensed, to be labeled with the statement: "Caution: Federal law restricts this drug to use by or on the order of a licensed veterinarian" may be dispensed only by a licensed veterinarian or by a pharmacist from a pharmacy pursuant to prescription or order of a licensed veterinarian.

History

• Authority G.S. 90-85.3; 90-85.6
• Eff. September 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2506 Exceptions to Health Care Practitioners Identification Requirements

(a) A pharmacist is not required to wear a readily visible badge or other form of identification in the following direct patient care situations:

(1) procedures requiring full sterile dress; or

(2) procedures requiring other protective clothing or covering.

(b) Identification of a pharmacist may be limited to first name only with reference to licensure or other professional designation when the full name identification may:

(1) place the personal safety of the pharmacist in jeopardy; or

(2) interfere with the therapeutic relationship between the pharmacist and client(s).

History

• Authority G.S. 90-640
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2507 Administration of Vaccines by Pharmacists

(a) An Immunizing Pharmacist shall administer only those vaccines or immunizations permitted by G.S. 90-85.15B and shall do so subject to all requirements of that statute and this Rule.

(b) The following words and terms, when used in this Rule, have the following meanings:

(1) "Administer" means the direct application of a drug to the body of a patient by injection, inhalation, ingestion, or other means by:

(A) an Immunizing Pharmacist;

(B) a Pharmacy Intern or registered pharmacy technician who is under the supervision of an Immunizing Pharmacist; or

(C) the patient at the direction and under the direct, in-person supervision of either an Immunizing Pharmacist or a health care provider authorized by North Carolina law to prescribe the vaccine.

(2) "Immunizing Pharmacist" shall have the meaning provided in G.S. 90-85.3(i1).

(3) "Immunizing Pharmacy Personnel" means an Immunizing Pharmacist, or a Pharmacy Intern or a registered pharmacy technician who administers vaccines under the supervision of an Immunizing Pharmacist.

(4) "Pharmacy Intern" shall have the meaning provided in 21 NCAC 46 .1317(16).

(5) "Physician" means an M.D. or D.O. currently licensed with the North Carolina Medical Board who is responsible for the supervision of the Immunizing Pharmacist pursuant to the Written Protocol between the Immunizing Pharmacist and the Physician.

(6) RESERVED

(7) RESERVED

(8) RESERVED

(9) RESERVED

(10) RESERVED

(11) RESERVED

(12) "Written Protocol" is a document prepared, signed, and dated by the Physician and Immunizing Pharmacist that shall contain the following:

(A) the name of the Physician responsible for authorizing the Written Protocol;

(B) the name of the Immunizing Pharmacist authorized to administer vaccines;

(C) the immunizations or vaccinations that may be administered by the Immunizing Pharmacist;

(D) the screening questionnaires and safety procedures that shall at least include the then-current minimum standard screening questionnaire and safety procedures adopted by the Medical Board, the Board of Nursing, and the Board of Pharmacy pursuant to S.L. 2013-246, s. 6, and available at the Board of Pharmacy's office and on its website (www.ncbop.org).

(E) the procedures to follow, including any drugs required by the Immunizing Pharmacist for treatment of the patient, in the event of an emergency or adverse event following vaccine administration;

(F) the reporting requirements by the Immunizing Pharmacist to the Physician, including content and time frame; and

(G) the locations at which the Immunizing Pharmacist may administer immunizations or vaccinations.

The Physician and the Immunizing Pharmacist shall review the Written Protocol at least annually and revise it if necessary.

(c) A registered pharmacy technician may administer those vaccines or immunizations permitted by G.S. 90-85.15B on behalf of an Immunizing Pharmacist, if the registered pharmacy technician does the following:

(1) Completes a practical training program that is approved by the Accreditation Council of Pharmacy Education;

(2) Holds a current basic CPR certification;

(3) Notifies the North Carolina Board of Pharmacy of immunizing pharmacy technician status;

(4) Is supervised by an Immunizing Pharmacist who is responsible for ensuring compliance with all legal requirements for vaccinations administered by a registered pharmacy technician under this Rule;

(5) Either (i) has an Immunizing Pharmacist on site and readily available to assist as needed, or (ii) has another licensed health care provider authorized to administer vaccines on site and readily available to assist as needed and has a supervising pharmacist readily available by phone or other telecommunications method for consultation as needed;

(6) Has the Immunizing Pharmacist or other health care provider who is present under Subparagraph (5) of this Paragraph review the patient's vaccine registry or other vaccination records and the screening questionnaire before the pharmacy technician administers the vaccine;

(7) Makes an offer of counseling in compliance with Rule .2504 of this Section; and

(8) Maintains documentation of three hours of immunization-related continuing education approved by the Accreditation Council for Pharmacy Education every two years.

(d) Immunizing Pharmacy Personnel who, because of physical disability, are unable to obtain a current CPR certification pursuant to G.S. 90-85.3(i1)(1), may administer vaccines in the presence of a pharmacy technician, Pharmacy Intern, or pharmacist who holds a current provider level CPR certification.

(e) With each dose of vaccine, the Immunizing Pharmacy Personnel shall give the most current vaccine information regarding the purpose, risks, benefits, and contraindications of the vaccine to the patient or legal representative. The Immunizing Pharmacy Personnel must ensure that the patient or legal representative has the opportunity to read, or to have read to him or her, the information provided and to have any questions answered prior to administration of the vaccine.

(f) In agreeing to serve as a supervising Physician, the Physician shall agree to meet the following requirements:

(1) be responsible for the formulation or approval of the Written Protocol and review the Written Protocol and the services provided to patients under the Written Protocol, as set out in Subparagraph (b)(12) of this Rule;

(2) be accessible to the Immunizing Pharmacist or be available through direct telecommunication for consultation, assistance, direction, and provide back-up coverage; and

(3) receive periodic status reports from the Immunizing Pharmacist, including any problems or complications encountered.

(g) The following requirements pertain to drugs administered by Immunizing Pharmacy Personnel:

(1) Drugs administered under the provisions of this Rule shall be in the legal possession of:

(A) a pharmacy, which shall be the pharmacy responsible for drug accountability, including the maintenance of records of administration of the immunization or vaccination; or

(B) the Physician, who shall be responsible for drug accountability, including the maintenance of records of administration of the immunization or vaccination;

(2) Drugs shall be transported and stored at the proper temperatures indicated for each drug;

(3) Immunizing Pharmacy Personnel, while engaged in the administration of vaccines under the Written Protocol, shall have in their custody and control the vaccines identified in the Written Protocol and any other drugs listed in the Written Protocol to treat adverse events; and

(4) After administering vaccines at a location other than a pharmacy, the Immunizing Pharmacy Personnel shall return all unused prescription medications to the pharmacy or Physician responsible for the drugs.

(h) Record Keeping and Reporting.

(1) An Immunizing Pharmacist shall maintain the following information, readily retrievable, in the pharmacy records in accordance with the applicable rules and statute regarding each administration:

(A) the name, address, and date of birth of the patient;

(B) the date of the administration;

(C) the administration site of injection (e.g., right arm, left leg, right upper arm);

(D) route of administration of the vaccine;

(E) the name, manufacturer, lot number, and expiration date of the vaccine;

(F) dose administered;

(G) the name and address of the patient's primary health care provider, as identified by the patient; and

(H) the name or identifiable initials of the Immunizing Pharmacist.

(2) An Immunizing Pharmacist shall document the annual review with the Physician of the Written Protocol as required in this Rule.

(3) An Immunizing Pharmacist shall report adverse events associated with administration of a vaccine to either the prescriber, when administering a vaccine pursuant to G.S. 90-85.15B(a), or the patient's primary care provider, if the patient identifies one, when administering a vaccine pursuant to G.S. 90-85.15B(b).

(i) The Immunizing Pharmacist shall maintain written policies and procedures for handling and disposal of used or contaminated equipment and supplies.

(j) The Immunizing Pharmacist shall comply with Rule .1820 of this Chapter in the practice of pharmacy pursuant to this Rule.

History

• Authority G.S. 90-85.3; 90-85.6; 90-85.15B; S.L. 2021-110, s. 4.(a) and (b)
• Eff. April 1, 2003
• Emergency Amendment Eff. May 11, 2004
• Temporary Amendment approved by RRC October 21, 2004
• Amended Eff. February 1, 2008; November 1, 2005; November 1, 2004
• Emergency Amendment Eff. October 9, 2009
• Temporary Amendment Eff. December 29, 2009
• Amended Eff. September 1, 2014; March 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. March 1, 2023; July 1, 2022; June 1, 2020.

21 NCAC 46 .2508 Electronic Records

Unless otherwise specified in the rules in this Section or other applicable law, any documentation required by the rules in this Section may be electronically created and maintained, provided that the system that creates and maintains the electronic record:

(1) is capable of printing the documentation so that the pharmacist-manager can provide it to the Board within 48 hours of a request;

(2) contains security features to prevent unauthorized access to the records; and

(3) contains daily back-up functionality to protect against record loss.

History

• Authority G.S. 90-85.6; 90-85.26; 90-85.30; 90-85.32; 90-85.33; 90-85.35; 90-85.36; 90-85.47; 90-106; 90-107
• Eff. March 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2509 Availability of Pharmacy Records

A pharmacist may disclose pharmacy records to investigators of occupational licensing boards whose licensees have prescribing authority during the course of an investigation of such licensee as permitted by state or federal law.

History

• Authority G.S. 90-85.6; 90-85.36
• Eff. March 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2510 Waiver of Enforcement

The Board may waive the enforcement of specific rules under the following circumstances:

(1) The departure from ordinary practice is designed to have a positive impact on the delivery of pharmaceutical care or designed to reduce healthcare expenditures;

(2) Patient health and safety are not compromised by the waiver;

(3) A policy and procedure manual detailing the type and method of operation, hours of operation, and method of documentation of continuing pharmacist control accompanies the application; and

(4) The waiver is subject to continuing compliance with the conditions approved by the Board.

History

• Authority G.S. 90-85.6; 90-85.34; 150B-19(6)
• Eff. July 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2511 Charge for Status Affidavit

The Board shall charge persons requesting a verified duplicate copy of any license, permit, or registration a fee of twenty-five dollars ($25.00). The Board shall furnish such affidavits free of charge to governmental entities.

History

• Authority G.S. 90-85.24(a)(16)
• Eff. March 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2512 Pharmacist Work Conditions

A permit holder shall not require a pharmacist to work longer than 12 continuous hours per work day. A pharmacist working longer than six continuous hours per work day shall be allowed during that time period to take a 30 minute meal break and one additional 15 minute break.

History

• Authority G.S. 90-85.2; 90-85.6(a); 90-85.21(a); 85-32(a)
• Eff. April 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2513 Drug, Supplies and Medical Device Repository Program

(a) This Rule establishes the Drug, Supplies and Medical Device Repository Program as specified in G.S. 90-85.44.

(b) Definitions. Any term defined in G.S. 90-85.44(a) shall have the same definition under this Rule.

(c) Requirements For a Pharmacy to Participate in Accepting and Dispensing Donated Drugs, Supplies and Medical Devices.

(1) Any pharmacy or free clinic holding a valid, current North Carolina pharmacy permit may accept and dispense donated drugs, supplies and medical devices in accordance with the requirements of this Rule and G.S. 90-85.44.

(2) A dispensing physician registered with the Board in compliance with G.S. 90-85.21(b) and providing services to patients of a free clinic that does not hold a pharmacy permit may accept and dispense donated drugs, supplies and medical devices in accordance with the requirements of this Rule and G.S. 90-85.44.

(3) A participating pharmacy or dispensing physician shall notify the Board in writing of such participation at the time participation begins and annually on its permit or registration renewal application.

(4) A participating pharmacy or dispensing physician that ceases participation in the program shall notify the Board in writing within 30 days of doing so and shall submit a written report detailing the final disposition of all donated drugs, supplies and medical devices held by the participating pharmacy or dispensing physician.

(d) Drugs, Supplies and Medical Devices Eligible for Donation.

(1) A participating pharmacy or dispensing physician may accept donation of a drug, supply or medical device meeting the criteria specified in G.S. 90-85.44(c).

(2) The following categories of drugs, supplies and medical devices shall not be accepted by a participating pharmacy or dispensing physician:

(A) A controlled substance, unless acceptance of a donated controlled substance is authorized by federal law.

(B) Any prescription drug or medical device subject to a restricted distribution system mandated by the United States Food and Drug Administration.

(C) Biologicals, unless donated by the manufacturer or a prescription drug wholesaler. A pharmacy may donate a biological if the biological has been stored according to the manufacturer's labeling and has not previously been dispensed to a patient or other person.

(D) Compounded drugs or parenteral admixtures.

(E) Any drug requiring refrigerated storage, unless donated by either (a) the manufacturer, (b) a prescription drug wholesaler or (c) a pharmacy that has stored the drug according to the manufacturer's labeling and has not previously dispensed the drug to a patient or other person.

(e) Required Records.

(1) A participating pharmacy or dispensing physician that dispenses donated drugs, supplies or medical devices to an eligible patient shall maintain a written or electronic inventory of each donated drug, supply and medical device that shall include the following:

(A) The name, strength, dosage form, number of units, manufacturer's lot number and expiration date.

(B) The name, address and phone number of the eligible donor providing each drug, supply or medical device.

(2) A participating pharmacy or dispensing physician shall keep all donated drugs, supplies and medical devices physically separated from other inventory. The physically separate storage area for donated drugs, supplies and medical devices shall be identified.

(3) In addition to all records required for dispensing a prescription drug, supply or medical device under the North Carolina Pharmacy Practice Act and rules, a participating pharmacy or dispensing physician that dispenses donated drugs, supplies or medical devices to an eligible patient shall note – either on the face of a written prescription or in the electronic record of a prescription – that a donated prescription drug, supply or medical device was dispensed to the patient.

(4) A participating pharmacy or dispensing physician that dispenses donated drugs, supplies or medical devices to an eligible patient shall maintain patient-specific written or electronic documentation of any dispensing of a donated non-prescription drug, supply or medical device.

(f) Eligible Patient.

(1) A participating pharmacy or dispensing physician shall establish and maintain a written patient eligibility policy that shall conform to the priorities specified in G.S. 90-85.44(f).

(2) Donated drugs, supplies or medical devices shall be dispensed to patients who are residents of North Carolina and meet the participating pharmacy's or dispensing physician's eligibility criteria.

(g) Handling Fee.

(1) A participating pharmacy or dispensing physician may charge a prescription drug handling fee to an eligible patient that shall not exceed the co-payment established by North Carolina Medicaid and required of a North Carolina Medicaid beneficiary who receives the same prescription drug in the same quantity.

(2) A participating pharmacy or dispensing physician may charge a medical device or supply handling fee to an eligible patient that shall not exceed the co-payment established by North Carolina Medicaid and required of a North Carolina Medicaid beneficiary to whom a brand-name prescription drug is dispensed.

(3) Nothing in this Rule shall require a participating pharmacy or dispensing physician to charge an eligible patient a handling fee, nor shall a participating pharmacy or dispensing physician charge a handling fee where doing so is otherwise prohibited by law.

(h) Confidentiality of Records.

(1) A participating pharmacy or dispensing physician that dispenses donated drugs, medical devices or supplies to an eligible patient shall remove or alter any labeling or other material from a donated drug, supply or medical device that could identify the patient to whom the donated product was originally dispensed so that the identity of that patient cannot be determined.

(2) Records required by this Rule shall be governed by the confidentiality provisions of G.S. 90-85.36 and the Health Insurance Portability and Accountability Act of 1996.

(3) Records required by this Rule shall be maintained by the participating pharmacy or dispensing physician for a period of three years.

History

• Authority G.S. 90-85.6; 90-85.26; 90-85.32; 90-85.44
• Eff. June 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2514 Administration of Long-Acting Injectables

(a) A "long-acting injectable" is drug product formulated to produce sustained release and gradual absorption of the active pharmaceutical ingredient over an extended period of time after administration by subcutaneous or intramuscular injection.

(b) "Administer" means the direct application of a drug to the body of a patient by injection by:

(1) an Immunizing Pharmacist;

(2) a pharmacy intern who is under the direct, in-person supervision of an Immunizing Pharmacist; or

(3) the patient at the direction and under the direct, in-person supervision of either an Immunizing Pharmacist or a health care provider authorized by North Carolina law to prescribe the long-acting injectable.

(c) In order to administer long-acting injectables, an Immunizing Pharmacist must:

(1) satisfy all requirements to be an "Immunizing Pharmacist" under G.S. 90-85.3(i1);

(2) document training on administering long-acting injectables both subcutaneously and intramuscularly. This training may include a program accredited by the American Council on Pharmaceutical Education (ACPE) or the North Carolina Association of Pharmacists, curriculum based programs from an ACPE-accredited school of pharmacy, state or local health department programs, or training by a health care practitioner with experience in administering long-acting injectables;

(3) notify the Board of the status as both an Immunizing Pharmacist and a pharmacist who administers long-acting injectables; and

(4) administer long-acting injectables in accordance with G.S. 90-85.15B, as well as all other pertinent State and federal laws and regulations (including but not limited to U.S. Food and Drug Administration Risk Evaluation and Mitigation Strategies).

(d) An Immunizing Pharmacist who, because of physical disability, is unable to obtain a current provider level CPR certification pursuant to G.S. 90-85.3(i1)(1), may administer long-acting injectables in the presence of a pharmacy technician or pharmacist who holds a current provider level CPR certification.

(e) Before each administration of a long-acting injectable, the Immunizing Pharmacist must personally and affirmatively conduct patient counseling that complies with Rule .2504 of this Chapter.

(f) The following requirements pertain to long-acting injectables administered by an Immunizing Pharmacist:

(1) Drugs administered by an Immunizing Pharmacist under the provisions of this Rule shall be in the legal possession of:

(A) a pharmacy, which shall be the pharmacy responsible for drug accountability, including the maintenance of records of administration of the long-acting injectable; or

(B) a prescriber, who shall be responsible for drug accountability, including the maintenance of records of administration of the long-acting injectable.

(2) Drugs shall be transported and stored at the proper temperatures indicated for each drug.

(3) Immunizing Pharmacists, while engaged in the administration of long-acting injectables, shall have in their custody and control drugs needed to treat adverse events.

(4) After administering long-acting injectables at a location other than a pharmacy, the Immunizing Pharmacist shall return all unused prescription medications to the pharmacy or prescriber responsible for the drugs.

(g) Record Keeping and Reporting.

(1) An Immunizing Pharmacist shall maintain the following information, readily retrievable, in the pharmacy records in accordance with the applicable rules and statute regarding each administration of a long-acting injectable:

(A) the name, address, and date of birth of the patient;

(B) the date of the administration;

(C) the administration site of injection (e.g., right arm, left leg, right upper arm);

(D) route of administration of the drug;

(E) the name, manufacturer, lot number, and expiration date of the drug;

(F) dose administered;

(G) the name and address of the prescriber; and

(H) the name or identifiable initials of the Immunizing Pharmacist.

(2) An Immunizing Pharmacist shall report to the prescriber adverse events associated with administration of a long-acting injectable.

(h) The Immunizing Pharmacist shall maintain written policies and procedures for handling and disposal of used or contaminated equipment and supplies.

History

• Authority G.S. 90-85.3; 90-85.6; 90-85.15B
• Temporary Adoption Eff. October 1, 2021
• Eff. July 1, 2022.

21 NCAC 46 .2515 Remote Work by Pharmacy Personnel

(a) Pharmacy personnel may perform pharmacy practice remotely with respect to drugs, devices, or medical equipment dispensed by the permitted pharmacy location by which they are employed. Pharmacy personnel may not engage in physical acts in the dispensing process in remote locations outside the permitted pharmacy location. The pharmacist-manager must ensure that pharmacy personnel are able to perform at the same level of competence, attention, and proficiency as if the personnel were physically present in the pharmacy, including having secure access to the pharmacy's information system, and that all applicable state and federal laws, rules, and regulations are followed.

(b) Out-of-state permit holders may permit remote pharmacy practice by their own employees with respect to drugs, devices, or medical equipment dispensed by those pharmacy locations into the State of North Carolina only to the extent permitted by the laws of the states in which they are located.

(c) This Rule does not include services provided by someone who is not an employee of the permitted pharmacy location that is dispensing the drug, device, or medical equipment. Any such remote medication order entry services are governed by Rule .1816 of this Chapter.

History

• Authority G.S. 90-85.6; 90-85.21; 90-85.21A; 90-85.26; 90-85.32; 90-85.34
• Eff. May 1, 2022.

21 NCAC 46 .2516 Emergency Closure

(a) The pharmacist-manager of a pharmacy has the responsibility and authority to cease some or all of the pharmacy operations when doing so is necessary to fill the pharmacist-manager's responsibility (a) for the safe, lawful, and secure receipt of prescription orders and delivery of prescription drugs under Rule .1804(a) of this Chapter, or (b) to ensure that adequate qualified personnel are in place to properly render pharmaceutical service in compliance with state and federal law under Rule .1601(a)(1) of this Chapter.

(b) In the event that a pharmacist-manager anticipates that a pharmacy will be closed for more than two hours, either to receive prescription orders or to dispense prescription drugs, during the regular hours that it has posted that it is open under Rule .1601(a)(2) of this Chapter, the pharmacist-manager shall take the following actions before closing:

(1) Post a notice in a location conspicuous to the public of (a) which services the pharmacy has ceased providing, and (b) the date and time that the pharmacist-manager anticipates that the pharmacy will resume providing those services. The pharmacist-manager shall change the posted notice in the event that the pharmacist-manager determines that it is no longer accurate.

(2) Send an e-mail to emergencyclosure@ncbop.org with the information provided in Paragraph (b)(1) of this Rule, including any changes to the required notice.

(3) If the pharmacy will not be dispensing prescription drugs during the closure, take each of the following actions and post a notice in a location conspicuous to the public of the actions taken:

(A) If the pharmacy maintains an alternate delivery site within 10 miles of the pharmacy (via the shortest surface street route), the pharmacy shall deliver any prescription drugs that have been filled but not delivered to the alternate delivery site and shall notify patients that prescriptions will be available at that alternate delivery site during the emergency closure. Immediately upon the end of the emergency closure, the pharmacy shall retrieve any drugs delivered to the alternate delivery site pursuant to this Subparagraph.

(B) Offer to transfer any prescriptions at the patient's request and notify the public of the process for having those prescriptions transferred. This includes prescriptions that have been filled but not delivered before the pharmacy is closed. However, the pharmacy is not required to transfer prescriptions at any time at which there is no pharmacist or certified technician who is able to transfer prescriptions. For the purposes of this Rule, a pharmacist or certified technician is able to transfer prescriptions if that person either: (i) is present at the pharmacy, or (ii) has remote access to the pharmacy's systems, either because that person is employed by the pharmacy, or employed by a pharmacy with a remote medication order processing services arrangement with the closed pharmacy under Rule .1816 of this Section.

(c) In the event that the pharmacist-manager is unable to exercise the authority in this Rule, a pharmacist who is on duty at the pharmacy has the responsibility and authority set out in Paragraph (a) of this Rule if the pharmacist follows the procedures set out in Paragraph (b) of this Rule.

(d) This Rule does not apply in the following circumstances:

(1) Permanent closures or temporary closures lasting more than 14 consecutive days, which are instead governed by the provisions of Rule .2502(h) and (i) of this Section;

(2) Pharmacies located outside the State of North Carolina, which should follow any closure rules of their home states; or

(3) During the duration of time when the Governor or any county or municipality has declared a state of emergency in the pharmacy's location pursuant to Chapter 166A of the North Carolina General Statutes.

(e) In the event that the either (a) the pharmacist-manager suffers an emergency that renders the pharmacist-manager unable to exercise the responsibilities in Paragraph (b) of this Rule, or (b) the pharmacist-manager is unavailable and the only pharmacist(s) on duty suffers an emergency that renders the pharmacist unable to exercise the responsibilities in Paragraph (b) of this Rule, the exercise of the responsibilities in Paragraph (b) of this Rule shall be excused until such time as an employee authorized by the pharmacist-manager or permit holder can exercise those responsibilities.

History

• Authority G.S. 90-85.6; 90-85.15A; 90-85.21; 90-85.25; 90-85.32
• Eff. August 1, 2024
• Amended Eff. September 1, 2026.

21 NCAC 46 .2517 Influenza Test and Treat

In accordance with the protocols issued by the State Health Director, which were adopted by the Medical Board and the Board of Pharmacy pursuant to S.L. 2025-37, s. 5.3.(b), including any amendments adopted by the Medical Board and the Board of Pharmacy, a pharmacist may:

(1) Order and perform a CLIA-waived test for influenza, which is a laboratory test authorized by the Food and Drug Administration and waived under the Clinical Laboratory Improvement Amendments of 1988, and initiate treatment pursuant to the results of the CLIA-waived test; or

(2) Initiate prophylactic treatment for high-risk patients who have been exposed to influenza, as set forth in the protocols.

These protocols are available at the Board of Pharmacy's office and on its website (www.ncbop.org/protocols). The pharmacist shall maintain records of compliance with the protocols for three years, pursuant to Section .2300 of this Chapter.

History

• Authority G.S. 90-85.3(b2); 90-85.3A(e); 90-85.6; 90-85.32; 90-85.36; S.L. 2025-37, s. 5.3
• Eff. August 1, 2026.

21 NCAC 46 .2601 Dispensing and Delivery

(a) Devices, as defined in G.S. 90-85.3(e), shall be dispensed only in a pharmacy as defined in G.S. 90-85.3(q) or other place registered with the Board pursuant to G.S. 90-85.22. Medical equipment, as defined in G.S. 90-85.3(l1) shall be delivered only by a pharmacy as defined in G.S. 90-85.3(q) or other place registered with the Board pursuant to G.S. 90-85.22. Devices dispensed in hospitals and medical equipment delivered by hospitals are presumed to be the responsibility of the hospital pharmacy unless otherwise registered. This Rule shall apply only to entities engaged in the regular activity of delivering medical equipment.

(b) A pharmacy dispensing and delivering devices and medical equipment and not holding a device and medical equipment permit shall operate its device and medical equipment business at the same physical location as the pharmacy and through the same legal entity that holds the pharmacy permit. The pharmacist-manager shall be responsible for the dispensing and delivery of devices and medical equipment.

(c) Device and medical equipment permits shall not be issued to applicants located on residential property.

History

• Authority G.S. 90-85.3(e), (l1), (r); 90-85.6; 90-85.22
• Eff. October 1, 1990
• Amended Eff. March 1, 2006; March 1, 2004; October 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2602 Orders

Devices as defined in G.S. 90-85.3(e), shall be dispensed to outpatients only pursuant to an order from a practitioner. Such orders shall comply in all pertinent respects with G.S. 106-134.1(a) and (b). Use of devices for outpatients shall be in compliance with G.S. 90-85.3(t).

History

• Authority G.S. 90-85.3(e),(r); 90-85.6; 90-85.22
• Eff. October 1, 1990
• Amended Eff. April 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2603 Education and Training

Persons, other than pharmacists, who are authorized to dispense devices and who dispense devices shall demonstrate to the Board's satisfaction that they have received sufficient education and training in dispensing devices so that they can safely and properly dispense devices. Persons, other than pharmacists, who are authorized to deliver medical equipment and who deliver medical equipment shall demonstrate to the Board's satisfaction that they have received sufficient education and training in the delivery of medical equipment so that they can safely and properly deliver medical equipment.

History

• Authority G.S. 90-85.3(e), (l1), (r); 90-85.6; 90-85.22
• Eff. October 1, 1990
• Amended Eff. September 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2604 Records

(a) All orders and records for devices and medical equipment shall conform in all pertinent respects with Board Rules .2301 through .2305 of this Chapter and shall be maintained at the dispensing site. In addition to the requirements of those rules, the serial numbers for all devices dispensed and all medical equipment delivered to outpatients shall be preserved as part of the records; provided, that this requirement shall not apply to disposable devices and medical equipment.

(b) All prescriptions and refill orders for devices and medical equipment shall be maintained at the dispensing site for at least three years.

(c) All device and medical equipment permit holders shall maintain a file copy of every item sold or rented with a serial number or tracking number or code in compliance with FDA Medical Device Tracking requirements.

History

• Authority G.S. 90-85.3(e),(l1),(r); 90-85.6; 90-85.22
• Eff. October 1, 1990
• Amended Eff. April 1, 1999; September 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2605 Registration of Non-Pharmacists

(a) Registration of persons other than pharmacists dispensing devices or delivering medical equipment, pursuant to G.S. 90-85.22, shall be issued by the Board to the person in charge of the location dispensing the devices or delivering medical equipment. This person shall have responsibilities comparable to those of a pharmacist-manager pursuant to Board Rule .2502 of this Chapter, as applicable. Persons in charge shall keep on file for three years on the premises of each place where devices are dispensed or medical equipment is delivered all information related to warranties provided by manufacturers and the availability of repairs; provided, that this requirement shall not apply to disposable devices and medical equipment. A person shall be in charge of only one location.

(b) A person in charge shall not:

(1) commit a felony;

(2) commit any act as a principal in a business entity that causes such entity to be excluded from participation in a federal or state program.

If a person in charge commits the conduct set out in Paragraphs (b)(1) and (b)(2) of this Rule while he or she is a person in charge, he or she shall no longer serve as a person in charge for the existing permit or for any other device and medical equipment permit.

History

• Authority G.S. 90-85.3(e); (11), (r); 90-85.6; 90-85.22
• Eff. October 1, 1990
• Amended Eff. April 1, 2004; September 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2606 Conveying Warnings

Persons in charge or pharmacists dispensing devices or delivering medical equipment, as defined in G.S. 90-85.22, shall be responsible for promptly conveying to patients all pertinent warnings issued by government agencies or manufacturers.

History

• Authority G.S. 90-85.3(e), (l1), (r); 90-85.6; 90-85.22
• Eff. October 1, 1990
• Amended Eff. September 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2607 Availability of Records

All records required to be kept by statute or rule shall be available to Board inspectors or agents as provided in Rule .1803 of this Chapter. All records, including prescription orders, equipment information, and patient counseling documentation, shall be archived in a readily retrievable manner and open for review, copying or seizure by the Board or its designated employees within 48 hours of a request for inspection for a period of three years.

History

• Authority G.S. 90-85.3(e),(r); 90-85.6; 90-85.22
• Eff. October 1, 1990
• Amended Eff. February 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2608 Dispensing of Medical Oxygen

Compressed medical oxygen and liquid oxygen equipment shall be dispensed and controlled according to state and federal laws.

History

• Authority G.S. 90-85.3(e),(l1),(r); 90-85.6; 90-85.22
• Eff. September 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2609 Rehabilitation Equipment

(a) Rehabilitation equipment suppliers shall follow the provisions of this Rule rather than the provisions of 21 NCAC 46 .2611.

(b) Rehabilitation equipment suppliers shall:

(1) Solicit information from the physician, physical therapist, occupational therapist, registered nurse and other medical or educational personnel, as to the results of their assessment and evaluation of the patient's physical, functional and associated needs as well as the specific goals to be met by the enabling technology;

(2) In consultation with the referring health professional(s), patient, patient's family and other primary care providers, delineate the appropriate choices of commercially available and custom fabricated equipment to meet the specified needs of the patient;

(3) Participate in the measurement of the patient, utilizing appropriate instruments and techniques to assure the fit and function of the selected equipment;

(4) Deliver, fit and adjust the prescribed equipment;

(5) Instruct the patient and family in the safe and proper use and care of the equipment provided;

(6) Provide service and support for the equipment delivered through knowledgeable, skilled and trained service personnel and within 72 hours, provide a response to patient requests for repair service on equipment supplied; however, such service and support need not be provided unless the patient=s account is current;

(7) Provide a specific, written statement of warranty on the equipment provided, including commercial warranties and those for adapted or custom fabricated items;

(8) Maintain liability insurance of at least one million dollars ($1,000,000) worth of coverage and when involved in the design, fabrication or substantial modification of commercially available equipment, also maintain product liability insurance; and

(9) Utilize written, quality assurance procedures including, but not limited to:

(A) Reviewing custom designed and fabricated equipment and interfacing techniques with commercial equipment to assure compatibility and safety;

(B) Understanding the properties of the materials being used in custom designed and modified equipment to assure long term durability;

(C) Documenting goals and objectives of the referring medical or education personnel, as well as short and long term effectiveness of the equipment in meeting those goals and objectives; and

(D) Documenting complaints and problems as required in Rule .1608(a)(12) of this Chapter.

History

• Authority G.S. 90-85.3(e),(l1),(r); 90-85.6; 90-85.22
• Eff. September 1, 1995
• Amended Eff. April 1, 1999; April 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2610 Medical Gas, Oxygen and Respiratory Related Equipment

(a) Medical gas, oxygen and respiratory related equipment suppliers shall:

(1) Comply with all applicable home medical equipment laws of North Carolina;

(2) If transporting oxygen and other medical gases in cylinder or liquid form, comply with all current Department of Transportation rules and regulations;

(3) If transfilling medical oxygen systems, comply with Food and Drug Administration (FDA) and all state agency requirements regarding transfilling and repackaging;

(4) Demonstrate that oxygen provided in cylinder or liquid form meets minimal purity standards for medical grade oxygen;

(5) Comply with local/state fire and building laws; and

(6) Meet the following safety inspection requirements:

(A) Demonstrate that each piece of oxygen/respiratory equipment has been checked, is free of defect, and operates within the manufacturers' specifications;

(B) Refrain from modifying equipment to the extent that the modification might reasonably cause harm;

(C) Maintain all electrical components so that they do not present a fire or shock hazard; and

(D) Ensure that all appropriate warning labels or labeling, including tags, are present on the equipment provided.

(b) Medical gas, oxygen and respiratory related equipment suppliers shall comply with the following recall procedures:

(1) Ensure that lot numbers and expiration dates are affixed to each cylinder delivered;

(2) Maintain a tracking system for all medical oxygen and gas delivered;

(3) Document all equipment serial numbers and model numbers to ensure that equipment can be retrieved if a recall is initiated; and

(4) Maintain records for equipment that requires FDA tracking.

(c) Medical gas, oxygen and respiratory related equipment suppliers shall comply with the following maintenance and cleaning requirements:

(1) Maintain documentation demonstrating that a function and safety check of equipment was performed prior to set up;

(2) Maintain an established protocol for cleaning and disinfecting equipment which addresses both aerobic and anaerobic pathogens;

(3) Maintain a Material Safety Data Sheet (MSDS) on file for solutions and products used in cleaning and disinfecting procedures;

(4) Maintain segregated areas on the premises and in delivery vehicles for clean, dirty, and contaminated equipment;

(5) Clean and disinfect equipment according to manufacturers' specifications; and

(6) Instruct the patient on proper cleaning techniques as specified by the manufacturer.

(d) Medical gas, oxygen and respiratory related equipment suppliers shall implement a comprehensive preventative maintenance program which includes the following:

(1) Procedures for problem reporting, tracking, recall, and resolution;

(2) Performance of service as specified by the manufacturer and the documentation of such performance in the service records; and

(3) Routine inspection, service, and maintenance of equipment located in the patient's/customer's home according to manufacturers' specifications.

(e) Medical gas, oxygen and respiratory related equipment suppliers shall maintain repair logs to document repair and maintenance of equipment, including, but not limited to, oxygen concentrators, infant monitors, and mechanical ventilators. The following information shall be documented in the repair log:

(1) type of equipment;

(2) manufacturer;

(3) model;

(4) serial number;

(5) date of repair;

(6) specific repair made; and

(7) name of person or company performing the repair.

(f) Medical gas, oxygen and respiratory related equipment suppliers shall maintain testing equipment to ensure accurate calibration. Testing equipment shall be appropriate for the level of service offered. Scales used to weigh liquid oxygen reservoirs shall be properly maintained to ensure accuracy.

(g) Medical gas, oxygen, and respiratory related equipment suppliers shall implement a written procedure at each location for handling complaints and problems, which includes a complaint file documenting complaints and problems and resolutions of the complaints or problems.

(h) Medical gas, oxygen, and respiratory related equipment suppliers shall comply with the following counseling requirements:

(1) Utilize orientation checklists to review:

(A) Instructions for use of the equipment,

(B) Safety precautions,

(C) Cleaning procedures,

(D) Maintenance procedures, and

(E) Return demonstrations on back up oxygen systems delivered;

(2) Instruct the patient about emergency and routine contact procedures; and

(3) Deliver and review written instruction materials to ensure that the patient receives adequate information in order to properly operate the equipment.

(i) A written plan of service shall be developed, implemented, and documented in the patient record. The plan of service shall include, but is not limited to, an assessment of the safety of the home environment, the caregiver or patient ability to comply with the prescription, and the caregiver or patient ability to operate and clean the equipment as instructed.

History

• Authority G.S. 90-85.3(e),(l1),(r); 90-85.6; 90-85.22
• Eff. September 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2611 Medical Equipment

(a) Medical equipment suppliers shall:

(1) Document information from the physician or other medical personnel as to the patient's specific needs to be met by the equipment delivered as well as the effectiveness of the equipment in meeting those needs;

(2) In consultation with the referring health professional(s), patient, patient's family and other primary care providers, delineate the appropriate choices of commercially available equipment to meet the specified needs of the patient;

(3) Participate in the measurement of the patient, utilizing appropriate instruments and techniques to assure the fit and function of the selected equipment;

(4) Deliver, fit and adjust the prescribed equipment;

(5) Instruct the patient or family in the safe and proper use and care of the equipment provided in compliance with Rule .2504 of this Chapter;

(6) Provide service and support for the equipment dispensed or delivered and, within 72 hours, provide a response to patient requests for repair service on equipment supplied; however, such service and support need not be provided unless the patient=s account is current;

(7) Maintain liability insurance of at least one million dollars ($1,000,000) worth of coverage;

(8) Demonstrate that each item sold or rented has been checked, is free of defect, and operates within the manufacturers' specifications;

(9) Refrain from modifying equipment to the extent that the modification might reasonably cause harm;

(10) Maintain all electrical components so that they do not present a fire or shock hazard;

(11) Ensure that all appropriate warning labels or labeling, including tags, are present on the equipment provided;

(12) Maintain documentation demonstrating that a function and safety check of equipment was performed prior to set up;

(13) Maintain an established protocol for cleaning and disinfecting equipment which addresses both aerobic and anaerobic pathogens including procedures to prevent cross-contamination; and

(14) Clean and disinfect equipment according to manufacturers' specifications.

(b) Medical equipment suppliers shall implement a preventative maintenance program for rental equipment which includes the following:

(1) Procedures for problem reporting, tracking, recall, and resolution;

(2) Performance of service as specified by the manufacturer and the documentation of such performance in the service records; and

(3) Maintain documentation of repair and maintenance of equipment. The following information shall be documented in the repair log:

(A) Type of equipment;

(B) Manufacturer;

(C) Model;

(D) Serial number;

(E) Date of repair;

(F) Specific repair made; and

(G) Name of person or company performing the repair.

(c) In addition to Section .2500 of this Chapter providers of parenteral and enteral nutrition services shall comply with the following counseling requirements:

(1) Utilize orientation checklists to review:

(A) Instructions for use of the equipment;

(B) Safety precautions;

(C) Cleaning procedures;

(D) Maintenance procedures; and

(E) Return demonstrations on equipment delivered.

(2) Instruct the patient about emergency and routine contact procedures;

(3) Deliver and review with the patient written instruction materials to ensure that the patient receives adequate information to properly operate the equipment; and

(4) A written plan of service shall be developed, implemented, and documented in the patient record. The plan of service shall include, but is not limited to, the assessment of the safety of the home environment, the caregiver or patient's ability to comply with the prescription, and the caregiver or patient's ability to operate and clean the equipment as instructed.

History

• Authority G.S. 90-85.3(e)(l1)(r); 90-85.6; 90-85.22
• Eff. May 1, 1997
• Amended Eff. April 1, 1999; August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2612 Storage of Devices and Medical Equipment

(a) Devices and medical equipment shall be stored at the location holding the pharmacy or device and medical equipment permit or a location that is within 50 miles of the permitted location. Devices and medical equipment shall not be stored on residential property.

(b) A device and medical equipment storage site not holding a pharmacy or device and medical equipment permit shall not provide any devices, medical equipment, or services directly to patients. An employee of a permitted location who has been trained as required by Rule .2603 of this Chapter may travel from the permitted site to a storage site, retrieve devices or medical equipment from the storage site, and deliver devices or medical equipment to patients.

(c) Device and medical equipment storage sites shall be subject to inspection by the Board under the same standards applicable to permitted sites.

History

• Authority G.S. 90-85.6; 90-85.22; 90-85.32
• Eff. March 1, 2004
• Amended Eff. November 1, 2015; February 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2613 Devices and Medical Equipment in Possession of Permit Holders

Dispensed devices and medical equipment in the possession of permit holders shall bear a patient-specific prescription label. Permit holders may not collect prescription drugs from a patient or caregiver, nor may a permit holder store prescription drugs on behalf of a patient or caregiver.

History

• Authority G.S. 90-85.6; 90-85.22; 90-85.32
• Eff. April 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2701 Requirements

No pharmacist shall receive, possess or dispense radioactive drugs, except in accordance with the applicable federal statutes and regulations and these Rules. The requirements of these Rules are in addition to, and not in substitution for, other applicable provisions of the regulations of any federal or state agency with authority for regulating the use and distribution of radioactive materials.

History

• Authority G.S. 90-85.6
• Eff. October 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2702 Definitions

For purposes of these Rules, the following terms are defined as follows:

(1) Authentication of Product History. Identifying the purchasing source, the ultimate fate, and any intermediate handling of any component of a radiopharmaceutical or other radioactive drug.

(2) Nuclear Pharmacy. A pharmacy holding a permit issued by the North Carolina Board of Pharmacy and licenses issued by the Nuclear Regulatory Commission (NRC) and other state regulatory agencies, where prescriptions for radiopharmaceutical products are filled, compounded, or dispensed.

(3) Nuclear Pharmacy Practice. A patient-oriented service that embodies the scientific knowledge and professional judgment required to improve and promote health through the assurance of the safe and efficacious use of radiopharmaceuticals.

(4) Nuclear Pharmacy Technician. Any person involved in the dispensing of a radiopharmaceutical, not satisfying the definition of Qualified Licensed Professional; any such person must be registered as a Pharmacy Technician with the State Board of Pharmacy.

(5) Qualified Licensed Professional. A non-pharmacist possessing a valid license issued by the North Carolina Medical Board, the North Carolina Board of Nursing, the North Carolina Dental Board or the North Carolina Board of Veterinary Medicine, and who has sufficient training and experience to safely handle and dispense radiopharmaceuticals as defined by the respective requirements of the regulations of the NRC or the state nuclear regulatory agencies.

(6) Qualified Nuclear Pharmacist. A pharmacist currently licensed by the Board who meets the following standards:

(a) Certification as a nuclear pharmacist by the "Board of Pharmaceutical Specialties"; or

(b) Meets minimum standards of training for "authorized user status" of radioactive material in accordance with the licensure guide of the United States Nuclear Regulatory Commission or the appropriate state nuclear regulatory agencies as follows:

(i) Has received a minimum of 200 contact hours of instruction in nuclear pharmacy and the safe handling and use of radioactive materials from an approved college of pharmacy, including instruction in the following areas: radiation physics and instrumentation; radiation protection; mathematics of radioactivity; radiation biology; and radiopharmaceutical chemistry; and

(ii) Has a minimum of 500 hours of clinical nuclear pharmacy training under the supervision of a qualified nuclear pharmacist.

(7) Radiopharmaceutical Quality Assurance. The performance of appropriate chemical, biological and physical tests on potential radiopharmaceuticals and the interpretation of the resulting data to determine their suitability for use in humans and animals, including internal test assessment, authentication of product history and the keeping of proper records.

(8) Radiopharmaceuticals. Radioactive drugs shall include any article that exhibits spontaneous decay or disintegration of an unstable atomic nucleus, usually accompanied by the emission of ionizing radiation and any nonradioactive reagent kit or nuclide generator that is intended for use in the preparation of any such article.

(9) Radiopharmaceutical Service. The procurement, storage, handling, preparation, labeling, quality assurance testing, dispensing, delivery, record-keeping and disposal of radiopharmaceuticals and other radioactive materials.

(10) Test Assessment. Conducting quality assurance evaluation necessary to ensure the integrity of the test.

History

• Authority G.S. 90-85.6; 90-85.34
• Eff. October 1, 1990
• Amended Eff. February 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2703 Obtaining a Nuclear Pharmacy Permit

In order to obtain a nuclear pharmacy permit, the person seeking such a permit shall submit an application to the Board certifying that he or she is a pharmacist currently licensed by the Board and that he or she is a qualified nuclear pharmacist as defined in Rule .2702 of this Section. The application shall describe the location, time and manner by which the contact hours required by Rule .2702(6) of this Section were obtained by the applicant and shall be submitted under oath.

History

• Authority G.S. 90-85.6; 90-85.34
• Eff. October 1, 1990
• Amended Eff. February 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2704 Req for Pharmacies Providing Radiopharmaceutical Services

(a) The permit to operate a pharmacy providing radiopharmaceutical services shall be issued by the Board only to a qualified nuclear pharmacist. All personnel performing tasks in the preparation and distribution of radiopharmaceuticals shall be under the direct supervision of a qualified nuclear pharmacist. A qualified nuclear pharmacist shall be responsible for all operations of the pharmacy related to radiopharmaceutical services and shall be in personal attendance at all times that the pharmacy renders radiopharmaceutical services.

(b) In emergency situations, and in the absence of a qualified nuclear pharmacist, designated qualified licensed professionals as identified by the pharmacist-manager in established written policies and procedures may have access to the area designated as the nuclear pharmacy area, and these individuals may prepare single doses of radiopharmaceuticals for the immediate emergency only and must document such activities.

(c) The nuclear pharmacy area shall be secured from entry by unauthorized personnel as identified by the pharmacist-manager in established written policies and procedures.

(d) Nuclear pharmacies shall maintain records of acquisition, inventory and disposition of all radiopharmaceuticals in accordance with Section .2300 of this Chapter and the applicable regulations of the North Carolina Division of Radiation Protection.

(e) All pharmacies handling radiopharmaceuticals shall provide a radioactive storage and product decay area that provides sufficient protection from radioactivity of all areas surrounding the nuclear pharmacy area. Floor plans shall be submitted and approved by the Board staff before a nuclear pharmacy permit is issued.

(f) Radiopharmaceuticals are to be dispensed only upon a prescription or medication order from a licensed medical practitioner authorized to possess, use and administer radiopharmaceuticals.

(g) The library of a nuclear pharmacy shall contain, in addition to the volumes required by Rule .1601(a)(3) of this Chapter, copies of current state and federal regulations governing the safe storage, handling, use, dispensing, transport, and disposal of radiopharmaceuticals.

(h) All pharmacies performing Radiopharmaceutical Services shall have in effect a procedures manual setting forth the procedures and policies of the pharmacy regarding Radiopharmaceutical Quality Assurance. This manual shall at all times be readily available for review by Board personnel.

(i) Permit holders must obtain licensure from the North Carolina Division of Radiation Protection and the number of that license. Copies of the Division's inspection report shall be made available upon request for inspection by Board personnel.

History

• Authority G.S. 90-85.6; 90-85.34
• Eff. October 1, 1990
• Amended Eff. February 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2705 LAbELING REQUIREMENTS OF RADIOPHARMACEUTICALS

(a) In addition to other labeling requirements of the Board for non-radioactive drugs described in this Chapter, the container of a radiopharmaceutical shall also be labeled with:

(1) The standard radiation symbol;

(2) The words "CAUTION - RADIOACTIVE MATERIALS";

(3) The radionuclide of the radiopharmaceutical contained therein;

(4) The chemical form of the radiopharmaceutical contained therein;

(5) The amount of radioactivity of the radiopharmaceutical contained therein and the date and time of the calibration of that radioactivity;

(6) The date and time of the expiration of the radiopharmaceutical contained therein;

(7) If the radiopharmaceutical is a liquid, the volume;

(8) If the radiopharmaceutical is a solid, the number of capsules or weight contained therein;

(9) If the radiopharmaceutical is a gas, the number of ampules, vials, or syringes contained therein;

(10) The name, address and telephone number of the nuclear pharmacy dispensing the radiopharmaceutical;

(11) The prescription or lot number; and

(12) The name of the pharmaceutical.

(b) No radiopharmaceutical may be dispensed unless a tamper-evident seal is applied and a label is affixed to the delivery container of each dose bearing the following information:

(1) The standard radiation symbol.

(2) The words "Caution - Radioactive Material."

(3) The radionuclide and chemical form.

(4) The volume if in liquid form.

(5) The requested activity and the calibration date and time.

(6) The prescription number.

(7) Labels for radiolabeled blood components and therapeutic dosages must always contain the patient's name at the time of dispensing.

Where the patient's name is not available at the time of dispensing for diagnostic dosing, a 72-hour exemption is allowed to obtain the name of the patient. No later than 72 hours after dispensing the radiopharmaceutical, the patient's name must be associated with the prescription in a readily retrievable manner and must be retained for a period of three years.

(8) The name and address of the nuclear pharmacy.

(9) The name of the end authorized user, must also be a prescriber.

(10) The lot number of the preparation.

History

• Authority G.S. 90-85.6; 90-85.34
• Eff. January 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2706 Prohibitions

(a) No person shall utilize unit-dose transport containers for radioactive dosages without an effective mechanism to avoid contamination of the transport container with blood or other biohazardous substances.

(b) No person shall re-use a unit-dose transport container that has been contaminated with blood or other biohazardous substances. Any unit-dose transport container that is returned with the tamper-evident seal broken and the unit-dose syringe included must be considered to be contaminated.

History

• Authority G.S. 90-85.6; 90-85.34
• Eff. January 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .2801 Compounding

(a) A pharmacy may dispense a compounded drug preparation to a patient only pursuant to a prescription that is valid and complies with all requirements of the law, including 21 NCAC 46 .1801. In advance of dispensing the compounded drug preparation, a pharmacy shall prepare the compounded drug preparation only:

(1) upon the pharmacy's receipt of a valid prescription order for an individual patient; or

(2) in anticipation of a prescription order based on an established history of receiving prescription orders for the compounded drug preparation. Any compounded drug preparation prepared in anticipation of a prescription order shall not be dispensed until the pharmacy receives a valid prescription order for an individual patient.

(b) Compounded drug preparations shall not be offered to other entities for resale.

(c) A pharmacy may supply compounded drug products to practitioners authorized by law to prescribe drugs for those practitioners to administer to those practitioners' patients. Such compounding for office use shall comply with applicable federal law.

(d) The preparation, labeling, and dispensing of non-sterile compounded drug preparations shall comply with the standards established by United States Pharmacopeia chapter <795>, including all United States Pharmacopeia chapters and standards incorporated into chapter <795> by reference and including all subsequent amendments and editions of the same, governing both the non-sterile compounded drug preparations and the physical and environmental conditions under which non-sterile compounded drug preparations are prepared, labeled, and dispensed.

(e) The preparation, labeling, and dispensing of sterile compounded preparations shall comply with standards established by United States Pharmacopeia chapter <797>, including all United States Pharmacopeia chapters and standards incorporated into chapter <797> by reference and including all subsequent amendments and editions of the same, governing both the sterile compounded products and the physical and environmental conditions under which sterile compounded products are prepared, labeled, and dispensed.

(f) A pharmacy that prepares, labels, or dispenses sterile compounded preparations shall maintain a reference library in the pharmacy including the current United States Pharmacopeia standards and references on the compatibility, stability, storage, handling, and preparation of compounded drugs. These references may be either hard copy or electronically accessible.

(g) In a pharmacy where compounded drug preparations are prepared, labeled, or dispensed, the pharmacist-manager or the pharmacist-manager's designated pharmacist shall be knowledgeable in the specialized functions of preparing, labeling, and dispensing compounded drug preparations. If the pharmacist-manager chooses to designate another pharmacist for this purpose, the pharmacist-manager shall notify the Board on the pharmacy's permit application and within 15 days of any change in the designation. Notwithstanding the pharmacist-manager's designation of another pharmacist as knowledgeable in the specialized functions of preparing, labeling, and dispensing compounded drug preparations, the pharmacist-manager shall be responsible for ensuring the pharmacy's compliance with all statutes, rules, and standards that govern such activities.

(h) In addition to complying with all recordkeeping and labeling requirements specified or referred to by United States Pharmacopeia chapters <795> or <797>, a pharmacy that prepares, labels, or dispenses compounded drug preparations shall create and maintain a record-keeping system that enables the pharmacy immediately upon request to identify every compounded drug preparation prepared, labeled, or dispensed in the past three years. This recordkeeping system may be created and maintained electronically in compliance with 21 NCAC 46 .2508.

(i) The pharmacist-manager of a pharmacy that prepares, labels, or dispenses compounded drug preparations shall comply with all quality assurance requirements and standards of United States Pharmacopeia chapters <795> and <797>.

(j) Between January 1 and March 31 of each year, any pharmacy permitted by the Board that has prepared, labeled, or dispensed any compounded drug (for any patient or other person, either within or outside North Carolina) during the immediately preceding calendar year shall update all information regarding its services in the National Association of Boards of Pharmacy's e-Profile Connect system at https://dashboard.nabp.pharmacy.

(k) In addition to the requirements of this Section, the compounding of radiopharmaceutical drug products shall comply with Section .2700 of this Chapter.

(l) United States Pharmacopeia chapters <795> or <797> may be inspected at the offices of the Board during its normal hours of operation. Copies also may be obtained from the U.S. Pharmacopeial Convention (www.usp.org), as a free download as of the effective date of the last amendment to this Rule.

History

• Authority G.S. 90-85.6; 90-85.21A; 90-85.26; 90-85.32
• Eff. October 1, 1990
• Amended Eff. January 1, 2015; April 1, 2003
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. August 1, 2021.

21 NCAC 46 .2802 Definitions

History

• Status: repealed
• Authority G.S. 90-85.6.
• Eff. October 1, 1990
• Amended Eff. March 1, 2013; February 1, 2006; April 1, 2003; September 1, 1995
• Repealed Eff. January 1, 2015.

21 NCAC 46 .2803 Req/Pharmacies Dispensing Sterile Pharmaceuticals

History

• Status: repealed
• Authority G.S. 90-85.6.
• Eff. October 1, 1990
• Amended Eff. March 1, 2013; February 1, 2006; April 1, 2003; September 1, 1995
• Repealed Eff. January 1, 2015.

21 NCAC 46 .2804 Responsibilities of Pharmacist-Manager

History

• Status: repealed
• Authority G.S. 90-85.6.
• Eff. October 1, 1990
• Amended Eff. March 1, 2013; February 1, 2006; April 1, 2003; September 1, 1995
• Repealed Eff. January 1, 2015.

21 NCAC 46 .2805 Labeling

History

• Status: repealed
• Authority G.S. 90-85.6.
• Eff. October 1, 1990
• Amended Eff. March 1, 2013; February 1, 2006; April 1, 2003; September 1, 1995
• Repealed Eff. January 1, 2015.

21 NCAC 46 .2806 Records and Reports

History

• Status: repealed
• Authority G.S. 90-85.6.
• Eff. October 1, 1990
• Amended Eff. March 1, 2013; February 1, 2006; April 1, 2003; September 1, 1995
• Repealed Eff. January 1, 2015.

21 NCAC 46 .2807 Anti-Neoplastic Agents

History

• Status: repealed
• Authority G.S. 90-85.6.
• Eff. October 1, 1990
• Amended Eff. March 1, 2013; February 1, 2006; April 1, 2003; September 1, 1995
• Repealed Eff. January 1, 2015.

21 NCAC 46 .2808 Quality Assurance

History

• Status: repealed
• Authority G.S. 90-85.6.
• Eff. October 1, 1990
• Amended Eff. March 1, 2013; February 1, 2006; April 1, 2003; September 1, 1995
• Repealed Eff. January 1, 2015.

21 NCAC 46 .2901 Return of Outdated Drugs

(a) Adequate provisions for return of outdated drugs in both full and partial containers as provided in G.S. 90-85.28(a)(5) means that drugs can be returned up to six months after the labeled expiration date for full credit or replacement. A finding by the Board that a manufacturer does not meet this standard causes that manufacturer's products to be ineligible for use in product selection.

(b) This Rule does not apply to drugs whose only Food and Drug Administration-approved indication is for use as an antidote to biological, chemical, or radiological poisoning.

History

• Authority G.S. 90-85.6; 90-85.28(a)(5)
• Eff. October 1, 1991
• Amended Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .3001 Procedure for Disposing of Drugs

(a) All registrants under G.S. 90-85.21 shall develop and implement policies and procedures to insure that all out-dated, improperly labeled, adulterated, damaged or unwanted drugs or drug containers with worn, illegible or missing labels are destroyed or disposed of so as to render them unusable.

(b) Any permit holder in possession of outdated, adulterated or unwanted drugs other than controlled substances may dispose or destroy such drugs by returning them to the manufacturer, by incineration at a properly permitted facility, or by any other means approved by the Board which will assure protection against unauthorized possession or use. Destructions under this Paragraph taking place at the permit holder's premises shall be witnessed by a licensed pharmacist and documented.

(c) Any permit holder in possession of any controlled substance and desiring or required to dispose of such substance may file a written request on a form provided by the Board for authority and instructions to dispose of such substance. If destruction under this Paragraph takes place at the permit holder's premises such destruction shall be jointly witnessed by at least two licensed pharmacists approved by the Board. All destructions of controlled substances shall be documented and the document shall be retained by the permit holder for a period of at least three years. Copies of the document shall be sent to the Drug Enforcement Administration.

History

• Authority G.S. 90-85.6; 90-85.21
• Eff. October 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .3101 Clinical Pharmacist Practitioner

(a) Definitions. As used in this Rule:

(1) "Medical Board" means the North Carolina Medical Board.

(2) "Pharmacy Board" means the North Carolina Board of Pharmacy.

(3) "Clinical Pharmacist Practitioner" or "CPP" means a licensed pharmacist who is approved to provide drug therapy management, including controlled substances, under the direction or supervision of a Supervising Physician pursuant to a CPP Agreement. Only a pharmacist approved by the Pharmacy Board and the Medical Board may legally identify himself as a CPP.

(4) "Supervising Physician" means a licensed physician who, by signing the CPP Agreement, is held accountable for the on-going supervision and evaluation of the drug therapy management performed by the CPP as defined in the CPP Agreement. This term includes both the Primary Supervising Physician and any Back-Up Supervising Physician.

(5) "Primary Supervising Physician" means the Supervising Physician who shall provide on-going supervision, collaboration, consultation, and evaluation of the drug therapy management performed by the CPP as defined in the CPP Agreement.

(6) "Back-Up Supervising Physician" means a Supervising Physician who shall provide supervision, collaboration, consultation, and evaluation of the drug therapy management performed by the CPP as defined in the CPP Agreement when the Primary Supervising Physician is not available.

(7) "Approval" means authorization by the Medical Board and the Pharmacy Board for a pharmacist to practice as a CPP in accordance with this Rule.

(8) "Continuing Education or CE" is defined as courses or materials which have been approved for credit by the American Council on Pharmaceutical Education.

(9) "Clinical Experience approved by the Boards" means work in a clinical pharmacy practice setting which includes experience consistent with the components listed in Parts (b)(2)(A), (B), (C), (D), (E), (H), (I), (J), (N), (O), and (P) of this Rule. Clinical experience requirements must be met only through activities separate from the certificate programs referred to in Parts (b)(1)(B) of this Rule.

(10) "CPP Agreement" means a written agreement between the CPP, Primary Supervising Physician and any Back-Up Supervising Physician by which the Supervising Physician(s) have provided written instructions to the CPP for patient-specific and disease-specific drug therapy, which may include ordering, changing, or substituting therapies or ordering tests.

(b) CPP application for approval.

(1) The requirements for application for CPP approval include that the pharmacist:

(A) has an unrestricted and current license to practice as a pharmacist in North Carolina;

(B) meets one of the following qualifications:

(i) has earned Certification from the Board of Pharmaceutical Specialties, is a Certified Geriatric Pharmacist as certified by the Commission for Certification in Geriatric Pharmacy, or has completed an American Society of Health System Pharmacists (ASHP) accredited residency program with two years of Clinical Experience approved by the Boards; or

(ii) holds the academic degree of Doctor of Pharmacy, has three years of Clinical Experience approved by the Boards, and has completed a North Carolina Center for Pharmaceutical Care (NCCPC) or American Council on Pharmaceutical Education (ACPE) approved certificate program in the area of practice covered by the CPP Agreement; or

(iii) holds the academic degree of Bachelor of Science in Pharmacy, has five years of Clinical Experience approved by the Boards, and has completed two NCCPC or ACPE approved certificate programs with at least one program in the area of practice covered by the CPP Agreement;

(C) submits the required application and fee to the Pharmacy Board;

(D) submits any information deemed necessary by the Pharmacy Board in order to evaluate the application; and

(E) has a signed CPP Agreement.

If for any reason a CPP discontinues working under an approved CPP Agreement, the CPP shall notify the Pharmacy Board in writing within 10 days, and the CPP's approval shall automatically terminate or be placed on inactive status until such time as a new application is approved in accordance with this Subchapter.

(2) All certificate programs referred to in Subpart (b)(1)(B)(i) of this Rule must contain a core curriculum, including the following components:

(A) communicating with healthcare professionals and patients regarding drug therapy, wellness, and health promotion;

(B) designing, implementing, monitoring, evaluating, and modifying or recommending modifications in drug therapy to insure effective, safe, and economical patient care;

(C) identifying, assessing, and solving medication-related problems and providing a clinical judgment as to the continuing effectiveness of individualized therapeutic plans and intended therapeutic outcomes;

(D) conducting physical assessments, evaluating patient problems, and ordering and monitoring medications and laboratory tests;

(E) referring patients to other health professionals as appropriate;

(F) administering medications;

(G) monitoring patients and patient populations regarding the purposes, uses, effects, and pharmacoeconomics of their medication and related therapy;

(H) counseling patients regarding the purposes, uses, and effects of their medication and related therapy;

(I) integrating relevant diet, nutritional, and non-drug therapy with pharmaceutical care;

(J) recommending, counseling, and monitoring patient use of non-prescription drugs, herbal remedies, and alternative medicine practices;

(K) using, ordering, and instructing on the use of devices and durable medical equipment;

(L) providing emergency first care;

(M) retrieving, evaluating, utilizing, and managing data and professional resources;

(N) using clinical data to optimize therapeutic drug regimens;

(O) collaborating with other health professionals;

(P) documenting interventions and evaluating pharmaceutical care outcomes;

(Q) integrating pharmacy practice within healthcare environments;

(R) integrating national standards for the quality of healthcare; and

(S) conducting outcomes and other research.

(3) The completed application for approval to practice as a CPP shall be reviewed by the Pharmacy Board upon verification of a full and unrestricted license to practice as a pharmacist in North Carolina. The Pharmacy Board shall:

(A) approve the application and, at the time of approval, issue a number which shall be printed on each prescription written by the CPP;

(B) deny the application; or

(C) approve the application with restrictions, in the event that restrictions are appropriate in order to protect the public health, safety, and welfare in light of the information received and reviewed in the CPP application in Subparagraph (b)(1) of this Rule.

(c) Annual Renewal.

(1) Each CPP shall register annually on or before December 31 by:

(A) verifying that the CPP holds a current Pharmacist license;

(B) submitting the renewal fee as specified in Subparagraph (j)(2) of this Rule;

(C) completing the Pharmacy Board's renewal form; and

(D) reporting continuing education credits as required by Paragraph (d) of this Rule.

(2) If the CPP has not renewed the CPP's annual registration pursuant to Subparagraph (c)(1) of this Rule within 60 days of December 31, the approval to practice as a CPP shall lapse.

(d) Continuing Education.

(1) Each CPP shall earn 35 hours of practice-relevant CE each year, approved by the Pharmacy Board.

(2) Documentation of these hours shall be kept at the CPP practice site and made available for inspection by agents of the Medical Board or Pharmacy Board.

(e) A Supervising Physician who has a CPP Agreement with a CPP shall be readily available for consultation with the CPP and, at the meetings required by Subparagraph (f)6) of this Rule, shall review each order written by the CPP.

(f) The CPP Agreement shall:

(1) be approved and signed by the Primary Supervising Physician, any Back-Up Supervising Physician, and the CPP, and a copy shall be maintained in each practice site for inspection by agents of either Board upon request;

(2) be specific in regard to the physician, the pharmacist, the patient, and the disease;

(3) specify the predetermined drug therapy, which shall include the diagnosis and product selection by the patient's physician and any modifications which may be permitted, dosage forms, dosage schedules and tests which may be ordered;

(4) prohibit the substitution of a chemically dissimilar drug product by the CPP for the product prescribed by the physician without first obtaining written consent of the physician;

(5) include a pre-determined plan for emergency services;

(6) for the first six months of the CPP Agreement include a plan and schedule for monthly meetings to discuss the operation of the CPP Agreement and quality improvement measures between the Primary Supervising Physician and CPP, and thereafter include a plan and schedule for meetings between the Primary Supervising Physician and CPP at least once every six months to discuss the operation of the CPP Agreement and quality improvement measures. Documentation of the meetings between the CPP and the Primary Supervising Physician shall:

(A) identify clinical issues discussed and actions taken;

(B) be signed and dated by those who attended; and

(C) be retained by both the CPP and Primary Supervising Physician and be available for review by members or agents of either Board for five calendar years;

(7) require that the patient be notified of the collaborative relationship under the CPP Agreement; and

(8) be terminated when patient care is transferred to another physician and new orders will be written by the succeeding physician.

(g) A Supervising Physician shall:

(1) be fully licensed with the Medical Board and engaged in clinical practice;

(2) not be serving in a postgraduate medical training program;

(3) be approved in accordance with this Subchapter before the CPP supervision occurs; and

(4) supervise no more than three pharmacists.

(h) The CPP shall wear a nametag spelling out the words "Clinical Pharmacist Practitioner".

(i) A CPP may be censured or reprimanded, and his or her approval may be restricted, suspended, revoked, annulled, denied, or terminated by the Medical Board or the Pharmacy Board. In addition or in the alternative, the pharmacist may be censured or reprimanded, and the pharmacist's license may be restricted, suspended, revoked, annulled, denied, or terminated by the Pharmacy Board, in accordance with provisions of G.S. 150B. The Pharmacy Board or the Medical Board may take the actions set forth in this Paragraph with respect to the pharmacist, the CPP approval, or the pharmacist's license, if either Board finds one or more of the following:

(1) the CPP has held himself or herself out as, or permitted another to represent that the CPP is, a licensed physician;

(2) the CPP has engaged, or attempted to engage, in the provision of drug therapy management other than at the direction of, or under the supervision of, a physician licensed and approved by the Medical Board to be that CPP's Supervising Physician;

(3) the CPP has provided, or attempted to provide, medical management outside the approved CPP Agreement or for which the CPP is not qualified by education and training to provide;

(4) the CPP commits any act prohibited by G.S. 90-85.38 as determined by the Pharmacy Board or G.S. 90-14(a)(1), (a)(3) through (a)(14) and (c) as determined by the Medical Board; or

(5) the CPP has failed to comply with any of the provisions of this Rule.

Any modification of treatment for financial gain on the part of the Supervising Physician or CPP shall be grounds for denial of Board approval of the CPP Agreement.

(j) Fees:

(1) An application fee of one hundred dollars ($100.00) shall be paid at the time of initial application for approval and each subsequent application for approval to practice as a CPP.

(2) The fee for annual renewal of approval, due at the time of annual renewal pursuant to Paragraph (c) of this Rule, is fifty dollars ($50.00).

(3) No portion of any fee in this Rule is refundable.

History

• Authority G.S. 90-8.2; 90-18; 90-18.4; 90-85.3; 90-85.18; 90-85.26A
• Eff. April 1, 2001
• Amended Eff. July 1, 2016; April 1, 2007; March 1, 2004; October 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .3201 Definitions

The following definitions apply to this Subchapter:

(1) "Board" means the North Carolina Board of Pharmacy.

(2) "Committee" means the Board of Directors established to function as a supervisory and advisory body to the Program.

(3) "Impairment" means mental illness, chemical dependency, physical illness, and aging problems.

(4) "Program" means program established by agreements between special impaired pharmacist peer review organizations and the Board.

History

• Authority G.S. 90-85.6; 90-85.41
• Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .3202 Peer Review Agreements

Peer review activities shall include investigation, review and evaluation of records, reports, complaints, litigation, and other information about the practices and practice patterns of pharmacists licensed by the Board and pharmacy technicians registered by the Board. Peer review activities shall also include programs for impaired pharmacists and pharmacy technicians. Peer review agreements may cover some or all of these activities, as deemed appropriate by the Board.

History

• Authority G.S. 90-85.6; 90-85.41
• Eff. April 1, 2001
• Amended Eff. March 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .3203 Due Process

History

• Status: expired
• Authority G.S. 90-85.6; 90-85.41
• Eff. April 1, 2001
• Amended Eff. March 1, 2004
• Expired Eff. November 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 46 .3204 Receipt and Use of Information of Suspected Impairment

(a) Information concerning suspected impairments may be received by the Program through reports by pharmacists, pharmacy technicians, family members, and others, and through self-referral.

(b) Upon receipt of information of a suspected impairment, the Program shall initiate an investigation.

(c) The Program may conduct routine inquiries regarding suspected impairments.

(d) Pharmacists or pharmacy technicians suspected of impairment may be required to submit to personal interviews before any person authorized by the Program.

History

• Authority G.S. 90-85.6; 90-85.41
• Eff. April 1, 2001
• Amended Eff. March 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .3205 Intervention and Referral

(a) When, following an investigation, impairment is confirmed, an intervention shall be conducted using techniques designed to assist the pharmacist or pharmacy technician in acknowledging responsibility for dealing with the impairment. The pharmacist or pharmacy technician shall be referred to a treatment source.

(b) Methods and objectives of interventions shall be decided on a case-by case basis.

(c) Interventions shall be arranged and conducted as soon as possible. In cases referred by the Board a representative of the Board may be present.

(d) Treatment sources shall be evaluated before receiving case referrals from the Program.

(e) Intervention outcomes, including treatment contracts that are elements of an intervention, shall be recorded by the Program.

History

• Authority G.S. 90-85.6; 90-85.41
• Eff. April 1, 2001
• Amended Eff. March 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .3206 Monitoring Treatment

A treatment source receiving referrals from the Program shall be monitored as to its ability to provide:

(1) medical and non-medical staffing;

(2) treatment; and

(3) post-treatment support.

History

• Authority G.S. 90-85.6; 90-85.41
• Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .3207 Monitoring Rehabilitation and Performance

(a) Monitoring requirements for each pharmacist or pharmacy technician shall be designated by the Program. Pharmacists and pharmacy technicians may be tested regularly or randomly, on Program demand.

(b) Treatment sources may be required to submit reports regarding a pharmacist's or pharmacy technician's rehabilitation and performance to the Program.

(c) Impaired pharmacists and pharmacy technicians may be required to submit to periodic personal interviews before any person authorized by the Program.

(d) Case records shall be maintained by the Program.

History

• Authority G.S. 90-85.6; 90-85.41
• Eff. April 1, 2001
• Amended Eff. March 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .3208 Monitoring Post-Treatment Support

(a) Post-treatment support may include family counseling, advocacy and other services and programs deemed appropriate to improve recoveries.

(b) Treatment sources' post-treatment support shall be monitored by the Program on an ongoing basis.

(c) The Program's post-treatment support shall be monitored by the Program on an ongoing basis.

History

• Authority G.S. 90-85.6; 90-85.41
• Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .3209 Reports of Individual Cases to the Board

(a) Upon investigation and review of a pharmacist licensed by the Board or pharmacy technician registered by the Board, the Program shall report immediately to the Board detailed information about any pharmacist or pharmacy technician as required under G.S. 90-85.41(d).

(b) The Program shall submit quarterly a report to the Board on the status of all pharmacists and pharmacy technicians then involved in the Program who have been previously reported by the Board. The Program shall submit monthly to the Board a report on the status of any pharmacist or pharmacy technician previously reported to the Board then in active treatment.

History

• Authority G.S. 90-85.6; 90-85.41
• Eff. April 1, 2001
• Amended Eff. March 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .3210 Periodic Reporting of Statistical Information

Statistical information concerning suspected impairments, impairments, self-referrals, post-treatment support and other demographic and substantive information collected through Program operations shall be included in comprehensive statistical reports compiled and annually reported to the Board by the Program.

History

• Authority G.S. 90-85.6; 90-85.41
• Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .3211 Confidentiality

Any nonpublic information acquired, created, or used in good faith by the Program shall be treated according to G.S. 90-85.41.

History

• Authority G.S. 90-85.6; 90-85.41
• Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .3301 Registration

(a) Following initial registration with the Board, registration of a pharmacy technician shall be renewed annually through the Board's electronic renewal process and shall expire on December 31. It shall be unlawful to work as a pharmacy technician more than 60 days after expiration of the registration without renewing the registration. A registration expired for more than 60 days due to non-renewal shall be reinstated only if the applicant meets the requirements of 21 NCAC 46 .1612.

(b) The current registration of a pharmacy technician shall be available for inspection by agents of the Board.

(c) Pharmacy technicians who provide services solely at a free clinic as defined in G.S. 90-85.44 shall register with the Board and complete the training program described in G.S. 90-85.15A, but are exempt from the pharmacy technician registration fee.

History

• Authority G.S. 90-85.6; 90-85.15A
• Eff. April 1, 2003
• Amended Eff. February 1, 2006; February 1, 2005
• Temporary Amendment Eff. March 28, 2006
• Amended Eff. July 1, 2015; July 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .3401 Definitions

For purposes of this Section, the following terms are defined as follows:

(1) "Automated medication system" means a robotic, mechanical, or computerized device that is not used for drug compounding and is designed to:

(a) Distribute drugs in a licensed health care facility that holds a pharmacy permit; or

(b) Package drugs for final distribution by a pharmacist.

(2) "Distribution" means the process of providing a drug to an individual authorized to administer drugs and licensed as a health care provider in the state of North Carolina pursuant to an order issued by an authorized prescriber.

(3) "Override medication" means:

(a) A drug that may be removed from an automated medication system prior to pharmacist review because the Multidisciplinary Committee has determined that the clinical status of the patient would be compromised by delay; or

(b) A drug determined by the Multidisciplinary Committee to have a low risk of drug allergy, drug interaction, dosing error, or adverse patient outcome, which may be removed from an automated medication system independent of a pharmacist's review of the medication order or clinical status of the patient.

(4) "Physician controlled medication" is a drug ordered, prepared and administered by a physician or under the physician's direct supervision.

History

• Authority G.S. 90-85.6; 90-85.32; 90-85.33
• Eff. April 1, 1999
• Amended Eff. February 1, 2005; August 1, 2002
• Recodified from 21 NCAC 46 .1814 Eff. February 1, 2005
• Amended Eff. December 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .3402 General Requirements for the Use of Automated Medication Systems

(a) The pharmacist-manager shall assure compliance with all requirements of the Pharmacy Practice Act and this Section.

(b) The pharmacist-manager shall be responsible for:

(1) Maintaining a record of each transaction or operation;

(2) Controlling access to the automated medication system;

(3) Maintaining policies and procedures for:

(A) Operating the automated medication system;

(B) Training personnel who use the automated medication system;

(C) Maintaining patient services whenever the automated medication system is not operating; and

(D) Defining a procedure for a pharmacist to grant access to the drugs in the automated medication system or to deny access to the drugs in the automated medication system.

(4) Securing the automated medication system;

(5) Assuring that a patient receives the pharmacy services necessary for appropriate pharmaceutical care;

(6) Assuring that the automated medication system maintains the integrity of the information in the system and protects patient confidentiality;

(7) Establishing a procedure for stocking or restocking the automated medication system; and

(8) Insuring compliance with all requirements for packaging and labeling.

(c) A pharmacist shall perform prospective drug use review and approve each medication order prior to administration of a drug except an override medication or a physician controlled medication.

(d) A pharmacist shall perform retrospective drug use review for an override medication.

(e) The pharmacist-manager shall convene or identify a Multidisciplinary Committee, which is charged with oversight of the automated medication system. The Multidisciplinary Committee shall:

(1) Include the pharmacist-manager or the pharmacist-manager's designee;

(2) Establish the criteria and process for determining which drug qualifies as an override medication; and

(3) Develop policies and procedures regarding the operation of the automated medication system.

(f) A pharmacy utilizing an automated medication system may distribute patient-specific drugs within the health care facility without verifying each individual drug selected or packaged by the system, if:

(1) The initial medication order has been reviewed and approved by a pharmacist; and

(2) The drug is distributed for subsequent administration by a health care professional permitted by North Carolina law to administer drugs.

(g) The pharmacist-manager shall be responsible for establishing a quality assurance program for the automated medication system. The program shall provide for:

(1) Review of override medication utilization;

(2) Investigation of any medication error related to drugs distributed or packaged by the automated medication system;

(3) Review of any discrepancy or transaction reports and identification of patterns of inappropriate use or access of the automated medication system;

(4) Review of the operation of the automated medication system;

(5) Integration of the automated medication system quality assurance program with the overall continuous quality improvement program of the pharmacy; and

(6) Assurance that individuals working with the automated medication system receive appropriate training on operation of the system and procedures for maintaining pharmacy services when the system is not in operation.

(h) The pharmacist-manager shall maintain, for at least three years, the following records related to the automated medication system in a readily retrievable manner:

(1) Transaction records for all non-controlled drugs or devices distributed by the automated medication system;

(2) Transaction records from the automated medication system for all controlled substances dispensed or distributed; and

(3) Any report or analysis generated as part of the quality assurance program required by Paragraph (g) of this Rule.

History

• Authority G.S. 90-85.6; 90-85.32; 90-85.33
• Eff. February 1, 2005
• Amended Eff. December 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .3403 Multidisciplinary Committee for Decentralized Automated Medication Systems

History

• Status: repealed
• Authority G.S. 90-85.6; 90-85.32; 90-85.33
• Eff. February 1, 2005
• Repealed Eff. December 1, 2013.

21 NCAC 46 .3404 Stocking or Restocking of an Automated Medication System

(a) Responsibility for accurate stocking and restocking of an automated medication system lies with the pharmacist-manager and with any pharmacist tasked with supervising such functions as specified in Subparagraph (b)(2) of this Rule.

(b) The stocking or restocking of an automated medication system, where performed by someone other than a pharmacist, shall follow one of the following procedures to ensure correct drug selection:

(1) A pharmacist shall conduct and document a daily audit of drugs placed or to be placed into an automated medication system by a pharmacy technician, which audit may include random sampling.

(2) A bar code verification, electronic verification, or similar verification process shall be utilized to assure correct selection of drugs placed or to be placed into an automated medication system. The utilization of a bar code, electronic, or similar verification process shall require an initial quality assurance validation, followed by a quarterly quality assurance review by a pharmacist. When a bar code verification, electronic verification, or similar verification process is utilized as specified in this section, stocking and restocking functions may be performed by a pharmacy technician or by a registered nurse trained and authorized by the pharmacist-manager.

(c) The pharmacist performing the quality assurance review shall maintain a record of the quality assurance process that occurred and the pharmacist approval of the drug stocking, restocking or verification process.

(d) Medication Reuse. Any drug that has been removed from the automated medication system shall not be replaced into the system unless:

(1) the drug's purity, packaging, and labeling have been examined according to policies and procedures established by the pharmacist-manager to determine that reuse of the drug is appropriate; or

(2) specific drugs, such as multi-dose vials, have been exempted by the Multidisciplinary Committee.

History

• Authority G.S. 90-85.6; 90-85.32; 90-85.33
• Eff. February 1, 2005
• Amended Eff. December 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 46 .3405 Centralized Automated Medication Systems

History

• Status: repealed
• Authority G.S. 90-85.6; 90-85.32; 90-85.33
• Eff. February 1, 2005
• Repealed Eff. December 1, 2013.

21 NCAC 46 .3406 Quality Assurance Program

History

• Status: repealed
• Authority G.S. 90-85.6; 90-85.32; 90-85.33
• Eff. February 1, 2005
• Repealed Eff. December 1, 2013.

21 NCAC 46 .3407 Record Keeping

History

• Status: repealed
• Authority G.S. 90-85.6; 90-85.32; 90-85.33
• Eff. February 1, 2005
• Repealed Eff. December 1, 2013.

21 NCAC 46 .3408 Compliance

History

• Status: repealed
• Authority G.S. 90-85.6; 90-85.32; 90-85.33
• Eff. February 1, 2005
• Repealed Eff. December 1, 2013.

21 NCAC 46 .3501 Reports from the Controlled Substances Reporting System

The Department of Health and Human Services may submit a report to the Board of Pharmacy if it receives information that the Department of Health and Human Services believes provides a basis to investigate whether a pharmacy, pharmacist or technician has dispensed prescriptions for controlled substances in a manner that may violate laws governing the dispensing of controlled substances or the practice of pharmacy.

History

• Authority G.S. 90-85.6; 90-85.12; 90-113.74
• Eff. March 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

Chapter 48 Physical Therapy Examiners

Subchapter A

21 NCAC 48A .0101 Name and Location

History

• Status: repealed
• Authority G.S. 90-270.26
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. April 1, 1993; December 1, 1990; October 28, 1979
• Repealed Eff. February 1, 1996.

21 NCAC 48A .0102 Purpose and Duties

History

• Status: repealed
• Authority G.S. 90-270.26 through 90-270.33; 90-270.35 through 90-270.37
• 150A-11; 150A-23
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48A .0103 Membership of Board

(a) Selection of Board Members. Nominations for members of the Board shall be sought from licensees residing in North Carolina. The ballots distributed to licensees in North Carolina shall list each nominee's place and location of employment and practice setting. The completed ballots shall be forwarded to the President of the North Carolina Physical Therapy Association within the 30-day deadline indicated on the ballot.

(b) Qualification of Nominees. Each nominee for a physical therapist or physical therapist assistant position on the Board shall, on a form provided by the Board, attest to meeting the qualifications specified in G.S. 90-270.91.

(c) Actively Engaged in Practice. Each physical therapist and physical therapist assistant member of the Board shall, during incumbency, be employed or otherwise actively engaged in a position that includes at least 1000 hours annually devoted to review, oversight, supervision, administration, teaching, or providing physical therapy services for patients, clients, or the public.

(d) Decisions. Decisions shall be reached by a majority of the Board Members present and eligible to participate provided that a quorum consists of five Board Members.

History

• Authority G.S. 90-270.91; 90-270.92
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. February 1, 2015; August 1, 2002; August 1, 1998; April 1, 1989; May 1, 1988; December 30, 1985; October 28, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. September 1, 2019.

21 NCAC 48A .0104 Executive Director

History

• Status: repealed
• Authority G.S. 90-270.26
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. February 1, 1996; October 28, 1979
• Repealed Eff. July 1, 2013.

21 NCAC 48A .0105 Definitions

The following definitions and the definitions in G.S. 90-270.90 apply throughout Chapter 48:

(1) "Computer Based Testing" or "CBT" means the Federation approved National Physical Therapist and Physical Therapist Assistant Examinations administered by a testing agency approved by the Federation.

(2) "Credentials" means the materials related to educational background and professional experience that an applicant for licensure must present to the Board.

(3) "Educational programs" means physical therapy and physical therapist assistant educational programs accredited by the Commission on Accreditation of Physical Therapy Education (CAPTE).

(4) "Endorsement" means granting a license in this State based upon the applicant possessing an active license in another State.

(5) "Federation" means Federation of State Boards of Physical Therapy.

(6) "Graduated" or "graduation" means the completion of all requirements, including clinical experience, from an accredited program for physical therapists or physical therapist assistants. If an educational program certifies that the degree is assured and will be conferred at a later date, an applicant will be considered to have been graduated.

(7) "Inappropriate touching" means the unwelcome or unwanted laying of hands by a licensee for a purpose inconsistent with a physical therapy evaluation or treatment of a patient.

(8) "Note" means the physical therapy progress note that documents each patient visit.

(9) "On-site supervision" means the supervising licensee is present in the department or facility where services are provided, is immediately available to the person being supervised and maintains continued involvement in aspects of treatment sessions in which students completing clinical requirements or physical therapy aides are involved in components of care.

(10) "Patient" means any recipient of physical therapy services and includes the term "client".

(11) "PT" means a Physical Therapist.

(12) "PT exam" means a Federation approved licensing examination for physical therapists.

(13) "PTA" means a Physical Therapist Assistant.

(14) "PTA exam" means a Federation approved licensing examination for physical therapist assistants.

History

• Authority G.S. 90-270.90; 90-270.92; 90-270.98
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. July 1, 2013; August 1, 2002; August 1, 1998; November 1, 1991; October 1, 1989; April 1, 1989; December 30, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. September 1, 2019.

21 NCAC 48A .0106 Suspension of Authority to Expend Funds

In the event the Board's authority to expend funds is suspended pursuant to G.S. 93B-2(d), the Board shall continue to issue and renew licenses. All fees tendered shall be placed in an escrow account maintained by the Board for this purpose. Once the Board's authority is restored, the funds shall be moved from the escrow account into a general operating account.

History

• Authority G.S. 93B-2
• Eff. July 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48A .0107 Identification Requirements

(a) Persons licensed under G.S. 90-270.90 et seq. shall be required to wear an identification badge or other form of identification displaying the name of the person and level of licensure as required by G.S. 90-640.

(b) A licensee shall be exempted from this requirement if such person advises the Board that the person's or patient's safety or some therapeutic concern requires that only a first name and level of licensure be displayed.

History

• Authority G.S. 90-640
• Eff. July 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. September 1, 2019.

Subchapter B

21 NCAC 48B .0101 General Requirements

History

• Status: repealed
• Authority G.S. 90-270.24(5); 90-270.26; 90-270.34; 90-270.35(1), (2)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. December 30, 1985; November 9, 1979; October 28, 1979
• Repealed Eff. August 1, 2002.

21 NCAC 48B .0102 Licenses by Endorsement

(a) Endorsement. Each application for endorsement shall be considered on an individual basis.

(b) Examination Required. Only those persons initially licensed in another state by virtue of examination shall be considered for endorsement. Only the following examinations shall be considered:

(1) For Physical Therapists:

(A) Therapists licensed on the basis of a PT exam shall present total scores that meet the North Carolina passing level as set forth in 21 NCAC 48D .0105. If scores and information are not available from the other state, the applicant shall have the scores issued through the testing agency. If scores are no longer available or destroyed, the Board shall accept a notarized copy of exam scores from another state. If the total score on the examination is unsatisfactory, the exam shall be repeated. The cost of the examination shall be paid by the applicant.

(B) If licensed in another state by an examination compiled by that Board, the applicant shall supply information for the Board to attempt to obtain the examination in order to determine if it meets the requirements set forth in 21 NCAC 48D .0105. If it cannot be determined that the examination was equal to the North Carolina examination or if the scores received on an acceptable examination did not meet the North Carolina passing requirement, the applicant shall take the PT exam. The cost of the examination shall be paid by the applicant.

(C) A physical therapist currently licensed in another state whose license in that state was granted on the basis of the American Registry of Physical Therapists Examination shall be considered for endorsement.

(2) For Physical Therapist Assistants: Only those physical therapist assistants licensed in another state by a PTA exam shall be considered for endorsement. The examination score shall meet the North Carolina passing level as set forth in 21 NCAC 48D .0105. If not, the applicant shall be required to take the PTA exam and pay the cost of the examination.

(c) Active License. An applicant for licensure by endorsement shall submit verification of licensure in effect on the date the application for North Carolina licensure was filed with the Board in accordance with 21 NCAC 48E .0105.

(d) Jurisprudence Exercise. All applicants for licensure by endorsement shall furnish proof of completion of the Jurisprudence Exercise 1 as set forth in 21 NCAC 48G .0105(7).

History

• Authority G.S. 90-270.92; 90-270.98(b); 90-270.100
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. August 1, 1998; February 1, 1996; November 1, 1991; December 1, 1990
• October 1, 1989; April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. May 1, 2020.

21 NCAC 48B .0103 Licenses by Examination

(a) Applicants. An applicant seeking an initial license or who fails to meet the requirements in Rule .0102 of this Section for endorsement must pass a computer-based examination set forth in Subchapter 48D of this Chapter to practice in North Carolina following the approval of the applicant's credentials.

(b) Timing of Examination. The applicant shall take the examination within one year following the Board's approval of his or her application. If the applicant does not do so, the applicant must submit his or her credentials to the Board for review before he or she can take the exam.

(c) Examination Taken in Another State. Applicants not previously licensed who take a PT exam or a PTA exam in another state may be licensed in North Carolina if they provide scores that meet the North Carolina passing level set forth in Rule 48D .0105 of this Chapter and meet all other requirements set forth in this Chapter and the Physical Therapy Practice Act for North Carolina licensure in effect at the time of application.

(d) Jurisprudence Exercise. All applicants for licensure for exam shall furnish proof of completion of the Jurisprudence Exercise 1 as set forth in 21 NCAC 48G .0105(7).

History

• Authority G.S. 90-270.92; 90-270.95; 90-270.97
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. July 1, 2013; August 1, 2002; October 1, 1989; April 1, 1989; December 30, 1985; October 28, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. September 1, 2021; May 1, 2020.

21 NCAC 48B .0104 Exemptions

A person seeking an exemption from licensure requirements pursuant to G.S. 90-270.101(a)(8) or (9) shall submit the Request for Exemption form approved by the Board (www.ncptboard.org), or a written request that includes license number and contact information. An exemption issued pursuant to G.S. 90-270.101(a)(8) or (9) expires on the next annual renewal date.

History

• Authority G.S. 90-270.101
• Eff. February 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. September 1, 2019.

Subchapter C

21 NCAC 48C .0101 Permitted Practice

(a) Physical therapy is presumed to include any acts, tests, procedures, modalities, treatments, or interventions that are routinely taught in educational programs or in continuing education programs for physical therapists and are routinely performed in practice settings.

(b) A physical therapist who employs acts, tests, procedures, modalities, treatments, or interventions in which professional training has been received through education or experience is considered to be engaged in the practice of physical therapy.

(c) A physical therapist must supervise physical therapist assistants, physical therapy aides, PT students and PTA students to the extent required under the Physical Therapy Practice Act and the rules in this Chapter. Physical therapy aides include all non-licensed individuals aiding in the provision of physical therapy services.

(d) The practice of physical therapy includes tests of joint motion, muscle length and strength, posture and gait, limb length and circumference, activities of daily living, pulmonary function, cardio-vascular function, nerve and muscle electrical properties, orthotic and prosthetic fit and function, sensation and sensory perception, reflexes and muscle tone, and sensorimotor and other skilled performances; treatment procedures such as hydrotherapy, shortwave or microwave diathermy, ultrasound, infra-red and ultraviolet radiation, cryotherapy, electrical stimulation including transcutaneous electrical neuromuscular stimulation, massage, debridement, intermittent vascular compression, iontophoresis, machine and manual traction of the cervical and lumbar spine, joint mobilization, machine and manual therapeutic exercise including isokinetics and biofeedback; and training in the use of orthotic, prosthetic and other assistive devices including crutches, canes and wheelchairs. Physical therapy further includes:

(1) examining (history, system review and tests and measures) individuals in order to determine a diagnosis, prognosis, and intervention within the physical therapist's scope of practice. Tests and measures include the following:

(A) aerobic capacity and endurance;

(B) anthropometric characteristics;

(C) arousal, attention, and cognition;

(D) assistive and adaptive devices;

(E) community and work (job/school/play) integration or reintegration;

(F) cranial nerve integrity;

(G) environmental, home, and work (job/school/play) barriers;

(H) ergonomics and body mechanics;

(I) gait, locomotion, and balance;

(J) integumentary integrity;

(K) joint integrity and mobility;

(L) motor function;

(M) muscle performance;

(N) neuromotor development and sensory integration;

(O) orthotic, protective and supportive devices;

(P) pain;

(Q) posture;

(R) prosthetic requirements;

(S) range of motion;

(T) reflex integrity;

(U) self-care and home management;

(V) sensory integrity; and

(W) ventilation, respiration, and circulation.

(2) alleviating impairment and functional limitation by designing, implementing, and modifying therapeutic interventions that include the following:

(A) coordination, communication and documentation;

(B) patient/client-related instruction;

(C) therapeutic exercise (including aerobic conditioning);

(D) functional training in self-care and home management (including activities of daily living and instrumental activities of daily living);

(E) functional training in community and work (jobs/school/play) integration or reintegration activities (including instrumental activities of daily living, work hardening, and work conditioning);

(F) manual therapy techniques (including mobilization and manipulation);

(G) prescription, application, and fabrication of assistive, adaptive, orthotic, protective, supportive, and prosthetic devices and equipment that is within the scope of practice of physical therapy;

(H) airway clearance techniques;

(I) wound management;

(J) electrotherapeutic modalities; and

(K) physical agents and mechanical modalities.

(3) preventing injury, impairment, functional limitation, and disability, including the promotion and maintenance of fitness, health, and quality of life in all age populations.

History

• Authority G.S. 90-270.90; 90-270.92
• Eff. December 30, 1985
• Amended Eff. December 1, 2006; April 1, 2003; August 1, 2002; August 1, 1998; December 1, 1990; October 1, 1989; April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48C .0102 Responsibilities

(a) A physical therapist shall determine the patient care plan and the elements of that plan appropriate for delegation.

(b) A physical therapist shall determine that those persons acting under his or her supervision possess the competence to perform the delegated activities.

(c) A physical therapist may delegate responsibilities to physical therapist assistants, including supervising physical therapist or physical therapist assistant students.

(d) A physical therapist shall enter and review chart documentation, reexamine and reassess the patient, and revise the patient care plan if necessary, based on the needs of the patient.

(e) A physical therapist shall establish a discharge plan that includes a discharge summary or episode of care for each patient.

(f) The physical therapist shall provide all therapeutic interventions that require the physical therapist's expertise, and may delegate to a physical therapist assistant or physical therapy aide the delivery of service to the patient when it is safe and effective for the patient.

(g) A physical therapist's responsibility for patient care management includes first-hand knowledge of the health status of each patient and oversight of all documentation for services rendered to each patient, including awareness of fees and reimbursement structures.

(h) A physical therapist shall be immediately available in person or by telecommunication to a physical therapist assistant supervising a physical therapy aide or student engaging in patient care.

(i) A physical therapist who is supervising a physical therapy aide or student shall be present in the same facility when patient care is provided.

(j) A physical therapist shall clinically supervise only that number of assistive personnel, including physical therapist assistants, physical therapy aides, and students completing clinical requirements, as the physical therapist determines is appropriate for providing safe and effective patient interventions at all times.

(k) If a physical therapist assistant or physical therapy aide is involved in the patient care plan, a physical therapist shall reassess a patient every 60 days or 13 visits, whichever occurs first.

(l) A physical therapist shall document every evaluation and intervention or treatment including the following elements:

(1) authentication (signature and designation) by the physical therapist who performed the service;

(2) date of the evaluation or treatment;

(3) length of time of total treatment session or evaluation;

(4) patient status report;

(5) changes in clinical status;

(6) identification of specific elements of each intervention or modality provided. Frequency, intensity, or other details may be included in the plan of care and if so, do not need to be repeated in the daily note;

(7) equipment provided to the patient; and

(8) interpretation and analysis of clinical signs, symptoms, and response to treatment based on subjective and objective findings, including any adverse reactions to an intervention.

(m) At the time of reassessment the physical therapist shall document:

(1) the patient's response to therapy intervention;

(2) the patient's progress toward achieving goals; and

(3) justifications for continued treatment.

(n) A physical therapist shall, upon request by the patient of record, provide the original or copies of the patient's treatment record to the patient, or to the patient's designee. As permitted by G.S. 90-411, a fee may be charged for the cost of reproducing copies. The documents requested shall be provided within 30 days of the request and shall not be contingent upon current, past, or future physical therapy treatment or payment of services.

History

• Authority G.S. 90-270.90; 90-270.92; 90-270.98; 90-270.101; 90-411
• Eff. December 30, 1985
• Amended Eff. February 1, 2015; July 1, 2013; December 1, 2006; August 1, 2002; August 1, 1998; January 1, 1991
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48C .0103 Prohibited Practice

(a) A physical therapist must not employ acts, tests, procedures, modalities, treatments, or interventions in the treatment of patients that are beyond the scope of the practice of physical therapy. Any patient whose condition requires medical diagnosis of disease or treatment beyond the scope of physical therapy must be referred as specified in G.S. 90-270.102.

(b) A physical therapist must not permit any person working under his or her supervision to engage in acts or practices beyond the scope allowed by the Physical Therapy Practice Act or the rules in this Chapter.

(c) Physical therapy does not include the application of roentgen rays or radioactive materials, but consistent with the requirements of G.S. 90-270.102(4) a physical therapist may review x-rays and may also request radiologic consultations; however, a physical therapist shall not order radiological examinations.

History

• Authority G.S. 90-270.90; 90-270.92; 90-270.102
• Eff. December 30, 1985
• Amended Eff. December 1, 2006; August 1, 1998; April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. March 1, 2020; September 1, 2019.

21 NCAC 48C .0201 Supervision by Physical Therapist

(a) A physical therapist assistant may assist in the practice of physical therapy only to the extent allowed by the supervising physical therapist.

(b) A physical therapist assistant may make modifications of treatment programs that are consistent with the established patient care plan.

(c) A physical therapist assistant may engage in off-site patient related activities that are appropriate for the physical therapist assistant's qualifications and the status of the patient.

(d) A physical therapist assistant may document care provided without the co-signature of the supervising physical therapist.

(e) A physical therapist assistant who is supervising a physical therapy aide or student must be present in the same facility when patient care is provided.

(f) The physical therapist assistant must document every intervention/treatment, which must include the following elements:

(1) Authentication (signature and designation) by the physical therapist assistant who performed the service;

(2) Date of the intervention/treatment;

(3) Length of time of total treatment session;

(4) Patient status report;

(5) Changes in clinical status;

(6) Identification of specific elements of each intervention/modality provided. Frequency, intensity, or other details may be included in the plan of care and if so, do not need to be repeated in the daily note;

(7) Equipment provided to the patient or client; and

(8) Response to treatment based on subjective and objective findings, including any adverse reactions to an intervention.

History

• Authority G.S. 90-270.90; 90-270.92; 90-270.102
• Eff. December 30, 1985
• Amended Eff. December 1, 2006; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48C .0202 Prohibited Practice

(a) A physical therapist assistant shall not engage in practices requiring the knowledge and skill of a physical therapist.

(b) A physical therapist assistant shall not engage in acts beyond the scope of practice delegated by the supervising physical therapist.

History

• Authority G.S. 90-270.90; 90-270.92; 90-270.102
• Eff. December 30, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48C .0301 Permitted Activities

History

• Status: repealed
• Authority G.S. 90-270.24; 90-270.26; 90-270.31
• Eff. December 30, 1985
• Amended Eff. April 1, 1989; May 1, 1988
• Repealed Eff. August 1, 1998.

21 NCAC 48C .0302 Authorization

History

• Status: repealed
• Authority G.S. 90-270.24; 90-270.26; 90-270.31
• Eff. December 30, 1985
• Amended Eff. April 1, 1989; May 1, 1988
• Repealed Eff. August 1, 1998.

21 NCAC 48C .0401 Definition

Whenever any person not licensed in accordance with the provisions of the physical therapy practice act aids in the provision of physical therapy services under the supervision of a licensed physical therapist or physical therapist assistant, that person meets the definition of a physical therapy aide found in G.S. 90-270.90(5).

History

• Authority G.S. 90-270.90; 90-270.92
• Eff. August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. September 1, 2019.

21 NCAC 48C .0402 Function

(a) A physical therapy aide may perform only those acts delegated by a licensed physical therapist or physical therapist assistant.

(b) A physical therapy aide must not engage in the performance of physical therapy activities without supervision by a licensee in accordance with this Subchapter.

(c) A physical therapy aide must work under the supervision of a licensee who is present in the facility. This may extend to an off-site setting only when the physical therapy aide is accompanying and working directly with a licensee with a specific patient.

(d) A physical therapy aide must not be independently responsible for a patient caseload.

History

• Authority G.S. 90-270.90; 90-270.92
• Eff. December 30, 1985
• Amended Eff. December 1, 2006; August 1, 2002; August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48C .0501 Exemption for Students

(a) Students enrolled in educational programs that are either accredited or are candidates in good standing for accreditation by an agency recognized by either the U.S. Office of Education or the Council on Postsecondary Accreditation, are included in the exemption from licensure contained in G.S. 90-270.101(a)(1) while completing a clinical requirement for graduation.

(b) A licensee must be present in the facility when patient care activities are undertaken by a PT or PTA student while completing the clinical requirement.

History

• Authority G.S. 90-270.92(1); 90-270.95; 90-270.101(a)(1)
• Recodified From 48E .0101(c) Effective January 25, 1989
• Amended Eff. January 1, 1991
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. March 1, 2020.

21 NCAC 48C .0601 Responsibilities

Health care personnel who do not function as physical therapy aides may receive direction from physical therapists with regard to patient related activities, but they must not either refer to or represent their services as physical therapy.

History

• Authority G.S. 90-270.101(b)(2); 90-270.90(4)
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

Subchapter D

21 NCAC 48D .0101 General Requirements

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.29
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48D .0102 Schedule and Location of Examination

Examinations may be scheduled by the applicant at sites designated by the testing agency recognized by the Federation.

History

• Authority G.S. 90-270.92
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. August 1, 1998; December 30, 1985; October 28, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1,
• 2018
• Amended Eff. May 1, 2020.

21 NCAC 48D .0103 Notice of Examination

History

• Status: repealed
• Authority G.S. 90-270.26; 93B-8(b)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. December 1, 1990; May 1, 1988; December 30, 1985; October 28 1979
• Repealed Eff. August 1, 1998.

21 NCAC 48D .0104 Type of Examination

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.29; 90-270.30
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48D .0105 Examination Scores

(a) Passing Level. For examinations administered by the Professional Examination Service or Assessment Systems, Inc. prior to July 1, 1993, the passing level for the PT exam and the PTA exam shall be 1.5 standard deviations below the national average for the raw score of the examination. The criterion-referenced passing point shall be equal to a scaled score of 600 based on a score range of 200 - 800 as adopted by the Federation of State Boards of Physical Therapy on February 2, 1993.

(b) Transfer of Scores. Scores will be released as follows:

(1) To an individual who took the examination in North Carolina upon request and with no charge;

(2) To licensing Boards in other states upon the request of the individual and the payment of the fee established in 21 NCAC 48F .0102(6); licensure information may be included with the score release;

(3) To other persons or institutions upon the request of the individual.

(c) Scores Related to Passing Level. Scores released to the individual will include the North Carolina passing level for the examination.

History

• Authority G.S. 90-270.92; 90-270.100
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. August 1, 1998; July 1, 1993; November 1, 1991; December 1, 1990; May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48D .0106 Notification of Examination Results

Individuals. All applicants will be notified in writing of the results of the examination within 10 days of the Board's receipt of the results.

History

• Authority G.S. 90-270.92
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. August 1, 1998; October 1, 1995; December 1, 1990; April 1, 1989; May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1,
• 2018
• Amended Eff. September 1, 2021.

21 NCAC 48D .0107 Persons Refused Examination Permission

(a) The Board shall refuse permission to take the examination to any person who:

(1) Does not meet the requirements as set forth in the Physical Therapy Practice Act;

(2) Furnishes false information to the Board on the application; or

(3) Fails to furnish personal background information as required by these Rules.

(b) The Board and Federation have authority to approve an applicant's exam eligibility. The Board shall approve exam eligibility for foreign-trained applicants. The Federation shall grant exam eligibility for all other applicants as set forth in National Physical Therapy Examination policies, which are available free of charge at the Board's office and at www.fsbpt.org.

(c) Any applicant who is refused permission to take the examination shall be entitled to petition the Board for a contested case hearing pursuant to Subchapter 48G, Section .0500 of this Chapter.

(d) Any applicant who is refused permission to take the examination by the Federation has the option to appeal using the policies set forth in Paragraph (b) of this Rule.

History

• Authority G.S. 90-270.92; 90-270.95; 90-270.97; 90-270.100; 90-270.103
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. December 1, 2006; August 1, 2002; December 30, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Temporary Amendment Eff. September 25, 2020
• Amended Eff. August 1, 2021.

21 NCAC 48D .0108 Licensed Persons Taking the Examination

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.33
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 1, 1989
• Repealed Eff. October 1, 1995.

21 NCAC 48D .0109 Retaking Examination

(a) Arrangements for Retake. To retake the examination, the applicant shall notify the Board in writing, and pay the retake fee as specified in 21 NCAC 48F .0102. The examination cost as set forth by the Federation (www.fsbpt.org) is hereby incorporated by reference and includes subsequent amendments and editions. If the Federation approves exam eligibility, the Federation shall administer the retake process according to NPTE policies, which may be found at www.fsbpt.org.

(b) Limitations. An applicant shall be limited to taking the examination the number of times allowed by the Federation as indicated on the Federation's website (www.fsbpt.org).

History

• Authority G.S. 90-270.92; 90-270.95; 90-270.97; 90-270.100
• Emergency Regulation Eff. July 23, 1979, for a period of 120 days to expire on November 20, 1979
• Made Permanent Eff. November 20, 1979
• Amended Eff. February 1, 2015; February 1, 1996; November 1, 1993; August 1, 1988; May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Temporary Amendment Eff. September 25, 2020
• Amended Eff. August 1, 2021.

21 NCAC 48D .0110 Administration of Examination

The applicant shall comply with the procedures established by the testing center at the site where the test is administered.

History

• Authority G.S. 90-270.92; 90-270.95; 90-270.97; 90-270.103
• Eff. October 28, 1979
• Amended Eff. August 1, 1998; February 1, 1996; April 1, 1989; May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48D .0111 Applicants with Special Needs

Examination candidates who need special accommodations for the examination as a result of a medical or physical disability shall file an Accommodation Request Form and supporting documentation with the Executive Director at least 60 days before the examination date in order for the request to be considered by the Board. If the Federation grants exam eligibility, the accommodation request shall be made pursuant to Federation testing accommodation policy, which may be found at www.fsbpt.org.

History

• Authority G.S. 90-270.92; P.L. 101-336
• Eff. October 1, 1995
• Amended Eff. February 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Temporary Amendment Eff. September 25, 2020
• Amended Eff. August 1, 2021.

21 NCAC 48D .0112 Computer Examination

The examination required for licensure shall be a Computer Based Test (CBT) and shall be administered by a testing service approved by the Federation.

History

• Authority G.S. 90-270.92; 90-270.95; 90-270.97
• Eff. August 1, 1998
• Amended Eff. July 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

Subchapter E

21 NCAC 48E .0101 Filing Application and Board Determination of Exam Eligibility

(a) An applicant for licensure shall ensure that his or her credentials are filed with the Executive Director in accordance with the rules of this Subchapter.

(b) Applicants pursuant to G.S. 90-270.97 shall submit all application requirements to the Executive Director at least 30 days prior to the examination.

(c) The Board shall not approve an application until the applicant has graduated as defined by 21 NCAC 48A .0105(6).

History

• Authority G.S. 90-270.92; 90-270.95; 90-270.98(b)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1988; December 30, 1985; October 28, 1979
• Recodified Paragraph (c) to 21 NCAC 48C .0501 Eff. January 25, 1989
• Amended Eff. July 1, 2013; August 1, 1998; February 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1,
• 2018
• Amended Eff. May 1, 2020
• Temporary Amendment Eff. September 25, 2020
• Amended Eff. August 1, 2021.

21 NCAC 48E .0102 Application Forms

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.29; 90-270.31(b); 90-270.33; 90-270.36
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0103 References

Two character references are required from individuals other than relatives who have known the applicant for at least one year.

History

• Authority G.S. 90-270.92; 90-270.95; 90-270.98(b)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. December 1, 1990; April 1, 1989; December 30, 1985; October 28, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48E .0104 Examination Scores

Persons seeking licensure by endorsement shall have their examination scores sent to the executive director on a form authenticated by the reporting Board.

History

• Authority G.S. 90-270.92; 90-270.98(b)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. July 1, 2013; August 1, 1998; February 1, 1996; October 1, 1989; April 1, 1989; May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48E .0105 Verification of Licensure

An applicant for licensure by endorsement must submit verification of an active license in another state. The verification must bear the official signature and seal of the Board of that state, or be authenticated by the reporting Board as an official electronic document regularly used by the reporting Board to verify licensure.

History

• Authority G.S. 90-270.92; 90-270.98(b)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. July 1, 2013; May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48E .0106 Interview

History

• Status: repealed
• Authority G.S. 90-270.25
• Eff. February 1, 1976
• Repealed Eff. September 30, 1977.

21 NCAC 48E .0107 Action on Application

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.33
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0108 Taking Examination Prior to Degree Conferring Date

History

• Status: repealed
• Authority G.S. 90-270.25; 90-270.29
• Eff. May 27, 1976
• Repealed Eff. September 30, 1977.

21 NCAC 48E .0109 Retaking Examination

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.29; 90-270.33
• Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0110 Foreign-Trained Physical Therapist Applicant by Examination

(a) This Rule shall apply to a physical therapist who has graduated from a program located outside the United States that has not been accredited by the Commission of Accreditation of Physical Therapy Education (CAPTE) or its successor, in accordance with G.S. 90-270.95(2), and does not hold an active license in another state or territory of the United States.

(b) All application forms and supporting documents shall be completed in English or accompanied by an English translation.

(c) For the applicant's educational credential to be determined substantially equivalent to that obtained by an applicant for licensure pursuant to G.S. 90-270.95(2), the applicant shall meet the standards of the Federation's most recent Coursework Tool (CWT) for Physical Therapists at https://www.fsbpt.org/FreeResources/RegulatoryResources/CourseworkTools(CWT).aspx. These coursework tools are incorporated by reference, including subsequent amendments and editions. Individuals wishing to obtain a copy may call the Federation at 703-299-3100 or download a copy from the Federation's website at no cost. Copies of the coursework tools are on file at the Division located at 8300 Health Park Suite 233, Raleigh, NC 27615 and are available for public inspection during regular business hours.

(d) The applicant shall make arrangements to have the credentials evaluated by the Foreign Credentialing Commission on Physical Therapy or a service that has a physical therapist consultant on staff and that is authorized to use the Federation's CWTs for physical therapists referred to in Paragraph (c) of this Rule. The Board shall review an applicant's educational program and shall consider the findings of the credentialing service.

(e) The applicant shall provide the following information to the Board:

(1) proof that the applicant has demonstrated English language proficiency by meeting the most recent Test of English as a Foreign Language (TOEFL) score requirement as defined by the Federation. This test is incorporated by reference, including subsequent amendments and editions. Individuals wishing to register for the TOEFL shall contact Examination Testing Service (http://www.ets.org/toefl/). The cost of this examination is posted on the ETS website. The TOEFL is an examination that is owned by ETS and is not available for public review; or

(2) documentation for exemption pursuant to 8 CFR 212.15 (http://www.uscis.gov/). 8 CFR 212.15 is incorporated by reference, including subsequent amendments and editions. Individuals wishing to obtain a copy at no cost may call the United States Citizenship and Immigration Service National Customer Service Center at 1-800-375-5283 or 1-800-767-1833 (TDD) toll free. A copy of 8 CFR 212.15 is on file at the Division located at 8300 Health Park Suite 233, Raleigh, NC 27615 and is available for public inspection during regular business hours.

(f) An applicant for licensure shall provide a complete set of fingerprints at the applicant's expense in order to obtain a criminal history record check in accordance with G.S. 90-270.96 and G.S. 143B-964.

History

• Authority G.S. 90-270.92; 90-270.95; 90-270.97; 90-270.98; 143B-964; 150B-21.6(2)
• Eff. December 30, 1985
• Amended Eff. November 1, 1991; August 1, 1991
• Temporary Amendment Eff. July 21, 1995, for a period of 180 days or until the permanent Rule becomes effective, whichever is sooner
• Amended Eff. February 1, 2015; December 1, 2006; November 1, 2004; August 1, 2002; August 1, 1998; February 1, 1996; October 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. May 1, 2020; September 1, 2019; November 1, 2018.

21 NCAC 48E .0111 FOREIGN-TRAINED PHYSICAL THERAPIST applicant by ENdorsement

(a) This Rule shall apply to a physical therapist who has graduated from a program located outside the United States that has not been accredited by the Commission of Accreditation of Physical Therapy Education (CAPTE) or its successor, in accordance with G.S. 90-270.95(2), and holds an active physical therapist license in another state or territory of the United States.

(b) All application forms and supporting documents shall be completed in English or accompanied by an English translation.

(c) For the applicant's educational credentials to be determined substantially equivalent to an educational program accredited pursuant to G.S. 90-270.95(2), the applicant shall meet the standards of the Federation's Coursework Tool (CWT) https://www.fsbpt.org/FreeResources/Regulatory Resources/CourseworkTools(CWT).aspx for the applicant's year of graduation. This coursework tool is incorporated by reference, including subsequent amendments and editions. Individuals wishing to obtain a copy may call the Federation at 703-299-3100 or download a copy from the Federation's website at no cost. A copy of the coursework tool is on file at the Division located at 8300 Health Park Suite 233, Raleigh, NC 27615 and is available for public inspection during regular business hours.

(d) The applicant shall make arrangements to have the credentials evaluated by the Foreign Credentialing Commission on Physical Therapy or a service that has a physical therapist consultant on staff and that is authorized to use the Federation's CWTs for physical therapists referred to in Paragraph (c) of this Rule. The Board shall review an applicant's educational program and shall consider the findings of the credentialing service.

(e) The applicant shall provide the following information to the Board:

(1) proof that the applicant has demonstrated English language proficiency by meeting the most recent Test of English as a Foreign Language (TOEFL) score requirement as defined by the Federation. This test is incorporated by reference, including subsequent amendments and editions. Individuals wishing to register for the TOEFL shall contact Examination Testing Service (http://www.ets.org/toefl/). The cost of this examination is posted on the ETS website. The TOEFL is an examination that is owned by ETS and is not available for public review; or

(2) documentation for exemption pursuant to 8 CFR 212.15 (http://www.uscis.gov/). 8 CFR 212.15 is incorporated by reference, including subsequent amendments and editions. Individuals wishing to obtain a copy at no cost may call the United States Citizenship and Immigration Service National Customer Service Center at 1-800-375-5283 or 1-800-767-1833 (TDD) toll free. A copy of 8 CFR 212.15 is on file at the Division located at 8300 Health Park Suite 233, Raleigh, NC 27615 and is available for public inspection during regular business hours.

(f) An applicant for licensure shall provide a complete set of fingerprints at the applicant's expense in order to obtain a criminal history record check in accordance with G.S. 90-270.96 and G.S. 143B-964.

History

• Authority G.S. 90-270.92; 90-270.95; 90-270.95(2); 90-270-97; 90-270.98; 143B-964; 150B-21.6(2)
• Eff. February 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. May 1, 2020; September 1, 2019; November 1, 2018.

21 NCAC 48E .0112 FOREIGN-TRAINED PHYSICAL therapist assistant applicant

(a) This Rule shall apply to a physical therapist assistant who has graduated from a program located outside the United States that has not been accredited by the Commission of Accreditation of Physical Therapy Education (CAPTE) or its successor, in accordance with G.S. 90-270.95(3), and holds an active physical therapist assistant license in another state or territory of the United States.

(b) All application forms and supporting documents shall be completed in English or accompanied by an English translation.

(c) For the applicant's educational credentials to be determined substantially equivalent to that obtained by an applicant for licensure pursuant to G.S. 90-270.95(3), the applicant shall meet the standards of the Federation's most recent Coursework Tool (CWT) for Physical Therapist Assistants https://www.fsbpt.org/FreeResources/Regulatory Resources/CourseworkTools(CWT).aspx for the applicant's year of graduation. This coursework tool is incorporated by reference, including subsequent amendments and editions. Individuals wishing to obtain a copy may call the Federation at 703-299-3100 or download a copy from the Federation's website at no cost. A copy of the coursework tool is on file at the Division located at 8300 Health Park Suite 233, Raleigh, NC 27615 and is available for public inspection during regular business hours.

(d) The applicant shall make arrangements to have the credentials evaluated by the Foreign Credentialing Commission on Physical Therapy or a service that has a physical therapist consultant on staff and that is authorized to use the Federation's CWTs for physical therapist assistants referred to in Paragraph (c) of this Rule. The Board shall review an applicant's educational program and shall consider the findings of the credentialing service.

(e) The applicant shall provide the following information to the Board:

(1) proof that the applicant has demonstrated English language proficiency by meeting the most recent Test of English as a Foreign Language TOEFL score requirement as defined by the Federation. This test is incorporated by reference, including subsequent amendments and editions. Individuals wishing to register for the TOEFL shall contact Examination Testing Service (http://www.ets.org/toefl/). The cost of this examination is posted on the ETS website. The TOEFL is an examination that is owned by ETS and is not available for public review; or

(2) documentation for exemption pursuant to 8 CFR 212.15 (http://www.uscis.gov/). 8 CFR 212.15 is incorporated by reference, including subsequent amendments and editions. Individuals wishing to obtain a copy at no cost may call the United States Citizenship and Immigration Service National Customer Service Center at 1-800-375-5283 or 1-800-767-1833 (TDD) toll free. A copy of 8 CFR 212.15 is on file at the 8300 Health Park Suite 233, Raleigh, NC 27615 and is available for public inspection during regular business hours.

(f) An applicant for licensure shall provide a complete set of fingerprints at the applicant's expense in order to obtain a criminal history record check in accordance with G.S. 90-270.96 and G.S. 143B-964.

History

• Authority G.S. 90-270.92; 90-270.95; 90-270.97; 90-270.98; 143B-964; 150B-21.6(2)
• Eff. February 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. May 1, 2020; September 1, 2019; November 1, 2018.

21 NCAC 48E .0113 Criminal History

(a) At the applicant's expense, an applicant for licensure shall consent to a criminal history record check, and furnish fingerprints to the Board.

(b) If an applicant is denied licensure based on the refusal to consent to a criminal history record check or the contents of the criminal history record check, upon written notice delivered to the Board within 15 business days of the Board's denial, applicant shall have the right to appear before the Board at its next regularly scheduled meeting to appeal the Board's decision.

History

• Authority G.S. 90-270.96; 93B-8.1; 143B-964
• Eff. February 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48E .0201 Filing Application

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.30; 90-270.31(b); 190-270.33; 90-270.36
• Eff. February 1, 1976
• Amended Eff. May 27, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0202 Application

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.30; 90-270.31(b); 190-270.33; 90-270.36
• Eff. February 1, 1976
• Amended Eff. May 27, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0203 References

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.30; 90-270.31(b); 190-270.33; 90-270.36
• Eff. February 1, 1976
• Amended Eff. May 27, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0204 Interview

History

• Status: repealed
• Authority G.S. 90-270.25
• Eff. February 1, 1976
• Repealed Eff. September 30, 1977.

21 NCAC 48E .0205 Educational Requirements

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.30; 90-270.31(b); 90-270.33
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. November 1, 1981; December 24, 1980; October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0206 Action on Application

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.30; 90-270.31(b); 90-270.33
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. November 1, 1981; December 24, 1980; October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0207 Examination

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.30; 90-270.31(b); 90-270.33
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. November 1, 1981; December 24, 1980; October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0208 Endorsement

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.30; 90-270.31(b); 90-270.33
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. November 1, 1981; December 24, 1980; October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0301 Exemption from Licensure

History

• Status: repealed
• Authority G.S. 90-270.32; 90-270.34
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. October 28, 1979.

21 NCAC 48E .0302 Register with Board

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.34
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0303 Evaluation of Status

History

• Status: repealed
• Authority G.S. 90-270.32; 90-270.34
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. October 28, 1979.

21 NCAC 48E .0304 Licensure for Graduate Students

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.29; 90-270.30; 90-270.31(b); 90-270.34
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0305 Interview

History

• Status: repealed
• Authority G.S. 90-270.25
• Eff. February 1, 1976
• Repealed Eff. September 30, 1977.

21 NCAC 48E .0401 Filing Application

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.29; 90-270.31(b); 90-270.33; 90-270.36
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0402 Application Forms

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.29; 90-270.31(b); 90-270.33; 90-270.36
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0403 References

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.29; 90-270.31(b); 90-270.33; 90-270.36
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0404 Endorsement

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.29; 90-270.31(b); 90-270.33; 90-270.36
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0405 Interview

History

• Status: repealed
• Authority G.S. 90-270.25
• Eff. February 1, 1976
• Repealed Eff. September 30, 1977.

21 NCAC 48E .0406 Action on Application

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.33
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0407 Retaking Examination

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.29; 90-270.33
• Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0501 Requirements for Licensure

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.29; 90-270.33; 90-270.36
• Eff. February 1, 1976
• Amended Eff. May 27, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. November 1, 1981; October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0502 Application

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.29; 90-270.33; 90-270.36
• Eff. February 1, 1976
• Amended Eff. May 27, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. November 1, 1981; October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0503 Filing Application

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.29; 90-270.33; 90-270.36
• Eff. February 1, 1976
• Amended Eff. May 27, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. November 1, 1981; October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0504 References

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.29; 90-270.33; 90-270.36
• Eff. February 1, 1976
• Amended Eff. May 27, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. November 1, 1981; October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0505 Interview

History

• Status: repealed
• Authority G.S. 90-270.25
• Eff. February 1, 1976
• Repealed Eff. September 30, 1977.

21 NCAC 48E .0506 Action on Application

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.29; 90-270.33
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0507 Examination

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.29; 90-270.33
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0508 Guidelines

History

• Status: repealed
• Authority G.S. 90-270.25; 90-270.29; 90-270.26
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. October 28, 1979.

21 NCAC 48E .0509 Termination of Licensure by Equivalency

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.29
• Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48E .0510 FOREIGN-TRAINED PHYSICAL therapist assistant Exam applicant

(a) This Rule shall apply to a physical therapist assistant who has graduated from a program located outside the United States that has not been accredited by the Commission of Accreditation of Physical Therapy Education (CAPTE) or its successor, in accordance with G.S. 90-270.95(3).

(b) All application forms and supporting documents shall be completed in English or accompanied by an English translation.

(c) For the applicant's educational credentials to be determined substantially equivalent to that obtained by an applicant for licensure pursuant to G.S. 90-270.95(3), the applicant shall meet the standards of the most recent Federation's Coursework Tool (CWT) for Physical Therapist Assistants https://www.fsbpt.org/FreeResources/Regulatory Resources/CourseworkTools(CWT).aspx. This coursework tool is incorporated by reference, including subsequent amendments and editions. Individuals wishing to obtain a copy may call the Federation at 703-299-3100 or download a copy from the Federation's website at no cost. A copy of the coursework tool is on file at the Division located at 8300 Health Park Suite 233, Raleigh, NC 27615 and is available for public inspection during regular business hours.

(d) The applicant shall make arrangements to have the credentials evaluated by the Foreign Credentialing Commission on Physical Therapy or a service that has a physical therapist consultant on staff and that is authorized to use the Federation's CWTs for physical therapist assistants referred to in Paragraph (c) of this Rule. The Board shall review an applicant's educational program and shall consider the findings of the credentialing service.

(e) The applicant shall provide the following information to the Board:

(1) proof that the applicant has demonstrated English language proficiency by meeting the most recent Test of English as a Foreign Language TOEFL score requirement as defined by the Federation. This test is incorporated by reference, including subsequent amendments and editions. Individuals wishing to register for the TOEFL shall contact Examination Testing Service (http://www.ets.org/toefl/). The cost of this examination is posted on the ETS website. The TOEFL is an examination that is owned by ETS and is not available for public review; or

(2) documentation for exemption pursuant to 8 CFR 212.15 (http://www.uscis.gov/). 8 CFR 212.15 is incorporated by reference, including subsequent amendments and editions. Individuals wishing to obtain a copy at no cost may call the United States Citizenship and Immigration Service National Customer Service Center at 1-800-375-5283 or 1-800-767-1833 (TDD) toll free. A copy of 8 CFR 212.15 is on file at the 8300 Health Park Suite 233, Raleigh, NC 27615 and is available for public inspection during regular business hours.

(f) An applicant for licensure shall provide a complete set of fingerprints at the applicant's expense in order to obtain a criminal history record check in accordance with G.S. 90-270.96 and G.S. 143B-964.

History

• Authority G.S. 90-270.92; 90-270.95; 90-270.97; 90-270.98; 143B-964; 150B-21.6(2)
• Eff. May 1, 2020.

Subchapter F

21 NCAC 48F .0101 Licensure Certificate

(a) Names:

(1) A licensee's name will appear on the certificate as the name of the individual at the time of licensure, except in the case of a person taking the examination who is married during the time between the examination and the actual date of licensure. This person may elect to use her maiden name or her married name, if the marriage takes place prior to the date of licensure.

(2) If a name is changed after the date of licensure, the licensee may request a new certificate to reflect the name change and pay the cost for a duplicate certificate.

(b) Date. The date of licensure shall be the day on which the person is given final approval of licensure by the Board.

(c) Replacements. Persons needing a replacement or a duplicate copy of a certificate will be charged a fee for it.

History

• Authority G.S. 90-270.92; 90-270.98; 90-270.100
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1988; December 30, 1985; October 28, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48F .0102 Fees

(a) The following fees are charged by the Board:

(1) application for physical therapist licensure, one hundred fifty dollars ($150.00);

(2) application for physical therapist assistant licensure, one hundred fifty dollars ($150.00);

(3) renewal for all persons, one hundred twenty dollars ($120.00);

(4) revival of license lapsed less than five years, thirty dollars ($30.00) plus renewal fee;

(5) transfer of licensure information fee, including either the examination scores or licensure verification or both, thirty dollars ($30.00);

(6) retake examination, sixty dollars ($60.00);

(7) certificate replacement or duplicate, thirty dollars ($30.00);

(8) licensee list or labels or any portion thereof for physical therapists, sixty dollars ($60.00);

(9) licensee list or labels or any portion thereof for physical therapist assistants, sixty dollars ($60.00); and

(10) processing fee for returned checks, maximum allowed by G.S. 25-3-506.

(b) The application fee is not refundable.

(c) Payment of application fees listed in Subparagraphs (a)(1) and (2) of this Rule may be made by certified check, cash, credit card, or debit card.

History

• Authority G.S. 90-270.92; 90-270.95; 90-270.100
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. August 1, 1998; October 1, 1995; October 1, 1994; November 1, 1991; August 1, 1991
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. August 1, 2017; July 1, 2013; December 1, 2006; August 1, 2002; August 1, 2000.
• Readopted Eff. May 1, 2019.

21 NCAC 48F .0103 Investigations

Any complaint alleging violations of the North Carolina Physical Therapy Practice Act must be made in writing, signed by the person submitting the complaint, and include the complainant's address and telephone number. Complaints must be sent to the Executive Director.

History

• Authority G.S. 90-270.92; 90-270.102; 90-270.103
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. December 1, 2006; February 1, 1996; May 1, 1988; October 28, 1979
• Readopted Eff. May 1, 2019.

21 NCAC 48F .0104 Record of Licensees

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.27; 90-270.33; 147-50
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48F .0105 Change of Name and Address

Each licensee must notify the Board within 30 days of a change of name or work or home address.

History

• Authority G.S. 90-270.93
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

Subchapter G

21 NCAC 48G .0101 Renewal Time

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.32; P.L. 93-641
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48G .0102 Renewal Application

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.32; P.L. 93-641
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48G .0103 Renewal Fee

All applications for renewal must be accompanied by the payment of the current renewal fee.

History

• Authority G.S. 90-270.92; 90-270.99; 90-270.100
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. April 1, 1989; January 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0104 Renewal

(a) If on active duty, and to whom G.S. 105-249.2 grants an extension of time to file a tax return, a member of the United States Armed Services is exempt from compliance with renewal requirements.

(b) The Board shall make available to each licensee having an active license, a renewal certificate bearing the current name of the licensee, license number and a January 31 expiration date.

History

• Authority G.S. 90-270.92; 90-270.99; 93B-15; 105-249.2
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. July 1, 2013; May 1, 1988; December 30, 1985; October 28, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0105 Definitions

As used in this Subchapter, the following definitions apply:

(1) "Approved provider" means an entity that has been approved by the Board to provide continuing competence activities for licensees as provided in the rules in this Section.

(2) "Clinical Practice" means physical therapy consultation or patient care or client management or the supervision thereof.

(3) "Contact Hour" means at least 50 consecutive minutes of engagement in a continuing competence activity. Two segments of at least 25 consecutive minutes each is equivalent to one contact hour. Breaks and meals are not included in contact hours.

(4) "Continuing Competence" means the licensee's ongoing activities to augment knowledge, skills, behaviors, and abilities related to the practice of physical therapy.

(5) "Continuing Education" means courses of study designed to provide learning experiences for physical therapy licensees.

(6) "Documentation" means evidence of completion of continuing competence activities.

(7) "Jurisprudence Exercise" is an online set of questions concerning the Physical Therapy Practice Act, Board rules and Position Statements posted on the Board's website at http://www.ncptboard.org.

(8) "Licensee" means a physical therapist or physical therapist assistant licensed in North Carolina.

(9) "Peer-reviewed" means judged by an independent panel of experts having special knowledge or skills in a particular field of study.

(10) "Point" means a unit of continuing competence.

(11) "Registered" means enrollment in a continuing competence activity.

(12) "Reporting period" means a 25 month period commencing on January 1 during which the licensee must complete all continuing competence requirements. Points earned by a licensee may be counted toward completion during one reporting period only.

History

• Authority G.S. 90-270.92
• Eff. January 1, 2009
• Amended Eff. January 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0106 Continuing Competence Requirement

(a) For individuals licensed prior to January 1, 2009, during each reporting period thereafter, each physical therapist must accumulate 30 points, and each physical therapist assistant must accumulate 20 points of continuing competence activities to be eligible for license renewal.

(b) For individuals whose date of initial licensure is after January 1, 2009, commencing on January 1 following the date of initial licensure, each physical therapist must accumulate 30 points and each physical therapist assistant must accumulate 20 points of continuing competence activities during the reporting period to be eligible for license renewal.

(c) Up to 10 extra points earned during one reporting period may be carried over to the next reporting period, except that points earned for the Jurisprudence Exercise, Clinical Practice and Self-Assessment categories may not be carried forward.

History

• Authority G.S. 90-270.92
• Eff. January 1, 2009
• Amended Eff. January 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0107 Standards for Continuing Competence Activities

The Board shall approve continuing competence activities which meet the following standards and provisions:

(1) They have intellectual or practical content based on best available scientific evidence and the primary objective is to increase the participant's professional competence and proficiency as a licensee;

(2) They constitute learning experiences dealing with matters directly related to the practice of physical therapy or patient welfare;

(3) Live instruction, mechanically or electronically recorded, reproduced or transmitted material, other electronic media, or a computer website accessed via the Internet are used;

(4) Continuing competence materials are prepared, and activities conducted, by an individual or group qualified by practical or academic experience in a setting physically suitable to the educational activity of the program or clinical experience and, when appropriate, equipped with suitable writing surfaces or sufficient space for taking notes;

(5) Written materials are distributed to all attendees at or before the time a course is presented. These may include scientific materials based on written references printed from a computer presentation, computer website, or other electronic media. A written agenda, objectives or outline for a presentation satisfies this requirement when written reference materials are not suitable or readily available for a particular subject;

(6) The provider remits costs as required by Rule .0112 of this Subchapter and keeps and maintains attendance records of each continuing competence experience sponsored by it in North Carolina; and

(7) For activities that are directed to more than one discipline, or are directed primarily to another health care discipline, the Board is satisfied that the content of the activity would enhance physical therapy skills or aid in the practice of physical therapy.

History

• Authority G.S. 90-270.92
• Eff. January 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0108 APPROVAL of Providers and Activities

(a) The Board shall approve a provider if it is satisfied that the provider's programs have met the standards set forth in Rule .0107 of this Section.

(b) Once a provider is approved, the continuing competence activities offered by that organization are approved for credit and no application must be made to the Board for approval.

(c) The following organizations are approved providers:

(1) Any agency or board responsible for licensing individuals to practice physical therapy in the United States or Canada;

(2) The American Physical Therapy Association (APTA), including any Sections, credentialed residencies and fellowships and its accrediting subsidiary;

(3) State Chapters of APTA;

(4) The Federation of State Boards of Physical Therapy (FSBPT), and any accrediting subsidiary;

(5) The International Association for Continuing Education and Training (IACET);

(6) Any providers approved or accredited by the agencies or organizations listed in Subparagraphs (1) through (5) of this Paragraph;

(7) Physical therapist and physical therapist assistant programs approved by an agency recognized by either the U.S. Department of Education or the Council on Postsecondary Accreditation; and

(8) The North Carolina Department of Public Instruction, North Carolina Division of Public Health and North Carolina Area Health Education Centers with regard to activities directly related to physical therapy.

(d) The Board may at any time revoke the approval of a provider for failure to satisfy the requirements of Rule .0107 of this Section. The Board may evaluate an activity presented by an approved provider and, upon a determination that the activity does not satisfy the requirements of Rule .0107 of this Section, notify the approved provider that any presentation of the same activity is not approved for credit. The notice shall be sent by the Board to the approved provider within 30 days after receipt of the notification. The approved provider may request reconsideration of the decision by submitting a letter of appeal to the Board's Executive Director within 15 days of receipt of the notice of disapproval.

(e) Any organization not approved as a provider that desires approval of a course or activity to be offered in North Carolina shall apply to the Board at least 60 days prior to the date the activity is scheduled. The application shall include the name and address of the activity provider, the date, location and schedule for the activity, a description of the qualifications of the presenters and the content of the activity, including written materials. An activity shall be deemed approved if notice of denial is not furnished to the organization within 30 days of the scheduled activity. An applicant denied approval of a program may request reconsideration of the decision by submitting a letter of appeal to the Board's Executive Director within 15 days of receipt of the notice of disapproval.

(f) A licensee desiring approval of a course or activity that has not otherwise been approved shall apply to the Board at least 30 days prior to the date the activity is scheduled. The licensee shall furnish the name and address of the activity provider, the date, location and schedule of the activity and a description of the qualifications of the presenters and the content of the activity, including written materials. An activity shall be deemed approved if notice of denial is not furnished to the licensee within 10 days of the scheduled activity. An applicant denied approval of a program may request reconsideration of the decision by submitting a letter of appeal to the Board's Executive Director within 15 days of receipt of the notice of disapproval.

(g) For continuing competence activities offered for credit in this State, the providers shall furnish to the Board the activity code number assigned by the Board and a list of all licensees completing the activity, including full name and license number, within 90 days of the completion of the approved activity.

History

• Authority G.S. 90-270.92
• Eff. January 1, 2009
• Amended Eff. January 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0109 Continuing Competence Activities

(a) Continuing Education activities are eligible for points as follows:

(1) A registered attendee at courses or conferences offered live in real time by approved providers earns one point for each contact hour. The maximum number of points allowed during any reporting period shall be 29. The maximum number of points allowed during any reporting period for an interactive course offered through electronic media shall be 15. Credit shall not be given for the same course or conference more than once during any reporting period. The licensee shall retain the Certificate of Attendance issued by the approved provider.

(2) For registered participation in an academic course related to physical therapy offered for credit in a post-baccalaureate program unless the course is required for licensure, one semester hour earns 15 points, and the maximum number of points allowed during any reporting period shall be 29. The licensee shall obtain a letter grade of "C" or better, or "P" if offered on a pass/fail basis. Credit shall not be given for the same course more than one time. The licensee shall retain a transcript published by the approved provider or furnished by the academic institution.

(3) For attendance or participation in an activity related to physical therapy for which no assessment is received, two contact hours earns one point. The maximum number of points allowed during any reporting period shall be five. Credit shall not be given for the same activity more than one time. The licensee shall retain a certificate of completion, or if that is not available, a summary of the objectives of the activity and the time spent in the activity.

(4) For registered participation in a non-interactive course offered by an approved provider by videotape, satellite transmission, webcast, DVD, or other electronic media, one hour of participation earns one point. The maximum number of points allowed during any reporting period shall be 10. Credit shall not be given for the same course more than once during a reporting period. The licensee shall retain a certificate of completion provided by the course provider.

(5) For participation in a study group consisting of at least three licensees conducted either live or in real time through electronic media, whose purpose is to advance the knowledge and skills of the participants related to the practice of physical therapy, two hours of participation in the study group earns one point. The maximum number of points allowed during any reporting period shall be 10. The licensee shall retain a biography of each participant, a statement of the goals of the study group, attendance records for each participant, assignments for each participant and an analysis by each participant specifying the knowledge and skills enhanced by participating in the study group.

(6) For participation in a self-designed home study program for the purpose of advancing the knowledge and skill of the participant related to the practice of physical therapy, three hours of home study earns one point. The maximum number of points allowed for home study during any reporting period shall be five. The licensee shall retain a description of the plans and objectives of the me study, an analysis of the manner in which the plans and objectives were met, and a certification of the time spent on the project.

(7) For participation in continuing education required by credentialed residencies and fellowships, one point shall be granted for each contact hour. The maximum number of points for each reporting period shall be 29. The licensee shall retain the certificate of attendance issued by the American Physical Therapy Association ("APTA") credentialed residency or fellowship.

(8) For completion of a home study physical therapy program furnished by an approved provider, one hour of home study earns one point. The maximum number of points during any one reporting period allowed shall be 10. The licensee shall retain a certificate of completion issued by the approved provider.

(b) Points are awarded for advanced training as follows:

(1) For fellowships conferred by organizations credentialed by the APTA in a specialty area of the practice of physical therapy, 10 points shall be awarded for each full year of clinical participation, up to a maximum of 20 points per reporting period for this activity. The licensee shall retain the certificate conferred on the licensee or evidence that all requirements of the fellowship program have been met.

(2) For completion of a residency program in physical therapy offered by an APTA credentialed organization, 10 points shall be awarded for each full year of clinical participation, up to a maximum of 20 points per reporting period for this activity. The licensee shall retain the certificate conferred on the licensee or evidence that all requirements of the residency program have been met.

(3) For specialty certification or specialty recertification by the American Board of Physical Therapy Specialization ("ABPTS"), 20 points shall be awarded upon receipt of such certification or recertification during any reporting period. The licensee shall retain evidence from ABPTS that the certification or recertification has been granted.

(4) For a physical therapist assistant, Advanced Proficiency designation by the APTA for the PTA earns 19 points per reporting period. The licensee shall retain evidence from APTA that the designation has been awarded.

(c) Achieving a passing score on the Federation's Practice Review Tool ("PRT") earns 10 points. Taking the PRT without achieving a passing score earns five points. The licensee shall retain the certificate of completion and performance report. Points shall be awarded only one time for any specific practice area.

(d) Clinical Education activities are eligible for points as follows:

(1) For completion of a course offered by an approved provider for a licensee to become a Credentialed Clinical Instructor recognized by APTA, one course hour earns one point, and the maximum number of points awarded during any reporting period shall be 29. The licensee shall retain a credential certificate issued by the approved provider. Credit for completing the same course shall be given only once.

(2) For enrollment in a course offered by APTA for a licensee to become a Credentialed Clinical Instructor Trainer, one course hour earns one point, and the maximum number of points awarded during any reporting period shall be 29. The licensee shall retain a Trainer certificate issued by APTA. Credit for completing the same course shall be given only once.

(3) For serving as a Clinical Instructor for a physical therapist or physical therapist assistant student, resident, or fellow for a period of at least 80 hours, 40 hours of direct on-site supervision earns one point, and the maximum number of points awarded during any reporting period shall be eight. The licensee shall retain verification of the clinical affiliation agreement with the accredited educational program for the student supervised and a log showing the number of hours spent supervising the student.

(e) Presenting or teaching for an accredited physical therapy educational program; a transitional Doctor of Physical Therapy ("DPT") program; an accredited program for health care practitioners licensed under the provisions of Chapter 90 of the North Carolina General Statutes; or a state, national, or international workshop, seminar or professional health care conference earns two points for each hour of presentation or teaching. The licensee shall retain written materials advertising the presentation or teaching, or other evidence of the date, subject, goals and objectives of the presentation, and any written materials prepared by the licensee. A maximum of six points shall be allowed during any reporting period, and credit shall not be given for teaching or presenting the same subject matter more than one time during any reporting period.

(f) Research and published books or articles shall be eligible to accumulate up to a maximum of 15 points as follows:

(1) Submission of a request to a funding agency for a research grant as a Principal or Co-Principal Investigator earns 10 points. The licensee shall retain a copy of the research grant that shall include the title, an abstract, the funding agency, and the grant period. Points shall be awarded only one time during any reporting period.

(2) Having a research grant funded as a Principal Investigator or Co-Principal Investigator earns 10 points. The licensee shall retain a copy of the research grant that shall include the title, an abstract, the funding agency, the grant period and documentation of the funding received in a given period. Points shall be awarded only one time during a reporting period.

(3) Service as a Grants Reviewer earns one point for each two hours of grant review and a maximum of five points shall be allowed. The licensee shall retain a description of all grants reviewed and any reports generated in connection with the reviews, including the dates of service, the agency for whom the review was performed, and the hours spent on the grant review. Points shall be awarded only once for each grant reviewed during the reporting period.

(4) The author or editor of a book published by a third party entity dealing with a subject related to the practice of physical therapy earns 10 points. The licensee shall retain a copy of the published book and a list of consulted resources. Points shall be awarded only one time during any reporting period.

(5) The author or editor of a chapter in a book published by a third party entity dealing with a subject related to the practice of physical therapy earns five points. The licensee shall retain a copy of the published book and a list of consulted resources. Points shall be awarded only one time during any reporting period.

(6) The author of a published peer-reviewed article relating to the practice of physical therapy earns 10 points. The licensee shall retain the article, names and employers of the reviewers, and a list of consulted resources. Points shall be awarded only one time during any reporting period.

(7) The author of a published non peer-reviewed article or book-review or abstract relating to the practice of physical therapy earns four points. The licensee shall retain the article and a list of consulted resources. Each article, book-review, or abstract shall count one time only. A maximum of four points shall be awarded during any reporting period.

(8) The author of a published peer-reviewed abstract, book review, or peer-reviewed abstract for a poster or presentation related to the practice of physical therapy to a professional health care group earns five points for a presentation, up to a maximum of 15 points during any reporting period, and credit for the same poster or presentation shall not be awarded more than one time. The licensee shall retain a copy of the poster or presentation and a list of consulted resources.

(g) Clinical practice shall be eligible for points as follows:

(1) For each year during the reporting period that a licensee is engaged in clinical practice for 1,750 hours or more, three points shall be awarded. The licensee shall retain certification from the employer(s) for whom the services were performed including year and hours worked or document practice hours as the owner of a practice.

(2) For each year during the reporting period that a licensee is engaged in clinical practice for at least 1,000 hours but less than 1,750 hours, two points shall be awarded. The licensee shall retain a certification from the employer(s) for whom the services were performed including year and hours worked or document practice hours as the owner of a practice.

(3) For each year during the reporting period that a licensee is engaged in clinical practice for at least 200 hours but less than 1,000 hours, one point shall be awarded. The licensee shall retain a certification from the employer(s) for whom the services were performed including year and hours worked or document practice hours as the owner of a practice.

(h) Professional Self-Assessment earns five points for completion of an approved Reflective Practice Exercise. This exercise shall be approved if it is a process for a licensee to evaluate current professional practice abilities, to establish goals to improve those abilities, to develop a plan to meet those goals, and to document that the objectives are being accomplished. The licensee shall retain evidence of completion of all elements of the Reflective Practice Exercise. Points shall be awarded only one time during any reporting period.

(i) Workplace Education shall be eligible for points as follows:

(1) Presentation or attendance at an in-service session related to the practice of physical therapy, including health care issues related to the practice of physical therapy, shall be allowed. The licensee shall retain a roster or certificate of attendance signed by a representative of the employer. Two hours of attendance earns one point. One hour of presentation earns one point. A maximum of five points may be earned during any one reporting period. Credit for the same in-service shall not be granted more than one time.

(2) Presentation or attendance at an in-service session devoted to general patient safety, emergency procedures, or governmental regulatory requirements shall be allowed. The licensee shall retain a roster or certificate of attendance signed by a representative of the employer. Two contact hours of in-service are equivalent to one point, which shall be the maximum credit granted during any reporting period. Credit for the same in-service shall not be granted more than one time during any reporting period.

(j) Professional Service shall be eligible for points as follows:

(1) Participation in a national physical therapy or interdisciplinary (including physical therapy) organization as an officer or chair of a physical therapy services committee, physical therapy services task force member, or delegate to a national assembly earns five points for each full year of participation, up to a maximum of 10 points during any reporting period. The licensee shall retain organizational materials listing the licensee's participation, a statement of the responsibilities of the position, and a summary of the activities of the licensee.

(2) Participation in a state physical therapy or interdisciplinary (including physical therapy) organization as an officer or chair of a physical therapy services committee earns four points for each full year of participation, up to a maximum of eight points during any reporting period. The licensee shall retain organizational materials listing the licensee's participation, a statement of the responsibilities of the position, and a summary of the activities of the licensee.

(3) Participation in a local or regional physical therapy or interdisciplinary (including physical therapy) organization as an officer or chair of a physical therapy service committee earns two points for each full year of participation, up to a maximum of four points during any reporting period. The licensee shall retain organizational materials listing the licensee's participation, a statement of the responsibilities of the position, and a summary of the activities of the licensee.

(4) Participation as a member of a physical therapy professional organization committee involved with physical therapy services earns one point for each full year of participation, up to a maximum of two points during any reporting period. The licensee shall retain organizational materials listing the licensee's participation, a statement of the responsibilities of the committee, and a summary of the work of the committee.

(5) Participation in unpaid volunteer service to the general public and healthcare professionals related to physical therapy earns one point for at least 20 hours spent on service activities during each year, up to a maximum of two points during any reporting period. The licensee shall retain published materials describing the service activity.

(6) Membership in the APTA for one year earns one point. A point may be earned for each year of membership during the reporting period. The licensee shall retain proof of membership in the APTA.

(7) Membership in an APTA Section for one year earns one-half point. The licensee shall retain proof of membership in the APTA Section. Points shall not be awarded for membership in more than one Section.

(8) Selection by the Federation for participation as an item writer of exam questions for the National Physical Therapy Examination (NPTE) or by the American Board of Physical Therapy Specialties (ABPTS) earns five points for each year of participation. The licensee shall retain documentation of participation by the Federation or ABPTS.

(9) Participation in clinical research, clinical trials, or research projects related to the practice of physical therapy earns 1 point for each hour of participation, up to a maximum of 10 hours per reporting period. The licensee shall retain a log of hours of participation including date, activity performed, location of the research, and primary investigator.

(k) During each reporting period, every licensee shall complete a jurisprudence exercise provided by the Board. The jurisprudence exercise shall be available online at the Board's website, at http://www.ncptboard.org and a certificate of completion shall be issued to a licensee at the conclusion of the exercise, at which time one point shall be awarded to the licensee. The maximum number of points allowed during a reporting period is three.

History

• Authority G.S. 90-270.92
• Eff. January 1, 2009
• Amended Eff. April 1, 2015; February 1, 2015; January 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. May 1, 2020.

21 NCAC 48G .0110 Evidence of Compliance

(a) Each licensee shall submit a completed Continuing Competence Reporting Form with an application for license renewal. The form shall be found on the Board's website at http://www.ncptboard.org.

(b) Licensees shall retain evidence of compliance with continuing competence requirements for a period of four years following the end of the reporting period for which credit is sought for an activity.

(c) Documentary evidence for continuing education activities shall include the following for each activity:

(1) name of approved provider;

(2) name of accrediting organization;

(3) title;

(4) date;

(5) hours for presentation; and

(6) record of attendance or participation by provider.

(d) The Board shall conduct random audits to ensure continuing competence compliance. Within 30 days from receipt of an Audit Notice from the Board, the licensee shall furnish the Board with the documentary evidence required by Rule .0109 of this Section showing completion of the points required for the audited reporting period.

(e) Requests for extensions of time for up to an additional 30 days to respond to the Audit Notice shall be submitted to and granted by the Board's Executive Director. For circumstances beyond the control of the licensee related to physical or medical hardship sustained by the applicant or his or her immediate family, the Board shall grant an additional period of time to respond to the Audit Notice.

(f) If the results of the audit show a licensee has not completed the required points, and the number of additional points needed by the licensee is 10 or fewer, the licensee shall complete the remaining points within 90 days from the date the Board notifies the licensee by electronic communication or U.S. Postal Service mail of the deficiency. For circumstances beyond the control of the licensee or for personal hardship, the Board shall grant an additional period of time to respond to the Audit Notice.

(g) Failure to respond to the Board's Audit Notice in a timely fashion, or failure to provide the necessary documentary evidence of compliance pursuant to this Rule shall subject the licensee to disciplinary action pursuant to 21 NCAC 48G .0601(a)(10).

History

• Authority G.S. 90-270.92
• Eff. January 1, 2009
• Amended Eff. February 1, 2015; January 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0111 Exemptions

(a) To qualify for an exemption from the rules in this Subchapter, a licensee must furnish the applicable information required on the Continuing Competence Compliance Form.

(b) A member of the United States Armed Services is exempt pursuant to Rule. 0104 of this Section from compliance if on active duty for such period of time as G.S. 105-249.2 would grant an extension to file a tax return. The reporting period shall commence on January 1 following the licensee's discharge from active duty.

(c) The Board shall grant an exemption from completing applicable continuing competence requirements to any licensee who becomes disabled or sustains a personal hardship that makes completion of continuing competence requirements impractical. The exemption may last for a period not to exceed two years, which shall be granted to the applicant based upon the applicant's documented treatment of care.

(d) In cases of personal or family hardships, including medical issues or deployment, the Board shall allow the licensee up to an additional one year to complete the applicable continuing competence requirements.

(e) Upon written application to the Board, any licensee who is 65 years of age or older and is not engaged in practice or patient treatment shall be granted an exemption from completing continuing competence requirements.

(f) Other requests for partial exemptions for hardships or circumstances beyond the control of the licensee shall be granted by the Board upon written application of the licensee.

(g) A licensee seeking an exemption pursuant to this Rule shall provide written documentation to the Board to support the exemption.

History

• Authority G.S. 90-270.92; 93B-15
• Eff. January 1, 2009
• Amended Eff. January 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0112 Costs

(a) The Board shall not assess a fee for approval of continuing competence activities offered by approved providers.

(b) The Board shall charge one hundred fifty dollars ($150.00) per activity to a non-approved provider seeking approval of a continuing competence activity offered to licensees in this State.

(c) The Board shall charge twenty-five dollars ($25.00) to a licensee seeking approval of a continuing competence activity that is not offered by an approved provider.

History

• Authority G.S. 90-270.92
• Eff. March 3, 2009
• Amended Eff. January 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0201 Date License Lapses

A license automatically lapses on February 1 of any year in which the renewal fee is not paid.

History

• Authority G.S. 90-270.99
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0202 Notification

A licensee shall renew his or her license by January 31 close of business of each year. Any license not renewed by January 31 close of business shall lapse and the Board shall notify the licensee by written communication at the last known mailing or email address on record with the Board. Any person with a lapsed license shall notify his or her employer.

History

• Authority G.S. 90-270.92; 90-270.99
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. August 1, 2002; August 1, 1998; April 1, 1989; December 30, 1985; October 28, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. May 1, 2020.

21 NCAC 48G .0203 Revival of Lapsed License

(a) A license that has been lapsed less than one year may be revived by payment of the revival of lapsed license fee and the current year's renewal fee and by completion of the revival form.

(b) A license that has lapsed more than one year but less than five years may be revived by completion of the revival form, and:

(1) completing 30 units (if reviving a physical therapist license) or 20 units (if reviving a physical therapist assistant license) of continuing competence as provided in the rules in this Subchapter;

(2) payment of the revival of lapsed license fee; and

(3) payment of the current year's renewal fee.

(c) A license that has lapsed more than five years may be revived by completion of the application forms; and

(1) passing the "PT exam" (if trained as a physical therapist) or the "PTA exam" (if trained as a physical therapist assistant);

(2) compiling at least 500 hours within the period of one year in the following manner: between 50 and 200 class hours of course work (ie, refresher course, continuing education, pertinent college courses) approved by the Board as designed to demonstrate proficiency in current physical therapy theory and practice, and the remaining hours working as an aide under the supervision of a licensed physical therapist; or

(3) endorsement of a current license in another state as provided by 21 NCAC 48B .0102.

History

• Authority G.S. 90-270.92; 90-270.99; 90-270.100
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. January 1, 2009; August 1, 1998; August 1, 1991; October 1, 1989; April 1, 1989; May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0204 Restricted License

An individual reinstating a lapsed license shall successfully demonstrate to the Board competency in the practice of physical therapy or shall serve an internship under a restricted license. A "restricted license" is one on which the Board places restrictions or conditions, or both, for up to six months as to scope of practice, place of practice, supervision of practice, duration of license status, or type or condition of patient or client to whom the licensee may provide service.

History

• Authority G.S. 90-270.92; 90-270.99
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0301 Grounds for Refusal of License

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.35; 150A-3; 150A-23(a),(b),(c)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48G .0302 Procedure for Suspension or Revocation

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.35; 150A-3; 150A-23(a),(b),(c)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48G .0303 Notice to Licensee

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.35; 150A-3; 150A-23(a),(b),(c)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48G .0304 Opportunity for Hearing

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.35; 150A-3; 150A-23(a),(b),(c)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48G .0305 Fines

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.35; 90-270.36
• Eff. October 28, 1979
• Repealed Eff. March 15, 1980.

21 NCAC 48G .0306 Conditions on Renewal

(a) The Board may refuse to renew the license of an individual who has been denied licensure in another jurisdiction for engaging in conduct that would also violate the North Carolina Physical Therapy Practice Act.

(b) The Board may impose restrictions as to scope of practice, place of practice, supervision of practice or type or condition of patient or client to whom the licensee may provide services when another jurisdiction has placed the same restrictions on an individual renewing a license for conduct that would also violate the North Carolina Physical Therapy Practice Act.

History

• Authority G.S. 90-270.92; 90-270.102; 90-270.103
• Eff. December 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0401 Grounds for Probation

The Board may place any licensee on probation for a period of time not greater than three years for engaging in conduct prohibited by G.S. 90-270.102 or G.S. 90-270.103 or 21 NCAC 48 when the Board determines that such conduct does not warrant revocation or suspension of a license.

History

• Authority G.S. 90-270.92; 90-270.102; 90-270.103
• Eff. October 28, 1979
• Amended Eff. August 1, 2002; December 30, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. September 1, 2019.

21 NCAC 48G .0402 Grounds for Warning

The Board may issue a warning to any licensee who engages in conduct that might lead to the revocation or suspension of a license for the commission of acts prohibited by G.S. 90-270.102 or G.S. 90-270.103 or 21 NCAC 48.

History

• Authority G.S. 90-270.92; 90-270.102; 90-270.103
• Eff. October 28, 1979
• Amended Eff. August 1, 2002; August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. September 1, 2019.

21 NCAC 48G .0403 Conditions for Probation or Warning

The Board may require any licensee placed on probation and any licensee to whom a warning is issued to furnish the Board with a certified statement that the licensee will not engage in conduct prohibited by G.S. 90-270.102 or G.S. 90-270.103 or 21 NCAC 48.

History

• Authority G.S. 90-270.92; 90-270.102; 90-270.103
• Eff. October 28, 1979
• Amended Eff. August 1, 2002; August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. September 1, 2019.

21 NCAC 48G .0404 Notification and Hearing

Any licensee subject to being placed on probation or receiving a warning shall be notified by the Board of the alleged acts or conduct warranting the intended action. Upon request of the licensee, the licensee shall be granted an informal meeting with the Board to show why the licensee should not be placed on probation or receive a warning. Provided, however, nothing herein shall limit a licensee's right to request a contested case hearing.

History

• Authority G.S. 90-270.92; 90-270.102; 90-270.103
• Eff. October 28, 1979
• Amended Eff. July 1, 2013; August 1, 1998; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0405 Grounds for Reprimand

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.35; 90-270.36
• Eff. December 30, 1985
• Amended Eff. August 1, 2002
• Repealed Eff. July 1, 2013.

21 NCAC 48G .0501 Right to Hearing

When the Board acts or proposes to act, other than in rulemaking or declaratory ruling proceedings, in a manner which will affect the rights, duties, or privileges of a specific, identifiable person, such person has the right to a contested case hearing. When the Board proposes to act in such a manner, it shall give any such affected person notice of right to a hearing personally or by mailing by certified mail to the last address provided to the Board a notice of the proposed action and a notice of a right to a hearing.

History

• Authority G.S. 90-270.92; 150B-38
• Eff. October 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0502 Request for Hearing

(a) When a person believes that his or her rights, duties, or privileges have been substantially affected by the Board's action without notice of a right to a contested case hearing being provided, that person may file with the Board a formal request for a hearing.

(b) Any person substantially affected or aggrieved by the Board's action or proposed action must file a request for a contested case hearing in the Board's office so that it is received by the Board within 30 days of the date such person receives notice of the Board's action or proposed action. For purposes of this Rule, "notice" is given by the Board and received by the person:

(1) for an action taken or proposed to be taken by the entire Board, on the date notice of such action is personally delivered to or is mailed by the Board to the person at the last address provided to the Board;

(2) for an action proposed by a committee of the Board, including a probable cause or investigatory committee, from the date the proposed resolution, proposal for settlement, or other proposed action is personally delivered to or is mailed to the person at the last known address provided to the Board. Provided, however, that if within 15 days of receipt of such notice the person proposes in writing to continue informal negotiations to settle the matters at issue, the Board or its committee handling such matter may, in its discretion, agree to toll the running of the 30 day period or extend the 30 day period on such terms as the Board deems appropriate;

(3) for any person substantially affected by a decision of the Board concerning licensure, including an approval or rejection of an application form for licensure, or the failure to renew or reinstate a license, from the date notice of such decision is personally delivered to or is mailed to the person at the last address provided to the Board.

(c) To request a contested case hearing, the person shall submit a request bearing the following notations to the Board's office: REQUEST FOR CONTESTED CASE HEARING. The request shall contain the following information:

(1) name and address of the petitioner,

(2) a concise statement of the action taken by the Board which is challenged,

(3) a concise statement of the way in which the petitioner has been aggrieved, and

(4) a clear and specific statement of request for a hearing.

(d) The request will be acknowledged promptly and, if deemed appropriate by the Board in accordance with Rule .0503 of this Section, a hearing will be scheduled.

History

• Authority G.S. 90-270.92; 150B-38
• Eff. October 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0503 Granting or Denying Hearing Request

(a) The Board will grant a request for a hearing if it determines that the party requesting the hearing is a "person aggrieved" within the meaning of G.S. 150B-2(6).

(b) The denial of a request for a hearing will be issued immediately upon decision, and in no case later than 60 days after the submission of the request. Such denial shall contain a statement of the reasons leading the Board to deny the request.

(c) Approval of a request for a hearing will be signified by the issuing of a notice as required by G.S. 150B-38(b) and explained in Rule .0505 of this Section.

History

• Authority G.S. 90-270.92; 150B-38
• Eff. October 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0504 Complaints and Investigations

(a) In order to file a complaint with the Board, the following information shall be submitted to the Board in writing, or by filing a complaint online at the Board's website www.ncptboard.org.

(1) the name and address of person alleged to have violated the Physical Therapy Practice Act;

(2) a statement of conduct that is the basis of the complaint; and

(3) the name, address, and telephone number of complainant.

(b) Upon receipt of a written complaint alleging misconduct that may subject a licensee to disciplinary action, or upon the receipt of the information that a violation of the Physical Therapy Practice Act may have occurred, the Board shall investigate the matter to determine whether probable cause exists to institute disciplinary proceedings.

(c) The Executive Director of the Board and a member appointed by the Chair shall serve as an investigative committee. This investigative committee may be assisted by:

(1) the Board's attorney;

(2) an investigator; or

(3) a consultant, who is not a NC PT/PTA licensee, retained by the investigative committee who possesses expertise that will assist the investigative committee in its investigation.

(d) The investigative committee shall investigate the complaint or information set forth in Paragraphs (a) and (b) of this Rule. In conducting its investigation, the Board Chair (or Executive Director, if designated by the Chair) may issue subpoenas in the investigative committee's name for the production of documents pursuant to the provisions of Rule .0512 of this Section. The investigative committee shall determine whether there is probable cause to believe that the licensee has violated any statute or Board rule that justifies a disciplinary hearing. If the investigative committee determines probable cause does not exist, the complaint shall be dismissed, and the complainant shall be notified of the investigative committee's action and its reasons. If the investigative committee determines that probable cause exists, the investigative committee shall offer to confer with the licensee in an attempt to settle the matter through informal means. If the investigative committee and the licensee reach an agreement on the disposition of the matter under investigation, the investigative committee shall cause to be drafted a proposed settlement agreement that shall include findings of fact, conclusions of law, and a consent order for presentation to and consideration by the Board. The settlement agreement shall be presented to and approved by the licensee before it is presented to the Board for consideration and approval.

(e) Prior to a decision rendered by the Board, any materials generated or obtained by the Board in conducting an investigation shall be considered confidential investigation records not subject to the Public Records Act, G.S. 132. However, copies of the materials may be provided to a licensee subject to disciplinary action, or to the licensee's attorney, so long as identifying information concerning the treatment or delivery of professional services to a patient who has not consented to its public disclosure shall be redacted.

(f) If the investigative committee and the licensee are not able to settle the matter under investigation by informal means, the licensee may request a contested case hearing pursuant to Rule .0502 of this Section or the Board shall give notice of a disciplinary or contested case hearing.

(g) If probable cause is found, but it is determined that license suspension or revocation is not warranted, the investigative committee shall recommend that the Board place the licensee on probation, or issue a warning to the licensee. In making this determination, the investigative committee shall consider such factors as harm to the public; nature of the conduct; and prior record of discipline. The investigative committee shall mail or email a copy of its recommendation to the licensee or the licensee's attorney.

(h) Within 20 days after receipt of the recommendation, the licensee may refuse the probation or warning and request a contested case hearing pursuant to this Rule. The refusal and request shall be filed with the Board. The legal counsel for the Board shall thereafter prepare, file, and serve a Notice of Hearing.

(i) In the alternative, within 20 days after receipt of the recommendation, the licensee may request an informal meeting with the Board to discuss the basis of the investigative committee's recommendation and present reasons why the Board should not follow the investigative committee's recommendation. There shall be no sworn testimony presented, nor shall there be a formal record of the proceedings.

(j) If the licensee does not request a contested case hearing or an informal meeting with the Board, the Board shall still determine whether to accept the investigative committee's recommendation.

(k) Participation by a current Board member in the investigation of a complaint shall disqualify that Board member from participating in the decision making process of a contested case hearing.

(l) Subsequent to the issuance of a notice of hearing, the attorney prosecuting the contested case for the Board may not communicate, directly or indirectly, in connection with any issue of fact or question of law, with any party, including the members of the Board assigned to make a decision or to make findings of fact and conclusions of law in the contested case, except on notice and opportunity for all parties to participate. However, the attorney prosecuting the matter for the Board may continue to communicate concerning the contested case with the members of the investigative committee who investigated the matter, with persons not parties to the contested case who may be called as witnesses including the person who filed the complaint, and with the Board members about other matters.

History

• Authority G.S. 90-270.92; 150B-38; 150B-39; 150B-40
• Eff. October 1, 1995
• Amended Eff. February 1, 2015; July 1, 2013; August 1, 2002; August 1, 1998; February 1, 1996
• Readopted Eff. May 1, 2018
• Amended Eff. May 1, 2020.

21 NCAC 48G .0505 Notice of Hearing

(a) The Board shall give the party or parties in a contested case a notice of hearing not less than 15 days before the hearing. Said notice shall contain the following information, in addition to the items specified in G.S. 150B-38(b):

(1) the name, position, address and telephone number of a person at the office of the Board to contact for further information or discussion;

(2) the date, time, and place for a pre-hearing conference, if any; and

(3) any other relevant information regarding the procedure of the hearing.

(b) If the Board determines that the public health, safety, or welfare requires emergency action, it may issue an order summarily suspending a license. Upon service of the order, the licensee to who the order is directed shall immediately cease the practice of physical therapy in North Carolina, and deliver said license to the Board in the manner specified in the order. The Board shall promptly give notice of hearing pursuant to G.S. 150B-38 following service of the order. The suspension shall remain in effect pending issuance by the Board of a final agency decision pursuant to G.S. 150B-42.

History

• Authority G.S. 90-270.92; 90-270.103(9); 150B-3(c); 150B-38
• Eff. October 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0506 Written Response to the Notice of Hearing

Any party served with a notice of hearing may file a written response. Such response shall be served on the Board by certified mail at the address specified in the notice of hearing. The written response must be mailed to all parties to the proceeding not less than 10 days prior to the hearing.

History

• Authority G.S. 90-270.92; 150B-38
• Eff. October 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0507 Who Shall Hear Contested Cases

(a) All contested case hearings shall be conducted by the Board, a panel consisting of a majority of the members of the Board, or an administrative law judge designated to hear the case pursuant to G.S. 150B-40(e).

(b) The Board may employ an attorney to advise the presiding officer on matters of procedure and evidentiary rulings.

History

• Authority G.S. 90-270.92; 150B-38; 150B-40
• Eff. October 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0508 Pre-Hearing Conference

(a) The Board may direct the parties to attend an informal pre-hearing conference, or the parties may request such a conference, at a time and place selected by mutual agreement. If the parties do not agree on the time and place for the pre-hearing conference within a reasonable time, the Board through its attorneys may set the time and place of the pre-hearing conference, giving reasonable written notice to all parties in the proceedings. The board may designate one of its staff members or attorneys to conduct the conference.

(b) Upon the agreement of the parties, all or part of the pre-hearing conference may be conducted by telephone or other electronic means, if each party has an opportunity to participate while the conference is taking place.

(c) The parties shall conduct the pre-hearing conference to deal, where applicable, with:

(1) exploring settlement possibilities;

(2) formulating, clarifying, and simplifying the issues to be contested at the hearing;

(3) preparing stipulations of facts or findings;

(4) specifying the identity and number of witnesses;

(5) determining the extent to which direct evidence, rebuttal evidence, or cross-examination will be presented in written form and the extent to which telephone, video tape, or other electronic means will be used as a substitute for proceedings in person;

(6) determining what depositions, discovery orders, or subpoenas will be needed;

(7) determining the need for consolidation of cases or joint hearing;

(8) determining the order of presentation of evidence and cross-examination; and

(9) considering any other matters which may promote the prompt, orderly, and efficient disposition of the case.

History

• Authority G.S. 90-270.92; 150B-38
• Eff. October 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0509 Petition for Intervention

(a) A person desiring to intervene in a contested case shall file a written petition with the Board's office. The petition shall bear the notation: PETITION TO INTERVENE IN THE CASE OF (Name of Case).

(b) The petition shall include the following information:

(1) the name and address of petitioner;

(2) the business or occupation of petitioner, where relevant;

(3) a full identification of the hearing in which petitioner is seeking to intervene;

(4) the statutory or non-statutory grounds for intervention;

(5) any claim or defense in respect of which intervention is sought; and

(6) a summary of the arguments or evidence petitioner seeks to present.

(c) If the Board determines to allow intervention, notice of that decision shall be issued promptly to all parties, and to the petitioner. In cases of discretionary intervention, such notification shall include a statement of any limitations of time, subject matter, evidence or whatever else is deemed necessary which are imposed on the intervenor.

(d) If the Board's decision is to deny intervention, the petitioner shall be notified promptly. Such notice shall be in writing, shall identify the reasons for the denial, and shall be issued to the petitioner and all parties.

History

• Authority G.S. 90-270.92; 150B-38
• Eff. October 1, 1995
• Amended Eff. February 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0510 Types of Intervention

(a) Intervention of Right. A petition to intervene as a right, as provided in the North Carolina Rules of Civil Procedure, Rule 24, will be granted if the petitioner meets the criteria of that rule and the petition is timely.

(b) Permissive Intervention. A petition to intervene permissively, as provided in the North Carolina Rules of Civil Procedure, Rule 24, will be granted if the petitioner meets the criteria of that rule and the Board determines that:

(1) there is sufficient legal or factual similarity between the petitioner's claimed rights, privileges, or duties and those of the parties to the hearings; and

(2) permitting the petitioner to intervene as a party would aid the purpose of the hearing.

(c) Discretionary Intervention. The Board may allow discretionary intervention, with whatever limits and restrictions are deemed appropriate.

History

• Authority G.S. 90-270.92; 150B-38
• Eff. October 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0511 Disqualification of Board Members

(a) Self-disqualification. No Board member shall discuss with any party the merits of any case pending before the Board. Any Board member who has direct knowledge about a case prior to the commencement of the proceeding shall disqualify himself or herself from any participation in the case. If for any other reason a Board member determines that personal bias or other factors render that member unable to hear a contested case and perform all duties in an impartial manner, that Board member shall voluntarily decline to participate in the hearing or decision.

(b) Petition for Disqualification. If for any reason any party in a contested case believes that a Board member is personally biased or otherwise unable to hear a contested case and perform all duties in an impartial manner, the party may file a sworn, notarized affidavit with the Board.

(c) Contents of Affidavit. The affidavit must state all facts the party deems to be relevant to the disqualification of the Board member.

(d) Timeliness and Effect of Affidavit. An affidavit of disqualification will be considered timely if filed 10 days before commencement of the hearing. Any other affidavit will be considered timely provided it is filed at the first opportunity after the party becomes aware of facts which give rise to a reasonable belief that a Board member may be disqualified under this Rule.

(e) Where a petition for disqualification is filed less than 10 days before or during the course of a hearing, the hearing shall continue with the challenged Board member sitting. Petitioner shall have the opportunity to present evidence supporting the petition, and the petition and any evidence relative thereto presented at the hearing shall be made a part of the record. The Board, before rendering its decision, shall decide whether the evidence justifies disqualification. In the event of disqualification the disqualified member will not participate in further deliberation or decision of the case.

(f) Procedure for Determining Disqualification:

(1) The Board will appoint a board member or the Board's attorney to investigate the allegations of the affidavit.

(2) At a special proceeding convened to consider the petition for disqualification, the investigator will report to the Board the findings of the investigation.

(3) The Board shall decide whether to disqualify the challenged individual, and issue its decision in the record.

(4) The person whose disqualification is to be determined will not participate in the decision but may be called upon to furnish information at the special proceeding.

(5) When a Board member is disqualified prior to the commencement of the hearing or after the hearing has begun, such hearing will continue with the remaining members sitting provided that the remaining members still constitute a majority of the Board.

(6) If a sufficient number of Board members are disqualified pursuant to this Rule so that a majority of the Board cannot conduct the hearing, the Board shall petition the Office of Administrative Hearings to appoint an administrative law judge to hear the contested case pursuant to G.S. 150B-40(e).

History

• Authority G.S. 90-270.92; 150B-40
• Eff. October 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0512 Subpoenas

(a) Requests for subpoenas for the attendance and testimony of witnesses or for the production of documents, either pursuant to an investigation, a Board proceeding, at a hearing, or for the purposes of discovery, shall be made in writing to the Board, shall identify any document sought with specificity, and shall include the full name, home or business address of all persons to be subpoenaed, and the date, time, and place for responding to the subpoena. The Board may deny the issuance of any subpoena that is determined by the Board to have the intent of harassing or intimidating a witness. The Board Chair or Executive Director of the Board shall issue the requested subpoenas within three business days of receipt of the request.

(b) Subpoenas shall contain:

(1) the caption of the case or the name of the licensee or matter being investigated;

(2) the name and address of the person subpoenaed;

(3) the date, hour, and location of the hearing in which the witness is commanded to appear;

(4) a particularized description of the books, papers, records, or objects the witness is directed to bring to the hearing, if any;

(5) the identity of the party on whose application the subpoena was issued;

(6) the date of issue;

(7) the signature of the presiding officer or his designee; and

(8) a "return of service". The "return of service" form, as filled out, shall show the name and capacity of the person serving the subpoena, the date on which the subpoena was delivered to the person directed to make service, the date on which service was made, the person on whom service was made, the manner in which service was made, and the signature of the person making service.

(c) Subpoenas for the production of documents for copying or inspection, the subpoena shall contain a particularized description of the books, papers, records or objects to be produced.

(d) Subpoenas shall be served as provided by the Rules of Civil Procedure, G.S. 1A-1, Rule 4. The cost of service, fees, and expenses of any witnesses or any documents subpoenaed shall be paid by the party requesting the subpoena. The subpoena shall be issued in duplicate, with a "return of service" form attached to each copy. A person serving the subpoena shall fill out the "return of service" form for each copy and properly return one copy to the Board with the attached "return of service" form completed.

(e) Any person receiving a subpoena from the Board may object by filing a written objection with the Board's office within 10 business days of receipt of the subpoena. The objection shall include a concise statement of reasons why the subpoena should be quashed or modified. These reasons may include lack of relevancy of the evidence sought, or any other reason sufficient in law for holding the subpoena invalid, such as that the evidence is privileged, that appearance or production would be unduly burdensome as determined by the Board in light of the significance of the evidence sought, or other undue hardship.

(f) Any objection to a subpoena shall be served on the party who requested the subpoena simultaneously with the filing of the objection with the Board.

(g) The party who requested the subpoena may file a written response to the objection within 10 business days after receipt of the objection. The written response shall be filed with the Board and served by the requesting party on the objecting witness.

(h) After receipt of the objection and response thereto, if any, the Board shall issue a notice to the party who requested the subpoena and the party objecting to the subpoena, and may notify any other party or parties of an open hearing before the presiding officer, to be scheduled as soon as practicable. At the hearing, evidence and testimony may be presented, limited to the narrow questions raised by the objection and response.

(i) Within 30 days after the close of such hearing, the presiding officer shall rule on the challenge and issue a written decision. A copy of the decision shall be issued to all parties and made a part of the record.

History

• Authority G.S. 90-270.92; 90-270.92(10); 150B-39; 150B-40
• Eff. October 1, 1995
• Amended Eff. February 1, 2015; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0513 Witnesses

Any party may be a witness and may present witnesses on the party's behalf at the hearing. All oral testimony at the hearing shall be under oath or affirmation and shall be recorded. At the request of a party or upon the Board's own motion, the presiding officer may exclude witnesses from the hearing room so that they cannot hear the testimony of other witnesses.

History

• Authority G.S. 90-270.92; 150B-40; 150B-43
• Eff. October 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0514 Continuances

A request for a continuance shall be addressed to the Board, and shall be granted if in the Board's opinion it will promote the ends of justice.

History

• Authority G.S. 90-270.92; 150B.38; 150B-40
• Eff. October 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0515 Final Decision

In all cases heard by the Board, the Board will issue its decision within 60 days after its next regularly scheduled meeting following the close of the hearing. This decision will be the prerequisite "final agency decision" for the right to judicial review.

History

• Authority G.S. 90-270.92; 150B-38; 150B-42
• Eff. October 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0516 Proposals for Decision

(a) When an administrative law judge conducts a hearing pursuant to G.S. 150B-40(e), a "proposal for decision" shall be served on all parties to the proceeding at their mailing address or upon their counsel of record. The parties may file written exceptions to this "Proposal for decision" and submit their own proposed findings of fact and conclusions of law. The exceptions and alternative proposals must be filed with the Board within 15 days after the party has received the "proposal for decision" as drafted by the administrative law judge, and must be served on all other parties at the same time it is filed with the Board.

(b) Any party may file a written argument to the Board within 15 days after receipt of the proposal for decision. Any party may file a request to present oral argument to the Board. Such request must be filed within 15 days of the receipt of the proposal for decision.

(c) Upon receipt of a request for oral argument, notice will be issued promptly to all parties designating the time and place for such oral argument.

(d) Giving due consideration to the proposal for decision and the exceptions and arguments of the parties, the Board may adopt the proposal for decision or may modify it as the Board deems necessary. The decision rendered will be a part of the record and a copy thereof given to all parties. The decision as adopted or modified becomes the "final agency decision" for the right to judicial review. Said decision will be rendered by the Board within 60 days of the next regularly scheduled meeting following the oral arguments, or if none, within 60 days of the next regularly scheduled Board meeting following receipt of the last document filed in the case.

History

• Authority G.S. 90-270.92; 150B-38; 150B-40; 150B-42
• Eff. October 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0517 Modification of Decision

(a) A person who has been disciplined by the Board may apply to the Board for modification of the discipline at any time after the effective date of the Board's decision imposing it; however, if any previous application has been made with respect to the same discipline, no additional application shall be considered before the lapse of one year following the Board's decision on that previous application. Provided, however, that an application to modify permanent revocation shall not be considered until after two years from the date of the original discipline, nor more often than two years after the Board's last decision on any prior application for modification.

(b) The application for modification of discipline shall be in writing, shall set out and shall demonstrate good cause for the relief sought.

(c) "Good cause" as used in Paragraph (b) of this Rule means that the applicant is completely rehabilitated with respect to the conduct which was the basis of the discipline. Evidence demonstrating such rehabilitation shall include evidence:

(1) that such person has not engaged in any conduct during the discipline period which, if that person had been licensed during such period, would have constituted the basis for discipline by the Board; and

(2) that, with respect to any criminal conviction which constituted any part of the previous discipline, the person has completed the sentence imposed.

(d) In determining good cause, the Board may consider all the applicant's activities since the disciplinary penalty was imposed, the offense for which the applicant was disciplined, the applicant's activities during the time the applicant was in good standing with the Board, the applicant's rehabilitative efforts, restitution to damaged parties in the matter for which the penalty was imposed, and the applicant's general reputation for truth and professional probity.

(e) No application for modification of discipline shall be considered while the applicant is serving a sentence for any criminal offense. Serving a sentence includes incarceration, probation (supervised or unsupervised), parole, or suspended sentence, any of which are imposed as a result of having been convicted or plead to a criminal charge.

(f) An application shall ordinarily be ruled upon by the Board on the basis of the evidence submitted in support thereof. However, the Board may make additional inquiries of any person or persons, or request additional evidence it deems appropriate.

History

• Authority: G.S. 90-270.92; 150B-42
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0601 Prohibited Actions

(a) Behaviors and activities that may result in disciplinary action by the Board pursuant to G.S. 90-270.103(1), (6), (7), (8), and (9) and G.S. 90-270.102(4) include the following:

(1) recording false or misleading data, measurements, or notes regarding a patient;

(2) delegating responsibilities to a person when the licensee delegating knows or has reason to know that the competency of that person is impaired by physical or psychological ailments, or by alcohol or other pharmacological agents, prescribed or not;

(3) practicing or offering to practice beyond the scope permitted by law;

(4) accepting and performing professional responsibilities which the licensee knows or has reason to know that he or she is not competent to perform;

(5) performing, without adequate supervision as described in the rules in this Chapter, professional services that the licensee is authorized to perform only under the supervision of a licensed professional, except in an emergency situation where a person's life or health is in danger;

(6) harassing, abusing, inappropriately touching, as defined in Rule 48A .0105(7) of this Chapter or intimidating a patient either physically or verbally;

(7) failure to exercise supervision over persons who are authorized to practice only under the supervision of the licensed professional;

(8) promoting an unnecessary device, treatment intervention, nutritional supplement, product, or service for the financial gain of the practitioner or of a third party as determined by the investigative committee;

(9) offering, giving, soliciting, receiving, or agreeing to receive any fee or other consideration to or from a third party for the referral of a client;

(10) failure to file a report, filing a false report, or failure to respond to an inquiry from the Board within 30 days from the date of issuance, required by the rules in this Subchapter, or impeding or obstructing such filing or inducing another person to do so;

(11) revealing identifiable data, or information obtained in a professional capacity, without prior consent of the patient, except as authorized or required by law;

(12) guaranteeing that a patient will benefit from the performance of professional services;

(13) altering a license or renewal card by changing any information appearing thereon;

(14) using a license or renewal card that has been altered;

(15) permitting or allowing another person to use his or her license or renewal card for the practice of physical therapy;

(16) delegating professional responsibilities to a person when the licensee delegating such responsibilities knows or has reason to know that such a person is not qualified by training, by experience, or by licensure to perform such responsibilities;

(17) violating any term of probation, condition, or limitation imposed on the licensee by the Board;

(18) soliciting or engaging in any activities of a sexual nature, including kissing, fondling, or touching any person while the person is under the care of a physical therapist or physical therapist assistant;

(19) billing or charging for services or treatment not performed;

(20) making treatment recommendations or basing a patient's continued treatment on the extent of third party benefits instead of the patient's condition;

(21) willfully or intentionally communicating false or misleading information regarding a patient;

(22) harassing, abusing, or intimidating any person, either physically or verbally, while engaged in the practice of physical therapy;

(23) using a form of a license or renewal card that was not issued by the Board or is not current;

(24) failing to record patient data within a reasonable period of time following evaluation, assessment, or intervention;

(25) failing to pay the costs of investigation or otherwise to comply with an order of discipline;

(26) failing to maintain legible patient records that contain an evaluation of objective findings, a diagnosis, a plan of care including desired outcomes, the treatment record including all elements of 21 NCAC 48C .0102(l) or 21 NCAC 48C .0201(f), a discharge summary or episode of care including the results of the intervention, and sufficient information to identify the patient and the printed name and title of each person making an entry in the patient record;

(27) charging fees not supported by documentation in the patient record;

(28) furnishing false or misleading information on an application for licensure and licensure renewal; and

(29) engaging in misrepresentation or deceit, or exercising undue influence over a patient or former patient for the financial gain of the licensee.

(b) When a person licensed to practice physical therapy in North Carolina is also licensed in another jurisdiction and that other jurisdiction takes disciplinary action against the licensee, the North Carolina Board of Physical Therapy Examiners shall determine whether the conduct found by the other jurisdiction also violates the North Carolina Physical Therapy Practice Act. The Board may impose the same or lesser disciplinary action upon receipt of the other jurisdiction's actions. The licensee may request a hearing. At the hearing, the issues shall be limited to:

(1) whether the person against whom action was taken by the other jurisdiction and the North Carolina licensee are the same person;

(2) whether the conduct found by the other jurisdiction also violates the North Carolina Physical Therapy Practice Act; and

(3) whether the sanction imposed by the other jurisdiction is lawful under North Carolina law.

(c) In accordance with G.S. 150B-3(c) a license may be summarily suspended if the Board determines the public health, safety, or welfare requires emergency action.

(d) When the Board receives a notice from a Clerk of Superior Court that the license of a physical therapist or a physical therapist assistant has been forfeited pursuant to G.S. 15A-1331A, the licensee shall surrender the license to the Board within 24 hours and shall not engage in the practice of physical therapy during the period of forfeiture. Forfeiture under this Section shall not limit the Board's authority to take further disciplinary action against the licensee in accordance with the Board's rules.

History

• Authority G.S. 15A-1331.1; 90-270.90; 90-270.92; 90-270.102(4); 90-270.103; 150B-3
• Eff. October 1, 1995
• Amended Eff. February 1, 2015; July 1, 2013; December 1, 2006; August 1, 2002; August 1, 1998; February 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. September 1, 2019.

21 NCAC 48G .0602 Sanctions; Reapplication

(a) The Board may, upon proof of a violation of G.S. 90-270.103 or the rules in this Chapter, impose any of the following sanctions:

(1) issue a warning to a licensee;

(2) place a licensee on probation;

(3) suspend a license, the duration of which shall be determined by the Board;

(4) revoke any license;

(5) refuse to issue or renew a license;

(6) accept a voluntary surrender of a license; and

(7) charge the reasonable costs of investigation and hearing to a licensee who is disciplined.

(b) The Board may also impose restrictions and conditions on a license including scope of practice, place of practice, supervision of practice, duration of licensed status, whether a licensee may work alone or supervise others, or type or condition of patient or client served, including requiring a licensee to submit regular reports to the Board on matters related to the restricted license.

(c) A person whose license has been revoked or who surrenders a license:

(1) is not permitted to reapply for a license for a period of two years from the date of revocation;

(2) is not permitted to reapply for a license for a period not to exceed two years from the date of surrender;

(3) must submit as part of the reapplication process all materials requested by the Board related to the revocation or surrender and shall be required to meet with the Board; and

(4) may have the restrictions specified in Paragraph (b) of this Rule imposed in conjunction with the issuance of a license.

History

• Authority G.S. 90-270.92
• Eff. August 1, 2002
• Amended Eff. July 1, 2013; December 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. September 1, 2019.

21 NCAC 48G .0701 Definitions

(a) "Impairment" is a condition caused by substance abuse or mental illness that impacts a licensee's ability to provide physical therapy services.

(b) "Participant" is a licensee enrolled in a Program designed to treat substance abuse or mental illness.

(c) "Program" is a specific course of action for health care practitioners who suffer from substance abuse or mental illness to the extent it impairs professional competence.

History

• Authority G.S. 90-270.92(11)
• Eff. February 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0702 Programs

(a) Before participating in a Program, a licensee shall be referred to the Program by the Board.

(b) If the Board does not offer a Program, it may make arrangements for licensees with impairments to participate in Programs administered by other North Carolina health care licensing boards or by other physical therapy licensing boards that are members of the Federation. Such Programs shall provide for:

(1) investigation, review, and evaluation of records, reports, complaints, litigation, and other information about the practice and practice patterns of licensed physical therapists and physical therapist assistants as may relate to impaired physical therapists and physical therapist assistants;

(2) identification, intervention, treatment, referral, and follow up care of impaired physical therapists and physical therapist assistants; and

(3) due process rights for any subject physical therapist or physical therapist assistant.

(c) Any licensee enrolled in a Program shall comply with its requirements. Any licensee terminated by a Program before successfully completing the Program may be subject to disciplinary action.

History

• Authority G.S.90-270.92(11)
• Eff. February 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0703 Information of Impairment

(a) When information of suspected impairment of a licensee is received by the Board, the Board shall conduct an investigation and routine inquiries to determine the validity of the report prior to referring the licensee to a Program.

(b) Licensees suspected of impairment may be required to submit to personal interviews if the investigation and inquiries indicate the report of impairment may be valid.

History

• Authority G.S. 90-270.92(11)
• Eff. February 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0704 Confidentiality

Information received by the Program shall remain confidential in accordance with the Program's policies and procedures. However, information received as a result of a Board referral shall be freely exchanged with the Board or its authorized agents.

History

• Authority G.S. 90-270.92
• Eff. February 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0705 Reports

Following an investigation, intervention, treatment, or upon receipt of a complaint or other information, a program participating with the Board pursuant to Rule .0702(b) of this Section shall report to the Board detailed information about any physical therapist or physical therapist assistant licensed by the Board, if it is determined that:

(1) the physical therapist or physical therapist assistant constitutes an imminent danger to the public or to himself or herself; or

(2) the physical therapist or physical therapist assistant refuses to cooperate with the Program, refuses to submit to treatment, or is still impaired after treatment and exhibits professional incompetence; or

(3) it reasonably appears that there are other grounds for disciplinary action.

History

• Authority G.S. 90-270.92
• Eff. February 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48G .0706 Program Standards

Any Program receiving referrals of licensees from the Board shall be monitored on an annual basis to determine its ability to provide:

(1) adequate staffing to supervise participants in the Program;

(2) referrals for treatment to professionals, group counseling and facilities; and

(3) appropriate post-treatment support.

History

• Authority G.S. 90-270.92
• Eff. February 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

Subchapter H

21 NCAC 48H .0101 Distribution of Rules

History

• Status: repealed
• Authority G.S. 90-270.26
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0102 Inspection of Rules

History

• Status: repealed
• Authority G.S. 90-270.26; 150B-11; 150B-62
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. February 1, 1996; May 1, 1988
• Repealed Eff. July 1, 2013.

21 NCAC 48H .0103 Adoption of Model Act

History

• Status: repealed
• Authority G.S. 90-270.26
• Eff. December 30, 1985
• Repealed Eff. May 1, 1988.

21 NCAC 48H .0104 Contested Cases

History

• Status: repealed
• Authority G.S. 150B-11; 150B-14(a)(b); 150B-38(h)
• Eff. May 1, 1988
• Amended Eff. April 1, 1989
• Repealed Eff. October 1, 1995.

21 NCAC 48H .0201 Petition for Rulemaking Hearing

History

• Status: repealed
• Authority G.S. 90-270.26; 150A-16
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0202 Contents of Petition

History

• Status: repealed
• Authority G.S. 90-270.26; 150A-16
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0203 Disposition of Petition

History

• Status: repealed
• Authority G.S. 90-270.26; 150A-16
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0301 Timing of Notice

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.28; 150A-12; 150A-12(a)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0302 Notice of Mailing List

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.28; 150A-12; 150A-12(a)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0401 Location

History

• Status: repealed
• Authority G.S. 90-270.26; 150A-12; 150A-12(a); 150A-12(e)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0402 Time Limit

History

• Status: repealed
• Authority G.S. 90-270.26; 150A-12; 150A-12(a); 150A-12(e)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0403 Presiding Officer: Powers and Duties

History

• Status: repealed
• Authority G.S. 90-270.26; 150A-12; 150A-12(a); 150A-12(e)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0404 Request to Participate

History

• Status: repealed
• Authority G.S. 90-270.26; 150A-12; 150A-12(a); 150A-12(e)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0405 Written Submissions

History

• Status: repealed
• Authority G.S. 90-270.26; 150A-12; 150A-12(a); 150A-12(e)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0406 Final Decision to Adopt or Reject Proposed Rule

History

• Status: repealed
• Authority G.S. 90-270.26; 150A-12; 150A-12(a); 150A-12(e)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0407 Statement of Reason for Decision

History

• Status: repealed
• Authority G.S. 90-270.26; 150A-12; 150A-12(a); 150A-12(e)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0501 Submission of Request for Ruling

History

• Status: repealed
• Authority G.S. 90-270.26; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0502 Disposition of Requests

History

• Status: repealed
• Authority G.S. 90-270.26; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0601 Right to Hearing

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.36; 150A-3; 150A-23; 150A-23(d)
• 150A-24; 150A-25; 150A-27; 150A-28; 150A-31; 150A-36
• Eff. February 1, 1976
• Amended Eff. August 6, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0602 Request for Hearing

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.36; 150A-3; 150A-23; 150A-23(d)
• 150A-24; 150A-25; 150A-27; 150A-28; 150A-31; 150A-36
• Eff. February 1, 1976
• Amended Eff. August 6, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0603 Notice of Hearing

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.36; 150A-3; 150A-23; 150A-23(d)
• 150A-24; 150A-25; 150A-27; 150A-28; 150A-31; 150A-36
• Eff. February 1, 1976
• Amended Eff. August 6, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0604 Location of Hearing

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.36; 150A-3; 150A-23; 150A-23(d)
• 150A-24; 150A-25; 150A-27; 150A-28; 150A-31; 150A-36
• Eff. February 1, 1976
• Amended Eff. August 6, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0605 Answer

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.36; 150A-3; 150A-23; 150A-23(d)
• 150A-24; 150A-25; 150A-27; 150A-28; 150A-31; 150A-36
• Eff. February 1, 1976
• Amended Eff. August 6, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0606 Intervention

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.36; 150A-3; 150A-23; 150A-23(d)
• 150A-24; 150A-25; 150A-27; 150A-28; 150A-31; 150A-36
• Eff. February 1, 1976
• Amended Eff. August 6, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0607 Subpoena

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.36; 150A-3; 150A-23; 150A-23(d)
• 150A-24; 150A-25; 150A-27; 150A-28; 150A-31; 150A-36
• Eff. February 1, 1976
• Amended Eff. August 6, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0608 Request for Records

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.36; 150A-3; 150A-23; 150A-23(d)
• 150A-24; 150A-25; 150A-27; 150A-28; 150A-31; 150A-36
• Eff. February 1, 1976
• Amended Eff. August 6, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0609 Stipulations

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.36; 150A-3; 150A-23; 150A-23(d)
• 150A-24; 150A-25; 150A-27; 150A-28; 150A-31; 150A-36
• Eff. February 1, 1976
• Amended Eff. August 6, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0610 Board's Decision

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.36; 150A-3; 150A-23; 150A-23(d)
• 150A-24; 150A-25; 150A-27; 150A-28; 150A-31; 150A-36
• Eff. February 1, 1976
• Amended Eff. August 6, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48H .0701 Petitions

(a) Any person wishing to submit a petition to the Board requesting the adoption, amendment or repeal of a rule shall file the petition with the Board's executive director.

(b) The petition shall contain the following information:

(1) a proposed text of the rule to be adopted or amended or a citation to the rule to be repealed;

(2) a statement of the reason for the proposal, including statutory authority;

(3) effect of the proposed rule change on the practice of physical therapy;

(4) any data supporting the proposal;

(5) name, address and telephone number of each petitioner.

(c) The Board shall consider whether to grant or deny a petition at its next regularly scheduled meeting following receipt of a completed petition, but in any event, no more than 120 days after a completed petition is filed with the Board.

History

• Authority G.S. 90-270.92; 150B-20
• Eff. October 1, 1995
• Amended Eff. August 1, 1998; February 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48H .0702 Mailing List

(a) Any person desiring to be placed on the mailing list for the Board's rulemaking notices may file a request with the Board in writing, furnishing the name and mailing address of the person to whom the notice is to be sent.

(b) The Board will charge an annual fee of ten dollars ($10.00) to each person on the mailing list for copying and mailing costs. A person shall remain on the list so long as the annual fee is paid.

History

• Authority G.S. 90-270.92; 150B-21.1
• Eff. October 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48H .0703 Hearings

(a) Any person making oral comments may submit a written copy of the presentation prior to or at the hearing.

(b) In order to allow for a full and fair opportunity for persons who wish to make oral comments at a rulemaking hearing to speak, the presiding officer shall be entitled to impose time limits on the length of presentations. The presiding officer shall inform persons making oral comments of any time limits deemed necessary to accomplish a full and effective public hearing on the proposed rule.

(c) Any person may file a written submission with the Board up to and including the day of the hearing, unless a longer period is stated in the particular notice or an extension of time is granted following notice. A written submission must clearly state the rule or proposed rule to which the comments are addressed and must also include the name and address of the person submitting it.

(d) The authority of the presiding officer shall include, but not be limited to, the following:

(1) ensuring a record is made of the proceedings;

(2) control of the order and recognition of speakers;

(3) elimination of repetitious presentations; and

(4) general management of the hearing.

(e) The Board's chair shall designate a Board member or a staff member to serve as presiding officer.

History

• Authority G.S. 90-270.92; 150B-21.2
• Eff. October 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 48H .0704 Declaratory Rulings

(a) All requests for a declaratory ruling shall be in writing and submitted to the Board=s Executive Director and must include the following information:

(1) name and address of person requesting declaratory ruling;

(2) statute or rule to which request relates;

(3) statement of the manner in which the person requesting declaratory ruling is aggrieved by the rule or statute or its potential application; and

(4) the consequences of a failure to issue a declaratory ruling.

(b) Whenever the Board for good cause finds that issuance of a declaratory ruling is undesirable, it may refuse to issue one. The person requesting the declaratory ruling shall be furnished with a full and complete statement from the Board as to why the request is being denied.

History

• Authority G.S. 90-270.92; 150B-4
• Eff. October 1, 1995
• Amended Eff. August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

Subchapter I

21 NCAC 48I .0101 Enjoining Illegal Practices

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.37
• Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

21 NCAC 48I .0102 Venue

History

• Status: repealed
• Authority G.S. 90-270.26; 90-270.37
• Eff. October 28, 1979
• Repealed Eff. December 30, 1985.

Chapter 50 Plumbing, Heating and Fire Sprinkler Contractors

21 NCAC 50 .0101 Licensing Authority

History

• Status: repealed
• Authority G.S. 87-16; 87-18; 87-20; 87-21(a),(b),(c); 87-22 to 87-26; 87-27
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 50 .0102 Purpose

History

• Status: repealed
• Authority G.S. 87-16; 87-18; 87-20; 87-21(a),(b),(c); 87-22 to 87-26; 87-27
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 50 .0103 Organization: Officers: Duties

History

• Authority G.S. 87-12 to 87-20; 87-27
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1989
• RRC Objection December 19, 2002 and rule returned to agency on April 17, 2003.

21 NCAC 50 .0104 Executive Secretary: Other Personnel

History

• Status: repealed
• Authority G.S. 87-18
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1989
• Repealed Eff. August 1, 2002.

21 NCAC 50 .0105 Meetings of Board: Quorum

Regular meetings of the Board shall be held during April and October of each year and additional meetings may be held at such other times and places as the Board deems wise and necessary.

History

• Authority G.S. 87-18; 87-19
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. July 1, 1991; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0106 Location of Office

The mailing address of The State Board of Examiners of Plumbing, Heating and Fire Sprinkler Contractors is 1109 Dresser Court, Raleigh, NC 27609. The office hours are set forth on the Board website, www.nclicensing.org.

History

• Authority G.S. 87-16; 87-18
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. January 1, 2003; August 1, 2002; June 11, 1998; November 1, 1993; April 1, 1991
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. January 1, 2017.

21 NCAC 50 .0107 Board Committees

History

• Status: repealed
• Authority G.S. 87-18
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1989
• Repealed Eff. January 1, 2012.

21 NCAC 50 .0108 Rule-Making and Administrative Hearing Procedures

History

• Status: repealed
• Authority G.S. 87-18
• Eff. August 1, 1982
• Amended Eff. October 1, 1986
• Repealed Eff. May 1, 1989.

21 NCAC 50 .0201 Forms

History

• Status: repealed
• Authority G.S. 87-18; 87-20; 87-21(b); 87-21(d); 87-26(a),(b),(c),(d)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0202 Obtaining Forms

Forms may be obtained on request from the State Board of Examiners of Plumbing, Heating and Fire Sprinkler Contractors, 1109 Dresser Court, Raleigh, North Carolina, 27609, or via document download from the Board's official website at http://www.nclicensing.org.

History

• Authority G.S. 87-18
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. January 1, 2010; January 1, 2003; June 11, 1998; April 1, 1991
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0301 Qualifications Determined by Examination

(a) In order to determine the qualifications of an applicant, the Board shall administer a written or computer-based examination covering the following categories:

(1) Plumbing Contracting, Class I

(2) Plumbing Contracting, Class II

(3) Heating, Group No. l - Contracting, Class I

(4) Heating, Group No. 1 - Contracting, Class II

(5) Heating, Group No. 2 - Contracting, Class I

(6) Heating, Group No. 3 - Contracting, Class I

(7) Heating, Group No. 3 - Contracting, Class II

(8) Fuel Piping Contractor

(9) Fire Sprinkler Installation Contractor

(10) Fire Sprinkler Inspection Contractor

(11) Residential Fire Sprinkler Installation Contractor

(12) Restricted Limited Plumbing Contractor

(13) Fire Sprinkler Inspection Technician

(14) Limited Fire Sprinkler Maintenance Technician

(15) Plumbing Technician, Class I

(16) Plumbing Technician, Class II

(17) Heating Group No. 1 Technician, Class I

(18) Heating Group No. 1 Technician, Class II

(19) Heating Group No. 2 Technician

(20) Heating Group No. 3 Technician, Class I

(21) Heating Group No. 3 Technician, Class II

(22) Fuel Piping Technician

(23) Private Educational Institution Plumbing Technician

(24) Private Educational Institution Heating Group 1 Technician

(25) Private Educational Institution Heating Group 2 Technician

(26) Private Educational Institution Heating Group 3 Technician

(27) Residential Fire Sprinkler Design Contractor

(28) Limited Plumbing Water Heater Replacement

(b) Each person being examined by the Board for a contractor license, other than a Fire Sprinkler Installation or Fire Sprinkler Inspection Contractor license, shall be required to pass both the business and law part and the technical part of the examination required by G.S. 87-21(b).

(c) Applicants for licensure as a Fire Sprinkler Installation Contractor shall submit evidence of current certification by the National Institute for Certification of Engineering Technologies (NICET) for Automated Sprinkler System Layout as a prerequisite for licensure. Applicants for licensure as a Fire Sprinkler Installation Contractor shall pass the business and law part of the examination administered by the Board. Persons licensed based upon NICET certification shall maintain such certification as a condition of license renewal.

(d) Applicants for licensure in the Fire Sprinkler Inspection Technician classification shall pass the technical examination offered by the Board. The Board shall accept the results of NICET examinations resulting in Level II Certification in "Inspection and Testing of Water-based Systems" by NICET or from Academy Certification Exams (ACE) examination resulting in Level II Certification in "Inspection and Testing of Water-based Systems" in lieu of the technical part of the Board-administered examination. Applicants who obtain a license as a Fire Sprinkler Inspection Technician based on NICET or ACE certification shall maintain such certification as a condition of license renewal.

(e) Applicants for licensure as a Fire Sprinkler Inspection Contractor shall submit evidence of Level III certification in "Inspection and Testing of Water-based Fire Systems" by NICET or by Academy Certification Exams (ACE) in lieu of the technical part of the Board-administered examination. Applicants for licensure as a Fire Sprinkler Inspection Contractor shall also pass the business and law part of the examination administered by the Board. Contractors who obtain a license by NICET or ACE certification shall maintain such certification thereafter as a condition of license renewal.

(f) Applicants for licensure in the Limited Fire Sprinkler Maintenance Technician classification shall obtain a license based on maintenance experience, education, and job classification, as set forth in Rule .0306 of this Section and pass a test administered by the Board.

(g) Applicants for licensure as a Residential Fire Sprinkler Installation Contractor shall obtain a license based on experience, as set forth in Rule .0306 of this Section, and shall pass the technical part of the Residential Fire Sprinkler Installation Contractor examination.

(h) Applicants for licensure as a Plumbing, Heating, or Fuel Piping Technician shall obtain a license based on experience, as set forth in Rule .0306 of this Section, and shall pass the Class I or the Class II technical and Board laws and rules parts of the Board-administered examination related to the category for which a technician license is sought.

(i) Applicants who hold an active Plumbing, Heating, or Fuel Piping Technician Class I or Class II license obtained by examination, may obtain the Plumbing, Heating or Fuel Piping Contractor Class I or Class II license in the same category and class by meeting the experience requirement listed in Rule .0306 of this Section for the specific contractor license sought and by passing only the business portion of the examination.

(j) Applicants for licensure as a Restricted Limited Plumbing Contractor shall obtain a license based on experience, as set forth in Rule .0306 of this Section, and shall be required to pass both the business and law part and the technical part of the Restricted Limited Plumbing Contractor examination.

(k) In lieu of the requirements of Paragraph (j) of this Rule, applicants for a Restricted Limited Plumbing Contractor License who present a current active License from the North Carolina Irrigation Contractor Licensing Board may take the examination, provided the applicant demonstrates that he or she holds certification as a Backflow Inspector from one of the municipalities in North Carolina, or demonstrates 500 hours of experience in the maintenance, service, or repair of components of plumbing systems.

(l) In lieu of the requirements of Paragraph (j) of this Rule, applicants for a Restricted Limited Plumbing Contractor License who present a current active certification as an On-site Wastewater Contractor, issued by the North Carolina On-Site Wastewater Contractors and Inspectors Certification Board, may take the examination, provided the applicant demonstrates that he or she has attended a minimum of 8 semester hours of education in a plumbing program through a North Carolina Community College program or demonstrates 500 hours of experience in the maintenance, service, or repair of components of plumbing systems.

(m) Applicants for licensure as a Limited Plumbing Water Heater Replacement Contractor shall obtain a license based on experience set forth in Rule .0306 of this Section and shall be required to pass both the business and law part and the technical part of the Limited Plumbing Water Heater Replacement Contractor examination.

History

• Authority G.S. 87-18; 87-21(a); 87-21(b)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. July 1, 1991; May 1, 1989; August 1, 1982
• Temporary Amendment Eff. September 15, 1997
• Amended Eff. March 1, 2005; January 1, 2004; July 1, 2003; August 1, 2002; July 1, 1998
• Emergency Amendment Eff. December 5, 2005
• Emergency Amendment Expired February 13, 2006
• Amended Eff. April 1, 2014; July 3, 2012; January 1, 2010; May 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. June 1, 2026; October 1, 2024; July 1, 2020.

21 NCAC 50 .0302 Oral Examinations

History

• Status: repealed
• Authority G.S. 87-18; 87-20; 87-21(a); 87-21(b)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 1982
• Repealed Eff. May 1, 1989.

21 NCAC 50 .0303 Visitors

History

• Status: repealed
• Authority G.S. 87-18; 87-20; 87-21(a); 87-21(b)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1989
• Repealed Eff. December 31, 2011.

21 NCAC 50 .0304 Special Examinations

History

• Status: repealed
• Authority G.S. 87-18; 87-21(a); 87-21(b)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2000; May 1, 1989
• Repealed Eff. August 1, 2002.

21 NCAC 50 .0305 Passing Grade

Examinations provided by the Board are based upon a maximum obtainable grade of 100 points, and a grade of 70 is required to pass.

History

• Authority G.S. 87-18; 87-21(a); 87-21(b); 93B-8
• Eff. February 1, 1976
• Readopted September 29, 1977
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0306 Applications: Issuance of License

(a) All applicants for licensure or examination shall submit an application, setting forth the information required in G.S. 87-21 and the rules of this Chapter, on a form available on the Board website, http://www.nclicensing.org. or at the Board office. The application shall require the following information:

(1) Licensure and exam type requested;

(2) Last name, first name, and middle name of applicant;

(3) Date of application;

(4) Social Security Number;

(5) Date of Birth;

(6) Mailing address;

(7) Telephone numbers;

(8) Email address;

(9) Applicant's dated signature;

(10) Any tax documents evidencing experience as an employee of a licensed contractor;

(11) Experience description including number of hours of experience claimed and whether the experience involved maintenance, installation, or repair;

(12) Experience verification with notarized signature of current or former employers;

(13) Exam fee (credit card, check, or money order);

(14) Whether the applicant has ever been charged or convicted of a crime and description of the same;

(15) Whether the applicant is incarcerated, paroled, or on probation;

(16) Signed authorization for a criminal background check;

(17) License type and number if applicant holds other licenses issued by Board;

(18) Whether the applicant requests to take the examination outside of North Carolina;

(19) Signed authorization for release of social security number to the United State Social Security Administration for purposes of verification of social security number; and

(20) If applicable, any military or military spouse experience claimed.

(b) Applicants for a plumbing or heating examination shall present evidence when submitting an application to establish completion of two years of full-time experience in the installation, maintenance, service, or repair of plumbing or heating systems related to the category for which a license is sought, whether or not a license was required for the work performed. Applicants for a fuel piping examination shall present evidence when submitting an application to establish completion of one year of experience in the installation, maintenance, service, or repair of fuel piping, whether or not a license was required for the work performed. Up to one-half of the experience may be in academic or technical training related to the field of endeavor for which examination is requested. The Board shall prorate part-time work of less than 40 hours per week or part-time academic work of less than 15 semester or quarter hours.

(c) The Board shall issue a license certificate bearing the license number assigned to the qualifying individual.

(d) Fire Sprinkler Installation Contractors shall meet experience requirements in accordance with the National Institute for Certification in Engineering Technologies (NICET) examination criteria.

(e) Applicants for examination or licensure in the Fire Sprinkler Inspection Technician classification shall submit evidence adequate to establish that the applicant has either:

(1) 4000 hours of experience in inspection and testing of previously installed fire sprinkler systems, consistent with NFPA-25: Standard for the Inspection Testing and Maintenance of Water-Based Fire Protection Systems of the National Fire Protection Association, adopted by the North Carolina Building Code, which is hereby incorporated by reference, including all subsequent editions and amendments, as a full-time employee of a Fire Sprinkler Inspection Contractor or fire insurance underwriting organization. The document may be accessed free of charge at http://www.nfpa.org/codes-and-standards/;

(2) 4000 hours of experience as a full-time employee of a hospital, manufacturing, government, or university facility under direct supervision of Fire Sprinkler Inspection Contractor or a Fire Sprinkler Inspection Technician involved in inspection and testing of previously installed fire sprinkler systems, consistent with NFPA 25: Standard for the Inspection, Testing, and Maintenance of Water-Based Fire Protection Systems of the National Fire Protection Association, which is hereby incorporated by reference, including all subsequent editions and amendments. The document may be accessed free of charge at http://www.nfpa.org/codes-and-standards/;

(3) 4000 hours of experience in installation of fire sprinkler systems as a full-time employee of a Fire Sprinkler Installation Contractor; or

(4) a combination of 4000 hours of experience in any of the categories listed in this Paragraph.

(f) Applicants for licensure in the Fire Sprinkler Inspection Contractor classification shall meet experience requirements in accordance with the National Institute for Certification in Engineering Technologies (NICET) or the Academy Certification Exams (ACE) certification criteria.

(g) Applicants for initial licensure in the Limited Fire Sprinkler Maintenance Technician classification shall submit evidence of 2000 hours experience at the place for which license is sought as a full-time maintenance employee in facility maintenance with experience in periodic maintenance of fire protection systems, as described in Rule .0515 of this Chapter. Applicants who have held a Limited Fire Sprinkler Maintenance Technician license previously are not required to demonstrate experience in addition to the experience at the time of initial licensure, but shall submit a new application if relocating to a new location.

(h) Applicants for licensure in the Residential Fire Sprinkler Installation Contractor classification shall hold an active Plumbing Class I or Class II Contractor license issued by the Board for a minimum of two years and shall document attendance at a 16-hour course approved by the Board pursuant to the Rules in this Chapter covering NFPA 13D: Standard for the Installation of Sprinkler Systems in One-and Two-Family Dwellings and Manufactured Homes, which is hereby incorporated by reference, including all subsequent editions and amendments. The document may be accessed free of charge at http://www.nfpa.org/codes-and-standards/. Residential Fire Sprinkler Installation Contractors shall maintain a Plumbing Contractor license as a condition of renewal of the Residential Fire Sprinkler Installation Contractor license.

(i) Applicants for Licensure as a plumbing or heating Class I technician shall present evidence adequate to establish 3000 hours of full-time experience in the installation, maintenance, service, or repair of plumbing or heating systems related to the category for which a technician license is sought, whether or not a license was required for the work performed. Applicants for a license as a plumbing or heating Class II technician shall present evidence adequate to establish 2500 hours of full-time experience in the installation, maintenance, service, or repair of plumbing or heating systems related to the category for which a technician license is sought, whether or not a license was required for the work performed. Applicants for a license as a fuel piping Class I technician shall present evidence adequate to establish 1500 hours of experience in the installation, maintenance, service, or repair of fuel piping, whether or not a license was required for the work performed. Applicants for a license as a fuel piping Class II technician shall present evidence adequate to establish 1500 hours of experience in the installation, maintenance, service, or repair of fuel piping, whether or not a license was required for the work performed. Up to one-half of the experience may be in academic or technical training related to the field of endeavor for which the examination is requested.

(j) Applicants for a Restricted Limited Plumbing Contractor license shall present evidence at the time of application to establish 1500 hours of full-time experience in the installation, maintenance, service, or repair of plumbing systems, whether or not a license was required for the work performed. Up to one-half of the experience may be in academic or technical training related to the field of endeavor for which examination is requested. The Board shall prorate part-time work of fewer than 40 hours per week or part-time academic work of less than 15 semester or quarter hours.

(k) In lieu of the requirements of Paragraph (j) of this Rule, applicants for a Restricted Limited Plumbing Contractor License who present a current active License from the North Carolina Irrigation Contractor Licensing Board may take the examination, provided the applicant demonstrates that he or she holds certification as a Backflow Inspector from one of the municipalities in North Carolina, or demonstrates 500 hours of experience in the maintenance, service, or repair of components of plumbing systems.

(l) Applicants for license based on completion of an apprenticeship program as described in G.S. 93B-8.6(b) shall meet the same experience and training requirements for the category of license sought as is set forth in this Rule.

(m) Applicants for licensure as a Limited Plumbing Water Heater Replacement Contractor shall present evidence at the time of application to establish that they have held a heating or fuel piping technician or contractor license for a minimum of two years, are in good standing with the Board, and has attended and completed a 6-hour course approved by the Board that covers North Carolina State Residential Plumbing codes requirements, sizing, and installation techniques that relate to the replacement of existing potable water heaters.

History

• Authority G.S. 87-18; 87-21(b)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. January 1, 2004; July 1, 2003; August 1, 2002; July 1, 1998; September 1, 1994
• November 1, 1993; April 1, 1991; May 1, 1990
• Temporary Amendment Eff. August 31, 2004
• Amended Eff. April 1, 2014; July 3, 2012; January 1, 2010; June 1, 2006; March 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. June 1, 2026; October 1, 2024; July 1, 2020; April 1, 2018.

21 NCAC 50 .0307 Refund of Deposit

The application fee for license without examination, and the application and examination fee for an examination shall not be refunded.

History

• Authority G.S. 87-18; 87-21(b); 87-22; 87-22.1
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1989
• Temporary Amendment Eff. August 31, 2001
• Amended Eff. January 1, 2010; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0308 Review of Examination

Any person who fails to pass an examination may, on written request, review his or her examination at a time and place determined by the Board.

History

• Authority G.S. 87-18; 87-21(b); 87-25; 93B-8(c)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. December 31, 2011; January 1, 2010; December 1, 2003; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0309 Expanding Scope of License

Any licensee holding a license as an individual, or a licensee whose name appears on the certificate of license issued in the name of a corporation, partnership, or business that has a trade name, may be examined for the purpose of expansion of his license qualifications upon payment of the required application and examination fee, providing that the individual meets the requirements for licensing in the classification sought.

History

• Authority G.S. 87-18; 87-21(b); 87-25
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. July 1, 1991; May 1, 1989
• Temporary Amendment Eff. August 31, 2001
• Amended Eff. January 1, 2010; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0310 Application for Licensure by Reciprocity

The Board shall grant license by reciprocity only pursuant to reciprocal licensing agreements worked out with various states after mutual review of the applicable licensing standards and examinations.

History

• Authority G.S. 87-18; 87-21(g)
• Eff. November 1, 1993
• Amended Eff. January 1, 2010; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0311 Identification of Applicants

The Board may require any applicant seeking licensure to submit proof of identification at the time of submitting the application and at the time of the examination. For purposes of this Rule, a valid driver's license, an identification card issued by the Department of Motor Vehicles or a passport shall constitute proper identification.

History

• Authority G.S. 87-18; 87-21(b)
• Eff. November 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0312 State and Local Government Plumbing or Heating Technician

(a) In order to determine the qualifications of an applicant for a license as a State or local government plumbing or heating technician, the Board shall provide a written or computer-based examination in the following categories:

(1) State and local government Plumbing Technician;

(2) State and local government Heating Group No. 1 Technician;

(3) State and local government Heating Group No. 2 Technician; or

(4) State and local government Heating Group No. 3 Technician

(b) Applicants for a license as a State & Local Government Plumbing or Heating Technician shall obtain a license based on experience set forth in Paragraph (c) of this Rule and shall pass the Class I technical and Board laws and rules part of the Board-administered examination described in Rule .0301 of this Section related to the category for which a technician license is sought. The applicant need not pass the business part of the examination.

(c) Applicants for a license as a State & Local Government Plumbing or Heating Technician shall present evidence to establish 3000 hours of full-time experience in the installation, maintenance, service, or repair of plumbing or heating systems related to the category for which a technician license is sought, whether or not a license was required for the work performed.

(d) Applicants for a license as a State & Local Government Technician who currently hold an active plumbing or heating contractor license issued by this Board may qualify for the corresponding State and local government technician license without examination.

(e) Applicants for a license as a State & local Government Technician who currently hold an active plumbing or heating technician license obtained by examination and issued by the Board may qualify for the corresponding State & Local Government technician license without examination.

History

• Authority G.S. 87-18; 87-21(a); 87-21(b)
• Eff. February 1, 2017
• Amended Eff. April 1, 2018.

21 NCAC 50 .0313 responsibilities of State and Local Government Technician licensees

(a) A State and local government technician licensee shall be required to list their license with the Board in the name of the State and local government agency by whom the licensee is employed,

(b) The holder of license as a State and local government Heating Group 1 Technician, Heating Group 2 Technician, Heating Group 3 Technician, or Plumbing Technician shall be a full-time employee of a State or local government agency.

(c) A State and local government technician licensee shall ensure that a permit is obtained from the State or local code enforcement official for the jurisdiction where the worksite is located before commencing any work for which a license is required by the Board. The licensee shall also ensure that a request for final inspection of the work for which a license is required is made within 10 days of the earlier of the system being made operational or placed in service, absent agreement with the appropriate State or local code enforcement official. Absent agreement with the local code enforcement official the licensee shall not be relieved of responsibility to the Board to arrange inspection until a certificate of compliance or the equivalent is obtained from the appropriate State or local code enforcement official or the licensee has documentary evidence of his effort to obtain the same.

(d) The failure of a licensee to comply with the permit and inspection obligations outlined in this Rule shall be considered by the Board as evidence of incompetence or misconduct in the use of license from the Board.

(e) A State and local government technician licensee shall be responsible for general supervision to the extent of his qualifications, compliance with the codes and standards contained in Rule .0505 of this Chapter, and assurance that permits and inspections are obtained.

(f) The "general supervision" required by G.S. 87-26 is the degree of supervision necessary and sufficient to ensure that the work is performed in a workmanlike manner and with the requisite skill and that the installation is made in accordance with the codes and standards contained in Rule .0505 of this Chapter, manufacturer installation instructions and industry practice. General supervision requires that review of the work done pursuant to the State and local government technician license be performed by the State and local government technician licensee while the work is in progress.

(g) In each State or local government agency location, branch, or facility of any kind from which work requiring a license pursuant to G.S. 87, Article 2 is carried out there shall be on duty all hours during which the activities described herein are carried out, at least one licensee who holds State and local government technician license in the classification required for the work being proposed or performed, whose license is listed in the name of the particular State or local government agency at that location, and who is engaged in the work of the State or local government at the agency location or at an agency job site and who has the responsibility to exercise general supervision over the work and who has been empowered to act for the State or local government agency, as defined in Rule .0505 of this Chapter, of all work falling within his or her license qualification. Evidence of compliance shall be required as a condition of renewal or retention of license and falsification shall constitute fraud in obtaining license. The standards set forth in Rule .0512 of this Chapter shall be applied.

(h) An unlicensed person employed by a State and local government agency licensed and supervised pursuant to G.S. 87, Article 2 shall not be required to have a license and shall not be subject to an action for injunctive relief brought by the Board if the unlicensed person is a bona-fide employee of the State and local government.

(i) The annual license fee for a State and local government Technician license is one hundred fifty dollars ($150.00), except as provided in Paragraph (j) of this Rule.

(j) The annual license fee for a State and local government Plumbing or Heating Technician license that is listed as the second or subsequent licensee at the same agency location is seventy-five dollars ($75.00).

History

• Authority G.S. 87-18; 87-21(b)(2)c; 87-22; 87-26
• Eff. April 1, 2017
• Amended Eff. July 1, 2020.

21 NCAC 50 .0314 Private Educational Institution Plumbing or Heating Technician

(a) Applicants for a license as a Private Educational Institution Plumbing or Heating Technician shall obtain a license based on experience set forth in Paragraph (c) of this Rule and shall pass the Class I technical and Board laws and rules part of the Board –administered examination described in 21 NCAC 50. 0301 related to the category for which a technician license is sought. The applicant need not pass the business part of the examination.

(b) Applicants for a license as a Private Educational Institution Plumbing or Heating Technician shall present evidence to establish 3000 hours of experience in the installation, maintenance service or repair of plumbing or heating system related to the category for which a technician license is sought, whether or not a license was required for the work performed.

(c) Applicants for a license as a Private Educational Institution Technician who currently hold an active plumbing or heating contractor license issued by this Board qualify for the corresponding State and local government technician license without examination.

(d) Applicants for a license as Private Educational Institution Technician who currently hold an active plumbing or heating technician license obtained by examination and issued by the Board qualify for the Corresponding Private Educational Institution technician license without examination.

History

• Authority G.S. 87-18; 87-21(b)
• Eff. July 1, 2020.

21 NCAC 50 .0315 responsibilities of private educational institution technician licensees

(a) A licensed Private Educational Institution Technician shall list their license with the Board in the name of the private educational institution by whom the licensee is employed.

(b) The holder of license as a Private Educational Institution Technician shall be a full-time employee of a private education institution.

(c) A Private Educational Institution Technician licensee shall ensure that a permit is obtained from the State or local code enforcement official of the jurisdiction where the worksite is located before commencing any work for which a license is required by the Board. The licensee shall also ensure that a request for final inspection of the work for which a license is required is made within 10 days of the earlier of the system being made operational or placed in service, absent agreement with the permitting authority. Absent agreement with the authority having jurisdiction the licensee shall not be relieved of responsibility to the Board to arrange inspection until a certificate of compliance or the equivalent is obtained from the authority having jurisdiction or the licensee has documentary evidence of his effort to obtain the same.

(d) The failure of a licensee to comply with the permit and inspection obligations outlined in this Rule shall be considered by the Board as evidence of incompetence or misconduct in the use of license from the Board.

(e) A Private Educational Institution Technician licensee shall be responsible for general supervision to the extent of his or her qualifications, compliance with the codes and standards contained in Rule .0505 of this Chapter, and assurance that permits and inspections are obtained.

(f) The "general supervision" required by G.S. 87-26 is the degree of supervision necessary and sufficient to ensure that the work is performed in a workmanlike manner and with the requisite skill and that the installation is made in accordance the codes and standards contained in Rule .0505 of this Chapter, manufacturer installation instructions and industry practice. General supervision requires that review of the work done pursuant to the Private Educational Institution Technician license be performed by the Private Educational Institution Technician licensee while the work is in progress.

(g) In each Private Educational Institution location, branch, or facility of any kind from which work requiring a license pursuant to G.S. 87, Article 2 is carried out there shall be on duty all hours during which the work requiring license is carried out, at least one licensee who holds the appropriate Private Educational Institution Technician license in the classification required for the work being proposed or performed, whose license is listed in the name of the particular Private Educational Institution at that location, and who is engaged in the work of the Private Educational Institution at the institution location or at an institution job site and who has the responsibility to exercise general supervision over the work and who has been empowered to act for the Private Educational Institution, as defined in Rule .0505 of this Chapter, of all work falling within his or her license qualification. Evidence of compliance shall be required as a condition of renewal or retention of license and falsification shall constitute fraud in obtaining license. The standards set forth in Rule .0512 of this Chapter shall be applied.

(h) An unlicensed person employed by a Private Educational Institution licensed and supervised pursuant to G.S. 87, Article 2 shall not be required to have a license and shall not be subject to an action for injunctive relief brought by the Board if the unlicensed person is a bona-fide employee of the State and local government.

(i) The annual license fee for a Private Educational Institution Technician license is one hundred fifty dollars ($150.00), except as provided in Paragraph (j) of this Rule.

(j) The annual license fee for a Private Educational Institution Technician license that is listed as the second or subsequent licensee at the same agency location is seventy-five dollars ($75.00).

History

• Authority G.S. 87-18; 87-21(b)
• Eff. July 1, 2020.

21 NCAC 50 .0316 RESIDENTIAL FIRE SPRINKLER DESIGN CONTRACTOR license

(a) Applicants for a Residential Fire Sprinkler Design Contractor license shall obtain a license based on experience set forth in Paragraph (b) of this Rule and shall be required to pass the Residential Fire Sprinkler Design technical examination.

(b) Applicants for a Residential Fire Sprinkler Design Contractor license shall present evidence at the time of application to establish that the applicant currently holds an active Residential Fire Sprinkler Installation Contractor license issued by the Board, and shall document completion of a 32 hour fire sprinkler systems design course created by the Board on NFPA-13D fire sprinkler system design.

History

• Authority G.S. 87-18; 87-21(b)
• Eff. July 1, 2020.

21 NCAC 50 .0317 Responsibilities of Residential Fire Sprinkler Design Contractors

(a) Residential Fire Sprinkler Design Contractor licensees shall design NFPA 13D residential multipurpose fire sprinkler systems consistent with NFPA 13D design requirements and the water design conditions present at the system installation location.

(b) Residential Fire Sprinkler Design Contractor licensees shall sign and date each specific NFPA 13D residential design performed and shall not delegate this responsibility.

(c) Residential Fire Sprinkler Design Contractors shall maintain a Plumbing Contractor and a Residential Fire Sprinkler Installation Contractor license as a condition of renewal of the Residential Fire Sprinkler Design Contractor license.

(d) The annual license fee for a Residential Fire Sprinkler Design Contractor license is one hundred fifty dollars ($150.00).

History

• Authority G.S. 87-18; 87-21(b)(2)
• Eff. July 1, 2020.

21 NCAC 50 .0401 License Display

History

• Status: repealed
• Authority G.S. 87-18; 87-21(e)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 50 .0402 Permits

(a) A licensed contractor shall ensure that a permit is obtained from the local Code Enforcement official before commencing any work for which a license is required by the Board, except as set out in Paragraph (c) of this Rule. The contractor shall also ensure that a request for final inspection of the work for which a license is required is made by himself, the general contractor or the owner within 10 days of the earlier of the system being made operational or placed in service, absent agreement with the owner and the local Code Enforcement official. Absent agreement with the local Code Enforcement official the licensee is not relieved by the Board of responsibility to arrange inspection until a certificate of compliance or the equivalent is obtained from the local code enforcement official or the licensee has clear and convincing evidence of his effort to obtain same.

(b) A licensed contractor shall not allow a permit to be obtained or his license number to appear upon a permit except for work which he or his employees perform, over which he or a properly licensed technician will provide general supervision until the completion of the work for which he holds an executed contract with the licensed general contractor or property owner and for which he receives all contractual payments.

(c) A plumbing permit is not required for replacement of a water heater in a one or two-family dwelling under circumstances set out in G.S. 153A-357 or G.S. 160A-417.

(d) The failure of a licensee to comply with the permit and inspection obligations outlined in this Rule is considered by the Board as evidence of incompetence or misconduct in the use of license from the Board.

History

• Authority G.S. 87-18; 87-21; 87-26
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. December 31, 2011; January 1, 2010; December 1, 2003; August 1, 2000; September 1, 1995; November 1, 1993; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0403 Use of License

(a) A licensed contractor or technician shall not permit the use of his license by any other person.

(b) A contractor licensed by the Board shall not bid or contract installations requiring license of a type or classification issued by this Board which the licensee does not have except as a part of a documented joint venture with a licensee holding the necessary qualification or in accordance with the provisions set out in 21 NCAC 50 .0415. Bidding without qualification and with an intention to subcontract the unauthorized work does not satisfy this requirement. However in a contract administered pursuant to G.S. 143-129 and in which more than one classification administered by this Board has been combined in the separate contract specifications, a licensee of this Board holding either of such qualifications may bid both of such classifications of work administered by this Board in addition to the classification for which he holds license if the successful bidder obtains an executed written contract with a qualified licensee prior to the award of the contract by the awarding authority.

(c) A technician licensed by this Board shall not contract work based on the Technician license.

History

• Authority G.S. 87-18; 87-23; 87-26; 87-1.1
• Eff. February 1, 1976
• Readopted September 29, 1977
• Amended Eff. December 31, 2011; November 1, 1993; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. March 1, 2023.

21 NCAC 50 .0404 Active Employment

(a) In each business location, branch or facility of any kind from which work requiring a license pursuant to G.S. 87, Article 2 is:

(1) solicited or proposed;

(2) from which contracts for such work are negotiated or entered into;

(3) from which requests for such work are received, accepted, or dispatched; or

(4) from which such work is carried out;

there shall be on duty the lesser of 1500 hours annually, or all hours during which the activities described herein are carried out, at least one individual who holds contractor license in the classification required for the work being proposed or performed, whose license is listed in the name of the particular firm or business at that location, and who is engaged in the work of the firm at the business location or at firm job sites and who has the responsibility to make, modify, terminate and set the terms of contracts, and to exercise general supervision, as defined in Rule .0505 of this Chapter, of all work falling within his license qualification. Evidence of compliance shall be required as a condition of renewal or retention of license, and falsification shall constitute fraud in obtaining license. The standards set forth in Rule 21 NCAC 50 .0512 shall be applied.

(b) If a licensee uses his or her license to qualify a firm and that licensee holds employment elsewhere, no work that requires a license may be performed by the firm based on the qualification of that licensee during the hours the licensee is committed or active in employment elsewhere.

(c) A field or project office used solely to carry out an existing contract or contracts entered into by the main license office and from which none of the other activities in Rule .0404(a) are conducted shall not be deemed a separate place of business or branch requiring compliance with Rule .0404(a).

(d) A Class A Gas Dealer as defined in G.S. 119-56 or provider of natural gas holding certificate of public convenience and necessity under Chapter 62 of the General Statutes shall not contract or carry out fuel piping installations which require a license from this Board unless such Dealer or natural gas provider employs in the particular office or branch a fulltime bona-fide employee, who holds a Fuel Piping Technician license or Fuel Piping Contractor license and whose license is listed in the name of the Dealer or natural gas provider at the specific branch office consistent with Paragraph (a) of this Rule.

History

• Authority G.S. 87-18; 87-21(a)(5); 87-21(a)(6); 87-26
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. December 31, 2011; January 1, 2010; January 1, 2004; August 1, 2002; August 1, 2000; July 1, 1998; July 1, 1991; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0405 Multiple Licenses

(a) In order to maintain the identity of firms and allow effective supervision, each licensed contractor or technician shall qualify only the business location from which the majority of his or her work is carried out.

(b) A licensee shall only be listed on one contractor license at any given time, whether the license is issued in the name of the individual or in the name of a firm; provided, however, that the Fire Sprinkler Maintenance Technician qualification, the Private Educational Institution Technician, and the State and local government technician qualification may be listed separately in the name of the employer to which restricted.

(c) The holder of qualification as a contractor may, upon deletion of his or her name and qualifications from the license for a corporate, partnership, private education institution or State or local government agency, reinstate his or her personal license, either as an individual or in the name of some other corporation, partnership, or business that has a trade name, upon compliance with G.S. 87-26.

(d) A technician licensee, other than the holder of a Fire Sprinkler Maintenance Technician license, may, upon deletion of his or her name and qualification from a firm license, move his qualification to another licensed corporation, partnership, State or local governmental agency, private educational institution, or business that has a trade name, upon compliance with G.S. 87-26.

History

• Authority G.S. 87-18; 87-21(b)(2)c; 87-26
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. December 31, 2011; January 1, 2010; January 1, 2004; July 1, 1998; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. July 1, 2020; February 1, 2017.

21 NCAC 50 .0406 Responsibility of Licensed Person Employed by Firm

(a) A licensed contractor, whether individually or for a corporation, partnership or business with a trade name, is responsible for all proposals, bids, contracts, supervision to the extent of his qualifications, compliance with all applicable codes and standards, and assurance that permits and inspections are obtained.

(b) A contract, and the responsibility imposed on a licensed person to supervise work performed under a contract, may be assumed by another licensed contractor upon written notice to and approval by the property owner and local inspection department.

(c) The contractor license number and qualification of the firm shall be displayed on firm contracts, proposals, permit applications, and telephone yellow page advertising.

History

• Authority G.S. 87-18; 87-26
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. December 31, 2011; January 1, 2004; August 1, 2000; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0407 Corporations, Partnerships and Trade Names

(a) Licensees shall list their license with the Board in the name in which they conduct business.

(b) A contractor license may be issued or renewed in the name of a corporation, partnership, State or local governmental agency, private educational institution, or business with a trade name upon compliance with the provisions of G.S. 87-26, verified by the execution of a form for that purpose furnished by the Board which is available at nclicensing.org.

(c) Additional licensees may be added to licenses issued in the above manner upon verifications of compliance with the provisions of G.S. 87-26. If a licensee terminates his association with a corporation, partnership, State or local governmental agency, private educational institution, or business with a trade name, both the firm and the licensee shall notify the Board within 30 days by completing the form for that purpose which is available at nclicensing.org.

(d) A person who has a license which has been expired less than three years may be added to an active license issued in the name of a corporation, partnership, State or local governmental agency, private educational institution, or business with a trade name, upon written request, completion of forms provided by the Board, and payment of the fee set forth in Rule .1102 of this Chapter.

(e) The license number assigned to a corporation, partnership, State or local governmental agency, private educational institution, or business with a trade name shall be that of the first licensee listed on the license.

(f) A corporation, partnership, State or local governmental agency, private educational institution, or business with a trade name which is issued a license is subject to the provisions of G.S. 87, Article 2 and to the rules in this Chapter.

History

• Authority G.S. 87-18; 87-22; 87-26
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. December 31, 2011; November 1, 1994; November 1, 1993; July 1, 1991; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. July 1, 2020.

21 NCAC 50 .0408 Change of Trade Name

(a) The trade name under which a license is issued may be changed upon written request to and compliance with Paragraph (b) of this Rule. If the Board approves the name change, the last license issued to the licensee must be returned to the Board before the new license will be sent to the licensee.

(b) A contractor license shall be issued or renewed using any corporate name, partnership name, State or local governmental agency, private educational institution, or trade name which is not the same as a name already in use according to the records of the Board.

(c) The licensee shall notify the Board of any change in location, telephone number, physical address, or mailing address from that shown on the last license renewal invoice within 30 days after the change takes place.

History

• Authority G.S. 55B-5; 87-18; 87-26
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. January 1, 2010; December 1, 2003; November 1, 1994; February 1, 1991; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. July 1, 2020.

21 NCAC 50 .0409 Reinstatement of Expired License

An expired license may be reinstated within three years of the date of expiration upon written request and upon payment of the current license fee, the license fee for the unpaid prior years, the processing fee imposed by G.S. 87-22, and evidence of continuing education for each prior as required by Rule .1401 herein.

History

• Authority G.S. 87-18; 87-22
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. April 1, 1991; May 1, 1989; August 1, 1984; August 1, 1982
• Temporary Amendment Eff. August 31, 2001
• Amended Eff. December 1, 2003; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0410 Renewal of Licenses

The issuance of a license in the name of a corporation or other entity or the transfer of the license qualification of an individual licensee to a license in the name of a corporation or other entity through which the individual is actively engaged in contracting, pursuant to Rules .0405, .0407 and .0408 hereof, does not result in the expiration of the license of the individual for purposes of re-examination under G.S. 87-22 if such corporate or other license is kept in force.

History

• Authority G.S. 87-18; 87-22; 150B-3
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1989; May 30, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0411 Publications

(a) The following publications are available from the Board:

(1) laws applicable to plumbing, heating and fire sprinkler contracting in the State of North Carolina;

(2) rules of the Board; and

(3) suggested study references for the qualifying examinations conducted by the Board.

(b) A Register of licensees is made available electronically on-line at all times.

History

• Authority G.S. 87-18
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2002; July 1, 1991; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0412 Guidelines on Disciplinary Actions

(a) The provisions of G.S. 87, Article 2, the rules of the Board and the matters referenced therein are the guidelines by which the conduct of an entity subject to the authority of the Board are evaluated.

(b) The Board may suspend a license or impose probation provisions for violations of 21 NCAC 50 .0402, 21 NCAC 50 .0403, 21 NCAC 50 .0404 and 21 NCAC 50 .0405. Repeated violations may result in revocation.

(c) The Board may suspend a license or impose probationary terms when a licensee fails to comply with the supervision requirements of 21 NCAC 50 .0404, 21 NCAC 50 .0406 or 21 NCAC 50 .0505. Multiple violations within the same proceeding may result in revocation.

(d) The Board may suspend or revoke a license where it is found that the licensee has failed to comply with the minimum standards of competence as set forth in 21 NCAC 50 .0505(b). The Board may condition the subsequent reinstatement of license upon passing of the Board's examination or completion of specified educational courses. The Board may impose additional conditions of reinstatement.

(e) The Board may suspend or revoke the license of a contractor where it is found that the contractor abandoned a job after obtaining funds from the owner.

(f) The Board may revoke the license of any licensee where it is found that the licensee through a violation of G.S. 87, Article 2, has increased the risk of:

(1) exposure to carbon monoxide or other harmful vapors,

(2) fire, or damage resulting therefrom,

(3) the release of sewage or methane gas, or

(4) contamination of the potable water supply.

(g) This Rule is not intended to limit the authority of the Board or the variety of facts for which action is required in a particular situation.

(h) Any of the foregoing actions may result in a probation period or combination of suspension and probation. Condition of probation may include remediation, education, reexamination, record-keeping or other provisions likely to deter future violation or remedy perceived shortcomings.

History

• Authority G.S. 87-18; 87-23
• Eff. November 1, 1993
• Amended Eff. December 31, 2011; August 1, 2000; November 1, 1994; August 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0413 Proposal, Bid or Estimate

Proposal or bid within the meaning of G.S. 87-21 refers to a firm offer or commitment to perform work, which becomes a contract upon acceptance by a property owner or other for whom the work is to be performed, but does not include a non-binding estimate.

History

• Authority G.S. 87-18; 87-21
• Eff. February 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0414 Supervision in Absence of Inspection

In lieu of the supervision required by Rule .0505 of this Chapter, the holder of the qualifications upon which a license is based shall personally examine all work performed in reliance upon the license at completion and before the work is placed in service to assure that the installation, replacement, or repair is performed in compliance with the current edition of the North Carolina State Building Codes which is hereby incorporated by reference including all subsequent editions and amendments, and the manufacturers installation instructions, where the work will not be examined and approved by a person holding qualification from the Code Officials Qualification Board. The State Building Code may be accessed at http://www.NCDOI.com/OSFM/Engineering.

History

• Authority G.S. 87-18; 87-21(b)(2)(c); 87-25; 87-26
• Eff. February 1, 2017.

21 NCAC 50 .0415 pROPOSAL, BID, ESTIMATE, PERFORMANCE UNDER G.S. 87-1.1

For a Contractor licensed by the State Board of Examiners of Plumbing, Heating and Fire Sprinkler Contractors to qualify to bid either electrical or general contracting projects pursuant to G.S. 87-1.1, the building project must be bid and performed subject to the following conditions:

(1) the total amount of work to be performed by all licensed general contractors shall not exceed 25 percent of the total bid price;

(2) the total amount of work to be performed by all licensed contractors issued a license by the State Board of Examiners of Electrical Contractors under Article 4 of Chapter 87 of the North Carolina General Statutes shall not exceed 25 percent of the total bid price.

History

• Authority G.S. 87-1.1; 87-18; S.L. 2022-6; 2021-122
• Eff. March 1, 2023.

21 NCAC 50 .0501 Air Conditioning Further Defined

(a) Heating Group 2 systems are defined in G.S. 87-21(a)(3). Multiple units serving interconnected space and aggregating more than 15 tons are included Heating Group 2 systems in the foregoing whether or not separately ducted or controlled.

(b) The installation of heating and air conditioning systems or components located in single family dwellings and systems of 15 tons or less capacity in non-residential structures require Heating Group 3 license except where:

(1) heat is provided by hot water or steam in a Heating Group 1 system, or

(2) cooling is provided by a unitary appliance such as a window unit in which case a license is not required.

History

• Authority G.S. 87-18; 87-21(a)(3)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2000; May 1, 1989
• Temporary Amendment Eff. August 31, 2001
• Amended Eff. January 1, 2010; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0502 Joint Venture

(a) A joint venture bid or proposal may be submitted provided the names and license numbers of those licensees who constitute the joint venture are indicated on the proposal and, in the case of bids, on the outside of the bid envelope.

(b) The licensees who constitute the joint venture must sign the contract to the extent of their qualifications and exercise general supervision over the work until its completion.

History

• Authority G.S. 87-18; 87-21(a)(5); 87-21(c)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. December 1, 2003
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0503 Submission of Bid

The submission of a bid to perform plumbing, heating, or fire sprinkler work is an offer to engage in the business of plumbing, heating or fire sprinkler contracting within the meaning of G.S. 87-25.

History

• Authority G.S. 87-18; 87-25
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. April 1, 1991; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0504 Minor Repairs

History

• Status: repealed
• Authority G.S. 87-18; 87-21(c)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 50 .0505 General Supervision and Standard of Competence

(a) The general supervision required by G.S. 87-26 is that degree of supervision which is necessary and sufficient to ensure that the contract is performed in a workmanlike manner and with the requisite skill and that the installation is made properly, safely and in accordance with applicable codes and rules. General supervision requires that review of the work done pursuant to the license be performed by a licensee of the firm while the work is in progress. If a Plumbing, Heating or Fuel Piping Contractor licensed by this Board employs a properly licensed Plumbing, Heating or Fuel Piping Technician, whose Technician license is listed under the name of that licensed contractor, then the licensed technician may review and supervise work in lieu of the licensed contractor as a means to assure that the contract is performed in a workmanlike manner and with the requisite skill and that the installation is made properly, safely and in accordance with applicable codes and rules.

(b) The provisions of the North Carolina Building Code, including the provisions of codes and standards incorporated by reference, and adopted by the Building Code Council of North Carolina are the minimum standard of competence applicable to contractors licensed by the Board. Licensees shall design and install systems which meet or exceed the minimum standards of the North Carolina State Building Code, manufacturer's specifications and installation instructions and standards prevailing in the industry.

(c) Work performed under Rule .0513, Rule .0514, and Rule .0515 shall be performed by the licensed technician pursuant to the license held by that person.

(d) Every newly installed residential heating system, air conditioning system or both shall be designed and installed to maintain a maximum temperature differential of four degrees Fahrenheit room-to-room and floor-to-floor. On multilevel structures, contractors shall either provide a separate HVAC system for each floor or to install automatically controlled zoning equipment for each level with individual thermostats on each level to control the temperature for that level. The seasonal adjustment needed to maintain the four degrees Fahrenheit room-to-room and floor-to-floor maximum temperature differential shall not be accomplished through the use of manual dampers.

(e) All licensed HVAC contractors or licensed technicians shall perform a room-by-room load calculation for all newly installed residential structures prior to installing heating systems, air conditioning systems, or both, which calculations shall be specific to the location and orientation where the HVAC system or equipment is to be installed. A written record of the system and equipment sizing information shall be provided to the homeowner, owner or general contractor upon request and a copy shall be maintained in the job file of the licensee for a minimum of six years. Load calculations shall be performed by a licensee who holds the appropriate license from this Board, or a licensee may utilize a load calculation carried out for this particular structure and location by a North Carolina Licensed Professional Engineer.

(f) When either a furnace, condenser, package unit or air handler in an existing residential heating or air conditioning system is replaced, the licensed HVAC contractor or licensed technician is required to perform a minimum of a whole house block load calculation. When a furnace, condenser, package unit or air handler in a residential heating or air conditioning system is replaced, the licensee shall ensure that all systems and equipment are properly sized. The licensee may utilize industry standards, reference materials, evaluation of the structure, and load calculations. A written record of the system and equipment sizing information shall be provided to the homeowner, owner or general contractor upon request and a copy shall be maintained in the job file of the licensee for a minimum of six years. If a load calculation was not performed or if a load calculation was performed and it is later determined by the Board that the unit installed was undersized or oversized, the installation will be considered as evidence of incompetence. Load calculations shall be performed by a licensee who holds the appropriate license from this Board, or a licensee may utilize load calculations carried out for this particular structure and location by a North Carolina Licensed Professional Engineer.

(g) A licensed plumbing contractor involved in installation or replacement of a well pump or pumping equipment which includes installation or reinstallation of a well seal shall be present on site until the well is disinfected and sealed.

(h) At the time of completion of initial installation and upon any subsequent alteration, licensees who install multipurpose residential fire sprinkler systems shall assure that the two most remote fire sprinkler heads, as identified by the design professional who designed the system, undergo a water flow test at the water supply delivery volume and delivery pressure and assure that the system flows the required amount of water through each of the tested fire sprinkler heads. Failure to carry out the flow test or failure of a system to provide the required volume or water when placed in operation due to fire or otherwise shall be considered evidence of misconduct and incompetence on the part of the installing licensee.

History

• Authority G.S. 87-18; 87-23; 87-26
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. July 3, 2012; January 1, 2010; March 1, 2005; January 1, 2004; July 1, 2003; July 1, 1991; October 1, 1989; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0506 Minor Repairs and Alterations

(a) The connection of a factory installed and inspected mobile home drainage system to an existing approved premises sewer system, which premises sewer system extends from the septic tank or municipal sewer system, constitutes a minor repair or replacement. The connection of a factory installed mobile home water system to an existing potable water supply on the premises constitutes a minor repair or replacement.

(b) The initial installation or the subsequent replacement of any water heater in any structure requires a license in plumbing except where installed by a property owner personally in property not intended or used for sale or rental.

(c) The installation of a water purification system which interrupts the potable water supply does not constitute a minor repair or replacement within the meaning of G.S. 87-21(c).

(d) Any connection, repair, or alteration which requires interruption of the potable water supply and if poorly performed creates risk of contamination of the potable water supply is not a minor repair, replacement or alteration.

(e) Any connection, repair or alteration which if poorly performed creates risk of fire or exposure to carbon monoxide, open sewage or other gases is not a minor repair, replacement or alteration.

(f) The failure to enumerate above any specific type of repair, replacement or alteration shall not be construed in itself to render said repair, replacement or alteration as minor within the meaning of G.S. 87-21(c).

(g) A license in plumbing contracting or a license issued pursuant to Article 7A, Chapter 87 of the General Statutes is required of a person who installs pumps or pumping equipment, installs, breaks or reinstalls a well seal or disinfects a well.

History

• Authority G.S. 87-18; 87-21(a)(1); 87-21(a)(5); 87-21(c); 87-98
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. November 1, 1993; May 1, 1989; April 15, 1978; February 1, 1978
• Temporary Amendment Eff. September 15, 1997
• Temporary Amendment Expired June 28, 1998
• Amended Eff. January 1, 2010; April 1, 2003
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0507 Heating: Group 1 License Required

A license in heating, group No. 1 is required for the installation or replacement of a boiler in a heating group No. 1 system.

History

• Authority G.S. 87-18; 87-21(a)(2); 87-21(a)(5); 87-21(c)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1989; August 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0508 HEATING: group 3 LICENSE REQUIRED

(a) A license in heating, group No. 3 is required for the installation or replacement of a furnace, air handler, heat pump, package unit, ductwork or condenser in a heating, group No. 3 system.

(b) A license in heating, group No. 3 is required to install or replace a self-contained fireplace unit if the unit utilizes ducts or a blower to distribute air to areas not immediately adjacent to the fireplace itself.

(c) A license in heating, group No. 3 is required when air conditioning of 15 tons or less is added to an already installed heating, group No. 3 system.

(d) A heating, group No. 2 license is required for the installation or replacement of equipment or ductwork in a Heating Group No. 2 system, unless exempted by G.S. 87-21(a)(3).

History

• Authority G.S. 87-18; 87-21(a)(3); 87-21(a)(5); 87-21(c)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2002; May 1, 1989; August 1, 1982
• Temporary Amendment Eff. August 31, 2001
• Amended Eff. January 1, 2010; March 1, 2005; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0509 Property Owner

History

• Status: repealed
• Authority G.S. 87-18; 87-21(a),(b),(c); 87-25
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1984.

21 NCAC 50 .0510 License Requirements Generally

An individual may not perform any work which is within the scope of G.S. 87-21(a)(1), 87-21(a)(2), 87-21(a)(3), 87-21(a)(4), 87-21(a)(11), or 87-21(b)(2), and not otherwise excluded by G.S. 87-21(c), 87-21(c1) or 87-25, for any other individual, firm, body corporate or body politic no matter the form or arrangement of compensation unless such person has been issued the appropriate license by the Board.

History

• Authority G.S. 87-18; 87-21(a)(5); 87-21(c)
• Eff. November 1, 1993
• Amended Eff. July 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0511 Fuel Piping

The contracting or installation of fuel piping extending from an approved fuel source at or near the premises, to a point within the premises, requires either Plumbing, Heating Group 1, Heating Group 2, Heating Group 3, or Fuel Piping license regardless the nature of the system, equipment or appliance served. The term fuel refers to flammable gas, flammable liquefied gas, or flammable liquid as those terms are defined in Volume V of the North Carolina Building Code, and to combustible liquid so defined when used in a non-residential application. This provision does not alter the restriction of Class II license to single family detached residential dwellings.

History

• Authority G.S. 87-18; 87-21
• Eff. July 1, 1998
• Temporary Amendment Eff. August 31, 2001
• Amended Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0512 Employees Exempted from Licensure

(a) An unlicensed person who is directly and regularly employed in the ordinary course of business by a contractor licensed pursuant to G.S. 87, Article 2 is not required to have a license and shall not be subject to an action for injunctive relief brought by the Board. Factors establishing whether the individual is directly and regularly employed in the ordinary course of business of such contractor include the following:

(1) whether the individual is on the licensed contractor's payroll;

(2) whether taxes are withheld from the payment to the individual and the contractor performs such other acts as are lawfully required of an employer;

(3) whether the licensed contractor exercises control and supervision over the method, manner and details of the individual's work; and

(4) whether the licensed contractor, and not the unlicensed person, is and remains obligated to the property owner or general contractor for the work.

(b) Persons acting as independent contractors, consultants or subcontractors, or paid as such, are not bona fide employees.

(c) Licensed contractors may utilize employees shared with a labor supplier under a written contract which may allocate payroll or tax withholding obligations to the labor supplier while reserving control, supervision and obligation to the owner or general contractor to the licensee of the Board, and provided the licensee upon whose qualifications the license of the employing contractor is based remains a person meeting all four of the indicia of employment set out in Paragraph (a) of this Rule and is not contracted by or acting as a labor supplier.

History

• Authority G.S. 87-18; 87-25
• Eff. August 1, 2000
• Amended Eff. December 31, 2011; May 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0513 Fire Sprinkler Inspection Technician License

(a) License in the Fire Sprinkler Inspection Technician classification is required of the technician who carries out periodic inspection of fire sprinkler systems consistent with NFPA-25.

(b) Periodic observation and testing of systems other than NFPA-25 system certification may be carried out by Fire Sprinkler Maintenance Technicians licensed under Rule .0515 of this Chapter. Insurers who carry out inspections for the limited purpose of underwriting or rating for insurance purposes, in situations where the physical tasks are carried out by the on-site Fire Sprinkler Maintenance Technician licensee of the insured, are not required to be licensed pursuant to this Rule. All NFPA-25 reports and system tags must display the name and signature of the licensee who performed the actual inspection as well as the licensee number of the inspection contractor; except that where the Fire Sprinkler Inspection Technician license is issued in the name of a manufacturing, government, university or hospital facility as set out in this Rule, the NFPA-25 report and system tags must display the name, signature and license number of the Inspection Technician.

(c) Licenses shall be issued based on experience and examination or on experience and certification, as described in Rules .0301 and .0306 of this Chapter and expire annually.

(d) The duties of fire sprinkler inspection technicians may be carried out as employees of fire sprinkler inspection contractors or as full-time employees at a manufacturing, government, university or hospital facility. Fire Sprinkler Inspection Technician licenses shall be issued and listed either as sublicensees of fire sprinkler inspection contractors or as a fire sprinkler inspection technician license in the name of the manufacturing, government, university or hospital facility where the fire sprinkler inspection technician is employed.

History

• Authority G.S. 87-21
• Eff. January 1, 2004
• Amended Eff. January 1, 2010; March 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0514 Fire Sprinkler Inspection Contractor License

(a) License in the Fire Sprinkler Inspection Contractor classification is required of persons who engage in the business of contracting to perform or performing independent testing and inspections of fire sprinkler systems consistent with NFPA-25. Insurers who carry out inspections for the limited purpose of underwriting or rating for insurance purposes, in situations where the physical tasks are carried out by the on-site Fire Sprinkler Maintenance technician licensee of the insured, are not required to be licensed pursuant to this Rule.

(b) Where the NFPA-25 inspection is carried out by a Fire Sprinkler Inspection Contractor, the NFPA-25 report and system tags must display the name, signature and license number of the Fire Sprinkler Inspection Contractor.

(c) Licenses shall be issued based on experience and examination, as described in Rules .0301 and .0306 of this Chapter and expire annually.

History

• Authority G.S. 87-21
• Eff. January 1, 2004
• Amended Eff. January 1, 2010; March 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0515 FIRE SPRINKLER MAINTENANCE Technician LICENSE

(a) License in the Fire Sprinkler Maintenance Technician classification is required of the technician who carries out periodic maintenance observation or testing of water-based fire protection systems. Licenses shall be issued based on experience and training, as described in Rules .0301 and .0306 of this Chapter and expire annually. This license is limited to work on the systems at the locations of the employer of the licensee for which experience was demonstrated. Upon termination of employment at the location for which certified, the Fire Sprinkler Maintenance Technician license shall lapse, and a new license shall be obtained for the systems at the new place of employment by compliance with the requirements of Rule .0306 of this Chapter. Insurers who carry out inspections for the limited purpose of underwriting or rating for insurance purposes, in situations where the physical tasks are carried out by the on-site Fire Sprinkler Maintenance Technician licensee of the insured, are not required to be licensed pursuant to this Rule.

(b) Persons holding a Fire Sprinkler Maintenance Technician license may only:

(1) Operate and lubricate hydrants and control valves;

(2) Adjust valve and pump packing glands;

(3) Bleed moisture and condensation from air compressors, air lines and dry pipe system auxiliary drains;

(4) Clean strainers;

(5) Check for painted, damaged or corroded sprinklers, corroded or leaking piping and verify control valves are open;

(6) Replace painted, corroded or damaged sprinkler head, using identical serial numbers;

(7) Replace missing or loose hangers;

(8) Replace gauges;

(9) Clean water motor gong;

(10) Perform air compressor maintenance;

(11) Reset dry pipe valves;

(12) Exercise fire pumps, not including conduct of a flow measurement test;

(13) Perform periodic maintenance observation or testing, not including the annual NFPA-25 inspections; or

(14) Perform repairs other than the foregoing on an emergency basis where necessary to restore a system to operation, provided the holder of the Fire Sprinkler Maintenance Technician license documents his efforts and inability to obtain the services of the holder of a license as a Fire Sprinkler Installation Contractor prior to performing the repairs, but obtains such services within 72 hours thereafter.

History

• Authority G.S. 87-21
• Eff. January 1, 2004
• Amended Eff. January 1, 2010; May 1, 2006; March 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0516 Residential Fire Sprinkler Installation License

License in the Residential Fire Sprinkler Installation Contractor classification is required of persons who engage in the business of contracting to perform or performing the installation of multipurpose one or two family residential water-based plumbing and fire sprinkler piping systems consistent with NFPA-13D. All multipurpose one or two family residential plumbing and fire sprinkler piping systems shall be hydraulically calculated and designed by a licensed North Carolina Fire Sprinkler Installation Contractor. The licensed Residential Fire Sprinkler installation contractor may also utilize a system calculated and designed by a North Carolina licensed engineer for each specific installation. Residential Fire Sprinkler Installation Contractors shall perform each installation consistent with the calculation and design. Any single purpose residential water-based fire sprinkler system shall be installed by a licensed Fire Sprinkler Installation Contractor.

History

• Authority G.S. 87-21
• Eff. July 1, 2010
• Amended Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0517 Plumbing, Heating and Fuel Piping Technician License

(a) The holder of license as a Heating, Group 1 Technician shall be a full-time employee of a Heating, Group No. 1 Contractor.

(b) The holder of license as a Heating, Group 2 Technician shall be a full-time employee of a Heating, Group No. 2 Contractor.

(c) The holder of license as a Heating, Group 3 Technician shall be a full-time employee of a Heating, Group No. 3 Contractor.

(d) The holder of license as a Plumbing Technician shall be a full-time employee of a Plumbing Contractor.

(e) The holder of license as a Fuel Piping Technician shall be a full-time employee of a Fuel Piping Contractor licensee or a Class A Gas Dealer pursuant to 21 NCAC 50 .0404(c).

History

• Authority G.S. 87-18;87-21(b)
• Eff. December 31, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0518 Restricted Limited Plumbing Contractor License

Licensure in the Restricted Limited Plumbing Contractor classification is required of persons who do not possess a license as a plumbing contractor, but contract install, repair or replace:

(1) exterior building sewer piping, as defined in the North Carolina Plumbing Code, which is hereby incorporated by reference including all subsequent editions and amendments. The document can be accessed at http://www.NCDOI.com/OSFM/engineering.

(2) exterior water service piping two inch diameter or less, as defined in the North Carolina Plumbing Code;

(3) exterior backflow preventers connected to water service piping two inches in diameter or less; or

(4) water filtration systems or components of water filtration systems that filter, treat, condition or remove impurities from potable water by means of a fine physical barrier or membrane, a chemical process or a biological process, and which are installed on a water distribution line or water service piping, as defined in North Carolina State Plumbing Code.

History

• Authority G.S. 87-18; 87-21
• Eff. April 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .0519 RESIDENTIAL FIRE SPRINKLER DESIGN CONTRACTOR license

(a) A licensed Residential Fire Sprinkler Design Contractor is authorized to design residential fire sprinkler Systems consistent with NFPA 13D Residential Multipurpose Fire Sprinkler Systems as set forth in the North Carolina Plumbing Code.

(b) An individual who holds an active license as a Plumbing Contractor and as a Residential Fire Sprinkler Installation Contractor may obtain license as a Residential Fire Sprinkler Design Contractor upon meeting the requirements of Rule .0316 of this Chapter.

(c) A licensed Fire Sprinkler Installation Contractor may design residential fire sprinkler systems consistent with NFPA 13D Residential Multipurpose Fire Sprinkler Systems without meeting the requirements of Paragraph (a) and (b) of this Rule.

(d) Residential Fire Sprinkler Design Contractors shall place their Residential Fire Sprinkler Design Contractor license number and their dated signature on all design drawings and documents.

(e) Residential Fire Sprinkler Design Contractors shall submit all NFPA 13D multipurpose fire sprinkler design drawings and documents to the Residential Fire Sprinkler Installation Contractors prior to the commencement of the multipurpose fire sprinkler installation and upon request from the local inspection department.

History

• Authority G.S. 87-18; 87-21(b)
• Eff. July 1, 2020
• Amended Eff. March 1, 2023.

21 NCAC 50 .0520 Onsite Supervision and Standard of Competence

The general supervision required by G.S. 87-26 requires that a licensee of the firm who holds the proper licensing qualification issued by the Board pursuant to G.S. 87-21(b) shall personally perform on-site and in-person supervision and review on all work, prior to work being covered or placed into service, to assure that all installations meet or exceed the minimum standard of the North Carolina State Building Code.

History

• Authority G.S. 87-18; 87-21; 87-26
• Eff. June 1, 2023.

21 NCAC 50 .0521 limited plumbing water heater replacement contractor license

Licensure in the Limited Plumbing Water Heater Replacement classification is required of persons who do not possess a license as a plumbing contractor, but contract the replacement of a potable water heater under the following limitations:

(1) The water heater is being installed in a single family detached residential dwelling.

(2) The contractor shall install the water heater in the same area as the water heater being replaced and can install no more than a total of 10 lineal feet of water distribution piping to properly connect the water heater to the existing water distribution system.

(3) The Limited Plumbing Water Heater Replacement Contractor licensee shall not install recirculating loop piping but may reconnect to existing loop piping as long as the total lineal footage of water distribution pipe for the water heater replacement does not exceed 10 lineal feet.

(4) All work meets the minimum standard of the North Carolina Building Codes and permitting requirements as incorporated by reference in 21 NCAC 50 .0414.

History

• Authority G.S. 87-18; 87-21
• Eff. June 1, 2026.

21 NCAC 50 .0601 Petition for Rulemaking Hearings

History

• Status: repealed
• Authority G.S. 87-18; 150A-2; 150A-12; 150A-12(2); 150A-12(a),(b),(d),(e)
• 150A-16; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0602 Contents of Petition

History

• Status: repealed
• Authority G.S. 87-18; 150A-2; 150A-12; 150A-12(2); 150A-12(a),(b),(d),(e)
• 150A-16; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0603 Disposition of Petitions

History

• Status: repealed
• Authority G.S. 87-18; 150A-2; 150A-12; 150A-12(2); 150A-12(a),(b),(d),(e)
• 150A-16; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0604 Notice of Rulemaking Hearings

History

• Status: repealed
• Authority G.S. 87-18; 150A-2; 150A-12; 150A-12(2); 150A-12(a),(b),(d),(e)
• 150A-16; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0605 Notice Mailing List

History

• Status: repealed
• Authority G.S. 87-18; 150A-2; 150A-12; 150A-12(2); 150A-12(a),(b),(d),(e)
• 150A-16; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0606 Additional Information

History

• Status: repealed
• Authority G.S. 87-18; 150A-2; 150A-12; 150A-12(2); 150A-12(a),(b),(d),(e)
• 150A-16; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0607 Request to Participate

History

• Status: repealed
• Authority G.S. 87-18; 150A-2; 150A-12; 150A-12(2); 150A-12(a),(b),(d),(e)
• 150A-16; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0608 Contents of Request: General Time Limitations

History

• Status: repealed
• Authority G.S. 87-18; 150A-2; 150A-12; 150A-12(2); 150A-12(a),(b),(d),(e)
• 150A-16; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0609 Receipt of Request: Specific Time Limits

History

• Status: repealed
• Authority G.S. 87-18; 150A-2; 150A-12; 150A-12(2); 150A-12(a),(b),(d),(e)
• 150A-16; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0610 Written Submissions

History

• Status: repealed
• Authority G.S. 87-18; 150A-2; 150A-12; 150A-12(2); 150A-12(a),(b),(d),(e)
• 150A-16; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0611 Presiding Officer: Powers and Duties

History

• Status: repealed
• Authority G.S. 87-18; 150A-2; 150A-12; 150A-12(2); 150A-12(a),(b),(d),(e)
• 150A-16; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0612 Statement of Reasons for Decision

History

• Status: repealed
• Authority G.S. 87-18; 150A-2; 150A-12; 150A-12(2); 150A-12(a),(b),(d),(e)
• 150A-16; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0613 Record of Proceedings

History

• Status: repealed
• Authority G.S. 87-18; 150A-2; 150A-12; 150A-12(2); 150A-12(a),(b),(d),(e)
• 150A-16; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0614 Emergency Rules

History

• Status: repealed
• Authority G.S. 87-18; 150A-2; 150A-12; 150A-12(2); 150A-12(a),(b),(d),(e)
• 150A-16; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0701 Subjects of Declaratory Rulings

History

• Status: repealed
• Authority G.S. 87-18; 150A-12(e); 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0702 Submission of Request for Ruling

History

• Status: repealed
• Authority G.S. 87-18; 150A-12(e); 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0703 Disposition of Requests

History

• Status: repealed
• Authority G.S. 87-18; 150A-12(e); 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0704 Record of Decision

History

• Status: repealed
• Authority G.S. 87-18; 150A-12(e); 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0705 Definition

History

• Status: repealed
• Authority G.S. 87-18; 150A-12(e); 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0801 Right to Hearing

History

• Status: repealed
• Authority G.S.87-18; 150A-2; 150A-2(2); 150A-23; 150A-23(2); 150A-23(a)
• 150A-25(a); 150A-32; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0802 Request for Hearing

History

• Status: repealed
• Authority G.S.87-18; 150A-2; 150A-2(2); 150A-23; 150A-23(2); 150A-23(a)
• 150A-25(a); 150A-32; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0803 Granting or Denying Hearing Requests

History

• Status: repealed
• Authority G.S.87-18; 150A-2; 150A-2(2); 150A-23; 150A-23(2); 150A-23(a)
• 150A-25(a); 150A-32; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0804 Notice of Hearing

History

• Status: repealed
• Authority G.S.87-18; 150A-2; 150A-2(2); 150A-23; 150A-23(2); 150A-23(a)
• 150A-25(a); 150A-32; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0805 Who Shall Hear Contested Cases

History

• Status: repealed
• Authority G.S.87-18; 150A-2; 150A-2(2); 150A-23; 150A-23(2); 150A-23(a)
• 150A-25(a); 150A-32; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0806 Petition for Intervention

History

• Status: repealed
• Authority G.S.87-18; 150A-2; 150A-2(2); 150A-23; 150A-23(2); 150A-23(a)
• 150A-25(a); 150A-32; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0807 Types of Intervention

History

• Status: repealed
• Authority G.S.87-18; 150A-2; 150A-2(2); 150A-23; 150A-23(2); 150A-23(a)
• 150A-25(a); 150A-32; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0808 Disqualification of Hearing Officers

History

• Status: repealed
• Authority G.S.87-18; 150A-2; 150A-2(2); 150A-23; 150A-23(2); 150A-23(a)
• 150A-25(a); 150A-32; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0809 Failure to Appear

History

• Status: repealed
• Authority G.S.87-18; 150A-2; 150A-2(2); 150A-23; 150A-23(2); 150A-23(a)
• 150A-25(a); 150A-32; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0810 Simplification of Issues

History

• Status: repealed
• Authority G.S.87-18; 150A-2; 150A-2(2); 150A-23; 150A-23(2); 150A-23(a)
• 150A-25(a); 150A-32; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0811 Subpoenas

History

• Status: repealed
• Authority G.S.87-18; 150A-2; 150A-2(2); 150A-23; 150A-23(2); 150A-23(a)
• 150A-25(a); 150A-32; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0812 Final Decisions in Administrative Hearings

History

• Status: repealed
• Authority G.S.87-18; 150A-2; 150A-2(2); 150A-23; 150A-23(2); 150A-23(a)
• 150A-25(a); 150A-32; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0813 Proposals for Decisions

History

• Status: repealed
• Authority G.S.87-18; 150A-2; 150A-2(2); 150A-23; 150A-23(2); 150A-23(a)
• 150A-25(a); 150A-32; 150A-33(5); 150A-34(a); 150A-43
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0901 Procedure in Contested Cases

History

• Status: repealed
• Authority G.S. 87-18; 87-23; 150A-3
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .0902 Board Decision

History

• Status: repealed
• Authority G.S. 87-18; 87-23; 150A-3
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. August 1, 1982.

21 NCAC 50 .1001 Right to Hearing

History

• Status: repealed
• Authority G.S. 87-18; 150B-38
• Eff. May 1, 1989
• Repealed Eff. August 1, 2000.

21 NCAC 50 .1002 Request for Hearing

(a) Any time an aggrieved party believes that individual's rights, duties, or privileges have been affected by the Board's administrative action, but has not received notice of a right to an administrative hearing, that individual may file a request for a hearing.

(b) Before an individual may file a request, that individual shall exhaust all reasonable efforts to resolve the issue informally with the Board.

(c) Subsequent to such informal action, if still dissatisfied, the individual shall submit a request to the Board's office, with the request bearing the notation: REQUEST FOR ADMINISTRATIVE HEARING. The request shall contain the following information:

(1) name and address of the petitioner,

(2) a statement of the action taken by the Board which is challenged,

(3) a statement of the way in which the petitioner has been aggrieved, and

(4) a statement of request for a hearing.

(d) The Board shall acknowledge the request and take action consistent with 21 NCAC 50 .1003.

History

• Authority G.S. 87-18; 150B-22; 150B-38
• Eff. May 1, 1989
• Amended Eff. December 31, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1003 Granting or Denying Hearing Request

(a) The Board will grant a request for a hearing if it determines that the party requesting the hearing is a "person aggrieved" within the meaning of G.S. 150B-2(6).

(b) The denial of request for a hearing will be issued immediately upon decision, and in no case later than 60 days after the submission of the request. Such denial shall contain a statement of the reasons leading the Board to deny the request.

(c) Approval of a request for a hearing will be signified by the issuing of a notice as required by G.S. 150B-38(b) and explained in Rule .1004 of this Section.

History

• Authority G.S. 87-18; 150B-11; 150B-38
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1004 Notice of Hearing

(a) Hearings of the Board are commenced and conducted consistent with G.S. 150B, Article 3A.

(b) If the Board determines that the public health, safety or welfare requires such action, it shall issue an order summarily suspending a license. Upon service of the order, the licensee to whom the order is directed shall immediately cease the practice of plumbing, heating or fire sprinkler contracting in North Carolina. The Board shall give notice of hearing pursuant to G.S. 150B, Article 3A following service of the order. The suspension shall remain in effect pending issuance by the Board of a final agency decision pursuant to G.S. 150B-42.

History

• Authority G.S. 87-18; 150B-3(c); 150B-38
• Eff. May 1, 1989
• Amended Eff. December 31, 2011; August 1, 2000; April 1, 1991
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1005 Who Shall Hear Contested Cases

All administrative hearings will be conducted by the Board or a panel consisting of a majority of the members of the Board.

History

• Authority G.S. 87-18; 150B-11; 150B-38; 150B-40
• Eff. May 1, 1989
• Amended Eff. December 31, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1006 Informal Procedures

(a) The Board and party or parties may agree at a pre-hearing conference to simplify the hearing by: decreasing the number of issues to be contested at the hearing; accepting the validity of proposed evidence; accepting the findings in another case with relevance to the case at hand; or agreeing to such other matters as may expedite the hearing.

(b) The Board may establish a resolution committee consisting of the Executive Director and one or two persons appointed by the Executive Director to conduct an informal conference when it appears there may not be a need for a formal hearing. At least two Resolution Committee members must be present and participate in Committee proceedings. Any party who does not agree with a proposal for resolution resulting from an informal conference may notify the Board within 30 days. The matter will subsequently be heard de novo by a majority of the Board or as otherwise provided by 21 NCAC 50 .1005, or this Rule. If there is no objection to the proposed resolution within 30 days, the proposed resolution will be received and considered by a majority of the Board as a recommendation by the staff, any Board member involved and the licensee for adoption.

(c) As a part of the contested case hearing process, the Board may elect to conduct a summary proceeding in a contested case. The procedure for a summary proceeding is substantially as follows:

(1) After issuance of a notice of hearing in accordance with 21 NCAC 50 .1004, the matter is considered by a single board member without a record. Each party may tender affidavits, documents and a closing statement. Live testimony shall not be received.

(2) Each party may present a suggestion as to the terms of a Recommended Order. The board member will consider the materials and suggestions and issue a Recommended Decision in summary proceeding. If there is no objection within 30 days, the Recommended Order shall be received and considered by a majority of the Board as a recommendation by the staff, any Board member involved and the respondent for adoption.

(3) Any party who does not agree with the recommended decision may notify the Board within 30 days.

(d) Any matter not resolved pursuant to the procedure in Paragraph (b) or (c) of this Rule shall be heard de novo by a majority of the Board or as otherwise provided by 21 NCAC 50 .1005. The de novo hearing shall be conducted as other contested case hearings are conducted pursuant to 21 NCAC 50 .1000. The Board member who conducted the summary proceedings shall be disqualified from the de novo hearing.

History

• Authority G.S. 87-18; 150B-41
• Eff. May 1, 1989
• Amended Eff. January 1, 2010; February 1, 2004; August 1, 2000; November 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1007 Petition for Intervention

History

• Status: repealed
• Authority G.S. 87-18; 87-21(g); 150B-11; 150B-38; 150B-39; 150B-40
• Eff. May 1, 1989
• Repealed Eff. August 1, 2000.

21 NCAC 50 .1008 types of intervention

History

• Status: repealed
• Authority G.S. 87-18; 87-21(g); 150B-11; 150B-38; 150B-39; 150B-40
• Eff. May 1, 1989
• Repealed Eff. August 1, 2000.

21 NCAC 50 .1009 disqualification of board members

History

• Status: repealed
• Authority G.S. 87-18; 87-21(g); 150B-11; 150B-38; 150B-39; 150B-40
• Eff. May 1, 1989
• Repealed Eff. August 1, 2000.

21 NCAC 50 .1010 subpoenas

History

• Status: repealed
• Authority G.S. 87-18; 87-21(g); 150B-11; 150B-38; 150B-39; 150B-40
• Eff. May 1, 1989
• Repealed Eff. August 1, 2000.

21 NCAC 50 .1011 witnesses

History

• Status: repealed
• Authority G.S. 87-18; 87-21(g); 150B-11; 150B-38; 150B-39; 150B-40
• Eff. May 1, 1989
• Repealed Eff. August 1, 2000.

21 NCAC 50 .1012 Final Decision

In all cases heard by the Board, the Board will issue its decision within 60 days after its next regularly scheduled meeting following the close of the hearing. This decision will be the prerequisite "final agency decision" for the right to judicial review.

History

• Authority G.S. 87-18; 150B-11; 150B-38; 150B-42
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1013 PROPOSALS for decision

History

• Status: repealed
• Authority G.S. 87-18; 150B-11; 150B-38; 150B-40
• Eff. May 1, 1989
• Repealed Eff. August 1, 2000.

21 NCAC 50 .1014 Administrative Hearing Procedures

(a) The Rules establishing procedures for contested cases adopted by the Office of Administrative Hearings as contained in Title 26, Chapter 3 of the North Carolina Administrative Code are hereby incorporated by reference, including subsequent amendments and editions, for contested cases for which the Board has authority to adopt rules under G.S. 150B-38(h). Provided, however, that if the case is conducted under G.S. 150B-40(b), the presiding officer shall have the powers and duties given to the Chief Administrative Law Judge or the presiding administrative law judge in Title 26, Chapter 3 of the North Carolina Administrative Code and that 26 NCAC 03 .0101(2), .0102(a)(2), .0103, .0104, .0107, .0108(b) .0109, .0124, .0125, .0126, .0128 .0130, Section .0200 and Section .0300 shall not apply. The provisions of 26 NCAC 03.0108(a) prehearing conference are modified to require a prehearing conference directly between counsel or the parties without participation by the Board at least 15 days in advance of any hearing by the Board, and to exchange all documents and witness information at that time. The provisions of 26 NCAC 03 .0113(b) are modified to authorize service of subpoenas by mail, facsimile, or e-mail likely to result in delivery. Copies of Title 26, Chapter 3 of the North Carolina Administrative Code are on file in the Board's office and may be obtained at the cost of ten cents per page.

History

• Authority G.S. 87-18; 150B-38; 150B-40
• Eff. August 1, 2000
• Amended Eff December 1, 2003
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1101 Examination Fees

(a) An application to reissue or transfer a license to a different corporation, partnership, or individual name requires a fee of twenty-five dollars ($25.00).

(b) An application to issue or transfer a license to the license of an existing licensee requires a fee of twenty-five dollars ($25.00).

(c) An application for a license by examination requires a fee of one hundred-fifty dollars ($150.00), consisting of an application fee of seventy-five dollars ($75.00) and an examination fee of seventy-five dollars ($75.00), which is nonrefundable. Upon passage of the examination, the license fee set forth in 21 NCAC 50 .1102 must be paid to obtain the license within 45 days of notification of the result of the examination, except that anyone passing the examination on or after October 1 of any year may elect to obtain a license for the following year rather than the year in which the exam was passed.

History

• Authority G.S. 87-18; 87-22; 87-22.1; 87-26
• Eff. May 1, 1989
• Temporary Amendment Eff. November 17, 1989 for a period of 77 days to expire on February 1, 1990
• Amended Eff. August 1, 2000; November 1, 1993; March 1, 1990
• Temporary Amendment Eff. August 31, 2001
• Amended Eff. March 1, 2005; December 1, 2003; April 1, 2003; December 4, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. June 1, 2026; March 1, 2023.

21 NCAC 50 .1102 License Fees

(a) Except as set out in Paragraphs (b) and (d) of this Rule, the annual license fee for plumbing, heating, and fuel piping contractor licenses issued or renewed by the Board is one hundred fifty dollars ($150.00).

(b) The annual license fee for a licensed individual who holds qualifications from the Code Officials Qualification Board and is employed full-time as a local government plumbing, heating or mechanical inspector is twenty-five dollars ($25.00).

(c) The initial application fee for a license without examination conducted by the Board is thirty dollars ($30.00).

(d) The annual license fee for a contractor or fire sprinkler inspection technician whose qualifications are listed as the second or subsequent individual on the license of a corporation, partnership, or business with a trade name under Paragraphs (a) or (c) of this Rule is seventy-five dollars ($75.00).

(e) The annual license fee for a Fire Sprinkler Installation Contractor and a Fire Sprinkler Inspection Contractor license by this Board is one hundred fifty dollars ($150.00).

(f) The annual license fee for a Limited Fire Sprinkler Maintenance Technician is one hundred fifty dollars ($150.00).

(g) The annual license fee for a Residential Fire Sprinkler Installation Contractor is one hundred fifty dollars ($150.00).

(h) The annual license fee for a Fire Sprinkler Inspection Technician is one hundred fifty dollars ($150.00).

(i) The annual license fee for all Fuel Piping Technician licenses listed with a Class A Gas Dealer is one hundred fifty dollars ($150.00).

(j) The annual license fee for Plumbing, Heating or Fuel Piping Technician licensees listed under a licensed Plumbing, Heating or Fuel Piping Contractor is seventy-five dollars ($75.00).

(k) The annual license fee for a Restricted Limited Plumbing Contractor is one hundred fifty dollars ($150.00).

History

• Authority G.S. 87-18; 87-21; 87-22
• Eff. May 1, 1989
• Temporary Amendment Eff. November 17, 1989 for a period of 77 days to expire on February 1, 1990
• Amended Eff. November 1, 1994; July 1, 1991; March 1, 1990
• Temporary Amendment Eff. August 31, 2001; September 15, 1997
• Amended Eff. April 1, 2014; July 3, 2012; July 1, 2010; March 1, 2005; December 1, 2003; December 4, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. July 1, 2020.

21 NCAC 50 .1103 Expanding Scope of License

History

• Status: repealed
• Authority G.S. 87-18; 87-22
• Eff. May 1, 1989
• Temporary Amendment Eff. November 17, 1989 for a period of 77 days to expire on February 1, 1990
• Amended Eff. March 1, 1990
• Repealed Eff. August 1, 2002.

21 NCAC 50 .1104 Fees for Copies of Records and Returned Checks

The Board charges the following fees:

(1) copies of license $20.00

(2) abstract of license record $25.00 per license record search

(3) processing fee for returned checks maximum allowed by G.S. 25-3- 506

(4) copy of Board rules $10.00

(5) processing fee for late renewal $25.00

(6) Business and Project Management for Contractors Publisher's Price as set forth at www.nclicensing.org

History

• Authority G.S. 25-3-506; 87-18; 87-22; 132-6.2(b); 150B-19
• Eff. September 1, 1994
• Amended Eff. July 1, 1998; November 1, 1994
• Temporary Amendment Eff. August 31, 2001
• Amended Eff. July 1, 2010; December 1, 2003; December 4, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. April 1, 2017.

21 NCAC 50 .1105 Annual Reports

The Board shall file all reports required by G.S. 93B-2 as well as the audit required by G.S. 93B-4. In case of untimely filing of a report required by G.S. 93B-2, the Board shall hold in escrow any fees collected between the filing deadline and the filing date. Issuance of licenses, renewals and application processing shall continue during any interval created by the untimely filing of a report required by G.S. 93B-2.

History

• Authority G.S. 93B-2
• Eff. December 31, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1106 Petition for Predetermination

(a) An individual who wishes to file a petition for a predetermination of whether the individual's criminal history will likely disqualify the individual from obtaining a license from the Board shall submit a petition in writing at the office of the Board.

(b) The petition shall include the petitioner's:

(1) legal name;

(2) mailing, physical, and email addresses;

(3) social security number;

(4) date of birth;

(5) telephone number;

(6) criminal record report prepared no more than 60 days prior to the date of petition by the agency designated by the Board;

(7) written statement describing the circumstances surrounding the commission of the crime(s);

(8) written statement of any rehabilitation efforts;

(9) rehabilitative drug or alcohol treatments;

(10) Certificate of Relief granted pursuant to G.S. 15A-173.2;

(11) affidavits or other written documents, including character references, that the petitioner intends to submit for review;

(12) certification that the this information provided is true and complete;

(13) signature.

(c) The fee for a petition for predetermination shall be forty-five dollars ($45.00).

History

• Authority G.S. 87-18; 93B-8.1(b6)
• Eff. July 1, 2020.

21 NCAC 50 .1201 Petition for Rulemaking Hearings

Any person wishing to submit a petition requesting the adoption, amendment or repeal of a rule by the Board shall address a petition to: State Board of Examiners of Plumbing, Heating and Fire Sprinkler Contractors, 1109 Dresser Court, Raleigh, North Carolina 27609. The petition shall bear the notation: RULE-MAKING PETITION RE and then the subject area, for example, RE G.S. 87-21(a)(1) RE ADMINISTRATIVE PROCEDURE ACT, RE AIR CONDITIONING SYSTEMS, or an indication of any other area over which the Board may have rule-making authority.

History

• Authority G.S. 87-18; 150B-20
• Eff. February 1, 1991
• Amended Eff. December 31, 2011; June 11, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1202 Contents of Petition

The petition shall include the following information:

(1) an indication of the subject area to which the petition is directed; for example, "This is a petition to hold a rulemaking hearing to amend Rule .0000 pertaining to Administrative Procedure Act filing requirements";

(2) either a draft of a proposed rule or a summary of its contents;

(3) reasons for the proposal;

(4) the effect on existing rules or orders;

(5) any data supporting the proposal;

(6) effect of the proposed rule on existing practices in the area involved, including cost factors;

(7) names of those most likely to be affected by the proposed rule, with addresses if reasonable known;

(8) name(s) and address(es) of petitioner(s).

History

• Authority G.S. 87-18; 150B-20
• Eff. February 1, 1991
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1203 Disposition of Petitions

(a) The Executive Director of the Board shall determine whether the public interest will be served by granting the request. Prior to making this determination, the Executive Director may request additional information from the petitioner(s); he may contact interested persons or persons likely to be affected by the proposed rule and request comments and he may use any other method for obtaining information on which to base a determination. The Executive Director shall consider all of the contents of the petition submitted plus any other information obtained by the means described in this Paragraph.

(b) The Executive Director shall make a recommendation to the Board for the institution of rulemaking proceedings or for the denial of the petition, as the case may be.

(c) At its next regularly scheduled meeting but within 120 days of submission of the petition, a final decision shall be rendered by the Board. If the decision is to deny the petition the Board shall notify the petitioner in writing, stating the reasons therefor. If the decision is to grant the petition, the Board, within 120 days of submission, shall initiate a rulemaking proceeding by publishing a notice of text in the North Carolina Register as required by G.S. 150B-21.2.

History

• Authority G.S. 87-18; 150B-20
• Eff. February 1, 1991
• Amended Eff. December 31, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1204 Notice of Rulemaking Hearings

Upon a determination to hold a rulemaking proceeding, either in response to a petition or otherwise, the Board will give notice of a public hearing on the proposed rule, consistent with G.S. 150B-21.2.

History

• Authority G.S. 87-18; 150B-21.2
• Eff. February 1, 1991
• Amended Eff. August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1205 Adoption of Rules

The procedure followed by the Board in adoption of rules may be found in Article 2A, Part 2, Chapter 150B of the General Statutes, as amended from time to time.

History

• Authority G.S. 87-18; 150B-21.1 et seq.; 150B-21.2
• Eff. February 1, 1991
• Amended Eff. August 1, 2000; June 11, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1206 Additional Information

History

• Status: repealed
• Authority G.S. 87-18; 150B-21; 150b-21.2
• Eff. February 1, 1991
• Amended Eff. June 11, 1998
• Repealed Eff. August 1, 2000.

21 NCAC 50 .1207 Request to Participate

Any person desiring to present oral data, views, or arguments on the proposed rule is asked to advise the Board at least 10 days prior to the hearing. Any person who makes an oral presentation is encouraged to submit a written copy of the presentation to the Executive Director prior to or at the hearing.

History

• Authority G.S. 87-18; 150B-21.2
• Eff. February 1, 1991
• Amended Eff. December 31, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1208 Contents of Request; General Time Limitations

A request to make an oral presentation should contain a clear reference to the proposed rule, a brief summary of the individual's views in respect thereto, and how long the individual desires to speak. Presentations shall be limited to 10 minutes unless the Board prescribes some other time limit.

History

• Authority G.S. 87-18; 150B-21.2
• Eff. February 1, 1991
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1209 Receipt of Request; Specific Time Limits

Upon receipt of notice of a person's desire to present his views orally, the Board will acknowledge receipt of the request and inform the person of the imposition of any limitations deemed necessary to the end of a full and effective public hearing on the proposed rule.

History

• Authority G.S. 87-18; 150B-21.2
• Eff. February 1, 1991
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1210 Written Submissions

(a) Any person may file a written submission containing data, comments or arguments, after publication of a rulemaking notice and up to the day of the hearing, unless a different period has been prescribed in the notice. These written comments shall be sent to the Board at 1109 Dresser Court, Raleigh, North Carolina 27609. The submission shall state the rule(s) or proposed rule(s) to which the comments are addressed.

(b) Upon receipt of written comments, the Executive Director shall assure that the comments will be provided to the Board for consideration.

History

• Authority G.S. 87-18; 150B-21.2
• Eff. February 1, 1991
• Amended Eff. December 31, 2011; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1211 Presiding Officer; Powers and Duties

The presiding officer at the hearing shall have complete control of the proceedings, including: extensions of any time requirements, recognition of speakers, time allotments for presentations, the right to question speakers, direction of the discussion, and management of the hearing. The presiding officer, at all times, will take care that each person participating in the hearing is given a fair opportunity to present views, data and comments.

History

• Authority G.S. 87-18; 150B-21.2
• Eff. February 1, 1991
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1212 Statement of Reasons for Decision

History

• Status: repealed
• Authority G.S. 87-18; 150B-12; 150B-12(e)
• Eff. February 1, 1991
• Repealed Eff. August 1, 2000.

21 NCAC 50 .1213 Record of Proceedings

History

• Status: repealed
• Authority G.S. 87-18; 150B-12; 150B-12(e)
• Eff. February 1, 1991
• Repealed Eff. August 1, 2000.

21 NCAC 50 .1214 Temporary Rules

Temporary rules may be adopted under the circumstances described in G.S 150B-21.1.

History

• Authority G.S. 87-18; 150B-21.1
• Eff. February 1, 1991
• Amended Eff. August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1301 Subjects of Declaratory Rulings

Any person aggrieved by a statute administered or rule promulgated by the Board, may request a declaratory ruling as to either the manner in which a statute or rule applies to a given factual situation, if at all, or whether a particular agency rule is valid.

History

• Authority G.S. 87-18; 150B-17
• Eff. February 1, 1991
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1302 Submission of Request for Ruling

All requests for declaratory rulings shall be written and mailed to the Board at 1109 Dresser Court, Raleigh, North Carolina 27609. The container of the request shall bear the notation: REQUEST FOR DECLARATORY RULING. The request must include the following information:

(1) name and address of petitioner;

(2) statute or rule to which petition relates;

(3) statement of the manner in which petitioner is aggrieved by the rule or statute or its potential application to him;

(4) a statement of whether an oral hearing is desired, and if so, the reason therefor.

History

• Authority G.S. 87-18; 150B-4
• Eff. February 1, 1991
• Amended Eff. December 31, 2011; June 11, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1303 Disposition of Requests

(a) When the Board deems it appropriate to issue a declaratory ruling it shall issue such declaratory ruling within 60 days of receipt of the petition.

(b) A declaratory ruling proceeding may consist of written submissions, an oral hearing, or other procedure as may be appropriate in the circumstances of the particular request.

(c) Whenever the Board believes "for good cause" that the issuance of a declaratory ruling is undesirable, the Board may refuse to issue such ruling. When good cause is deemed to exist, the Board will notify the petitioner of its decision in writing, stating the reasons for the denial of the declaratory ruling.

(d) For purposes of Paragraph (c) of this Rule, the Board will ordinarily refuse to issue a declaratory ruling:

(1) unless the petitioner shows that the circumstances are so changed since the adoption of the rule that such a ruling would be warranted;

(2) unless the petitioner shows that the Board did not give to the factors specified in the request for a declaratory ruling a full consideration at the time the rule was issued;

(3) where there has been a similar controlling factual determination in a contested case, or where the factual context being raised for a declaratory ruling was specifically considered upon the adoption of the rule or directive being questioned, as evidenced by the rulemaking record;

(4) where the subject matter of the request is involved in pending litigation in any state or federal court in North Carolina.

History

• Authority G.S. 87-18; 150B-17
• Eff. February 1, 1991
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1304 Record of Decision

A record of all declaratory rulemaking proceedings will be maintained in the office of the Board for as long as the ruling is in effect and for five years thereafter. This record will contain: the petition, notice, all written submissions filed in the request, whether filed by the petitioner or any other person, and a record or summary of oral presentations, if any. Records of rulemaking proceedings will be available for public inspection during the regular office hours of the Board.

History

• Authority G.S. 87-18
• Eff. February 1, 1991
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1305 Definition

For purposes of Rule .1304 of this Section, a declaratory ruling shall be deemed to be "in effect": until the statute or rule interpreted by the declaratory ruling is amended, altered or repealed; until the Board changes the declaratory ruling prospectively; or until the court sets aside the ruling in litigation between the Board and the party requesting the rule; or until any court of the Appellate Division of the General Court of Justice shall construe the statute or rule which is the subject of the declaratory ruling in a manner plainly irreconcilable with the declaratory ruling.

History

• Authority G.S. 87-18; 150B-12; 150B-17
• Eff. February 1, 1991
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 50 .1401 Continuing Education Requirements

History

• Status: repealed
• Authority G.S. 87-21(b)(3); 87-22
• Eff. April 1, 2001
• Amended Eff. January 1, 2010; May 1, 2006; January 1, 2004; April 1, 2003
• Repealed Eff. December 31, 2012.

21 NCAC 50 .1402 Exemptions and Credits

History

• Status: repealed
• Authority G.S. 87-21(b)(3); 87-22
• Eff. April 1, 2001
• Amended Eff. January 1, 2010; May 1, 2006; April 1, 2003
• Repealed Eff. December 31, 2012.

21 NCAC 50 .1403 Computation of Continuing Education Hours

History

• Status: repealed
• Authority G.S. 87-21(b)(3); 87-2
• Eff. April 1, 2001
• Amended Eff. April 1, 2003
• Repealed Eff. December 31, 2012.

21 NCAC 50 .1404 Course Requirements and Limitations

History

• Status: repealed
• Authority G.S. 87-21(b)(3); 87-22
• Eff. April 1, 2001
• Amended Eff. January 1, 2010; June 1, 2006; April 1, 2003
• Repealed Eff. December 31, 2012.

21 NCAC 50 .1405 Approval of Courses

History

• Status: repealed
• Authority G.S. 87-21(b)(3); 87-22
• Eff. April 1, 2001
• Amended Eff. January 1, 2010; April 1, 2003
• Repealed Eff. December 31, 2012.

21 NCAC 50 .1407 Certification of Course Completion by Licensees and Providers

History

• Status: repealed
• Authority G.S. 87-21(b)(3); 87-22
• Eff. April 1, 2001
• Amended Eff. March 15, 2003
• Repealed Eff. December 31, 2012.

21 NCAC 50 .1408 Advertisements by Course Providers or Instructors

History

• Status: repealed
• Authority G.S. 87-21(b)(3); 87-22
• Eff. April 1, 2001
• Amended Eff. April 1, 2003
• Repealed Eff. December 31, 2012.

21 NCAC 50 .1409 Termination of Course or Provider Approval

History

• Status: repealed
• Authority G.S. 87-21(b)(3); 87-22
• Eff. April 1, 2001
• Amended Eff. April 1, 2003
• Repealed Eff. December 31, 2012.

21 NCAC 50 .1410 Petitions for Reinstatement of License

History

• Status: repealed
• Authority G.S. 87-21(b)(3); 87-22
• Eff. April 1, 2001
• Repealed Eff. December 31, 2012.

Chapter 52 Podiatry Examiners

21 NCAC 52 .0101 Name and Purpose

(a) The office of the board shall be in Raleigh and the mailing address of the board is 1500 Sunday Drive, Suite 102, Raleigh, North Carolina 27607.

(b) The following terms have the following meanings:

(1) "Application" shall mean the application form provided by the Board;

(2) "American Podiatric Medical Licensing Examination" and "APMLE", shall mean the national examination in multiple parts, formerly known as (and referred in the statutes as) the "National Boards," as administered by the National Board of Podiatric Medical Examiners and including the examination formerly called "PM-Lexis;"

(3) "Board" or "board" shall refer to the "Board of Podiatry Examiners" of North Carolina as defined in G.S. 90-202.4;

(4) "Establishment" in G.S. 55B-10 shall mean any separate podiatry office, clinic, or branch location where podiatry services are provided. It does not include a corporate office located in a separate building or location where podiatry services are not performed; and

(5) "Podiatry" has the same meaning as in G.S. 90-202.2.

History

• Authority G.S. 55B-10; 90-202.4; 90-202.6; 90-202.8
• Eff. February 1, 1976
• Amended Eff. June 1, 2011; January 1, 2005; December 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014.

21 NCAC 52 .0102 Membership

History

• Status: repealed
• Authority G.S. 90-202.4
• Eff. February 1, 1976
• Amended Eff. December 1, 1988
• Repealed Eff. June 1, 2011.

21 NCAC 52 .0103 Annual Meeting: Election and Officers

History

• Status: repealed
• Authority G.S. 90-202.4
• Eff. February 1, 1976
• Amended Eff. December 1, 1988
• Repealed Eff. January 1, 2005.

21 NCAC 52 .0201 Application

(a) Any applicant for a license to practice podiatry shall submit a written application to the executive secretary of the board. Such Application for Examination or Application of Reciprocity shall be made on a form provided from the board's website (http://www.ncbpe.org) or from the board's office as set forth in Rule .0101 of this Chapter. The application shall require the following information:

(1) Application type (Regular, Temporary Military, Clinical Residency);

(2) Date of Application;

(3) Social Security Number;

(4) Drug Enforcement Administration License Number (DEA), if any;

(5) National Provider Number (NPI), if any;

(6) Last name, first name, and middle name;

(7) Mailing address, including city, state, and zip code;

(8) Telephone number and type (home, mobile, business);

(9) Email address;

(10) Whether or not a U.S. citizen;

(11) Whether or not the applicant has or is serving in the military, awarded an MOS in podiatry and date, whether or not the applicant's spouse is currently serving in the military, and dates of service;

(12) Education (high school, college or university, graduate or professional, residencies, internships, fellowship training), including name and location of institution, dates attended, graduation completion, major and minor, and type of degree received;

(13) Whether or not the applicant intends to practice in North Carolina upon licensure;

(14) Whether or not the applicant has been licensed in another state or territory and, if so, state or territory, date of issue, expiration date, disciplinary actions (if any), and how license was obtained;

(15) Whether or not the licensee has ever had a license revoked, suspended, denied, or cancelled; denied the privilege of taking an exam; dropped, suspended, warned, placed on scholastic or disciplinary probation, expelled, or requested to resign from any school, college, or university, or advised by any such school of institution to discontinue studies therein; been a defendant in a legal action involving professional liability (malpractice), been named in a malpractice suit, had a professional liability claim paid on the applicant's behalf or paid such a claim; been a patient for the treatment of mental illness; been addicted to drugs or alcohol; or been convicted of a felony; and any explanation regarding such information that the applicant wishes to present to the board.

(16) Whether or not the applicant has previously taken the North Carolina exam and when;

(17) Whether or not the applicant requires special disability accommodations to take the board's examination;

(18) The reasons why the applicant is applying for licensure in North Carolina;

(19) A list of three references;

(20) Applicant's oath;

(21) A passport-quality photograph taken within 60 days prior to the date of the application; and

(22) Applicant's signature.

(b) Applicants shall furnish the board with proof that the applicant meets the educational and examination requirements set forth in G.S. 90-202.5(a)

(c) The application shall be accompanied by a non-refundable application fee of three hundred fifty dollars ($350.00).

(d) Applications shall also be notarized by a Notary Public in good standing.

History

• Authority G.S. 90-202.5; 90-202.6; 90-202.7
• Eff. February 1, 1976
• Amended Eff. June 1, 2011; April 1, 2005; January 1, 2005; December 1, 1988
• Readopted Eff. September 1, 2016
• Amended Eff. May 1, 2017.

21 NCAC 52 .0202 Examination

(a) The board shall conduct an examination as set out in G.S. 90-202.6. The examination shall be scheduled so as not to conflict with the APMLE.

(b) An applicant who has qualified to sit for the examination shall pass written and oral sections on medical and clinical subjects related to the practice of podiatric medicine as set forth in G.S. 90-202.6(a) in order to complete the examination successfully.

(c) An applicant who has successfully completed the examination as set forth in Paragraph (b) of this Rule shall also pass an examination section on the practice and scope of podiatry in North Carolina and compliance with State statutes, in particular, G.S. 90-202.2 to G.S. 90-202.14; G.S. 131E-85 to G.S. 131E-87; G.S. 55B-10 to G. S. 55B-13; G.S. 57D; and the board's Rules, within 30 months of successfully completing the examination in Paragraph (b).

History

• Authority G.S. 90-202.4(g); 90-202.6
• Eff. February 1, 1976
• Amended Eff. April 1, 2013; June 1, 2011; December 1, 1988
• Readopted Eff. September 1, 2016.

21 NCAC 52 .0203 Temporary License

History

• Status: repealed
• Authority G.S. 90-202.6
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .0204 Re-Examination

Unsuccessful candidates for licensure may apply to the board for re-examination pursuant to G.S. 90-202.6(c) upon the payment of the three hundred fifty dollar ($350.00) examination fee. No more than two re-examinations shall be allowed any one applicant within that one-year period under this Rule.

History

• Authority G.S. 90-202.6
• Eff. February 1, 1976
• Amended Eff. June 1, 2011; December 1, 1988
• Readopted Eff. September 1, 2016.

21 NCAC 52 .0205 PRACTICE-AND-ETHICS training AND EXAMINATION

The board may offer to each applicant who has otherwise successfully completed his or her examination on medical and clinical subjects an opportunity pursuant to Rule .0202(c) to attend by personal appearance or verified electronic conference a training in the practice and scope of podiatry in North Carolina and compliance with State statutes prior to the examination administered on those topics, on a date and at a time and location determined by the board. The license shall not be issued until the applicant has passed the examination regarding the practice and scope of podiatry in North Carolina and compliance with State statutes.

History

• Authority G.S. 90-2-2.8; 90-202.2; 90-202.4(g); 90-202.6(a)(b)
• Eff. February 1, 1976
• Amended Eff. December 1, 2012; March 1, 2006; May 1, 2005; December 1 1988
• Readopted Eff. September 1, 2016.

21 NCAC 52 .0206 Licensing

History

• Status: repealed
• Authority G.S. 90-202.6; 90-202.7
• Eff. February 1, 1976
• Amended Eff. December 1, 1988
• Repealed Eff. July 1, 2011.

21 NCAC 52 .0207 Annual Renewal of License

(a) The executive secretary of the board shall mail to the last known address of each license holder each year a form on which to apply for renewal of his or her license. The renewal application shall be pre-populated with information contained in the board's licensee database with a space for corrections or additions with regard to the following information about the licensee:

(1) Social security number;

(2) National Provider Number (NPI), if any;

(3) Drug Enforcement Administration License Number (DEA), if any;

(4) Marital status;

(5) Name;

(6) NC license number;

(7) Birthdate;

(8) Other states licensed in and license numbers;

(9) Home address and phone number;

(10) Business address and phone number;

(11) Preferred mailing address (business or home);

(12) Email address:

(13) Whether or not the licensee would like to receive email correspondence from the board;

(14) Medicare provider number;

(15) Present practice status (e.g., active, teaching, retired, residency, other);

(16) Principal setting of practice (e.g., hospital, nursing home, free-standing clinic, group, practitioner's office, nonfederal health facility, military facility, Veteran's Administration medical facility, school, other);

(17) Form of employment (e.g., self-employed as a solo practitioner or non-solo practitioner, or employee of individual practitioner, partnership or group, government, other);

(18) National board certifications (American Board of Podiatric Surgery, American Board of Foot and Ankle Surgery, American Board of Lower Extremity Surgery, and American Board of Multiple Specialties in Podiatry);

(19) Hospital staff privileges (hospital, location, date privileges began, type of privileges), any denial of such privileges, and the reason for such denial since last renewal application;

(20) Whether or not the licensee performs amputations, ankle surgery, or clubfoot procedures;

(21) Whether or not the licensee is granted specialty privileges by the board for amputations, ankle surgery, or clubfoot procedures;

(22) Continuing Medical Education (CME) credits earned in the previous license year, pursuant to G.S. 90-202.11 and S.L. 2015-241, s. 12F, 16(c);

(23) Whether or not the licensee has ever had a license revoked, suspended, denied, or cancelled; been a defendant in a legal action involving professional liability (malpractice), been named in a malpractice suit, had a professional liability claim paid on the applicant's behalf or paid such a claim; been a patient for the treatment of mental illness; been addicted to drugs or alcohol; or been convicted of a felony; and any explanation regarding such information that the applicant wishes to present to the board;

(24) Original signature;

(25) Date of renewal application; or

(26) Desire not to renew license.

(b) The renewal form and accompanying documents shall be returned to the board's offices as set forth in Rule .0101 with the original signatures of the licensed podiatrist. The penalties for failure to comply with this Rule are specified in G.S. 90-202.10.

(c) If the licensee does not receive his or her renewal application from the board directly, the licensee may obtain a generic copy, without the pre-populated information, from the board's website at http://www.ncbpe.org or by contacting the board's office as set forth in Rule .0101 of this Chapter.

History

• Authority G.S. 90-202.4(g); 90-202.10; 90-202.11; S.L. 2015-241, s. 12F, 16(c)
• Eff. February 1, 1976
• Amended Eff. April 1, 2013; January 1, 2005; December 1, 1988
• Readopted Eff. September 1, 2016
• Amended Eff. May 1, 2017.

21 NCAC 52 .0208 Continuing Education

(a) A requirement for issuance of the annual renewal certificate shall be certification to the Board of proof of compliance with the continuing education provisions of G.S. 202.11.

The Board shall notify all podiatrists that 25 hours of continuing education are required annually, including one hour of controlled substances prescribing practices.

(b) General CME policy - 25 hours per year as follows:

(1) Completion of 25 hours of Continuing Medical Education (CME) is required per year (July 1-June 30) for renewal of licensure. CME credits shall not be carried over from the previous licensure year.

(2) It shall be the responsibility of the individual podiatrist to ascertain in advance if the courses he or she attends have received proper approval from the certifying organizations, and comply with the Standards, Requirements, and Guidelines for Approval of Sponsors of Continuing Education in Podiatric Medicine of the Council on Podiatric Medical Education (http://www.cpme.org/education/content.cfm?ItemNumber=2440&navItemNumber0=2249), including subsequent amendments and editions. The website may be accessed at no charge. The Board shall respond in writing, within 45 days of receipt by the Board of all needed documentation, with approval or denial to individuals requesting approval of CME courses and credit hours. Decisions by the Board are the final agency decision and may be appealed as set out in G.S. 150B-23.

(3) Certificates of completion of courses other than those sponsored by the NC Foot and Ankle Society (NCF&AS) shall be submitted to the Board online using the Board's contracted electronic continuing education tracking system. Completion certificates shall be typed and contain the following information:

(A) Podiatrist's name;

(B) Course name, location, and date;

(C) Number of hours CME completed;

(D) Signature of seminar chairperson; and

(E) Name of certifying or sponsoring agency.

(4) A licensed podiatrist participating in the second or third year of a medical residency or fellowship may submit a letter signed by the podiatric residency or fellowship director stating the podiatrist's name and dates of residency. This shall substitute for the 25-credit hour requirement and CME certificate required by this Rule.

(5) The Board shall retain access to the CME documentation with the individual podiatrist's license renewal information.

(c) Category 1: Minimum requirement 20 hours per year, as follows:

(1) CME credit shall be granted for attendance at educational seminars offered by the North Carolina Foot & Ankle Society (NCF&AS). The number of qualifying hours of continuing education shall be determined and approved by the Board in advance based on the standards in G.S. 90-202.11. NCF&AS shall submit to the Board a list of individuals who attended its CME events and earned credits.

(2) CME credit shall be granted for attendance at educational seminars offered by other national, state, and podiatric education providers, as certified by the Council on Podiatric Medical Education (CPME) of the American Podiatric Medical Association (APMA). The number of qualifying hours of continuing education shall be determined and approved by the Board.

(3) Lecturers shall be granted one hour of credit for each hour of CPME- or APMA- approved lectures given, but such credit shall be limited to one hour for each discrete topic. A brief summary of the content of each lecture shall be submitted to the Board for approval.

(4) Category 1 is limited to live in person educational seminars offered by NCF&AS or by sponsors pre-approved by CPME: http://www.cpme.org (CPME 700: "Approved Sponsors of Continuing Education in Podiatry"). (APMA or CPME-approved online or journal courses are considered Category 2.)

(5) Since CPME evaluates only CME conducted in the United States, North Carolina-licensed podiatrists practicing outside the United States, or participating in a foreign fellowship or other short-term residency abroad may apply to the Board, to have their continuing medical education credits from their country of practice considered and evaluated by the Board on an individual basis.

(d) Category 2: A maximum of only 5 of the total 25 CME hours per year shall be allowed as follows:

(1) CME credit shall be allowed for educational programs approved for Category 1 credit by the American Medical Association (AMA) and the American Osteopathic Association (AOA) or their affiliated organizations.

(2) CME credit shall be allowed for courses approved by North Carolina Area Health Education Centers (AHEC).

(3) Online or medical journal courses approved by CPME are permitted.

(4) For courses not pre-approved by AHEC, AOA, or AMA, all requests for CME approval must contain a timeline and course description and be submitted to the Board for approval.

(e) Waiver for Certified Illness, Medical Condition, Natural Disaster, or Undue Hardship. The Board may waive the continuing education requirement for license renewal in the following cases that preclude a licensed podiatrist from completing his or her CME requirement within the 18-month timeframe from July 1 of the year of the last license or renewal issuance through December 31 of the following year:

(1) An unexpected illness or medical condition certified by a letter from a licensed physician, nurse practitioner (NP), or physician assistant (PA) regarding the licensee or the licensee's parents, spouse, children and other persons dependent upon the podiatrist for daily living supports; or

(2) An undue hardship (such as active military service or natural disaster).

In such cases, the Board shall issue a conditional license predicated on the licensee acquiring all of the required continuing education credits in a mutually-agreeable timeframe, but no later than 24 months after December 31 of the year following the latest year of license or renewal issuance. Requests for CME waiver shall be received by the Board before the end of the grace period deadline for license renewal. The Board may require additional information when necessary to confirm the need for exemption to support the licensee's claim. The Board shall notify the licensee of its decision in writing within 45 days of receipt by the Board of all needed documentation.

History

• Authority G.S. 90-202.4(g); 90-202.11; S.L. 2015-241, s. 12F.16(b) and (c)
• Eff. February 1, 1976
• Amended Eff. June 1, 2013; October 1, 2012; February 1, 2012; November 1, 2011; June 1, 2011; December 1, 1988
• Readopted Eff. March 1, 2016
• Amended Eff. April 1, 2024.

21 NCAC 52 .0209 Applicants Licensed in Other States

If an applicant for licensure is already licensed in another state to practice podiatry, the board shall issue a license to practice podiatry in the State of North Carolina only upon evidence that said podiatrist has complied with the requirements set forth in General Statute 90-202.7 of the Podiatry Practice Act. Presentation of such evidence is the responsibility of the podiatrist seeking reciprocity to practice in the State of North Carolina. This evidence shall include verification from the Board of Podiatry Examiners of the state where the applicant has last practiced that the applicant is in good standing and has no disciplinary action pending. The verification shall include a history of previous disciplinary action, if any.

History

• Authority G.S. 90-202.4(g); 90-202.7
• Eff. December 1, 1988
• Readopted Eff. September 1, 2016.

21 NCAC 52 .0210 FEE FOR VALIDATION OF licenseE LISTS; COMPUTER SERVICES

(a) In order to validate a podiatrist's authority to receive drug samples pursuant to U.S. federal laws, the Board shall provide computerized lists of its licensees and their licensing status to companies engaged in the business of providing data information services to the pharmaceutical and healthcare industries for the purposes of validating the licensing status of health care professionals for a fee of three hundred dollars ($300.00) per order, payable in advance. Orders for a list of licensees shall be placed at least four weeks in advance.

(b) Other Data Processing Services. The Board may provide data processing services related to the Board's powers and duties upon request from research and educational organizations. No fees for such services shall be assessed if the use of the data is for nonprofit educational or research purposes.

History

• Authority G.S. 90-202.3; 150B-19(5)e; P.L.100-293
• Eff. April 1, 2005
• Readopted Eff. September 1, 2016.

21 NCAC 52 .0211 military LICENSE

(a) Restricted Temporary License: The Board shall issue a restricted temporary license to podiatrists practicing in a clinical residency solely on federal military installations within North Carolina if, upon application to the Board, the applicant satisfies the following conditions:

(1) Applications for restricted temporary license shall require the same education as for a permanent license, current participation in a one-year clinical residency, and successful completion of Parts I and II of the National Boards; and

(2) Restricted temporary licenses shall be granted for a maximum of one-year, renewable annually so long as the podiatrist continues to practice within the clinical residency on the federal military installation.

The Board shall not assess a license examination nor application fee.

(b) Permanent Unrestricted License Military Podiatrist: The Board shall issue a permanent license to a military-trained applicant to allow the applicant to lawfully practice podiatry in North Carolina if, upon application to the Board, the applicant:

(1) Has been awarded a military occupational specialty in podiatry and has done all of the following at a level that is substantially equivalent to or exceeds the requirements for licensure in North Carolina: completed a military program of podiatry training, completed testing or equivalent training and experience, and performed in the occupational specialty;

(2) Has engaged in the practice of podiatry for at least two of the five years (which may include clinical residency) preceding the date of the application under this Paragraph;

(3) Has not committed any act in any jurisdiction that would have constituted grounds for refusal, suspension, or revocation of a license to practice podiatry in this State at the time the act was committed; and

(4) Pays the application, examination, and licensing fees required by the Board.

(c) Permanent Unrestricted License-Podiatrist Spouse of Military Personnel: The Board shall issue to a military spouse a license to practice podiatry in this State if, upon application to the board, the military spouse:

(1) Holds a current license, certification, or registration from another jurisdiction and that jurisdiction's requirements for licensure, certification, or registration are substantially equivalent to or exceed the requirements for licensure in this State;

(2) Can demonstrate competency in the occupation through passing the North Carolina examination;

(3) Has not committed any act in any jurisdiction that would have constituted grounds for refusal, suspension, or revocation of a license to practice that occupation in this State at the time the act was committed;

(4) Is in good standing and has not been disciplined by the agency that had jurisdiction to issue the license, certification, or permit; and

(5) Pays the application, examination, and licensing fees required by the Board.

(d) All relevant podiatric medical experience of a military service member in the discharge of official duties or, for a military spouse, all relevant podiatric medical experience, including full-time and part-time experience, regardless of whether in a paid or volunteer capacity, shall be credited in the calculation of years of practice in an occupation as required under Paragraphs (b) and (c)of this Rule.

(e) A nonresident licensed under this Rule shall be entitled to the same rights and subject to the same obligations as required of a resident licensed by the Board in this State.

History

• Authority G.S. 90-202.5(b); 90-202.6; 93B-15.1; Army Regulation 40-68
• Eff. April 1, 2005
• Amended Eff. July 1, 2013
• Readopted Eff. September 1, 2016.

21 NCAC 52 .0212 Specialty Credentialing Privileges

(a) The Board shall grant surgical specialty privileges to podiatrists in the areas of amputation, ankle surgery, and club foot correction.

(b) Application for such privileges shall be made upon a form provided by the board (available from the board's website at http://www.ncbpe.org) along with two copies of the applicants' surgery logs, both of which shall be highlighted in different colors (one color per specialty area, i.e. amputations, ankle surgeries, and club foot corrections).

(c) The application shall request the following information from the licensee:

(1) Name;

(2) Address;

(3) License number;

(4) Telephone;

(5) Number of years, type, and location of post-graduate training;

(6) Board certification(s) type and year;

(7) Whether or not a Fellow of the American College of Foot & Ankle Surgeons and year of bestowal;

(8) Other postgraduate continuing medical education;

(9) Hospital affiliation(s), privileges, dates, and whether or not surgical or non-surgical;

(10) Surgery center affiliations, privileges, dates, and whether or not surgical or non-surgical;

(11) Teaching appointments, locations, years of affiliation, and type of appointment;

(12) Which privilege(s) the applicant is applying for (e.g., ankle surgery, amputations, surgical correction of clubfoot);

(13) Signature; and

(14) Date of application.

History

• Authority G.S. 90-202.2
• Eff. June 1, .2011
• Readopted Eff. September 1, 2016.

21 NCAC 52 .0213 Temporary License for Clinical Residency/Fellowship

(a) The Board may issue a temporary license to practice podiatry to any podiatrist for licensure in accordance with this Rule while the podiatrist resides in North Carolina and is participating in a podiatric medical education and training clinical residency ("clinical residency") or fellowship located in North Carolina and approved by the Council of Podiatric Medical Education (CPME). Such CPME-approved clinical residency or fellowship shall be established and conducted in accordance with rules established in the most current version of "Standards and Requirements for Approval of Podiatric Medicine and Surgery Residencies" (CPME 320) and the "JJRC and CPME Residency Requirements" available from the CPME web site at http://www.cpme.org/residencies/content.cfm?ItemNumber=2444&navItemNumber=2245, or "Standards and Requirements for Approval of Podiatric Fellowships" (CPME 820) available from the CPME web site at http://www.cpme.org/fellowships/content.cfm?ItemNumber=2442&navItemNumber=2247. A list of approved clinical residencies is available from the CPME website at http://www.cpme.org/residencies/ResidenciesList.cfm?navItemNumber=2242. A list of approved fellowships is available from the CPME website at http://www.cpme.org/fellowships/content.cfm?ItemNumber=2441&navItemNumber=2246.

(b) In order to be approved by the Board for a temporary resident's or fellowship's training license, an applicant shall submit a completed temporary license application, available from the Board's website at http://www.ncbpe.org/content/licensure-exam. The application shall include the following:

(1) type of application (Regular, Temporary Military, or Temporary Clinical Residency or Fellowhip);

(2) date of application;

(3) Social Security Number;

(4) full name (last name, first name, and middle name, if applicable);

(5) mailing address;

(6) city, state, and zip code;

(7) telephone number (e.g., home, mobile, and business);

(8) email address;

(9) date of birth;

(10) whether or not a U.S. citizen;

(11) military service for self and spouse, if applicable;

(12) education (high school, college/university, graduate or professional, and residencies/internships/fellowships), including name and location of institution, dates attended, whether graduated or completed, major/minor, and type of degree;

(13) previous licensure in another state or territory, including date of issue, date of expiration, whether or not there were any disciplinary actions, and how license was obtained (examination, temporary, or reciprocity);

(14) whether the applicant has had any of the following situations and explain such instances:

(A) had a license revoked, suspended, or cancelled;

(B) denied a license;

(C) denied the privilege of taking an examination;

(D) dropped, suspended, warned, placed on scholastic or disciplinary probation, expelled or requested to resign from any school, college, or university, or advised by any school or institution to discontinue studies therein;

(E) been a defendant in a legal action involving professional liability (malpractice), been named in a malpractice suit, had a professional liability claim paid on the applicant's behalf or paid such a claim;

(F) been a patient for treatment of mental illness;

(G) been addicted to alcohol or drugs; or

(H) been convicted of a felony;

(15) whether the applicant has taken the North Carolina licensure examination previously, and if so, the date;

(16) whether the applicant will need any special accommodations and what those needs are;

(17) the applicant's reasons for applying for temporary license and future plans for practicing in the state; and

(18) an attestation under oath before a notary that the information on the application is true and complete an authorization of the release to the Board of all information pertaining to the application.

(c) Such temporary application shall also require inclusion of the following additional documentation, which may be sent to the Board either together with the application or separately:

(1) documentation of legal name change, if applicable;

(2) a photograph, approximately two inches by two inches;

(3) proof of an education equivalent to four years of instruction in a high school (e.g., copy of the diploma or a letter from the high school);

(4) transcript of pre-podiatry college studies from an accredited college or university showing a minimum of two years of study;

(5) copy of college diploma;

(6) proof of graduation from a podiatry school accredited by CPME, a listing of such accredited podiatry schools is available from http://www.cpme.org/colleges/content.cfm?ItemNumber=2425&navItemNumber=2240 (e.g., a copy of the diploma or a letter from the school);

(7) official transcript of podiatry school studies sent directly from the institution to the Board;

(8) an appointment letter from the residency or fellowship program director, or his appointed agent, of the CPME-approved residency or fellowship program, listing the beginning and ending dates of the program;

(9) a signed consent on the application allowing a search of local, state, and national records for any criminal record;

(10) official copy of the grade letters from the National Board of Podiatric Medical Examiners (NBPME) sent directly from NBPME to the Board that the applicant has taken and passed within three attempts:

(A) APMLE Part I; and

(B) APMLE Part II; and

(11) upon request, supply any additional information the Board deems necessary to evaluate the applicant's competence and character, including appearing in person for an interview with the Board or its agent to evaluate the applicant's competence and character, if the Board needs more information to complete the application.

(d) Upon evaluation of the application, the Board shall either approve the application and issue a temporary license or deny the application within 30 days of receipt of the completed application based upon the information provided in accordance with this Rule, unless an interview is necessary. If the Board deems an interview necessary pursuant to Subparagraph (c)(11) of this Rule, the Board shall issue the decision to grant or deny the application within 30 days following the interview. If the Board denies the application, it shall notify the applicant the reasons for the denial.

(e) A temporary license is valid only while the licensee is participating in the clinical residency or fellowship program and shall not be extended beyond the length of training.

(f) A podiatrist holding a temporary license to practice in a clinical residency or fellowship program shall practice only within the confines of that program and under the supervision of its director.

History

• History Note Authority G.S. 90-202.5(b); 90-202.6; 93B-15.1
• Eff. October 1, 2014.

21 NCAC 52 .0214 Notice of Unlicensed Activity

The Board shall investigate unlicensed activity, including notice of possible violations, and seek injunctive relief pursuant to G.S. 90-202.13.

History

• Authority G.S. 90-202.3; 90-202.4; 90-202.8; 90-202.13
• Eff. April 1, 2017

21 NCAC 52 .0215 License Re-Instatement

(a) A podiatrist whose license renewal has been delinquent for six months following the July 1 deadline of the end of the podiatrist's last renewal period shall re-apply for a new examination. Application shall be made in accordance with the statute and the following:

(1) re-apply to the Board for licensure as if he or she is a first-time applicant, including the same application, required documents, and application and examination fees, pursuant to Rule .0201 of this Section and Rules. 0601 and .0613 of this Chapter;

(2) appear before the Board at the same time and in the same place as other license examinees and take the same examination as a first-time applicant, including the practice and ethics examination pursuant to Rules .0202, .0205, and .0206 of this Section; and

(3) receive a passing grade in all parts of the Board licensing examination and pay the license certificate fee pursuant to Rule .0613 of this Chapter before being issued a new license certificate and license number.

(b) A podiatrist whose license has been suspended, put on probation, or has invoked any other form of temporary censure due to disciplinary action in accordance with G.S. 90-202.8 shall follow the instructions related to reinstatement contained in the specific consent order setting forth the provisions of the sanction.

History

• Authority G.S. 90-202.6(a); 90-202.8; 90-202.9; 90-202.10
• Eff. November 1, 2015.

21 NCAC 52 .0301 Registration

No podiatrist or group of podiatrists may operate in the State of North Carolina as a professional corporation without first obtaining from the board a certificate of registration as set forth in G.S. 55B-10:

http://www.ncga.state.nc.us/EnactedLegislation/Statutes/HTML/BySection/Chapter_55B/GS_55B-10.html. Each corporate registrant shall pay a separate registration fee of twenty-five dollars ($25.00) per year for each separate establishment where podiatric services are performed.

History

• Authority G.S. 55B-10; 90-202.4(g)
• Eff. February 1, 1976
• Amended Eff. June 1, 2011; December 1, 1988
• Readopted Eff. September 1, 2016.

21 NCAC 52 .0302 Annual Renewal

Annual renewal of a professional podiatry corporate registration shall be as set forth in G.S. 55B-11:

http://www.ncga.state.nc.us/EnactedLegislation/Statutes/HTML/BySection/Chapter_55B/GS_55B-11.html.

History

• Authority G.S. 55B-11; 90-202.4(g)
• Eff. February 1, 1976
• Amended Eff. June 1, 2011; December 1, 1988
• Readopted Eff. September 1, 2016.

21 NCAC 52 .0303 Penalties

Penalties for non-renewal of a professional podiatry corporation certificate of registration shall be as set forth in G.S. 55B-11: http://www.ncga.state.nc.us/EnactedLegislation/Statutes/HTML/BySection/Chapter_55B/GS_55B-11.html.

History

• Authority G.S. 55B-11; 90-202.4(g)
• Eff. December 1, 1988
• Amended Eff. June 1, 2011
• Readopted Eff. September 1, 2016.

21 NCAC 52 .0401 Initiation of Proceedings

History

• Status: repealed
• Authority G.S. 90-202.8
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .0402 Hearings

The board may deny, revoke, or suspend a license in accordance with Article 3A of G.S. 150B. In addition, the board may summarily suspend a license where the public health, safety, or welfare requires emergency action as provided in G.S. 150B-3(c).

History

• Authority G.S. 90-202.8; 150B-38
• Eff. February 1, 1976
• Amended Eff. December 1, 1988
• Readopted Eff. September 1, 2016.

21 NCAC 52 .0403 Service of Notice

Any notice required by the rules shall be given personally or by certified mail, return receipt requested, directed to the licensee or applicant at his last known address as shown by the records of the board. If service cannot be accomplished either personally or by certified mail, it shall then be given as provided in G.S. 1A-1, Rule 4 (j1).

History

• Authority G.S. 90-202.8; 150B-38
• Eff. February 1, 1976
• Amended Eff. December 1, 1988
• Readopted Eff. September 1, 2016.

21 NCAC 52 .0404 Place of Hearings

A hearing conducted by the board shall be held in the location as provided by G.S. 150B-38(e).

History

• Authority G.S. 90-202.8; 150B-38(e)
• Eff. February 1, 1976
• Amended Eff. December 1, 1988
• Readopted Eff. September 1, 2016.

21 NCAC 52 .0405 Trial Examiner or Deposition

History

• Status: repealed
• Authority G.S. 90-202.8
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .0406 Evidence Admissible

History

• Status: repealed
• Authority G.S. 90-202.8
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .0407 Failure to Appear

History

• Status: repealed
• Authority G.S. 90-202.8
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .0408 Appeal

A podiatrist who is aggrieved by a final decision in a contested case may obtain judicial review of the decision of the board as provided by G.S. 150B, Article 4.

History

• Authority G.S. 90-202.8; 150B-43 to 150B-45
• Eff. February 1, 1976
• Amended Eff. December 1, 1988
• Readopted Eff. September 1, 2016.

21 NCAC 52 .0409 Complaints

(a) Any person may file a complaint, pursuant to G.S. 150B, Article 3A, against a licensed podiatrist with the board by completing the online complaint form on the board website, http://www.ncbpe.org or by providing a completed hardcopy complaint form to the Board, which may be obtained from the board's offices as listed in Rule .0101 of this Chapter.

(b) The complaint shall set forth the name and contact information of the podiatrist against whom the complaint is lodged, a summary of the facts of the complaint, the complainant's name, mailing address and phone number, and whether or not a copy of the complaint may be sent to the podiatrist about whom the complaint is lodged. Within 14 days of a hardcopy complaint received by the board, a receipt notification shall be sent to the complainant by mail. If an online complaint has been submitted to the board, an electronic receipt notification shall automatically be generated and emailed to the board's Executive Secretary and the complainant. A copy of the complaint shall be sent to the respondent named in the complaint, if so authorized by the complainant; otherwise, the complaint shall be filed in the podiatrist's file for future reference. Should the complaint be sent to the podiatrist, said podiatrist shall respond to the complaint in writing to the board within 45 days of receipt of the complaint and provide the board with a copy of the complainant's medical records pursuant to any board request.

(c) At such time as a complaint is received at the board's office and authorization given by the complainant to share the complaint with the podiatrist against whom the complaint is lodged, the Executive Secretary shall notify the board's appointed Grievance Committee members with a copy of the complaint. A Grievance Committee member who does not have a conflict of interest as defined in G.S. 138A-36(a) shall be assigned to conduct an investigation to determine if probable cause exists that a violation of the Podiatry Practice Act (G.S. 90-202.8) may have occurred. After review, if the Grievance Committee determines that further investigation is required to determine if probable cause exists, an outside investigator may be retained with the board's permission.

(d) If the Grievance Committee member determines that no probable cause exists that there was a violation of the Podiatry Practice Act, the Grievance Committee member shall submit a summary of his investigation and conclusion first to the remaining members of the Grievance Committee, and if the members concur, to the board for approval. If the decision is approved by the board at a regularly called meeting of the board, both the complainant and respondent shall be notified of the disposition of the case within 14 days of the board's decision.

(e) If the Grievance Committee determines that probable cause of a violation of the Podiatry Practice Act does exist, the Committee shall notify the board and an administrative hearing in compliance with Article 3A of G.S. 150B shall be scheduled. The complainant and the respondent shall be given Notice of the Hearing and the disposition of the case.

History

• Authority G.S. 90-202.4; 90-202.8; 150B-3
• Eff. April 1, 2017.

21 NCAC 52 .0501 Application

History

• Status: repealed
• Authority G.S. 90-202.6
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .0502 Examination

History

• Status: repealed
• Authority G.S. 90-202.6
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .0503 Certification

History

• Status: repealed
• Authority G.S. 90-202.6
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .0504 Annual Renewal

History

• Status: repealed
• Authority G.S. 90-202.6
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .0601 Application for Examination

The application for examination shall be used by all applicants who wish to take the examination for licensure. It requires the applicant to furnish the board with information required by Rule .0201 of this Chapter. The form may be obtained in hard-copy or electronic format from the office of the executive secretary as set forth in Rule .0101 of this Chapter or from the board's website at www.ncbpe.org.

History

• Authority G.S. 90-202.5
• Eff. February 1, 1976
• Amended Eff. June 1, 2011; April 1, 2005; January 1, 2005; December 1, 1988
• Readopted Eff. September 1, 2016.

21 NCAC 52 .0602 Certificate of Licensure

History

• Status: repealed
• Authority G.S. 55B-10; 55B-11; 90-202.6; 90-202.10; 90-202.11
• Eff. February 1, 1976
• Amended Eff. December 1, 1988
• Repealed Eff. June 1, 2011.

21 NCAC 52 .0603 Application for Renewal

History

• Status: repealed
• Authority G.S. 55B-10; 55B-11; 90-202.6; 90-202.10; 90-202.11
• Eff. February 1, 1976
• Amended Eff. December 1, 1988
• Repealed Eff. June 1, 2011.

21 NCAC 52 .0604 Certificate of Continuing Education

History

• Status: repealed
• Authority G.S. 55B-10; 55B-11; 90-202.6; 90-202.10; 90-202.11
• Eff. February 1, 1976
• Amended Eff. December 1, 1988
• Repealed Eff. June 1, 2011.

21 NCAC 52 .0605 Certificate for Establishing a Professional Corporation

History

• Status: repealed
• Authority G.S. 55B-10; 55B-11; 90-202.6; 90-202.10; 90-202.11
• Eff. February 1, 1976
• Amended Eff. December 1, 1988
• Repealed Eff. June 1, 2011.

21 NCAC 52 .0606 Certificate of Registration of Professional Corporation

History

• Status: repealed
• Authority G.S. 55B-10; 55B-11; 90-202.6; 90-202.10; 90-202.11
• Eff. February 1, 1976
• Amended Eff. December 1, 1988
• Repealed Eff. June 1, 2011.

21 NCAC 52 .0607 Application for Examination: Podiatric Assistants

History

• Status: repealed
• Authority G.S. 90-202.4
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .0608 Certificate of Registration: Podiatric Assistants

History

• Status: repealed
• Authority G.S. 90-202.4
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .0609 Annual Renewal: Podiatric Assistants

History

• Status: repealed
• Authority G.S. 90-202.4
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .0610 Appl/Exam/Podiatrist Licensed/Other States (reciprocity)

Any applicant for licensure who is already licensed in another state and wishes to be issued a license pursuant to G.S. 90-202.7 shall comply with the requirements set forth in Rule .0201 of this Chapter and G.S. 90-202.7. Application forms may be obtained from the office of the executive secretary of the board as set forth in Rule .0101 of this Chapter or from the board's website at www.ncbpe.org.

History

• Authority G.S. 90-202.7
• Eff. December 1, 1988
• Amended Eff. June 1, 2011; January 1, 2005
• Readopted Eff. September 1, 2016.

21 NCAC 52 .0611 Forms and Applications

(a) The Board shall issue the following items in accordance with applicable state statutes and this Chapter's administrative rules:

(1) Certificate of Licensure;

(2) Licensure Renewal Card;

(3) Temporary License Certificate; and

(4) Certificate of Corporate Registration.

(b) The Board shall provide and require use of the following application forms that may be obtained from the Board's web site, http://www.ncbpe.org:

(1) Licensure Renewal Application;

(2) Disclaimer Form;

(3) Corporate Registration Application;

(4) Corporate Registration Renewal;

(5) Specialty Credentialing Application;

(6) CME (Continuing Medical Education) Submission Form;

(7) Recommendation Form; and

(8) License Application (Regular, Temporary, Military, Reciprocity).

History

• Authority G.S. 55B-10; 55B-11; 90-202.4(g); 90-202.6; 90-202.7; 90-202.9; 90-20.10; 90-202.11
• Eff. June 1, 2011
• Amended Eff. October 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Amended Eff. November 1, 2015.

21 NCAC 52 .0612 Payment of Fees

The Board shall accept payment of its fees in the form of cash, money order, check, or credit card. For checks that are returned by the Board's bank for insufficient funds, the payor shall reimburse the Board the fee charged to the Board by the bank for insufficient funds. For each credit card payment transaction, the Board shall assess a convenience fee in the amount equivalent to the merchant account fee the bank charges the Board for processing credit card charges.

History

• Authority G.S. 55B-10; 55B-11; 90-202.4(g); 90-202.5; 90-202.10
• Eff. October 1, 2012
• Readopted Eff. September 1, 2016.

21 NCAC 52 .0613 FEE Schedule

The following fees shall apply:

(1) Application for examination (non-refundable) $350.00

(2) Examination (non-refundable) $100.00

(3) Re-Examination $350.00

(4) License certificate $100.00

(5) Annual License Renewal $200.00

(6) License Renewal Late Fee (per month, up to 6 months) $25.00

(7) Data Processing Fee for Pharmaceutical Verification as set forth in Rule .0210 of this Chapter $300.00

(8) Returned check fee as set forth in Rule .0612 of this Section. The returned check fee is $12.00

(9) Incorporation for PA/PC/PLLC $50.00

(10) Annual Corporate Renewal $25.00

(11) Corporate Renewal Late Fee $10.00

History

• Authority G.S. 90-202.5(a);90-202.6(c); 90-202.9; 90-202.10; 55B-10; 55B-11; 55B-12; 150B-19(5)(e)
• Eff. April 1, 2013
• Readopted Eff. September 1, 2016
• Amended Eff. April 1, 2024.

21 NCAC 52 .0701 Petition for Rulemaking Hearings

Any person wishing to submit a petition requesting the board to promulgate, amend, or repeal a rule shall address a petition to the office of the Board of Podiatry Examiners as set forth in Rule .0101 of this Chapter. The caption of the petition shall bear the notation: RULEMAKING PETITION RE: followed by the subject of the petition.

History

• Authority G.S. 150B-20
• Eff. February 1, 1976
• Amended Eff. June 1, 2011; January 1, 2005; December 1, 1988
• Readopted Eff. September 1, 2016.

21 NCAC 52 .0702 Contents of Petition for Rulemaking

The petition must include the following information:

(1) a description of the subject of the petition. For example: "This petition is to hold a rulemaking hearing to amend Rule .0000;"

(2) either a draft of the proposed rule or a summary of its contents;

(3) the reason for the proposal;

(4) the effect on existing rules;

(5) any data supporting the proposal;

(6) the effect of the proposed rule on existing practices, including cost factors;

(7) the names of those most likely to be affected by the proposed rule, with addresses if reasonably known; and

(8) the name(s) and address(es) of petitioner(s).

History

• Authority G.S. 150B-20
• Eff. February 1, 1976
• Amended Eff. June 1, 2011; December 1, 1988
• Readopted Eff. September 1, 2016.

21 NCAC 52 .0703 Disposition of Petitions

(a) The board shall determine whether the public interest will be served by granting the request. Prior to making this determination, the board may request additional information from the petitioners, it may contact interested persons or persons likely to be affected by the proposed rule and request comments, and it may use any other appropriate method for obtaining information on which to base its determination. It shall consider the contents of the petition submitted and any other information obtained by the means described herein.

(b) The board shall make a determination for the institution of rulemaking proceedings or for the denial of the petition as provided by G.S. 150B-20.

History

• Authority G.S. 150B-20
• Eff. February 1, 1976
• Amended Eff. June 1, 2011; December 1, 1988
• Readopted Eff. September 1, 2016.

21 NCAC 52 .0801 Timing of Notice

History

• Status: repealed
• Authority G.S. 150B-12; 150B-12(a)(2)
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .0802 Notice Mailing List

History

• Status: repealed
• Authority G.S. 150B-12; 150B-12(a)(2)
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .0803 Additional Information

History

• Status: repealed
• Authority G.S. 150B-12; 150B-12(a)(2)
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .0804 Notice Mailing List

(a) Upon a determination to hold a rulemaking proceeding, either in response to a petition or otherwise, the Board shall give notice to all interested parties of the proceedings in accordance with the requirements of G.S. 150B, Article 2A.

(b) Mailing List. Any person desiring to be placed on the mailing list for the rulemaking notices may file a request in writing, furnishing his name and mailing address to the Board. The request shall state the subjects within the authority of the Board for which notice is requested.

(c) Fee Charged. The cost to be on the mailing list for rulemaking notices shall be fifteen dollars ($15.00) per year. A notice and invoice shall be mailed no later than February 1 of each year to the last known address of persons on the mailing list. Persons who do not renew their request to remain on the mailing list by remitting the fee by March 1 of each year shall be deleted from the list.

History

• Authority G.S. 150B-21.2(d); 90-20.4(g)
• Eff. April 1, 2005
• Amended Eff. June 1, 2011
• Readopted Eff. September 1, 2016.

21 NCAC 52 .0901 Request to Participate

History

• Status: repealed
• Authority G.S. 150B-12; 150B-13
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .0902 Contents of Request: General Time Limitations

History

• Status: repealed
• Authority G.S. 150B-12; 150B-13
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .0903 Receipt of Request: Specific Time Limits

History

• Status: repealed
• Authority G.S. 150B-12; 150B-13
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .0904 Written Submissions

History

• Status: repealed
• Authority G.S. 150B-12; 150B-13
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .0905 Presiding Officer: Powers and Duties

History

• Status: repealed
• Authority G.S. 150B-12; 150B-13
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .0906 Statement of Reasons for Decision

History

• Status: repealed
• Authority G.S. 150B-12; 150B-13
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .0907 Record of Proceedings

History

• Status: repealed
• Authority G.S. 150B-12; 150B-13
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .0908 Emergency Rules

History

• Status: repealed
• Authority G.S. 150B-12; 150B-13
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .1001 Subjects of Declaratory Rulings

Any person substantially affected by a statute administered or rule promulgated by the board may request a declaratory ruling as provided in G.S. 150B-4.

History

• Authority G.S. 150B-4
• Eff. February 1, 1976
• Amended Eff. December 1, 1988
• Readopted Eff. September 1, 2016.

21 NCAC 52 .1002 Submission of Request for Declaratory Ruling

All requests for declaratory rulings shall be written and mailed to the Board of Podiatry Examiners, 1500 Sunday Drive, Suite 102, Raleigh, North Carolina 27609, Attention: Executive Secretary. The request shall include the following information:

(1) name and address of petitioner;

(2) statute or rule to which petition relates;

(3) concise statement of the manner in which petitioner is aggrieved by the rule or statute or by its potential application to him; and

(4) a statement of whether an oral hearing is desired, and if so, the reason therefore.

History

• Authority G.S. 150B-4
• Eff. February 1, 1976
• Amended Eff. January 1, 2005; December 1, 1988
• Readoption Eff. September 1, 2016.

21 NCAC 52 .1003 Disposition of Requests

(a) When the board deems it appropriate to issue a declaratory ruling, it shall issue such declaratory ruling within 60 days of receipt of the petition.

(b) A declaratory ruling proceeding may consist of written submissions, an oral hearing, or other procedure as may be appropriate in the circumstances of the particular request.

(c) Whenever the board believes "for good cause" that the issuance of a declaratory ruling is undesirable, it may refuse to issue such ruling. If the board refuses to issue such a ruling, it shall notify the petitioner of its decision in writing, stating the reasons for the denial of the declaratory ruling.

(d) For purposes of Paragraph (c) of this Rule, "good cause" exists and the board shall refuse to issue a declaratory ruling:

(1) unless the petitioner shows that the circumstances are so changed since the adoption of the rule that such a ruling would be warranted;

(2) unless the petitioner shows that the agency did not give to the factors specified in the request for a declaratory ruling a full consideration at the time the rule was issued;

(3) where there has been a similar controlling factual determination in a contested case, or where the factual context being raised for a declaratory ruling was specifically considered upon the adoption of the rule or directive being questioned, as evidenced by the rulemaking record; or

(4) where the subject matter of the request is involved in pending litigation in any state or federal court in North Carolina.

History

• Authority G.S. 150B-4
• Eff. February 1, 1976
• Readopted Eff. September 1, 2016.

21 NCAC 52 .1004 Record of Decision

A record of all declaratory ruling proceedings shall be maintained in the board office for as long as the ruling is in effect and for five years thereafter. This record shall contain: the petition, all written submissions filed in the request whether filed by the petitioner or any other person, and a record or summary of oral presentations, if any. Records of declaratory ruling proceedings shall be available for public inspection during the regular office hours of the board's office, as set forth in Rule .0101 of this Chapter.

History

• Authority G.S. 150B-4
• Eff. February 1, 1976
• Amended Eff. December 1, 1988
• Readopted Eff. September 1, 2016.

21 NCAC 52 .1005 Definition

For purposes of Rule .1004 of this Section, a declaratory ruling shall be deemed to be "in effect" until the statute or rule interpreted by the declaratory ruling is amended or repealed, until the board changes the declaratory ruling prospectively, or until any court sets aside the ruling.

History

• Authority G.S. 150B-12; 150B-4
• Eff. February 1, 1976
• Amended Eff. December 1, 1988
• Readopted Eff. September 1, 2016.

21 NCAC 52 .1101 Right to Hearing

History

• Status: repealed
• Authority G.S. 1A-1, Rule 24; 150B-2(2); 150B-23(a); 150B-38; 150B-38(f)
• 150B-40
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .1102 Request for Hearing

History

• Status: repealed
• Authority G.S. 1A-1, Rule 24; 150B-2(2); 150B-23(a); 150B-38; 150B-38(f)
• 150B-40
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .1103 Granting or Denying Hearing Requests

History

• Status: repealed
• Authority G.S. 1A-1, Rule 24; 150B-2(2); 150B-23(a); 150B-38; 150B-38(f)
• 150B-40
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .1104 Notice of Hearing

History

• Status: repealed
• Authority G.S. 1A-1, Rule 24; 150B-2(2); 150B-23(a); 150B-38; 150B-38(f)
• 150B-40
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .1105 Who Shall Hear Contested Cases

History

• Status: repealed
• Authority G.S. 1A-1, Rule 24; 150B-2(2); 150B-23(a); 150B-38; 150B-38(f)
• 150B-40
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .1106 Petition for Intervention

History

• Status: repealed
• Authority G.S. 1A-1, Rule 24; 150B-2(2); 150B-23(a); 150B-38; 150B-38(f)
• 150B-40
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .1107 Types of Intervention

History

• Status: repealed
• Authority G.S. 1A-1, Rule 24; 150B-2(2); 150B-23(a); 150B-38; 150B-38(f)
• 150B-40
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .1201 Failure to Appear

History

• Status: repealed
• Authority G.S. 150B-42 to 150B-45
• Eff. February 1, 1976
• Repealed Eff. December 1, 1988.

21 NCAC 52 .1202 Simplification of Issues

The parties to a contested case may agree in advance to simplify the hearing by decreasing the number of the issues to be contested at the hearing, accepting the validity of certain proposed evidence, accepting the findings in some other case with relevance to the case at hand, or agreeing to such other matters as may expedite the hearing.

History

• Authority G.S. 150B-40
• Eff. February 1, 1976
• Amended Eff. December 1, 1988
• Readopted Eff. September 1, 2016.

21 NCAC 52 .1203 Subpoenas

The board issues subpoenas as provided in G.S. 150B-39.

History

• Authority G.S. 150B-39
• Eff. February 1, 1976
• Amended Eff. December 1, 1988
• Readopted Eff. September 1, 2016.

21 NCAC 52 .1204 Final Decisions in Administrative Hearings

The board shall make a written final decision or order in all contested cases as provided by G.S. 150B-42.

History

• Authority G.S. 150B-42
• Eff. February 1, 1976
• Amended Eff. December 1, 1988
• Readopted Eff. September 1, 2016.

21 NCAC 52 .1301 Board of Podiatry Elections

The submission of nominees to the Governor for appointment to the Board is governed by G.S. 90-202.4(d). Every podiatrist with a current North Carolina license residing in this state shall be eligible to vote in all elections subject to the procedures set out in Rule .1302 of this Section.

History

• Authority G.S. 90-202.4
• Eff. September 1, 1982
• Amended Eff. December 1, 1988; May 1, 1983
• Readopted Eff. September 1, 2016.

21 NCAC 52 .1302 Procedures for Conducting Elections

The procedures to be followed in the conducting of elections to fill podiatrists' positions on the Board of Podiatry Examiners are as set forth in this Rule:

(1) At least 30 days prior to the expiration of the term of a board member, written notice of the holding of an election shall be sent to every podiatrist with a current North Carolina license residing in this state using a mailing or electronic address as contained in the board's official records.

(2) The notice shall have with it a list of at least two, but no more than three nominees proposed by the Board of Podiatry Examiners for the board member position to be filled.

(3) The election or voting for the board member position shall take place annually prior to July 1 of each year. Additional nominations may be received from the floor or as write-in nominations on a ballot and may be received from any licensed podiatrist residing in North Carolina.

(4) Ballots shall be prepared by the Board of Podiatry Elections and distributed or mailed to all North Carolina licensed podiatrists who reside in North Carolina. Any podiatrist who is eligible to vote and who wishes to vote and who will not be in attendance at the election meeting may request a written ballot from the executive secretary or secretary-treasurer and shall return the ballot prior to the election meeting. Each voting podiatrist shall cast his or her ballot in the ballot box or other designated receptacle or return the ballot to the board's offices located as set forth in Rule .0101 by the specified deadline for receipt of ballots. Late ballots shall not be counted.

(5) The executive secretary, secretary-treasurer, or such other member of the board as may be designated by the president of the Board of Podiatry Examiners shall conduct a tally of the ballots, record the two names receiving the highest number of votes and their respective percentages, and submit to the president of the board the names of the two nominees receiving the highest number of votes and their respective percentage of votes.

(6) The president of the board shall in turn submit to the Governor the two names receiving the highest number of votes and their respective percentage of votes with biographical data on the two podiatrists being submitted.

(7) It shall not be necessary for an individual podiatrist to receive a majority of votes of those North Carolina licensed podiatrists participating in the election. All licensees shall be notified of the results of the election.

(8) To be eligible for board membership, a podiatrist must have practiced podiatry in North Carolina for the period of time prescribed by G.S. 90-202.4(a). A vote for any licensed podiatrist not holding a North Carolina license for that period shall not be counted.

History

• Authority G.S. 90-202.4
• Eff. September 1, 1982
• Amended Eff. May 1, 1983
• Legislative Objection Lodged Eff. May 11, 1983
• Curative Amended Eff. May 13, 1983
• Amended Eff. April 1, 2005; December 1, 1988
• Readopted Eff. September 1, 2016.

21 NCAC 52 .1401 Soft Tissue Procedures

Simple soft tissue procedures pursuant to G.S. 90-202.2(b) are procedures involving structures proximal to a line parallel with the dome of the talus that may be performed by a podiatrist in an office setting, including:

(1) ligation of superficial veins or vessels;

(2) repair of soft tissue lacerations and abrasions;

(3) incision, drainage and debridement of abscesses, hematomas, and ulcerations;

(4) excision of foreign bodies and soft tissue masses which are not known or thought to be malignant;

(5) biopsy and cauterization of soft tissue lesions;

(6) ligamentous and tendon repairs found during the aforementioned procedures; and

(7) release of nerve entrapment found in conjunction with an extension of nerve entrapment procedures of the foot.

History

• Authority G.S. 90-202.2(b)
• Eff. October 1, 1995
• Readopted Eff. September 1, 2016.

Chapter 53 Clinical Mental Health Counselors

21 NCAC 53 .0101 Organization

History

• Status: repealed
• Filed as a Temporary Rule Eff. February 21, 1984, for a Period of 120 Days to Expire on June 19, 1984
• Authority G.S. 90-328
• Eff. July 1, 1984
• Repealed Eff. March 1, 1989 in accordance with G.S. 150B-59(c).

21 NCAC 53 .0102 Professional Ethics

(a) The Board of Licensed Clinical Mental Health Counselors has adopted the American Counseling Association (ACA) Code of Ethics that are hereby incorporated by reference, including subsequent amendments and editions. A free copy may be obtained from the American Counseling Association online at www.counseling.org.

(b) In addition, the Board has adopted the Approved Clinical Supervisor (ACS) Code of Ethics promulgated by the Center for Credentialing and Education that are hereby incorporated by reference, including subsequent amendments and editions. A free copy may be obtained from the Center for Credentialing and Education online at www.cce-global.org.

History

• Authority G.S. 90-334(h)
• Temporary Rule Eff. February 21, 1984, for a Period of 120 Days to Expire on June 19, 1984
• Eff. July 1, 1984
• Amended Eff. July 1, 2014; January 1, 2010; July 1, 2006; July 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. January 1, 2020 (S.L. 2019-240, s. 3.(k)).

21 NCAC 53 .0103 Purpose of Organization

History

• Status: repealed
• Filed as a Temporary Rule Eff. February 21, 1984, for a Period of 120 Days to Expire on June 19, 1984
• Authority G.S. 90-334; 1993 S.L. c. 514, s. 5
• Eff. July 1, 1984
• Repealed Eff. July 1, 1994.

21 NCAC 53 .0104 Organization of the Board

History

• Status: repealed
• Filed as a Temporary Rule Eff. February 21, 1984, for a Period of 120 Days to Expire on June 19, 1984
• Authority G.S. 90-334(b); 1993 S.L. c. 514, s.5
• Eff. July 1, 1984
• Repealed Eff. July 1, 1994.

21 NCAC 53 .0105 Meetings

History

• Status: repealed
• Filed as a Temporary Rule Eff. February 21, 1984, for a Period of 120 Days to Expire on June 19, 1984
• Authority G.S. 90-334; 1993 S.L. c. 514, s. 5
• Eff. July 1, 1984
• Repealed Eff. July 1, 1994.

21 NCAC 53 .0201 Supervision

History

• Status: repealed
• Filed as a Temporary Rule Eff. February 21, 1984, for a Period of 120 Days to Expire on June 19, 1984
• Authority G.S. 90-334; 90-336(b)(3); 1993 S.L. c. 514, s. 5
• Eff. July 1, 1984
• Amended Eff. April 1, 1989
• Repealed Eff. July 1, 1994.

21 NCAC 53 .0202 Privileged Communication

Privileged Communication shall mean any communication between client and counselor, given in confidence and not intended to be disclosed to third persons other than those to whom disclosure is made in the furtherance of the rendition of professional services to the client.

History

• Authority G.S. 8-53.8; 90-334
• Temporary Rule Eff. February 21, 1984, for a Period of 120 Days to Expire on June 19, 1984
• Eff. July 1, 1984
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 53 .0203 Statement of Professional Intent

History

• Status: repealed
• Filed as a Temporary Rule Eff. February 21, 1984, for a Period of 120 Days to Expire on June 19, 1984
• Authority G.S. 90-334; 90-336; 1993 S.L. c. 514, s. 5
• Eff. July 1, 1984
• Amended Eff. April 1, 1989
• Repealed Eff. July 1, 1994.

21 NCAC 53 .0204 PROFESSIONAL DISCLOSURE STATEMENT REQUIREMENTS FOR LCMHCA AND Lcmhc

A Professional Disclosure Statement is a printed document that includes the following information:

(1) name of licensee or applicant;

(2) the licensee's or applicant's highest relevant degree, year degree received, discipline of degree, and name of institution granting the degree;

(3) names and numbers of all relevant credentials licenses, certificates, or registrations;

(4) number of years of counseling experience;

(5) description of services offered and populations served;

(6) length of sessions, specific fee or range of fees charged per session, if no fee is charged, a statement to that effect, and methods of payments for services, including information about billing or insurance reimbursement;

(7) an explanation of confidentiality, including responsibilities and exceptions such as, child or elder abuse, court order;

(8) a statement of procedure for registering complaints, including the full name, address, and telephone number of the Board's office;

(9) signature and date spaces for both the client and licensee; and

(10) level of licensure and whether the licensee is under supervision. If under supervision, include name of supervisor.

A current copy of this statement shall be provided to each client prior to the performance of professional counseling services. An updated Professional Disclosure Statement shall be submitted at the time of renewal to the Board's office at 2-C Terrace Way, Greensboro, NC 27403 or electronically by uploading on the Board's website at https://portal.ncblcmhc.org/. The counselor shall retain a file copy of the Professional Disclosure Statement signed by each client.

History

• Authority G.S. 90-334; 90-343
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; January 1, 2010; July 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2022; March 1, 2022; January 1, 2020 (S.L. 2019-240), s.3.(k).

21 NCAC 53 .0205 COUNSELING EXPERIENCE and out of state applicants

(a) The counseling experience required by G.S. 90-336(c)(2) shall include 2000 hours of direct counseling experience. "Direct Counseling Experience" shall consist of live contact with individuals, groups, or families through counseling as defined in G.S. 90-330(a)(3)a, b, and d. Experience shall be gained at a rate of no more than 40 hours per week. At least 100 hours of clinical supervision, as defined in Rule .0210 and Rule .0211 of this Section, shall be documented during the 3000 hours of supervised clinical mental health practice as defined in Rule .0208 of this Section. No less than three-quarters of the hours of clinical supervision shall be individual clinical supervision.

(b) Out of state applicants shall satisfy either requirements determined by the Board to be substantially similar to or exceeding those established under Chapter 90 Article 24 and these Rules, endorsements as stated in Rule .0304, or reciprocity agreements, if applicable.

(c) For purposes of this Rule, the term "reciprocity" means the ability of a mental health counselor with an active independent license that does not require supervision and is in good standing, to practice mental health counseling in another state or U.S. jurisdiction.

History

• Authority G.S. 90-334(h),(i); 90-336(c); 90-337
• Eff. July 1, 1995
• Amended Eff. July 1, 2014; January 1, 2010; July 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2022.

21 NCAC 53 .0206 Graduate Counseling Experience

(a) Applicants who apply prior to July 1, 2022, shall complete a graduate counseling experience, which shall consist of the following separate courses:

(1) one or more courses in practicum totaling at least three semester hours or five quarter hours;

(2) one or more courses in internship totaling at least three semester hours or five quarter hours; and

(3) at least 17 hours of graduate counseling supervision as defined in Rules .0210 and .0211 of this Section.

Supervised graduate counseling shall comply with the requirements of Rule .0212 of this Section, shall be verified by a university faculty member on the Verification of Graduate Counseling Experience Form as described in Paragraph (d) of this Rule, and shall consist of 300 hours of graduate counseling experience at a rate of not less than one hour of clinical supervision per 40 hours of graduate counseling experience, as defined by Rule .0701(2)(b) of this Chapter. At least 180 hours of this counseling experience shall be direct counseling experience as defined in Rule .0205 of this Section.

(b) Applicants who apply on or after July 1, 2022, shall complete a graduate counseling experience, which shall consist of the following separate courses:

(1) one or more courses in practicum that meet the standards related to practicum of the current edition of the Council for Accreditation of Counseling and Related Educational Programs (CACREP) at the time of the receipt of application as defined in Rule .0308(a) of this Chapter. All CACREP course standards are hereby incorporated by reference, including subsequent amendments and editions. The standards may be accessed at www.cacrep.org at no cost. The practicum courses shall include graduate counseling supervision as defined by the current edition of the CACREP standards at the time of application; and

(2) one or more courses in internship that meet the standards related to internship of the current edition of CACREP at the time of the receipt of application as defined in Rule .0308(a) of this Chapter. The internship courses shall include graduate counseling supervision as defined by the current edition of the CACREP standards at the time of application.

(c) Applicants who apply on or after July 1, 2025, shall complete all internship experiences in a clinical mental health setting that provides substantial opportunities to assess, appraise, diagnose, and treat mental health disorders and shall consist of "direct counseling experience" as defined in Rule .0205(a) of this Section. Clinical mental health settings may include private practices; college counseling centers; community agencies; managed behavioral health care organizations; integrated delivery systems hospitals; employee assistance programs; specialty treatment centers; vocational rehabilitation centers; marriage, couple, and family practices; addiction counseling sites; or school-based clinical mental health counseling sites.

(d) All applicants for licensure shall submit a Verification of Graduate Counseling Experience Form that shall contain:

(1) the name, title, contact information and signature of the person verifying graduate counseling experience;

(2) the name of agency where graduate counseling experience occurred;

(3) information regarding university supervisor for the graduate counseling experience;

(4) the name, title and credentials of the site supervisor;

(5) total hours of individual and group clinical supervision received during graduate counseling experience;

(6) whether the experience is practicum or internship;

(7) the beginning and end dates of clinical experience;

(8) the total number of direct and indirect hours, as defined by CACREP;

(9) the total hours of direct and indirect client contact as defined by CACREP; and

(10) For applicants applying on or after July 1, 2025, identify the type of clinical mental health setting and describe the counseling experience acquired by the applicant in the following areas: assessment, appraisal, diagnosis, and treatment of mental health disorders.

(11) The form is available on the Board's website at www.ncblcmhc.org.

History

• Authority G.S. 90-332.1(a)(3); 90-334(h); 90-334(i); 90-336(b1); 90-336(b2)
• Eff. July 1, 1995
• Amended Eff. July 1, 2014; January 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. February 1, 2023; March 1, 2022.

21 NCAC 53 .0207 Professional Setting

History

• Status: expired
• Authority G.S. 90-334(i); 90-336(b)(2)
• Eff. July 1, 1995
• Expired Eff. May 1, 2019 pursuant to G.S. 150B-21.3A.

21 NCAC 53 .0208 Supervised Professional Practice

"Supervised professional practice" means counseling experience under the supervision of a qualified clinical supervisor, as defined in Rule .0209 of this Section, and includes a minimum of one hour of individual or two hours of group clinical supervision per 40 hours of supervised professional counseling practice. Individual clinical supervision hours do not count towards the 40 hours of supervised professional practice. At least three-quarters of the hours of clinical supervision shall be individual. Persons who have met all licensure requirements except the supervised professional practice who wish to counsel as supervised counselors in supervised professional settings, as defined in Rule .0207 of the Section, shall apply to become a licensed clinical mental health counselor associate as defined in Rule .0701 of this Chapter. The focus of a supervision session shall be on raw data from clinical work that is made available to the supervisor through such means as live observation, co-therapy, audio and video recordings, and live supervision. Written materials and self-reports by the supervised counselor may supplement the supervision process but shall not be the sole basis of any supervision session.

History

• Authority 90-334(h),(i); 90-336(c)(2)
• Eff. July 1, 1995
• Amended Eff. July 1, 2014; January 1, 2010; July 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. January 1, 2020 (S.L. 2019-240, s. 3.(k)).

21 NCAC 53 .0209 Qualified Clinical Supervisor

(a) A "qualified clinical supervisor" is:

(1) A licensed clinical mental health counselor with the following:

(A) a master's degree as defined in G.S. 90-336(b)(1);

(B) an independent license that is not under supervision;

(C) the equivalent of three semester graduate credits in clinical supervision from a regionally accredited institution of higher education as documented by an official transcript or 45 contact hours of continuing education in clinical supervision as defined by Rule .0603(c) in this Chapter; and

(D) a minimum of five years of post-graduate counseling experience with a minimum of two years of post licensure experience; or

(2) An equivalently and actively licensed mental health professional as defined in Paragraph (c) of this Rule.

(b) As of July 1, 2017, all qualified clinical supervisors shall hold the credential of licensed clinical mental health counselor supervisor or be a licensed clinical mental health counselor or an equivalently and actively licensed mental health professional, as defined in Paragraph (c) of this Rule.

(c) "Equivalently and actively licensed" means that the mental health professional shall have:

(1) at least a master's degree as defined in G.S. 90-336(b)(1);

(2) an independent license that is not under supervision and is in good standing with the respective licensing board;

(3) the equivalent of three semester graduate credits in clinical supervision from a regionally accredited institution of higher education as documented by an official transcript or 45 contact hours of continuing education in clinical supervision, as defined by Rule .0603(c) in this Chapter;

(4) a minimum of five years of post-graduate counseling experience, with a minimum of two years of post licensure experience; and

(5) a minimum of 10 contact hours of continuing education in professional knowledge and competency in the field of counseling supervision completed every two years and submitted to the Board.

History

• Authority G.S. 90-330(a)(4); 90-334(h),(i); 90-336(d)
• Eff. July 1, 1995
• Amended Eff. July 1, 2014; January 1, 2010; July 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. January 1, 2020 (S.L. 2019-240, s. 3.(k)).

21 NCAC 53 .0210 Individual Clinical Supervision

"Individual clinical supervision" means face-to-face supervision, as defined in Rule .0212 of this Section, of one or two supervisees and a qualified clinical supervisor, as defined in Rule .0209 of this Section, for a period not less than one hour of clinical supervision per session, as defined in Rule .0208 of this Section, per 40 hours of supervised professional practice, as defined in Rule .0205 of this Section. Face-to-face hours with the qualified clinical supervisor do not count toward the 40 hours of supervised professional practice.

History

• Authority G.S. 90-334(h),(i); 90-336(c)(2)
• Eff. July 1, 1995
• Amended Eff. July 1, 2014; January 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 53 .0211 Group Clinical Supervision

"Group clinical supervision" means face-to-face supervision, as defined in Rule .0212 of this Section between groups of supervisees, not to exceed 12 supervisees per group, and a qualified clinical supervisor, for a period not less than two hours of clinical supervision per session, per 40 hours of supervised professional practice, as defined in Rule .0208 of this Section.

History

• Authority G.S. 90-334(h),(i); 90-336(c)(2)
• Eff. July 1, 1995
• Amended Eff. July 1, 2014; January 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 53 .0212 Face to Face Supervison Defined

"Face-to-face" clinical supervision means supervision that is live, interactive, and visual. Video supervision is permitted as long as the session is synchronous and involves verbal and visual interaction during the supervision. All supervision, whether live or audio and video recordings, shall be done in a confidential manner in accordance with the ACA Code of Ethics as set forth in Rule .0102 of this Chapter.

History

• Authority G.S. 90-334(h)
• Eff. July 1, 2006
• Amended Eff. July 1, 2014; January 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 53 .0213 mental health professional

A mental health professional includes the following individuals:

(1) Licensed Clinical Mental Health Counselors (LCMHC);

(2) Licensed Marriage and Family Therapists (LMFT);

(3) Licensed Clinical Social Workers (LCSW) with a master's degree in social work from a school of social work accredited by the Council of Social Work Education;

(4) Licensed Psychologists;

(5) Licensed Medical Doctors with a Medical Board certification in psychiatry;

(6) Nurse Practitioners approved to practice in North Carolina and certified by the American Nurses Credentialing Center as an advanced practice nurse practitioner and certified in psychiatric nursing; and

(7) Clinical Nurse Specialists certified by the American Nurses Credentialing Center or the American Psychiatric Nurse Association as an Advanced Practice Psychiatric Clinical Nurse Specialist (CNS).

History

• Authority G.S. 90-334(h); 90-334(i)
• Eff. January 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. January 1, 2020 (S.L. 2019-240, s. 3.(k)).

21 NCAC 53 .0301 Applications

Applications shall be submitted only on forms obtained from the Board's office at the address set forth in Rule .0204 of this Chapter or website, www.ncblcmhc.org. Applications may be submitted electronically or mailed in paper format to the Board's office.

History

• Authority G.S. 90-334; 90-336(a)
• Temporary Rule Eff. February 21, 1984, for a Period of 120 Days to Expire on June 19, 1984
• Eff. July 1, 1984
• Amended Eff. July 1, 2014; January 1, 2010; July 1, 1995; July 1, 1994; April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. March 1, 2022.

21 NCAC 53 .0302 Transcripts

The applicant shall have official transcripts sent either electronically or in paper format, from institutions where graduate credit was earned. If the transcript course titles are ambiguous or do not convey the pertinent content of the courses, the Board shall require additional documentation from the applicant, such as a course description or syllabus from the same time period that the applicant was enrolled.

History

• Authority G.S. 90-334; 90-336
• Temporary Rule Eff. February 21, 1984, for a Period of 120 Days to Expire on June 19, 1984
• Eff. July 1, 1984
• Amended Eff. July 1, 2014; January 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 53 .0303 Work Experiences

History

• Status: repealed
• Filed as a Temporary Rule Eff. February 21, 1984, for a Period of 120 Days to Expire on June 19, 1984
• Authority G.S. 90-334; 90-336; 1993 S.L. c. 514, s. 5
• Eff. July 1, 1984
• Amended Eff. April 1, 1989
• Repealed Eff. July 1, 1994.

21 NCAC 53 .0304 Applicants Licensed in Other States

If an applicant is licensed to practice counseling by a Board in another state, the applicant shall apply for licensure with the North Carolina Board and shall meet the following requirements:

(1) shall have a minimum of five years of full time counseling experience, or eight years of part time counseling experience, or a combination of full time and part time counseling experience equivalent to five years of full time counseling experience, within 10 years directly prior to application;

(2) shall have a minimum of 2500 hours of direct client contact;

(3) shall have an active independent license that does not require supervision, and be in good standing as a licensed clinical mental health counselor in another state for a minimum of two years directly prior to application; and

(4) shall comply with all other applicable rules for licensure as a licensed clinical mental health counselor.

History

• Authority G.S. 90-334; 90-337; S.L. 1993-514, s.5
• Temporary Rule Eff. February 21, 1984, for a Period of 120 Days to Expire on June 19, 1984
• Eff. July 1, 1984
• Amended Eff. July 1, 2014; July 1, 2006; July 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. January 1, 2020 (S.L. 2019-240, s. 3.(k)).

21 NCAC 53 .0305 Examination

(a) One of the following national exams shall be taken to complete the examination requirement for licensure as a licensed clinical mental health counselor associate and licensed clinical mental health counselor:

(1) the National Counselor Examination (NCE);

(2) the National Clinical Mental Health Counselor Examination (NCMHCE); or

(3) the Certified Rehabilitation Counselor Examination (CRC)

(b) The Board shall accept examinations administered by other state counselor licensing boards and licensed clinical mental health counselor credentialing associations if the Board determines that such examinations are equivalent to the NCE, NCMHCE, or CRC relative to content and minimum satisfactory performance levels for counselors.

(c) The completion of a no fail jurisprudence exam, as selected by the Board, is required for licensure application at each level (licensed clinical mental health counselor associate, license clinical mental health counselor, and licensed clinical mental health counselor supervisor) and for each consecutive renewal period. Applicants and renewing licensees shall submit documentation of completion of the no fail jurisprudence exam, taken within six months prior to application to the Board for licensure or within six months prior to the date of expiration of the license.

History

• Authority G.S. 90-334(g),(h); 90-336(b)(3); 90-337
• Eff. July 1, 1995
• Amended Eff. July 1, 2014; January 1, 2010; July 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. January 1, 2020 (S.L. 2019-240, s. 3.(k)).

21 NCAC 53 .0306 Reporting of Scores

History

• Status: repealed
• Authority G.S. 90-334(g); 90-336(b)(3)
• Eff. July 1, 1995
• Repealed Eff. January 1, 2010.

21 NCAC 53 .0307 Retaking of Examination

Applicants who do not pass one of the examinations as set forth in Rule .0305 of this Section may retake it at the next regularly scheduled examination date upon registering with and paying the required examination fee to the National Board of Certified Counselors or to the Commission on Rehabilitation Counselor Certification. Applicants who fail the examination a second time during an application period shall have their application denied. The applicants may reapply for licensure and shall be subject to the requirements at the time of reapplication.

History

• Authority G.S. 90-334(g),(h),(j)
• Eff. July 1, 1995
• Amended Eff. July 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 53 .0308 Receipt of Application

(a) All requirements for applications shall be satisfied in accordance with Article 24 of G.S. 90 and the rules of this Chapter within two years from the date of receipt of the application or the application shall be void. Application shall be deemed to be received by the Board when the Board's office sends the confirmation of receipt, and, processes the application fee. The applicant may reapply for licensure and shall be subject to the requirements at the time of reapplication.

(b) Change of Address. The applicant shall inform the Board of any change in his or her mailing address or email address within 60 days after any change. Updated address information shall be submitted on forms available on the Board's website, www.ncblcmhc.org.

(c) Change of Name. The applicant shall inform the Board of any change in his or her name within 60 days after any change. A name change form shall be submitted on forms available on the Board's website, www.ncblcmhc.org and shall include any valid government issued form of identification, such as a social security card, driver's license, passport, divorce decree, or court order.

History

• Authority G.S. 90-334(h); 90-336(a)
• Eff. July 1, 1995
• Amended Eff. July 1, 2014; January 1, 2010; July 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2022; March 1, 2022.

21 NCAC 53 .0309 Agreement to Abide by Ncblcmhc Ethical Standards

Upon application for any license covered by G.S. 90, Article 24 and upon application for each succeeding renewal of such license, if granted, each applicant shall sign a statement agreeing to abide by the ethical standards adopted by the Board. If an applicant fails to sign the statement, the Board shall notify the applicant in writing of the statutory requirement to abide by the ethical standards adopted by the Board.

History

• Authority G.S. 90-334(g); 90-336(a)
• Eff. July 1, 1995
• Amended Eff. January 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 53 .0310 Foreign Degree Applicants

(a) Applicants applying for licensure on the basis of a foreign degree shall provide documentation, in addition to all other documents required for licensure, that establishes the following:

(1) the existence of the degree granting institution;

(2) the authenticity of the degree, transcripts, and any supporting documents;

(3) the equivalence of the degree in terms of level of training, content of curriculum, and course credits; and

(4) the equivalence of any post-graduate supervised experience obtained in the foreign country.

(b) Documentation shall be in the form of a course-by-course evaluation of credentials submitted directly to the Board from an evaluation service that is a member of the National Association of Credentials Evaluation Services, Inc. (www.naces.org).

(c) Except as described in Paragraph (b) of this Rule, only official documents shall be submitted in support of the application and shall be received directly from the institution or individual involved.

(d) When an official document is not available directly from the institution or individual involved, an original document possessed by the applicant may be reviewed and copied by a Board member or designee.

(e) Any document that is in a language other than English shall be accompanied by a translation with notarized verification of the translation's accuracy and completeness. This translation shall be completed by an individual, other than the applicant, and demonstrates no conflict of interest. The individual providing the translation may be college or university language faculty, a translation service, or an American consul.

History

• Authority G.S. 90-334
• Eff. July 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 53 .0311 Requirements for Candidate for Licensure Pending Status

(a) Applicants for licensure may be designated as a "Candidate for Licensure Pending" (CFL-P) if the application is missing one or more of the following requirements:

(1) official exam score from the examining board;

(2) official transcript from a regionally accredited higher education institution; or

(3) Professional Disclosure Statement for the level that they are applying.

(b) For the applicant to be listed as a CFL-P, the applicant shall provide the following documentation:

(1) a receipt showing the request and payment to the examining board for an official exam score to be sent to the Board; or

(2) a receipt showing the request and payment to the educational institution for an official transcript to be sent to the Board.

(c) The CFL-P designation allows the applicant's file to be reviewed at the next regularly scheduled Board meeting for approval so that a license may be issued upon receipt of the missing documents. The CFL-P designation is effective for a maximum of 60 days from the date of approval by the Board. If the missing documents are not received within the 60 days, the CFL-P designation shall revert to an application in review and shall be presented at the next scheduled Board meeting upon receipt of missing documents subject to the two-year period set forth in Rule .0308 of this Section.

History

• Authority G.S. 90-334
• Eff. July 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 53 .0401 Rule of Procedure

History

• Status: repealed
• Authority G.S. 90-331; 90-334; 90-341
• Temporary Rule Eff. February 21, 1984, for a Period of 120 Days to Expire on June 19, 1984
• Eff. July 1, 1984
• Amended Eff. July 1, 2006; July 1, 1994; April 1, 1989
• Repealed Eff. January 1, 2010.

21 NCAC 53 .0402 GROUnds for denial, suspension, or revocation of license

History

• Status: repealed
• Authority G.S. 90-334
• Eff. July 1, 1994
• Repealed Eff. September 1, 2006.

21 NCAC 53 .0403 Alleged Violations

All complaints of alleged violations shall be submitted electronically or in paper format on forms available on the Board's website, www.ncblcmhc.org and shall be signed by the complainant(s), unless submitted anonymously. Complaints of violations of Article 24 of G.S. 90, the American Counseling Association, (ACA) Code of Ethics, or the Center for Credentialing and Education's Approved Clinical Supervisor (ACS) Code of Ethics shall include:

(1) the complainant's signature, unless submitted anonymously;

(2) the complainant's address and telephone number, unless submitted anonymously;

(3) date and location of the alleged violation(s);

(4) a description of the incident(s); and

(5) signed releases, unless submitted anonymously.

History

• Authority G.S. 90-334; 90-340
• Eff. July 1, 1995
• Amended Eff. July 1, 2014; January 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. March 1, 2022.

21 NCAC 53 .0404 Formal Complaints

History

• Status: repealed
• Authority G.S. 90-334
• Eff. July 1, 1995
• Repealed Eff. January 1, 2010.

21 NCAC 53 .0405 Disciplinary Actions

History

• Status: repealed
• Authority G.S. 90-334
• Eff. July 1, 1995
• Repealed Eff. January 1, 2010.

21 NCAC 53 .0501 Application Fee

The initial application fees are as follows:

(1) licensed clinical mental health counselor associate application two hundred dollars ($200.00);

(2) licensed clinical mental health counselor application two hundred dollars ($200.00); and

(3) licensed clinical mental health counselor supervisor application two hundred dollars ($200.00).

History

• Authority G.S. 90-334
• Temporary Rule Eff. February 21, 1984, for a Period of 120 Days to Expire on June 19, 1984
• Eff. July 1, 1984
• Amended Eff. July 1, 2014; January 1, 2010; July 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. January 1, 2020 (S.L. 2019-240, s. 3.(k)).

21 NCAC 53 .0502 Examination Fee

History

• Status: repealed
• Authority G.S. 90-334
• Temporary Rule Eff. February 21, 1984, for a Period of 120 Days to Expire on June 19, 1984
• Eff. July 1, 1984
• Amended Eff. July 1, 2006; July 1, 1994
• Repealed Eff. January 1, 2010.

21 NCAC 53 .0503 Renewal and Other Fees

(a) The biennial renewal fee of two hundred dollars ($200.00) is due and payable by June 20 of the renewal year. Checks shall be made payable to the North Carolina Board of Licensed Clinical Mental Health Counselors. Failure to pay the biennial renewal fee within the time stated shall automatically suspend the right of any licensee to practice while suspended. A suspended license may be renewed within one year after non-payment of the renewal fee, plus a late renewal fee of seventy-five dollars ($75.00).

(b) The cost of a returned check is actual cost.

(c) The registration fee for a Certificate of Registration for a professional corporation or limited liability company is fifty dollars ($50.00);

(d) The renewal fee for a professional corporation or limited liability company is twenty-five dollars ($25.00); and

(e) The late renewal fee for a professional corporation or limited liability company is ten dollars ($10.00).

(f) The cost of copies of public records shall be the "actual cost," as defined in G.S. 132-6.2(b) and mailing cost, if applicable. There shall be no charge if the request is for 10 pages or less.

History

• Authority G.S. 55B-10; 55B-11; 90-334; 90-339; 132-6.2(b)
• Temporary Rule Eff. February 21, 1984, for a Period of 120 Days to Expire on June 19, 1984
• Eff. July 1, 1984
• Amended Eff. July 1, 2014; July 1, 2006; July 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. January 1, 2020 (S.L. 2019-240, s. 3.(k)).

21 NCAC 53 .0504 Fund SUSPENSION

In the event the Board's authority to expend funds is suspended pursuant to G.S. 93B-2, the Board shall continue to issue and re-new licenses and all fees tendered shall be placed in an escrow account maintained by the Board for this purpose. Once the Board's authority is restored, the funds shall be moved from the escrow account into the general operating account.

History

• Authority G.S. 93B-2(d)
• Eff. January 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 53 .0601 Renewal Period

Newly issued licenses shall be effective upon the date of issuance by the Board and shall expire on the second June 30 thereafter. At least 45 days prior to expiration of each license, the Board shall mail by regular U.S. mail or email a notice for license renewal to the licensee for the current licensure period. The renewal period for a newly issued license may be less than two years. Following the first renewal of a newly issued license, the renewal period shall be two years and shall run from July 1 in the first year through June 30 in the second year. A licensee whose license has been suspended for failure to renew shall not practice until the license is renewed.

History

• Authority G.S. 90-334(h); 90-339
• Eff. July 1, 1995
• Amended Eff. July 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2022.

21 NCAC 53 .0602 Renewal for Licensure Form; Address Change; Name Change

(a) License renewal information shall be on the Renewal for Licensure forms available on the Board's website www.ncblcmhc.org and submitted either electronically or mailed in paper format to the Board's office as set forth in Rule .0204 of this Chapter. The licensee shall provide general contact information, including the licensee's email address, including all professional licenses, certificates and credentials, and all continuing counselor education information for the past two years. All requested information shall be provided and the forms shall be signed and dated. Documents that shall be included with the renewal form are the following:

(1) certificate of completion of the jurisprudence examination for the level of license that is being renewed;

(2) the ethics attestation statement;

(3) an updated Professional Disclosure Statement; and

(4) payment of renewal fee.

(b) Change of Address. The licensee shall inform the Board of any change in his or her mailing address or email address within 60 days after any change. Updated address information shall be submitted on forms available on the Board's website, www.ncblcmhc.org.

(c) Change of Name. The licensee shall inform the Board of any change in his or her name within 60 days after any change. A name change form shall be submitted on forms available on the Board's website, www.ncblcmhc.org and shall include any required legal documentation, as a marriage certificate, divorce decree, or court order.

History

• Authority G.S. 90-334(g); 90-336(a); 90-339(b)
• Eff. July 1, 1995
• Amended Eff. July 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2022; March 1, 2022.

21 NCAC 53 .0603 Continuing Education

(a) Continuing education is required for the renewal of licenses to ensure that licensed clinical mental health counselor associates, licensed clinical mental health counselors, and licensed clinical mental health counselor supervisors maintain their professional knowledge and competency in the field of counseling. Continuing education activities appropriate for the purpose of license renewal are those that are directed toward professionals in the mental health field and that focus on increasing knowledge and skills in the practice of counseling in one or more of the following content areas:

(1) counseling theory;

(2) human growth and development;

(3) social and cultural foundations;

(4) the helping relationship;

(5) group dynamics;

(6) lifestyle and career development;

(7) appraisal of individuals;

(8) diagnosis and treatment planning;

(9) research and evaluation;

(10) professional counseling orientation; and

(11) ethics.

(b) Forty contact hours of continuing counselor education, including a minimum of three contact hours of ethics, shall be completed within the two-year license renewal period. However, in the cases of newly issued licenses in which the initial renewal period is less than two full years, 30 contact hours, including a minimum of three contact hours of ethics, shall be completed. Contact hours are defined as the number of actual clock hours spent in direct participation in a structured education format as a learner. Typically, one Continuing Education Unit (CEU) is equivalent to 10 contact hours. In a college or university graduate course, one semester hour of credit is equivalent to 15 contact hours and one quarter hour of credit is equivalent to 10 contact hours.

(c) Continuing counselor education provided by one of the following national organizations, their affiliates, or by a vendor approved by one of the following organizations shall be accepted by the Board for renewal purposes:

(1) American Association of State Counseling Boards (aascb.org)

(2) American Counseling Association (counseling.org);

(3) Commission on Rehabilitation Counselor Certification (crccertification.com); and

(4) National Board for Certified Counselors (nbcc.org).

(d) Continuing counselor education provided by one of the following national organizations, their affiliates or by a vendor approved by one of the following organizations shall be approved for no more than 15 contact hours for any given renewal period as defined in Rule .0601 of this Chapter:

(1) American Association of Christian Counselors (www.aacc.net);

(2) American Association of Marriage and Family Therapy (www.aamft.org);

(3) American Psychological Association (www.apa.org);

(4) Employee Assistance Certification Commission (www.eapassn.org);

(5) International Association of Employee Assistance Professionals in Education (www.iaeape.org);

(6) National Area Health Education Center Organization (www.nationalahec.org);

(7) National Association for Pastoral Counseling and Psychotherapy (www.napcp.ie);

(8) National Association of Social Workers (www.socialworkers.org);

(9) National Rehabilitation Association (www.nationalrehab.org); and

(10) The Association for Addiction Professionals (www.naadac.org).

(e) Evidence of completion of continuing counselor education shall consist of a certificate of attendance signed by the responsible officer of a continuing counselor education provider, and shall include date(s) of attendance, number of contact hours, name of attendee, name of course, and approved provider name or number. Licensees shall maintain such information for seven years following course completion; however, a licensee is only required to submit such information if audited by the Board. On the Renewal for Licensure Form, a licensee shall attest to having completed the required continuing counselor education within the current renewal cycle.

(f) The Board may conduct a random audit of a percentage of its licensees' continuing counselor education documentation for each renewal cycle, and licensees shall submit the requested information upon request of the Board. Failure to submit the required documentation shall result in disciplinary action by the Board.

(g) Continuing counselor education activities also acceptable for renewal of licensure are as follows:

(1) Contact hours shall be awarded for academic credit gained during a renewal period from a regionally accredited institution of higher education for work done in a counseling or counseling-related subject. A copy of a transcript or grade report is the required documentation. Documentation must contain the following information:

(A) date(s) of attendance;

(B) number of semester or quarter hours earned;

(C) name of attendee; and

(D) name or number of course.

Contact hours are as defined in Paragraph (b) of this Rule. Completion dates must fall within the renewal period.

(2) Contact hours shall be awarded for publication activities limited to articles written by the licensee and published in peer reviewed journals, editing of a chapter in a book based on counseling or counseling related material, or authoring or co-authoring a published book on counseling or counseling-related material. Publication dates must fall within the renewal period. Required documentation is a copy of the cover page of the article(s) or book; copy of the copyright page denoting date of publication; or for a chapter in an edited book, a copy of the table of contents listing the chapter is also required. Ten contact hours shall be approved for each publication activity, and only 10. The maximum contact hours allowed during a renewal period is 10. Contact hours awarded for publication activities shall not be applied to the three contact hour requirement for ethics.

(3) Contact hours shall be awarded for academic credit granted during a renewal period from a regionally accredited institution of higher education for work done toward the completion of a dissertation. "Required documentation" means a copy of a transcript or grade report showing credit earned during the renewal period. The maximum contact hours allowed during a renewal period is 10. Contact hours are as defined in Paragraph (b) of this Rule. Completion dates must fall within the renewal period. Contact hours awarded for dissertation shall not be applied to the three contact hour requirement for ethics.

(4) Contact hours shall be awarded for supervised professional practice, as defined by Rule .0208 of this Chapter, that was received by the licensee during the renewal period. Contact hours shall not be granted for clinical supervision provided by the licensee to others. The maximum contact hours allowed during a renewal period for supervised professional practice is 10. "Contact hours" means the number of actual clock hours spent in direct, supervised professional practice. Required documentation is a letter from the qualified clinical supervisor, as defined by Rule .0209 of this Chapter, who provided the supervised professional practice verifying a licensee's participation in the activity. The letter shall confirm the dates of the activity, the number of participation hours, and the position or title and credential of the provider. Dates of activity must fall within the renewal period. Contact hours awarded for clinical supervision shall not be applied to the three contact hour requirement for ethics. Supervision quarterly reports as set forth in Rule .0702 of this Chapter may be submitted as supporting documentation.

(5) Contact hours shall be awarded for the following leadership positions:

(A) officer of state, regional, or national counseling organization;

(B) editor or editorial board member of a professional counseling journal;

(C) member of a state, regional, or national counseling committee producing a written product; or

(D) chair of a major state, regional, or national counseling conference or convention.

The leadership position must be occupied for a minimum of six months, and dates must fall within the renewal period. The required documentation is a letter of confirmation of the leadership position, the nature of the position or service rendered, and the signature of an officer of the organization. Ten contact hours shall be approved for each leadership position held, and only 10 contact hours are allowed during a renewal period. Contact hours awarded for leadership shall not be applied to the three contact hour requirement for ethics.

(6) Contact hours shall be awarded for hours obtained in activities or workshops for which the licensee was a presenter. The dates of activities presented must fall within renewal period and focus on one or more of the approved content areas as set forth in Paragraph (a) of this Rule. The maximum contact hours awarded for presenting professional activities or workshops is five. Required documentation means an official letter of confirmation from the organization for which the licensee presented and shall contain the following information:

(A) date(s) of presentation;

(B) name of presentation; and

(C) length of presentation.

"Contact hours" means the number of actual clock hours spent presenting. Contact hours awarded for presenting shall not be applied to the three contact hour requirement for ethics.

(h) If documentation for continuing counselor education is not identifiable as dealing with counseling, the Board shall request a written description of the continuing counselor education and how it applies to the professional practice of counseling. If the Board determines that the education is not appropriate, the licensee shall be given 45 days from the date of notification to replace the hours not approved. Those hours shall be considered replacement hours and shall not be applied to the next renewal period.

(i) Licensed clinical mental health counselor supervisors shall meet all of the continuing counselor education requirements outlined in Paragraphs (a) through (h) of this Rule and in addition as part of those requirements, shall provide documentation of a minimum of 10 contact hours of continuing counselor education related to professional knowledge and competency in the field of counseling supervision. Continuing counselor education appropriate for the purpose of licensed clinical mental health counselor supervisor renewal is education directed toward professionals in the mental health field that focus on increasing knowledge and skills in the practice of counseling supervision, and that is completed during the renewal period.

History

• Authority 90-334(g),(h); 90-339(b)
• Eff. July 1, 1995
• Amended Eff. July 1, 2014; February 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. January 1, 2020 (S.L. 2019-240, s. 3.(k)).

21 NCAC 53 .0604 Failure to Secure Sufficient Continuing Education/Renewal of License

Licensed clinical mental health counselor associates, licensed clinical mental health counselors, and licensed clinical mental health counselor supervisors who fail to document sufficient continuing counselor education to renew their licenses by the expiration date of June 30 shall be notified in writing by the Board of the deficiencies, that their licenses have expired, and that the licensee shall not practice until it is renewed. Licensed clinical mental health counselor associates, licensed clinical mental health counselors, and licensed clinical mental health counselor supervisors who are unable to provide documentation of sufficient continuing counselor education to renew their licenses have the following options:

(1) Within one year of expiration, licensed clinical mental health counselor associates, licensed clinical mental health counselors, and licensed clinical mental health counselor supervisors shall complete the required hours of continuing counselor education and an additional 20 hours of continuing counselor education for the purpose of renewal of the expired license. Continuing counselor education acquired during this additional time period for the purpose of renewal of an expired license shall not applied to the next renewal period. Once these requirements have been met, the license shall be renewed.

(2) Request an extension in writing from the Board. Requests shall be received by the Board no later than May 1st of the year of expiration. An extension shall be granted for:

(a) military deployment;

(b) major illness documented by a licensed healthcare provider, of self or a member of an immediate family, such as a partner, child, parent, sibling, or dependent; or

(c) death of a member of an immediate family, such as partner, child, parent, sibling, or dependent.

Extensions shall be granted for a period of up to one year. If the extension is approved, any continuing counselor education acquired during the extension shall not be applied to the next renewal period. Once these requirements have been met, the license shall be renewed and the licensee may resume practice.

Failure to complete one of the above listed options shall mean that a license shall be reissued only upon a new application for a license, and all current licensure requirements shall apply to the new application.

History

• Authority G.S. 90-334(g),(h); 90-339
• Eff. July 1, 1995
• Amended Eff. July 1, 2014; January 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2022; January 1, 2020 (S.L. 2019-240, s. 3.(k)).

21 NCAC 53 .0701 LICENSED clinical mental health COUNSELOR ASSOCIATE

The Board shall grant a license as a licensed clinical mental health counselor associate to persons preparing for the practice of counseling who have:

(1) if applied before July 1, 2025, completed graduate training as defined in G.S. 90-336(b1) or (b2), as applicable; and three semester hours or five quarter hours in each of the required coursework areas of study as follows:

(a) Coursework in Helping Relationships in Counseling. Studies in this area provide an understanding of counseling and consultation processes, including the following:

(i) counseling and consultation theories, including both individual and systems perspectives, as well as coverage of relevant research and factors considered in applications;

(ii) basic interviewing, assessment, and counseling skills;

(iii) counselor or consultant characteristics and behaviors that influence mental health counseling relationships, including age, gender, and ethnic differences; verbal and nonverbal behaviors; personal behaviors; and personal characteristics, orientations, and skills;

(iv) client or consultee characteristics and behaviors that influence mental health counseling relationships, including age, gender, and ethnic differences; verbal and nonverbal behaviors; and personal behaviors; personal characteristics, orientations and skills; and

(v) ethical considerations.

(b) Coursework in Practicum and Internship. Practicum and internship experience shall be provided in a supervised graduate counseling experience in a regionally accredited program of study. This graduate counseling experience shall be completed as defined in Rule .0206 of this Chapter.

(c) Coursework in Professional Orientation to Counseling. Studies in this area provide an understanding of all aspects of professional functioning, including history, roles, organizational structures, ethics, standards, and credentialing, including the following:

(i) history of the counseling profession, including significant factors and events;

(ii) professional roles and functions of counselors, including similarities and differences with other types of professionals;

(iii) professional organizations (primarily the ACA, its divisions, branches and affiliates), including membership benefits, activities, services to members, and current emphases;

(iv) ethical standards of the National Board for Certified Counselors (NBCC) or ACA and related ethical and legal issues, and their applications to various professional activities (e.g., appraisal, group work);

(v) clinical mental health counselor preparation standards, their evolution, and current applications;

(vi) clinical mental health counselor credentialing, including counselor certification, licensure and accreditation practices and standards, and the effects of public policy on these issues;

(vii) public policy processes, including the role of the clinical mental health counselor advocating on behalf of the profession and its clientele; and

(viii) ethical considerations.

(d) Coursework in Human Growth and Development Theories in Counseling. Studies in this area provide an understanding of the nature and needs of individuals at all developmental levels, relevant to counseling practice, including the following:

(i) theories of individual and family development, and transitions across the life span;

(ii) theories of learning and personality development;

(iii) human behavior, including an understanding of developmental crises, disability, addictive behavior, psychopathology, and environmental factors as they affect both normal and abnormal behavior;

(iv) counseling strategies for facilitating development over the life span; and

(v) ethical considerations.

(e) Coursework in Social and Cultural Foundations in Counseling. Studies in this area provide an understanding of issues and trends in a multicultural and diverse society that impact clinical mental health counselors and the counseling profession, including, the following:

(i) multicultural and pluralistic trends, including characteristics and concerns of counseling individuals from diverse groups;

(ii) attitudes and behavior based on factors such as age, race, religious preferences, physical disability, sexual orientation, ethnicity and culture, family patterns, gender, socioeconomic status, and intellectual ability;

(iii) individual, family, and group counseling strategies with diverse populations; and

(iv) ethical considerations.

(f) Coursework in Group Counseling Theories and Processes. Studies in this area provide an understanding of group development, dynamics, and counseling theories; group counseling methods and skills; and other group work approaches, including the following:

(i) principals of group dynamics, including group counseling components, developmental stage theories, and group members' roles and behaviors;

(ii) group leadership styles and approaches, including characteristics of various types of group leaders and leadership styles;

(iii) theories of group counseling, including commonalities, distinguishing characteristics, and pertinent research and literature;

(iv) group counseling methods, including group counselor orientations and behaviors, ethical standards, appropriate selection criteria, and methods of evaluation of effectiveness;

(v) approaches used for other types of group work in counseling, including task groups, support groups, and therapy groups; and

(vi) ethical considerations.

(g) Coursework in Career Counseling and Lifestyle Development. Studies in this area provide an understanding of career counseling, development, and related life factors, including the following:

(i) career-counseling theories and decision-making process;

(ii) career, avocational, educational, and labor market information resources; visual and print media; and computer-based career information systems;

(iii) career-counseling program planning, organization, implementation, administration, and evaluation;

(iv) interrelationships among work, family, and other life roles and factors, including multicultural and gender issues as related to career counseling;

(v) career and educational placement counseling, follow-up, and evaluation;

(vi) assessment instruments and techniques relevant to career counseling;

(vii) computer-based career-development applications and strategies, including computer-assisted career-counseling systems;

(viii) career-counseling processes, techniques and resources, including those applicable to specific populations; and

(ix) ethical considerations.

(h) Coursework in Assessment in Counseling. Studies in this area provide an understanding of individual and group approaches to assessment and evaluation in counseling practice, including the following:

(i) theoretical and historical bases for assessment techniques in counseling;

(ii) validity, including evidence for establishing content, construct, and empirical validity;

(iii) reliability, including methods of establishing stability, internal, and equivalence reliability;

(iv) appraisal methods, including environmental assessment, performance assessment, individual and group test and inventory methods, behavioral observations, and computer-managed and computer-assisted methods;

(v) psychometric statistics, including types of assessment scores, measures of central tendency, indices of variability, standard errors, and correlations;

(vi) age, gender, ethnicity, language, disability, and cultural factors related to the use of assessment and evaluation in counseling services;

(vii) strategies for selecting, administering, interpreting, and using assessment and evaluation instruments, and techniques in counseling; and

(viii) ethical considerations.

(i) Coursework in Research and Program Evaluation. Studies in this area provide an understanding of types of research methods, basic statistics, and ethical and legal consideration in research, including the following:

(i) basic types of research methods to include qualitative and quantitative research designs;

(ii) basic parametric and nonparametric statistics;

(iii) principles, practices, and applications of needs assessment and program evaluation;

(iv) uses of computers for data management and analysis; and

(v) ethical and legal considerations; or

(2) If applied on or after July 1, 2025, completed graduate training as defined in G.S. 90-336(b2) and the required content areas of study of the current standards set by the Council for Accreditation of Counseling and Related Educational Programs (CACREP), as incorporated in Rule .0206 of this Chapter, at the time of the receipt of application as defined in Rule .0308(a) of this Chapter. The graduate coursework shall also include three semester hours or five quarter hours in each of the required content areas of study as follows:

(a) introduction to clinical mental health counseling with professional issues and ethics;

(b) practicum and clinical mental health internship; and

(c) appraisal and assessment of mental health disorders with use and application of the current edition of Diagnostic and Statistical Manual of Mental Disorders (DSM), to include psychopharmacology and differential diagnosis; and

(3) passed an examination as defined in Rule .0305 of this Chapter;

(4) submitted a complete application for licensed clinical mental health counselor associate; and

(5) earned 60 semester hours or 90 quarter hours of graduate training in counseling or related field from a program that is accredited by the Council for Accreditation of Counseling and Related Educational Programs (CACREP).

To prevent a lapse in licensure, licensed clinical mental health counselor associates who desire to become licensed clinical mental health counselors shall complete the application process for the licensed clinical mental health counselor licensure no earlier than 60 days prior to expiration of their licensed clinical mental health counselor associate license or upon completion of the supervised professional practice hours as set forth in Rule .0208 of this Chapter to allow for administrative processing and Board action.

History

• Authority G.S. 90-334(h); 90-336(a); 90-336(b1); 90-336(b2)
• Eff. January 1, 2010
• Amended Eff. July 1, 2014; January 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. February 1, 2023; January 1, 2020 (S.L. 2019-240, s. 3.(k)).

21 NCAC 53 .0702 Supervised Practice for Licensed clinical mental health Counselor Associate

A licensed clinical mental health counselor associate shall not practice unless the following requirements have been met:

(1) The licensed clinical mental health counselor associate shall submit a completed supervision contract, on forms available on the Board's website, www.ncblcmhc.org. A supervision contract form shall document the following:

(a) the name of the qualified clinical supervisor;

(b) contact information for the qualified clinical supervisor;

(c) the modality of supervision to be provided, such as live observation, co-therapy, audio and video recordings, and live supervision, as defined by Rule .0208 of this Chapter;

(d) the frequency of supervision; and

(e) the name and physical location of the site where the proposed supervision will take place.

A separate supervision contract form shall be filed for each separate work setting.

(2) If receiving supervision from more than one supervisor, a separate supervision contract form shall be filed for each individual qualified clinical supervisor.

(3) A supervisor shall document, on forms available on the Board's website, www.ncblcmhc.org each quarter that supervision has occurred and shall file a final report upon termination or completion of supervision.

(4) If not receiving supervision, the licensed clinical mental health counselor associate shall report such to the Board. A report shall be submitted to the Board within two weeks of termination of supervision and within two weeks of a change in the conditions specified in the supervision contract form on file with the Board.

(5) A licensed clinical mental health counselor associate shall only provide counseling while under the supervision of a qualified clinical supervisor.

(6) A licensed clinical mental health counselor associate shall renew his or her license as a licensed clinical mental health counselor associate if the supervision requirements to become a licensed clinical mental health counselor have not been completed prior to the expiration of the license.

History

• Authority G.S. 90-334(h); 90-336(c)
• Eff. January 1, 2010
• Amended Eff. July 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. March 1, 2022; January 1, 2020 (S.L. 2019-240, s. 3.(k)).

21 NCAC 53 .0801 LICENSED clinical mental health COUNSELOR SUPERVISOR

(a) The credential of licensed clinical mental health counselor supervisor shall be granted by the Board to a licensed clinical mental health counselor who has satisfied the following requirements:

(1) obtained an independent license that is not under supervision as defined in G.S. 90-336(d)(4);

(2) earned the equivalent of three semester graduate credits in clinical supervision training from a regionally accredited institution of higher education as documented by an official transcript, or 45 contact hours of continuing education in clinical supervision;

(3) documented licensed professional counseling experience as defined in G.S. 90-336(d)(2); and

(4) submitted a complete application for licensed clinical mental health counselor supervisor.

(b) The licensed clinical mental health counselor supervisor shall provide supervisees with a copy of a Professional Disclosure Statement specific to supervision that includes the following:

(1) business address and telephone number of the licensed clinical mental health counselor supervisor;

(2) the listing of degrees, credentials, and licenses held by the licensed clinical mental health counselor supervisor;

(3) general areas of competence in mental health practice for which the licensed clinical mental health counselor supervisor may provide supervision (e.g., addictions counseling, school counseling, career counseling);

(4) a statement documenting training in supervision and experience in providing supervision;

(5) a general statement addressing the model of or approach to supervision, including role of the supervisor, objectives and goals of supervision, and modalities (e.g., tape review, live observation);

(6) a description of the evaluation procedures used in the supervisory relationship;

(7) a statement defining the limits and scope of confidentiality and privileged communication within the supervisory relationship;

(8) a fee schedule, if applicable;

(9) the emergency contact information for the licensed clinical mental health counselor supervisor; and

(10) a statement indicating that the licensed clinical mental health counselor supervisor follows the American Counseling Association's Code of Ethics and the Center for Credentialing and Education's Approved Clinical Supervisor Code of Ethics as set forth in Rule .0102 of this Chapter.

(c) The supervisor shall provide written or electronically submitted reports, on forms provided by the Board on the website www.ncblcmhc.org each quarter that supervision has occurred and shall file a final report upon termination or completion of supervision. The supervisor shall be available for consultation with the Board or its committees regarding the supervisee's competence for licensure.

(d) A supervision contract form, as provided by the Board on the website www.ncblcmhc.org shall document the following:

(1) the name of the qualified clinical supervisor;

(2) contact information for the qualified clinical supervisor;

(3) the modality of supervision to be provided, such as live observation, co-therapy, audio and video recordings, and live supervision, as defined by Rule .0208 of this Chapter;

(4) the frequency of supervision; and

(5) the name and physical location of the site where the proposed supervision will take place.

A separate supervision contract form shall be filed for each supervisee.

(e) The licensed clinical mental health counselor supervisor, in collaboration with the supervisee, shall maintain a log of clinical supervision hours that includes the following:

(1) the date;

(2) supervision start and stop times;

(3) the modality of supervision to be provided, such as live observation, co-therapy, audio and video recordings, and live supervision, as defined by Rule .0208 of this Chapter; and

(4) notes on recommendations or interventions used during the supervision.

The licensed clinical mental health counselor supervisor shall maintain copies of these logs for a minimum of seven years beyond termination or completion of supervision and shall provide copies to the Board for inspection upon request.

History

• Authority G.S. 90-334(h); 90-336(a); 90-336(d)
• Eff. January 1, 2010
• Amended Eff. July 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. March 1, 2022; January 1, 2020 (S.L. 2019-240, s. 3.(k)).

21 NCAC 53 .0901 Certificate of Registration for a Professional Entity

(a) The information required for an applicant to obtain a Certificate of Registration for a professional corporation or professional limited liability company organized to render professional counseling services shall include the following:

(1) typed, or legibly printed, notarized application form;

(2) proof of licensure as a licensed clinical mental health counselor or licensed clinical mental health counselor supervisor;

(3) registration fee; and

(4) a copy of the Articles of Incorporation or Articles of Organization.

(b) This Certificate of Registration shall remain effective until December 31 following the date of such registration.

History

• Authority G.S. 55B-10; 57D-2-01(c); 90-334(h)
• Eff. July 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. January 1, 2020 (S.L. 2019-240, s. 3.(k)).

21 NCAC 53 .0902 Renewal of Certificate of Registration for a Professional Entity

A notification for renewal of professional corporation or professional limited liability company shall be sent by either U.S. mail or email to each registered entity a minimum of 60 days prior to the December 31 expiration date. The Board shall renew the certificate of registration upon receipt of the completed written renewal application of the holder and the renewal fee. Failure to renew by the due date shall result in notification to the Secretary of State's Office to suspend the Articles of Incorporation or Articles of Organization.

History

• Authority G.S. 55B-11; 57D-2-01(c); 90-334(h)
• Eff. July 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2022.

21 NCAC 53 .1001 Definitions

(a) The following definitions apply to this Section:

(1) "Applicant" means a person who has submitted an application to the Board, paid the application fee, and received confirmation of receipt of the application from the Board.

(2) "Board" means the North Carolina Board of Licensed Mental Health Counselors as defined in G.S. 90-330(1a).

(3) "Former Licensee" means a person who formerly held a license issued by the Board and whose license was not permanently surrendered, revoked, or suspended.

(4) "Impairment" means a condition or disorder caused by substance use, burnout, compassion fatigue, or other mental health issue that hinders professional competence or the ability to provide or supervise clinical mental health counseling services with reasonable skill and safety, in accordance with G.S. 90-340(11).

(5) "Imminent danger" means any condition, disorder, conduct, or practice that poses a risk of death or serious physical, mental, or emotional harm if not abated.

(6) "Independent Provider" means a mental health or medical provider that the Program has recommended as a service provider to a Participant or a Potential Participant but is not employed by or affiliated with the Program.

(7) "Licensee" means a person holding an active license issued by the Board.

(8) "Monitoring" means oversight by Program staff, volunteers, and Independent Providers of Participant's compliance with a Recovery Plan, the purpose of which is to support the Participant's well-being, recovery from Impairment, and ability to practice clinical mental health counseling with reasonable skill and safety in accordance with G.S. 90-340(11).

(9) "Participant" means a Licensee, Former Licensee, Potential Applicant, or an Applicant who has executed a Participation Agreement.

(10) "Participation Agreement" means a written assessment, treatment, or monitoring contract or agreement between the Program and a Participant.

(11) "Potential Applicant" means a person who has completed a qualifying graduate training program as defined in Rule .0701 of this Chapter and provides an attestation of their intention to apply for licensure by the Board within two years. The attestation form is available on the Board's website at https://www.ncblcmhc.org/Licensure/Applying.

(12) "Potential Participant" means a Licensee, Former Licensee, Potential Applicant, or an Applicant about whom information concerning suspected impairment has been provided to the Board or the Program, including an individual the Board has referred to the Program, or an individual who has self-referred to the Program.

(13) "Program" means an impaired professionals program established by the Board or with whom the Board has an agreement or otherwise made arrangements to provide Screening and Monitoring to Potential Participants or Participants who have or may have an Impairment.

(14) "Recovery Plan" means a comprehensive strategy to address a Participant's Impairment, including Monitoring and Recovery Services.

(15) "Recovery Services" mean services provided to Participants or Potential Participants from Independent Providers, including assessment, substance testing, referrals, treatment, and follow-up care.

(16) "Screening" means to meet with a Potential Participant, conduct an investigation of a Potential Participant, gather pertinent personal, professional, physical, and mental health information, and interview collateral sources, when necessary, to determine if a potential Impairment exists and, if so, provide recommendations for a Recovery Plan.

History

• Authority G.S. 90-334(l); G.S. 90-340
• Eff. February 1, 2026.

21 NCAC 53 .1002 Board Agreements with Programs

(a) The Board may enter into agreements with Programs pursuant to G.S. 90-334(l).

(b) To meet the Board's requirements to enter into an agreement, a Program shall have staff, volunteers, policies, procedures, and other resources to provide the following services:

(1) Performing Screening of Potential Participants and Monitoring of Participants;

(2) Formulating and Implementing Recovery Plans for Participants;

(3) Conducting evaluations and recommendations of Independent Providers of Recovery Services;

(4) Maintaining the confidentiality of information, documentation, and records received concerning Potential Participants and Participants in accordance with Rule .1005 of this Section;

(5) Submitting reports and information to the Board consistent with Rules .1004 and .1005 of this Section; and

(6) Providing a process by which Participants and Potential Participants may challenge or appeal a determination by the Program regarding the Participant or Potential Participant.

(c) The Board shall conduct an annual review of the operations of any Program under an agreement to receive referrals of Potential Participants and Participants to determine the Program's compliance with the requirements in Paragraph (b) of this Rule and the Program's agreement with the Board.

(d) In connection with the annual review, the Program shall provide the Board with a report of an annual financial audit for the preceding year.

History

• Authority G.S. 90-334(l); 90-340
• Eff. February 1, 2026.

21 NCAC 53 .1003 Program Operations and Procedures for All Participants

(a) The Program may receive information about suspected Impairment of a Potential Participant through any of the following sources:

(1) Referral by the Board, including as part of the application or disciplinary process;

(2) Self-referral by the Potential Participant; and

(3) Referral from physicians, counselors, other mental health professionals, family members, colleagues, co-workers, or other individuals or sources with direct or personal knowledge concerning a Potential Participant.

(b) Regardless of the source of the referral, the Program may investigate and conduct a Screening.

(c) The Program may consult with Independent Providers and treating mental health or medical providers in conducting a Screening.

(d) If the Program finds from the investigation or Screening that an Impairment likely exists, it may refer the Potential Participant for an assessment or treatment by an Independent Provider.

(e) If Monitoring is recommended by the Program or an Independent Provider, the Program shall develop a Recovery Plan and request the Potential Participant to become a Participant.

(f) As part of the Program's Monitoring, Participants shall submit urine or other bodily specimens to the Program, as requested, to test for the presence of any substances that could indicate Impairment.

(g) Participants shall submit to periodic interviews with the Program staff or volunteers. The Program shall determine the frequency of personal interviews necessary to evaluate the Participant's Impairment and ability to practice clinical mental health counseling.

(h) Upon signing a Participation Agreement, Participant shall sign releases to authorize the disclosure or exchange of information or documentation about Participant's compliance with the Participation Agreement and Recovery Plan:

(1) to the Board consistent with Rule .1005 of this Section;

(2) between the Program, Independent Providers, and treating mental health or medical professionals; and

(3) from employers or other individuals assigned to monitor Participant in the workplace.

(i) A Participant shall comply with the Participation Agreement. A Participant's failure to comply with the Participation Agreement shall be deemed a failure to cooperate with the Board and shall subject the Participant to disciplinary action or denial of licensure by the Board pursuant to G.S. 90-340(a)(7) and (15).

History

• Authority G.S. 90-334(l); G.S. 90-340
• Eff. February 1, 2026.

21 NCAC 53 .1004 Program Operations and Procedures for Board Referrals

The following shall apply to Board referrals to the Program of Potential Participants who consent to the referral:

(1) The Board may refer a Potential Participant to the Program if it receives, or obtains through an investigation or review, evidence or information of potential Impairment. The decision to refer a Potential Participant to the Program shall be made on a case-by-case basis based on the evidence or information received, and within the discretion of the Board.

(2) Potential Participants shall cooperate with the Program, including:

(a) executing all required releases or authorizations to exchange information about the Potential Participant between the Board, the Program, Independent Providers, and treating mental health or medical professionals; and

(b) submitting to a Screening to determine if evidence exists to substantiate the potential Impairment.

(3) The Program shall advise the Potential Participant and Board of the findings and recommendations from the Screening and the Potential Participant's cooperation with the Program or lack thereof.

(4) The Program shall advise the Board as to the results and recommendations from assessments or treatment, including a recommendation for Monitoring.

(5) In addition to Monitoring, the Board may require other conditions or stipulations from the Potential Participant to be included in the Participation Agreement.

(6) The Program shall report to the Board if the Potential Participant fails to cooperate with the Program, including failing to sign a Participation Agreement, if requested by the Program.

History

• Authority G.S. 90-334(l); 90-340
• Eff. February 1, 2026.

21 NCAC 53 .1005 Confidentiality

(a) The Program shall maintain records on all Potential Participants and Participants, and the records, including those obtained from Independent Providers, treating professionals, and other third parties concerning Potential Participants or Participants, shall remain confidential in accordance with G.S. 90-340(f).

(b) Information and documentation received by the Program regarding a Potential Participant or Participant shall remain confidential and shall not be released to the Board, except as set forth in Rule .1004 of this Section, unless the Program determines that the Potential Participant or Participant:

(1) constitutes an Imminent Danger to client care, the public, or himself or herself for any reason;

(2) is unable to practice clinical mental health counseling with reasonable skill and safety consistent with G.S. 90-340(a)(11); or

(3) refuses to cooperate with the Program, including failing to submit to assessment or treatment recommended by the Program or failing to comply with the terms of a Participation Agreement.

(c) If the Program determines that a Participant meets any of the criteria of Subparagraphs (b)(1) through (b)(3) of this Rule, the Program shall submit a report to the Board along with all information, documentation, and any other evidence of the events leading to the report no later than 72 hours after making the determination.

(d) Becoming a Participant or consenting to Screening by the Program shall not create a clinical or treatment relationship between the Program and Participants or Potential Participants.

History

• Authority G.S. 90-334(l); G.S. 90-340
• Eff. February 1, 2026.

21 NCAC 53 .1006 Periodic Reporting of Anonymized Information to the Board

(a) On a quarterly and annual basis, and upon request by the Board, the Program shall provide to the Board reports of statistical, demographic, and other information collected through Program operations, which reports shall not identify Potential Participants or Participants.

(b) The Program shall meet with the Board or a representative of the Board on a quarterly basis to discuss the report and the Program's operations over the quarter reported upon.

History

• Authority G.S. 90-334(l)
• Eff. February 1, 2026.

Chapter 54 Psychology

21 NCAC 54 .0101 Name

History

• Status: repealed
• Authority G.S. 90-270.1; 90-270.2; 90-270.3; 90-270.4; 90-270.6; 90-270.7
• 90-270.9; 90-270.10; 93B-4
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; July 20, 1976; June 7, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0102 Address and Office Hours

History

• Status: repealed
• Authority G.S. 90-270.1; 90-270.2; 90-270.3; 90-270.4; 90-270.6; 90-270.7
• 90-270.9; 90-270.10; 93B-4
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; July 20, 1976; June 7, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0103 Purpose

History

• Status: repealed
• Authority G.S. 90-270.1; 90-270.2; 90-270.3; 90-270.4; 90-270.6; 90-270.7
• 90-270.9; 90-270.10; 93B-4
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; July 20, 1976; June 7, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0104 Composition

History

• Status: repealed
• Authority G.S. 90-270.1; 90-270.2; 90-270.3; 90-270.4; 90-270.6; 90-270.7
• 90-270.9; 90-270.10; 93B-4
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; July 20, 1976; June 7, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0105 Election and Duties of Officers

History

• Status: repealed
• Authority G.S. 90-270.1; 90-270.2; 90-270.3; 90-270.4; 90-270.6; 90-270.7
• 90-270.9; 90-270.10; 93B-4
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; July 20, 1976; June 7, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0106 Qualifications of Board Members

History

• Status: repealed
• Authority G.S. 90-270.1; 90-270.2; 90-270.3; 90-270.4; 90-270.6; 90-270.7
• 90-270.9; 90-270.10; 93B-4
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; July 20, 1976; June 7, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0107 Meetings

History

• Status: repealed
• Authority G.S. 90-270.1; 90-270.2; 90-270.3; 90-270.4; 90-270.6; 90-270.7
• 90-270.9; 90-270.10; 93B-4
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; July 20, 1976; June 7, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0108 Records and Annual Report

History

• Status: repealed
• Authority G.S. 90-270.1; 90-270.2; 90-270.3; 90-270.4; 90-270.6; 90-270.7
• 90-270.9; 90-270.10; 93B-4
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; July 20, 1976; June 7, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0109 Definitions

History

• Status: repealed
• Authority G.S. 90-270.1; 90-270.2; 90-270.3; 90-270.4; 90-270.6; 90-270.7
• 90-270.9; 90-270.10; 93B-4
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; July 20, 1976; June 7, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0201 Practicing Psychologists

History

• Status: repealed
• Authority G.S. 90-270.2; 90-270.5; 90-270.9; 90-270.11
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; March 1, 1979; November 1, 1977; July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0202 Psychological Associate

History

• Status: repealed
• Authority G.S. 90-270.2; 90-270.5; 90-270.9; 90-270.11
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; March 1, 1979; November 1, 1977; July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0203 Temporary Licenses

History

• Status: repealed
• Authority G.S. 90-270.2; 90-270.5; 90-270.9; 90-270.11
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; March 1, 1979; November 1, 1977; July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0204 Upgrading of License

History

• Status: repealed
• Authority G.S. 90-270.2; 90-270.5; 90-270.9; 90-270.11
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; March 1, 1979; November 1, 1977; July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0205 Supervision

History

• Status: repealed
• Authority G.S. 90-270.2(f); 90-270.5(d); 90-270.9
• Eff. December 7, 1976
• Readopted Eff. December 9, 1977
• Amended Eff. January 1, 1980
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0301 Filing Application

History

• Status: repealed
• Authority G.S. 90-270.2(f); 90-270.4(a); 90-270.9; 90-270.11; 90-270.13
• 150A-11(1)
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; March 1, 1979; July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0302 Credentials Required

History

• Status: repealed
• Authority G.S. 90-270.2(f); 90-270.4(a); 90-270.9; 90-270.11; 90-270.13
• 150A-11(1)
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; March 1, 1979; July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0303 Education Requirements

History

• Status: repealed
• Authority G.S. 90-270.2(f); 90-270.4(a); 90-270.9; 90-270.11; 90-270.13
• 150A-11(1)
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; March 1, 1979; July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0304 Examination Requirement

History

• Status: repealed
• Authority G.S. 90-270.2(f); 90-270.4(a); 90-270.9; 90-270.11; 90-270.13
• 150A-11(1)
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; March 1, 1979; July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0305 Experience Requirements

History

• Status: repealed
• Authority G.S. 90-270.2(f); 90-270.4(a); 90-270.9; 90-270.11; 90-270.13
• 150A-11(1)
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; March 1, 1979; July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0306 Review Procedure

History

• Status: repealed
• Authority G.S. 90-270.2(f); 90-270.4(a); 90-270.9; 90-270.11; 90-270.13
• 150A-11(1)
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; March 1, 1979; July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0307 Ethics

History

• Status: repealed
• Authority G.S. 90-270.2(f); 90-270.4(a); 90-270.9; 90-270.11; 90-270.13
• 150A-11(1)
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; March 1, 1979; July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0308 Issuance of License

History

• Status: repealed
• Authority G.S. 90-270.2(f); 90-270.4(a); 90-270.9; 90-270.11; 90-270.13
• 150A-11(1)
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; March 1, 1979; July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0309 Applicants Licensed in Other States

History

• Status: repealed
• Authority G.S. 90-270.2(f); 90-270.4(a); 90-270.9; 90-270.11; 90-270.13
• 150A-11(1)
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; March 1, 1979; July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0310 Applicants with Diplomas from Abpp

History

• Status: repealed
• Authority G.S. 90-270.2(f); 90-270.4(a); 90-270.9; 90-270.11; 90-270.13
• 150A-11(1)
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; March 1, 1979; July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0311 Waiver of Requirements

History

• Status: repealed
• Authority G.S. 90-270.9, 90-270.12
• Eff. February 1, 1976
• Repealed Eff. December 9, 1977.

21 NCAC 54 .0312 Records of Decisions Regarding Licensure

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-11(3)
• Eff. February 1, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0401 Examination Fee

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.11; 90-270.13
• Eff. February 1, 1976
• Amended Eff. January 1, 1980
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0402 Notice: Schedule and Location of Examination

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.11; 90-270.13
• Eff. February 1, 1976
• Amended Eff. January 1, 1980
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0403 Types of Examination

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.11; 90-270.13
• Eff. February 1, 1976
• Amended Eff. January 1, 1980
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0404 Examination Scores

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.11; 90-270.13
• Eff. February 1, 1976
• Amended Eff. January 1, 1980
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0405 Reporting of Scores

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.11; 90-270.13
• Eff. February 1, 1976
• Amended Eff. January 1, 1980
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0406 Retaking the Examination

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.11; 90-270.13
• Eff. February 1, 1976
• Amended Eff. January 1, 1980
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0407 Failure to Appear for Examination

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.11; 90-270.13
• Eff. February 1, 1976
• Amended Eff. January 1, 1980
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0501 License Renewal Form

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.14; 150A-3(b); 150A-11(1)
• Eff. February 1, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0502 Time of Renewal

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.14; 150A-3(b); 150A-11(1)
• Eff. February 1, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0503 Renewal Fee

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.14; 150A-3(b); 150A-11(1)
• Eff. February 1, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0504 Late Fee

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.14; 150A-3(b); 150A-11(1)
• Eff. February 1, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0505 Second Notice

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.14; 150A-3(b); 150A-11(1)
• Eff. February 1, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0506 Failure to Renew

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.14; 150A-3(b); 150A-11(1)
• Eff. February 1, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0601 Grounds for Refusal: Suspension or Revocation

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.15
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0602 The Procedure

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.15
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0603 Reinstatement of License

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.15
• Eff. February 1, 1976
• Amended Eff. January 1, 1980; July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0701 Prohibited Acts

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.16; 90-270.17
• Eff. February 1, 1976
• Readopted Eff. December 9, 1977
• Amended Eff. January 1, 1980
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0702 Board Action Regarding Prohibited Acts

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.16; 90-270.17
• Eff. February 1, 1976
• Readopted Eff. December 9, 1977
• Amended Eff. January 1, 1980
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0703 Penalties

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.16; 90-270.17
• Eff. February 1, 1976
• Readopted Eff. December 9, 1977
• Amended Eff. January 1, 1980
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0801 Certificate of Registration

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.15(c); 55B-10; 55B-13
• Eff. February 1, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0802 Suspension or Revocation of Certificate

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.15(c); 55B-10; 55B-13
• Eff. February 1, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0803 The Procedure

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.15(c); 55B-10; 55B-13
• Eff. February 1, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0901 Between Psychologist and Client

History

• Status: repealed
• Authority G.S. 8-53.3; 90-270.9; 90-270.15(4)
• Eff. February 1, 1976
• Readopted Eff. December 9, 1977
• Amended Eff. January 1, 1980
• Repealed Eff. September 1, 1982.

21 NCAC 54 .0902 Exception

History

• Status: repealed
• Authority G.S. 8-53.3; 90-270.9; 90-270.15(4)
• Eff. February 1, 1976
• Readopted Eff. December 9, 1977
• Amended Eff. January 1, 1980
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1001 Petition for Rulemaking Hearings

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.16; 150A-16
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1002 Contents of Petition

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.16; 150A-16
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1003 Disposition of Petitions

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.16; 150A-16
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1101 Timing of Notice

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-12(a)(b)
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1102 Notice Mailing List

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-12(a)(b)
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1103 Additional Information

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-12(a)(b)
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1201 Request to Participate

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-11(2); 150A-12(a)(d)(e)
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1202 Contents of Request: General Time Limitations

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-11(2); 150A-12(a)(d)(e)
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1203 Receipt of Request: Specific Time Limits

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-11(2); 150A-12(a)(d)(e)
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1204 Written Submissions

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-11(2); 150A-12(a)(d)(e)
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1205 Presiding Officer: Powers and Duties

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-11(2); 150A-12(a)(d)(e)
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1206 Statement of Reasons for Decision

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-11(2); 150A-12(a)(d)(e)
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1207 Record of Proceedings

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-11(2); 150A-12(a)(d)(e)
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1208 Emergency Rules

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-11(2); 150A-12(a)(d)(e)
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1209 Rules Available for Public Inspection

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-11(2); 150A-12(a)(d)(e)
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1301 Subjects of Declaratory Rulings

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-11(3); 150A-16(e); 150A-17
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1302 Submission of Request for Ruling

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-11(3); 150A-16(e); 150A-17
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1303 Disposition of Requests

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-11(3); 150A-16(e); 150A-17
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1304 Record of Decision

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-11(3); 150A-16(e); 150A-17
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1305 Definition

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-11(3); 150A-16(e); 150A-17
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1401 Right to Hearing

History

• Status: repealed
• Authority G.S. 1A-1, Rule 24; 90-270.9; 150A-2(2); 150A-23; 150A-32
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1402 Request for Hearing

History

• Status: repealed
• Authority G.S. 1A-1, Rule 24; 90-270.9; 150A-2(2); 150A-23; 150A-32
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1403 Granting or Denying Hearing Requests

History

• Status: repealed
• Authority G.S. 1A-1, Rule 24; 90-270.9; 150A-2(2); 150A-23; 150A-32
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1404 Notice of Hearing

History

• Status: repealed
• Authority G.S. 1A-1, Rule 24; 90-270.9; 150A-2(2); 150A-23; 150A-32
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1405 Who Shall Hear Contested Cases

History

• Status: repealed
• Authority G.S. 1A-1, Rule 24; 90-270.9; 150A-2(2); 150A-23; 150A-32
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1406 Petition for Intervention

History

• Status: repealed
• Authority G.S. 1A-1, Rule 24; 90-270.9; 150A-2(2); 150A-23; 150A-32
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1407 Types of Intervention

History

• Status: repealed
• Authority G.S. 1A-1, Rule 24; 90-270.9; 150A-2(2); 150A-23; 150A-32
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1408 Disqualification of Hearing Officers

History

• Status: repealed
• Authority G.S. 1A-1, Rule 24; 90-270.9; 150A-2(2); 150A-23; 150A-32
• Eff. February 1, 1976
• Amended Eff. July 20, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1501 Failure to Appear

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-25(a); 150A-27; 150A-36; 150A-37
• Eff. February 1, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1502 Simplification of Issues

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-25(a); 150A-27; 150A-36; 150A-37
• Eff. February 1, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1503 Subpoenas

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-25(a); 150A-27; 150A-36; 150A-37
• Eff. February 1, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1504 Final Decisions in Administrative Hearings

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-25(a); 150A-27; 150A-36; 150A-37
• Eff. February 1, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1505 Official Record

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-25(a); 150A-27; 150A-36; 150A-37
• Eff. February 1, 1976
• Readopted Eff. December 9, 1977
• Repealed Eff. September 1, 1982.

21 NCAC 54 .1601 Executive

History

• Status: repealed
• Authority G.S. 90-270.1; 90-270.6; 90-270.9
• Eff. September 1, 1982
• Repealed Eff. March 1, 1989.

21 NCAC 54 .1602 BOARD ADDRESS and forms

(a) The mailing address for the North Carolina Psychology Board is 895 State Farm Road, Suite 101, Boone, North Carolina 28607.

(b) The Board's website address is www.ncpsychologyboard.org.

(c) All forms required by the Rules may be found on the Board's website.

History

• Authority G.S. 90-270.143
• Eff. September 1, 1982
• Amended Eff. October 1, 1995; March 1, 1989; August 1, 1984
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. April 1, 2020.

21 NCAC 54 .1603 Rulemaking Procedures

History

• Status: repealed
• Authority G.S. 90-270.9; 150B-14
• Eff. September 1, 1982
• Amended Eff. August 1, 1984
• Repealed Eff. March 1, 1989.

21 NCAC 54 .1604 Practice by Non-Licensed Persons

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.16; 90-270.17; 90-270.19
• Eff. September 1, 1982
• Repealed Eff. May 1, 1996.

21 NCAC 54 .1605 Fees

The following charges shall be assessed:

(1) Duplication listing of all licensees and contact information - $8.00;

(2) Renewal of license - $250.00;

(3) National written examination - $50.00 plus the cost of the examination set by the vendor;

(4) State examination - $200.00;

(5) Ethics renewal examination - $50.00;

(6) costs for copies of public records as follows:

(a) "actual costs" as defined in G.S. 132-6.2(b) and provided on the Board's website;

(b) mailing costs if applicable; and

(c) 10 pages or less - no charge;

(7) Application fee - $100.00;

(8) Reinstatement fee - $100.00;

(9) Returned check - $20.00;

(10) Duplication of individual licensee licensure status information - $10.00;

(11) Disciplinary costs:

(a) consent order - $300.00; and

(b) hearing - $300.00 per hour for a hearing that results in disciplinary action, with a minimum charge of three hundred dollars ($300.00) for the first hour or portion thereof, and then prorated thereafter for each half-hour;

(12) Certificate of registration for professional corporation or professional limited liability company - $50.00; and

(13) Renewal fee for certificate of registration for professional corporation or professional limited liability company - $25.00.

History

• Authority G.S. 12-3.1(c); 55B-10; 55B-11; 57D-02-01; 90-270.143; 90-270.148(c); 90-270.151(b); 90-270.151(c); 132-6.2(b)
• Legislative Objection Lodged Eff. August 26, 1982
• Eff. September 1, 1982
• Curative Amended Eff. September 28, 1982
• Temporary Amendment Eff. October 1, 1989 For a Period of 180 Days to Expire on April 1, 1990
• Temporary Amendment Eff. October 1, 1990 For a Period of 180 Days to Expire on April 1, 1991
• Amended Eff. January 1, 1991
• Temporary Amendment Eff. September 1, 1993, for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Amended Eff. December 1, 2011; July 1, 1996; April 1, 1994; December 1, 1993
• Readopted Eff. June 8, 2020.

21 NCAC 54 .1606 Waiver of Compliance with Rules

(a) Upon written request, the Board may waive compliance with any of its rules when a medical emergency, severe weather, unexpected closure of testing facility or other unforeseen circumstance renders compliance with the rule impossible, except where to do so would be contrary to statute or applicable regulations of other agencies.

(b) The factors to be used in deciding whether to waive a rule are:

(1) the necessity for a waiver;

(2) whether or not compliance with the rule is impossible under the circumstances set forth in the request;

(3) the amount of notice given to the Board and its staff;

(4) the responsibility of the person making the request for the conditions creating the need for a waiver;

(5) previous requests for a waiver made by the same person;

(6) the precedential value of such a waiver;

(7) the harm to the person making the waiver request if a waiver is not granted; and

(8) the harm to the Board if a waiver is granted.

History

• Authority G.S. 90-270.143
• Eff. August 1, 1984
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. April 1, 2020.

21 NCAC 54 .1607 Delegation of Authority

History

• Status: repealed
• Authority G.S. 90-270.8; 90-270.9
• Eff. August 1, 1984
• Repealed Eff. April 1, 2020.

21 NCAC 54 .1608 Ethical Violations

The Board shall use those policies, publications, guidelines, and casebooks developed by the American Psychological Association in determining whether violations of the Ethical Principles of Psychologists have occurred. In addition, publications, guidelines, policies, and statements provided by the Association of State and Provincial Psychology Boards, the National Association of School Psychologists, and other relevant professional associations and bodies may be used in interpreting the Ethical Principles of Psychologists.

History

• Authority G.S. 90-270.143; 90-270.148(a)(10)
• Eff. January 1, 1986
• Amended Eff. May 1, 1996; September 1, 1988
• Readopted Eff. April 1, 2020.

21 NCAC 54 .1609 Termination of Practice

A licensee whose license is suspended or revoked, an applicant who is notified that he or she has failed an examination for the second time, an applicant who is notified that licensure is denied, or an applicant whose application is withdrawn, or who fails to complete the application process within the applicable stipulated time period set forth in Rules .1701(c), .1707(g) and .2130(c) of this Chapter, must terminate the practice of psychology within a two week period following receipt of written termination notification from the Board and shall confirm such termination in writing to the Board.

History

• Authority G.S. 90-270.138(h); 90-270.143
• Temporary Adoption Eff. December 1, 1993, for a Period of 180 Days or until the permanent rule becomes effective whichever is sooner
• Eff. April 1, 1994
• Readopted Eff. April 1, 2020.

21 NCAC 54 .1610 Practice by Psychologists Who Are Not Residents of North Carolina

(a) To practice psychology in North Carolina for up to five days in a calendar year, a psychologist who is not a resident of North Carolina shall submit the following information to the Board five business days prior to the psychologist engaging in the practice of psychology in North Carolina:

(1) a written statement from a jurisdiction verifying that the psychologist's license is in good standing, that there is no pending disciplinary action against the license, and describing any supervision requirements under which the individual practices in that jurisdiction;

(2) a signed or digitally signed supervision statement from non-resident psychologist showing compliance with Paragraph (b) of this Rule; and

(3) a written report from the psychologist who is not a resident of North Carolina describing his or her intended practice in North Carolina and, if applicable, the name of the North Carolina psychologist(s) with whom he or she will be associating.

(b) Supervision shall be provided at the same level as that which is required for the psychologist who is not a resident of North Carolina in the jurisdiction verifying licensure in Subparagraph (a)(1) of this Rule by a North Carolina permanently licensed psychologist or licensed psychological associate who meets the requirements of 21 NCAC 54 .2001.

(c) The Board shall waive the five day notice period specified in Paragraph (a) of this Rule for licensed psychologists or licensed psychological associates who are not residents of North Carolina and are placed in North Carolina by the American Red Cross due to a disaster.

(d) This Rule applies only to the practice of psychology when the psychologist or client/patient are physically located in North Carolina.

History

• Authority G.S. 90-270.138(f); 90-270.143
• Eff. September 1, 1996
• Readopted Eff. April 1, 2020.

21 NCAC 54 .1611 Practice by Postdoctoral Trainees

An individual pursuing postdoctoral training or experience in psychology shall be exempt from licensure pursuant to G.S. 90-270.138(d) if the following criteria are met:

(1) the postdoctoral training or experience in psychology meets all the criteria set forth in 21 NCAC 54 .2009(h); and

(2) the individual has completed all doctoral degree requirements of a program that was accredited by the American Psychological Association or Canadian Psychological Association at the time the individual graduated from the program. Evidence of completion of all degree requirements shall be in the form of either an official transcript showing the date on which the degree was conferred or a letter from the registrar, director of graduate school, or director of graduate studies verifying that all substantive and administrative requirements for the doctoral degree have been met without exception and stating the date on which the doctoral degree will be awarded.

History

• Authority G.S. 90-270.4(d); 90-270.9
• Eff. September 1, 2005
• Readopted Eff. April 1, 2020
• Amended Eff. June 1, 2022; August 1, 2021.

21 NCAC 54 .1612 Criminal History Record Check

Within 30 days of receipt of written communication from the Board or Board designee that a criminal history record check is required, a licensee who is under investigation by the Board shall submit to the Board the following:

(1) signed fingerprint search consent form, which shall include the following information:

(a) legal name;

(b) Social Security number;

(c) date of birth;

(d) sex; and

(e) race.

(2) completed Fingerprint Record Card, (a blank card to be completed can be requested from the Board or a local sheriff's department);

(3) payment of fee required by the North Carolina Department of Public Safety to conduct a criminal history record check; and

(4) other such form(s) or information as required by the North Carolina Department of Public Safety to perform a criminal history record check.

History

• History Note Authority G.S. 90-270.9; 90-270.22(a)
• Eff. March 1, 2008
• Readopted Eff. April 1, 2020.

21 NCAC 54 .1701 Information Required

(a) Except as provided in Paragraph (b) of this Rule and Rule .1707 of this Section, the information required for each applicant for licensure shall consist of:

(1) a typed or printed, signed or digitally signed application form. The form shall include the following information:

(A) legal name;

(B) home mailing address and telephone number;

(C) business name, mailing address and telephone number;

(D) preferred mailing address;

(E) Social Security number;

(F) e-mail address;

(G) date and place of birth;

(H) licensure or applicant for licensure by another psychology board;

(I) if taken, the score on the Examination for Professional Practice in Psychology;

(J) if previously an applicant for a license to practice psychology in North Carolina;

(K) if denied a professional license or permit, or privilege of taking an examination;

(L) had a professional license or permit ever disciplined by any licensing authority in North Carolina or elsewhere;

(M) whether aware of any pending charges against a professional license or permit which are held;

(N) if ever withdrawn an application for licensure or an application to take a professional licensing examination in North Carolina or elsewhere;

(O) if ever been convicted of, or entered a plea of guilty or nolo contendere to any felony or misdemeanor other than a minor traffic violation;

(P) other fields of work for which the applicant is licensed or certified, or has applied for licensure or certification;

(Q) whether the applicant holds a diploma from the American Board of Professional Psychology;

(R) whether doctoral program was APA accredited at the time of your graduation;

(S) names of graduate programs attended and dates degrees awarded;

(T) names and mailing addresses of three professional references, other than supervisors;

(U) all work experience, including, any graduate internship, practicum, or other supervised training experience that serves as the basis for the current application for licensure;

(V) any disability that may require an accommodation in taking licensing examinations;

(W) if applying for Health Services Provider Certification;

(X) if applying for senior psychologist as specified in Rule .1707 of this Section; and

(Y) certify that the applicant has read and understands the public notice statement on employee misclassification maintained on the Board's website and whether the applicant has been investigated for employee misclassification within the past 12 months.

(2) the application fee under Rule .1605(7) of this Chapter;

(3) a typed or printed, signed or digitally signed supervision contract form. The form shall include the following information:

(A) supervisee's name, North Carolina psychology license number and level, mailing address, e-mail address and telephone number;

(B) supervisee's current work setting;

(C) if supervision contract form is for an applicant or replaces previous supervision contract form(s);

(D) supervisor's name and psychology license number, business telephone number, business name and address;

(E) if the supervisor has;

(i) been denied a professional license or permit;

(ii) had any disciplinary, remedial, rehabilitative, or other action taken against a professional license, certificate, or permit by any licensing or certification authority in North Carolina or elsewhere; or

(iii) if aware of any pending charges against a professional license, certificate, or permit;

(F) if the supervisee has:

(i) been denied a professional license or permit;

(ii) had any disciplinary, remedial, rehabilitative, or other action taken against a professional license, certificate, or permit by any licensing or certification authority in North Carolina or elsewhere; or

(iii) if aware of any pending charges against a professional license, certificate, or permit;

(G) number of hours per week engaged in the practice of psychology;

(H) number of hours allotted for individual supervision per week;

(I) number of individual supervision sessions per week; and

(J) if supervision is not required under Rule .2008 of this Section.

(4) a signed fingerprint search consent form, which may be downloaded from the Board's website; a completed Fingerprint Record Card, which can be obtained from the Board office or a local Sheriff's office; and other such form(s) or information as required by the North Carolina Department of Justice to perform a criminal history record check;

(5) payment of fee required by the North Carolina Department of Justice to conduct a criminal history record check;

(6) an official transcript(s) sent to the Board by any institution of higher education from which the applicant received a graduate degree or otherwise completed graduate course work in psychology;

(7) the completed supervisor forms completed by present and past supervisor. The form shall include the following information:

(A) names of applicant and supervisor;

(B) institution or setting where applicant was supervised;

(C) supervisor's position at the time supervision occurred;

(D) applicant's position or title;

(E) dates of applicant's employment or training;

(F) dates of supervision of applicant;

(G) number of hours per week applicant practiced psychology under supervisor's direction;

(H) number of weeks during which applicant practiced psychology under supervisor's direction;

(I) number of practice of psychology hours accumulated;

(J) number of health services hours accumulated;

(K) number of hours per week of individual face-to-face supervision;

(L) duties performed by applicant;

(M) if supervisor is licensed as a psychologist in North Carolina or in any other state or jurisdiction in the U.S. or Canada; and

(N) if the applicant is competent to practice psychology.

(8) three completed reference forms from professionals who are familiar with the applicant's current work, one of which is from a doctoral level psychologist. The reference form shall include:

(A) names of reference and applicant;

(B) time period reference has known applicant;

(C) nature of professional relationship;

(D) judgment regarding the applicant's training, experience, professional skills, adherence to

(E) legal and ethical standards; and

(F) areas of concern, further comments, and recommendations to the Board.

(9) a written verification and report on the status of any occupational licensure, including dates of licensure and any disciplinary action that is pending or has been taken, sent directly to the Board from any other regulatory agency in North Carolina and any other jurisdiction in which the applicant has applied for a license, is currently licensed, or previously was licensed, if applicable;

(10) an official report of any previous score obtained on the Examination for Professional Practice in Psychology sent directly to the Board from the Association of State and Provincial Psychology Boards, if applicable; and

(11) any additional documentation regarding educational credentials described in Rules .1802 and .1803 of this Chapter, if requested by the Board.

(b) The information required for each applicant applying for licensure on the basis of holding a current credential for psychology licensure mobility shall consist of:

(1) typed or printed, signed or digitally signed application form. The form shall include the following information:

(A) legal name;

(B) home mailing address and telephone number;

(C) business name, mailing address and telephone number;

(D) Social Security number;

(E) e-mail address;

(F) date and place of birth;

(G) licensure or applicant for licensure by another psychology board;

(H) if:

(i) been denied a professional license or permit, or privilege of taking an examination;

(ii) had a professional license or permit disciplined in any way; or

(iii) if aware of any pending charges against a professional license or permit;

(I) if ever have withdrawn an application for licensure or an application to take a professional licensing examination;

(J) if ever have been convicted of, or entered a plea of guilty or nolo contendere to any felony or misdemeanor other than a minor traffic violation;

(K) other fields of work for which the applicant is licensed or certified, or has applied for licensure or certification;

(L) if holds a CPQ issued by the Association of State and Provincial Psychology Boards;

(M) if registrant in the National Register of Health Service Providers in Psychology;

(N) if holds a diploma from the American Board of Professional Psychology;

(O) names of graduate programs attended and dates degrees awarded;

(P) names and mailing addresses of three professional references, other than supervisors;

(Q) all work experience including, any graduate internship, practicum, or other supervised training experience that serves as the basis for current application for licensure;

(R) any disability that may require some special accommodation in taking licensing examinations;

(S) if applying for Health Services Provider Certification; and

(T) certify that the applicant has read and understands the public notice statement on employee misclassification maintained on the Board's website and whether the applicant has been investigated for employee misclassification within the past 12 months.

(2) affidavit that attests to having no unresolved complaint in any jurisdiction at the time of application in North Carolina;

(3) application fee under Rule .1605(7) of this Chapter;

(4) typed or printed, signed or digitally signed supervision contract form as described in Subparagraph (a)(3) of this Rule;

(5) signed consent form, which can be downloaded from the Board's website, completed Fingerprint Record Card, which can be obtained from the Board office or a local Sheriff's office, and other such form(s) or information as required by the North Carolina Department of Justice to perform a criminal history record check;

(6) payment of fee required by the North Carolina Department of Justice to conduct a criminal history record check;

(7) official transcript sent to the Board by the institution of higher education from which the applicant received his or her doctoral degree in psychology; or if applicable, a copy of the transcript sent directly to the Board by either the Association of State and Provincial Psychology Boards, National Register of Health Service Providers in Psychology, or American Board of Professional Psychology;

(8) three completed reference forms, as described in Subparagraph (a)(8) of this Rule, from professionals who are familiar with the applicant's current work, one of which is from a doctoral level psychologist;

(9) written verification and report on the status of any occupational licensure, including dates of licensure and any disciplinary action which is pending or has been taken, sent directly to the Board from any other regulatory agency in North Carolina and any other jurisdiction in which the applicant has applied for a license, is currently licensed, or previously was licensed;

(10) written verification sent directly to the Board from the applicable organization(s) that the applicant holds a current credential in good standing for psychology licensure mobility from one of the following:

(A) Certificate of Professional Qualification (CPQ) from the Association of State and Provincial Psychology Boards;

(B) registrant in the National Register of Health Service Providers in Psychology; or

(C) diplomate of the American Board of Professional Psychology; and

(11) documentation of meeting requirements for health services provider certification as specified in Section .2700 of this Chapter, if applicable.

(c) An application shall contain all materials required under Paragraph (a) or (b) of this Rule to be complete. The application forms may be found on the Board website. An incomplete application shall be active for three months from the date on which the application is received in the Board office. At the end of such time, if still incomplete, the application shall be void, and the applicant shall be deemed to have discontinued the application process. If the individual chooses to pursue licensure at a later date, the individual shall reapply.

(d) To be considered to have made application pursuant to G.S. 90-270.139(a), the information specified in Subparagraphs (a)(1) through (a)(5) of this Rule, or Subparagraphs (b)(1) through (b)(6) of this Rule if applying on the basis of a mobility credential, shall be filed in the Board office within 30 days of offering to practice or undertaking the practice of psychology in North Carolina.

History

• Authority G.S. 90-270.138(h); 90-270.139(a); 90-270.143; 90-270.145(a); 90-270.145(b); 90-270.146(a); 90-270.146(a1)(6); 90-270.146(b); 90-270.148; 90-270.155(a)
• Eff. September 1, 1982
• Amended Eff. March 1, 2008; September 1, 2005; January 1, 1996; November 1, 1991; March 1, 1989; June 1, 1988
• Readopted Eff. April 1, 2020
• Amended Eff. August 1, 2021.

21 NCAC 54 .1702 Foreign Degree Application

(a) Applicants applying for licensure on the basis of a foreign degree shall provide documentation, in addition to the information required in 21 NCAC 54 .1701 that establishes the following:

(1) the existence of the degree-granting institution;

(2) the validity of the degree, transcripts, and any supporting documents;

(3) the equivalence of the degree in terms of level of training, content of curriculum, and course credits; and

(4) the equivalence of any supervised experience obtained outside the United States.

Such documentation shall be in the form of a course-by-course evaluation of credentials submitted directly to the Board from an evaluation service that is a member of the National Association of Credentials Evaluation Services, Inc. A listing of members can be found on the National Association of Credentials Evaluation Services, Inc. website, www.naces.org.

(b) Except as described in Paragraph (c) of this Rule, only original documents shall be submitted to the Board in support of the application and the documents shall be received directly from the institution(s) or individual(s) involved.

(c) When an original document cannot be provided directly by the institution or individual involved, an original document possessed by the applicant shall be reviewed and copied by a Board member or designee.

(d) Any document that is in a language other than English shall be accompanied by a translation with a written verification from the translator that the translation into English is accurate and complete. This translation shall be completed by an individual, other than the applicant, who upon written request of the applicant is approved by the Board or a Board designee, and who does not have a relationship with the applicant. Such individuals that shall be approved by the Board as translators include college or university language faculty, a translation service, or an American consul.

History

• Authority G.S. 90-270.143; 90-270.145(c)
• Legislative Objection Lodged Eff. August 26, 1982
• Eff. September 1, 1982
• Curative Amended Eff. September 28, 1982
• Amended Eff. July 1, 2008; October 1, 1995; March 1, 1989; June 1, 1988
• Readopted Eff. April 1, 2020.

21 NCAC 54 .1703 Temporary Licenses

(a) To be issued a temporary license to practice psychology in North Carolina, a psychologist who is not a resident of North Carolina shall submit the following information to the Board at least 10 business days prior to the psychologist engaging in the practice of psychology in North Carolina:

(1) a typed, or printed, signed or digitally signed temporary license application form, including an affidavit that the standards under which the psychologist who is not a resident of North Carolina is licensed in another jurisdiction are substantially equivalent to or higher than the requirements of G.S. 90-270.135 et seq.;

(2) whether the applicant has been disciplined by any licensing authority in North Carolina or elsewhere, or is aware of any pending charges against a professional license or permit which is held;

(3) reason for applying for temporary licensure in North Carolina;

(4) if the applicant wants to be considered for temporary health services provider certification;

(5) a written statement from any jurisdiction where the psychologist is licensed that the psychologist's license is in good standing, that there is no pending disciplinary action against the license, and describing any supervision requirements under which the individual practices in that jurisdiction;

(6) a signed or digitally signed statement showing compliance with supervision requirements specified in Subparagraph (a)(2) of this Rule; and

(7) the temporary license fee set forth in G.S. 90-270.151(b)(8).

(b) Only one 30-day temporary license shall be issued to an individual in any calendar year. Supervision shall be provided at the same level as that which is required for the psychologist who is not a resident of North Carolina in the jurisdiction verifying licensure in Subparagraph (a)(3) of this Rule by a North Carolina permanently licensed psychologist or licensed psychological associate who meets the requirements of Rule .2001 of this Chapter.

(c) A psychologist requesting reinstatement of licensure may apply for a temporary license to practice psychology in North Carolina by submitting the information listed in 21 NCAC 54 .2103. A temporary license issued under this Paragraph shall be valid until the applicant takes the first examination to which he or she is admitted by the Board, pursuant to Rule .2103(e) of this Chapter, and is notified of the results, and until the reinstatement fee set forth in Rule .1605(8) of this Chapter is paid. This license shall not be issued, reissued, or extended if the applicant fails the examination, fails to appear for the examination, or fails to remit the required fees within the time period stipulated in Rule .2103(a)(4) or (b)(9) of this Chapter. A temporary licensee shall comply with supervision requirements specified in Section .2000 of this Chapter for the same level of licensure for which application for reinstatement is approved.

(d) For the 5 day temporary practice notification requirement to practice psychology in North Carolina in accordance with G.S. 90-270.138(f), a psychologist who is not a resident of North Carolina shall submit to the Board the temporary practice notification form at least 10 business days prior to the psychologist engaging in the practice of psychology in North Carolina The temporary practice notification form shall include:

(1) name of application;

(2) degree awarded;

(3) mailing address;

(4) telephone number;

(5) Social Security number;

(6) name of jurisdiction in which licensed, including date of licensure, and license number;

(7) dates of intended practice in North Carolina;

(8) name of North Carolina psychologist(s) with whom applicant will be associating, if applicable;

(9) description of intended practice in North Carolina; and

(10) whether required to be supervised for practice in the jurisdiction in which applicant is licensed.

History

• Authority G.S. 90-270.139(f); 90-270.139(g); 90-270.143
• Eff. September 1, 1982
• Amended Eff. September 1, 1996; October 1, 1991; March 1, 1989; June 1, 1988
• Readopted Eff. April 1, 2020
• Amended Eff. August 1, 2021.

21 NCAC 54 .1704 Review Procedure

History

• Status: expired
• Authority G.S. 90-270.9; 90-270.15
• Eff. September 1, 1982
• Amended Eff. May 1, 1996; October 1, 1991; March 1, 1989
• Expired Eff. November 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 54 .1705 Issuance of License

At any time when a licensee is practicing psychology, a licensee shall display the Board-issued licensure certificate in view of the licensee's patients or clients or have the Board-issued wallet licensure card available for view upon request by the licensee's patients or clients.

History

• Authority G.S. 90-270.143
• Eff. September 1, 1982
• Amended Eff. July 1, 1996
• Readopted Eff. April 1, 2020.

21 NCAC 54 .1706 Reapplication

To reapply for licensure, an applicant must submit all information listed in Rule .1701 of this Section and, if applicable, Rule .1702 of this Section. A reapplication shall be reviewed under the statutes and rules in effect on the date of reapplication.

History

• Authority G.S. 90-270.143; 150B-11(1)
• Eff. October 1, 1991
• Readopted Eff. April 1, 2020.

21 NCAC 54 .1707 Senior Psychologist

(a) Except as provided in Paragraph (b) of this Rule, to be approved for licensure at the Licensed Psychologist level on the basis of senior psychologist status, an applicant shall hold a doctoral degree in psychology from an institution of higher education and shall meet all of the following requirements:

(1) is licensed and has been licensed for 12 continuous years at the doctoral level by one or more other state or provincial psychology boards that are members of the Association of State and Provincial Psychology Boards, during which time, and in which jurisdiction(s), he or she has practiced psychology for a minimum of 10 years for at least 20 hours per week;

(2) has had no disciplinary sanction during his or her period of licensure in any jurisdiction;

(3) has no unresolved disciplinary complaint with a licensing board in any jurisdiction at the time of application or during the pendency of application in North Carolina; and

(4) passes the State examination.

(b) An applicant who received the doctoral degree prior to January 1, 1978, upon which his or her psychology licensure in another jurisdiction is based, shall hold a doctoral degree from an institution of higher education and meet all of the requirements specified in Subparagraphs (a)(1) through (a)(4) of this Rule.

(c) Except as provided in Paragraph (d) of this Rule, to be approved for licensure at the Licensed Psychological Associate level on the basis of senior psychologist status, an applicant shall hold a master's, specialist, or doctoral degree in psychology from an institution of higher education and shall meet all of the following requirements:

(1) is licensed and has been licensed for 12 continuous years at the master's level by one or more other state or provincial psychology boards that are members of the Association of State and Provincial Psychology Boards, during which time, and in which jurisdiction(s), he or she has practiced psychology for a minimum of 10 years for at least 20 hours per week;

(2) has had no disciplinary sanction during his or her entire period of licensure in any jurisdiction;

(3) has no unresolved disciplinary complaint with a licensing board in any jurisdiction at the time of application or during the pendency of application in North Carolina; and

(4) passes the State examination.

(d) An applicant who received the degree prior to January 1, 1978, upon which his or her psychology licensure in another jurisdiction is based, shall hold a master's, specialist, or doctoral degree from an institution of higher education and meet all of the requirements specified in Subparagraphs (c)(1) through (c)(4) of this Rule.

(e) The information required for each applicant shall consist of:

(1) a typed or printed signed or digitally signed application form, as described in Rule .1701(a)(1) of this Chapter, and an affidavit that attests to meeting the requirements specified in Subparagraphs (a)(1) through (a)(3) or Subparagraphs (c)(1) through (c)(3) of this Rule, as applicable;

(2) a typed or , signed or digitally signed supervision contract form as described in Rule .1701(a)(3) of this Section;

(3) the application fee set forth in Rule .1605(6) of this Chapter;

(4) a signed consent form, completed Fingerprint Record Card, and other such form(s) or information as required by the North Carolina Department of Justice to perform a criminal history record check;

(5) payment of fee required by the North Carolina Department of Justice to conduct a criminal history record check;

(6) an official college transcript(s) sent to the Board by any training institution(s) from which the applicant received a graduate degree;

(7) three completed reference forms, as described in Rule .1701(a)(8) of this Section, from professionals who are familiar with the applicant's current work, one of which is from a doctoral level psychologist; and

(8) a written verification and report on the status of any occupational licensure, including dates of licensure and any disciplinary action that is pending or has been taken, sent directly to the Board from any other regulatory agency in North Carolina and any other jurisdiction where the applicant has applied for a license, is currently licensed, or previously was licensed.

(f) To be complete, an application shall contain all materials required under Subparagraph (e) of this Rule. An incomplete application shall be active for three months from the date on which the application is received in the Board office. At the end of such time, if still incomplete, the application shall be void, and the applicant shall be deemed to have discontinued the application process. If the individual chooses to pursue licensure at a later date, the individual shall reapply.

(g) To be considered to have made application pursuant to G.S. 90-270.139(a), the information specified in Subparagraphs (e)(1) through (e)(5) of this Rule shall be filed in the Board office within 30 days of offering to practice or undertaking the practice of psychology in North Carolina.

History

• Authority G.S. 90-270.139(a); 90-270.143; 90-270.146(a); 90-270.146(e); 90-270.155(a)
• Eff. January 1, 1996
• Amended Eff. March 1, 2008; August 1, 2006
• Readopted Eff. April 1, 2020
• Amended Eff. August 1, 2021.

21 NCAC 54 .1801 Practicing Psychologist Requirements as of June 30, 1987

History

• Status: repealed
• Authority G.S. 90-270.9; 90-270.11(a)(1)c
• Eff. September 1, 1982
• Amended Eff. March 1, 1989; June 1, 1988
• Repealed Eff. May 1, 1996.

21 NCAC 54 .1802 Psychological Associate

(a) Licensure for the level of psychological associate shall require a master's degree or specialist degree in psychology from an institution of higher education. The degree program shall meet all of the following requirements:

(1) The program shall be identified and labeled as a psychology program. The program shall specify in institutional catalogues its purpose to educate and train students to engage in the activities that constitute the practice of psychology as defined in G.S. 90-270.136(8).

(2) The program shall maintain authority and primary responsibility for the core and specialty areas.

(3) The program shall have a body of students in residence at the physical campus of the institution who are matriculated in that program for a degree.

(4) There shall be a full-time psychology faculty employed in residence at the physical campus of the institution, sufficient in size and breadth to carry out its responsibilities, employed by and providing instruction at the physical campus of the institution.

(5) There shall be a psychologist responsible for the student's program, either as the administrative head of the program, or as the advisor, professor, or committee chair for the individual student's program.

(6) The program shall be an integrated, organized sequence of study in psychology as demonstrated by a curriculum track or tracks wherein course sequences and course content are described in institutional catalogues, departmental handbooks, or other institutional publications.

(7) The program shall encompass the equivalent of a minimum of one academic year of graduate study in student residence at the institution from which the degree is granted. Residence requires in person interaction with psychology faculty and other matriculated psychology students at the physical campus of the institution. One year's residency is defined as 30 semester (45 quarter or 40 trimester) hours taken in person at the physical campus of the institution over the course of one year.

(8) The program shall include supervised training experience listed on the applicant's transcript and shall include an internship, externship, practicum, or other supervised field experience related to the area of specialty and the practice of psychology and shall meet all of the following criteria:

(A) It shall be a planned and directed program of training for the practice of psychology, in contrast to on-the-job training, and shall provide the trainee with a planned and directed sequence of training that is integrated with the educational program in which the student is enrolled. This supervised training experience shall be planned by the educational program faculty and supervised training experience site staff, rather than by the student.

(B) The supervised training experience shall have a written description of the program of training, or a written agreement, developed prior to the time of the training, between the student's educational program and the supervised training experience site, detailing the responsibilities of the student and the supervised training experience site. The agreement shall be approved by the student's educational program prior to the beginning of the supervised training experience.

(C) The supervised training experience site shall have a designated licensed or certified psychologist or psychological associate responsible for the supervised training experience.

(D) A student enrolled in a supervised training experience shall be designated as any of the following: an "intern," "extern," or "practicum student," or shall hold a title that provides training status for the practice of psychology.

(E) The supervised training experience shall be a minimum of 12 weeks consisting of at least 500 hours of supervised training. At least 400 hours of the training shall be in the practice of psychology. Supervision for this supervised training experience shall be provided as required by Parts (G) or (H) of this Subparagraph.

(F) The supervised training experience shall be completed within a period of 12 consecutive months at not more than two supervised training experience sites.

(G) Except as provided in Part (H) of this Subparagraph, individual in person supervision that oversees the student's practice of psychology shall be provided by a North Carolina licensed psychologist or psychological associate or by a psychologist who is exempt from licensure, pursuant to G.S. 90-270.138(b), at a rate of not less than one hour per week during at least 12 separate weeks of the supervised training experience. The supervisor shall establish and maintain a level of supervisory contact consistent with professional standards and shall be accessible to the student.

(H) If completing a supervised training experience outside of North Carolina, the student shall be provided scheduled individual in person supervision by a licensed or certified psychologist or psychological associate or by an individual holding a master's, specialist, or doctoral degree in psychology, at a rate of not less than one hour per week during at least 12 separate weeks of the supervised training experience. The supervisor shall supervise the student practice of psychology and maintain a level of supervisory contact consistent with professional standards and shall be accessible to the student. Proof of the supervisor's license or degree program shall be required by the Board to establish the supervisor's training in psychology.

(9) Except as provided in Paragraph (b) of this Rule, the program of study shall include a minimum of 45 semester (68 quarter or 60 trimester) hours of graduate study in standard psychology courses, including courses drawn from academic psychology (e.g., social, experimental, physiological, and developmental psychology, and history of psychology), statistics and research design, scientific and professional ethics and standards, and a specialty area. Of the required 45 semester (68 quarter or 60 trimester) program hours, not more than 6 semester (9 quarter or 8 trimester) hours shall be credited for supervised training experience and not more than 6 semester (9 quarter or 8 trimester) hours shall be credited for thesis or dissertation. No credit shall be allowed for audited courses or courses taken at an institution which does not meet the definition of an "institution of higher education" as defined by 90-270.136(5).

(b) If an individual's degree program did not include a minimum of 45 semester (68 quarter or 60 trimester) hours of course content, as defined in Subparagraph (a)(9) of this Rule, but included a minimum of 39 semester (59 quarter or 52 trimester) hours of graduate study in standard psychology courses, as specified in Subparagraph (a)(9) of this Rule, allowing not more than 6 semester (9 quarter or 8 trimester) hours for supervised training experience and 6 semester (9 quarter or 8 trimester) hours for thesis or dissertation, the individual shall be allowed to take, and must pass with a grade of "B" or above, additional graduate level course work to meet the hourly requirement in Subparagraph (a)(9) of this Rule. The individual shall complete standard psychology courses, as defined by Subparagraph (a)(9) of this Rule, to meet the minimum educational requirements to apply for licensure. The course work shall be completed at an institution of higher education in a graduate psychology program in the same specialty area as the degree program completed by the individual and shall be reported on an official transcript. No credit shall be accepted by the Board for audited courses. This additional graduate level course work shall not duplicate course work taken by the individual in his or her degree program or prior to admittance to his or her degree program and shall be completed in one or more of the following areas:

(1) academic psychology (e.g., social, experimental, physiological, and/or developmental psychology, and history of psychology);

(2) statistics and research design;

(3) scientific and professional ethics and standards; or

(4) electives offered in the course of study for the individual's specialty area (e.g., clinical psychology, counseling psychology, school psychology, or other specialty area in psychology).

(c) If an individual's degree program did not include a minimum of 39 semester (59 quarter or 52 trimester) hours in standard psychology courses, allowing not more than 6 semester (9 quarter or 8 trimester) hours for supervised training experience and not more than 6 semester (9 quarter or 8 trimester) hours for thesis or dissertation, the individual shall not be allowed to obtain additional hours at a post-graduate level to meet the hourly requirements in Subparagraph (a)(9) of this Rule.

(d) An individual shall not, under any circumstance following the completion of the individual's master's or specialist degree in psychology, be allowed to complete a practicum, internship, or other supervised training experience requiring the individual to practice psychology in order to meet the minimum educational requirement.

(e) An applicant whose credentials have been approved by the Board for examination at the licensed psychologist level may be issued a license as a psychological associate if the applicant fails an examination at the licensed psychologist level but passes such at the psychological associate level. To receive this license, the applicant shall make a written request to the Board for licensure at the psychological associate level within 30 days from the date when the applicant is notified of his or her examination score.

History

• Authority G.S. 90-270.143; 90-270.145(b)
• Eff. September 1, 1982
• Amended Eff. August 1, 2006; July 1, 1997; October 1, 1991; August 1, 1984
• Readopted Eff. April 1, 2020
• Amended Eff. August 1, 2021.

21 NCAC 54 .1803 Licensed Psychologist

(a) Licensure for the level of licensed psychologist shall require a doctoral degree in psychology from an institution of higher education. The doctoral program shall be accredited by the American Psychological Association or the Canadian Psychological Association at the time of the individual's graduation from the program, or one which meets all of the following requirements:

(1) The program shall be identified and labeled a psychology program. The program shall specify in institutional catalogues its purpose to educate and train students to engage in the activities that constitute the practice of psychology as defined in G.S. 90-270.136(8).

(2) The program shall maintain authority and primary responsibility for the core and specialty areas.

(3) The program shall have a body of students in residence at the physical campus of the institution who are matriculated in that program for a degree.

(4) There shall be a full-time psychology faculty in residence at the physical campus of the institution, sufficient in size and breadth to carry out its responsibilities, employed by and providing instruction at the physical campus of the institution.

(5) There shall be a psychologist responsible for the applicant's program either as the administrative head of the program, or as the advisor, professor, or committee chair for the individual applicant's program.

(6) The program shall be an integrated, organized sequence of study in psychology as demonstrated by a curriculum track or tracks wherein course sequences and course content are described in institutional catalogues, departmental handbooks, or other institutional publications.

(7) The program shall encompass the equivalent of a minimum of three academic years of full-time graduate study, two years of which are at the institution from which the degree is granted, and one year of which is in residence at the institution from which the degree is granted. Residence requires in person interaction with psychology faculty and other matriculated psychology students. One year's residence is defined as 30 semester (45 quarter or 40 trimester) hours taken on a full-time or part-time basis in person at the physical campus of the institution over the course of one year.

(8) The program shall include practicum, internship, field experiences, or laboratory training related to the area of specialty and the practice of psychology. This experience shall be supervised by a licensed psychologist.

(9) Except as provided in Paragraph (b) of this Rule, the program of study shall include a minimum of 60 semester (90 quarter or 80 trimester) hours of graduate study in standard psychology courses, exclusive of credits for internship or practicum and thesis or dissertation, including instruction in scientific and professional ethics and standards, research design and methodology, statistics and psychometrics, and the specialty area. No credit shall be allowed for audited courses or courses taken at an institution that does not meet the definition of an "institution of higher education" as defined by G.S. 90-270.136(5).

(10) The program shall include a minimum of three semester (five quarter or four trimester) hours of coursework in each of these content areas:

(A) biological bases of behavior, such as, physiological psychology, comparative psychology, neuropsychology, sensation and perception, psychopharmacology;

(B) cognitive-affective bases of behavior, such as, cognition, memory, learning, thinking, motivation, emotion;

(C) social bases of behavior, such as, social psychology, group processes, organizational and systems theory, cultural and ethnic bases, sex roles; and

(D) individual differences, such as, personality theory, human development, abnormal psychology, individual differences.

(b) If an individual's degree program did not include a minimum of 60 semester (90 quarter or 80 trimester) hours in standard psychology courses, as specified in Subparagraphs (a)(9) and (a)(10) of this Rule, but included a minimum of 54 semester (81 quarter or 72 trimester) hours of graduate study in standard psychology courses, as specified in Subparagraphs (a)(9) and (a)(10) of this Rule, exclusive of credits for internship or practicum and thesis or dissertation, the individual shall be allowed to take, and must pass with a grade of "B" or above, additional graduate level course work to meet the hourly requirement specified in Subparagraphs (a)(9) and (a)(10) of this Rule. The individual shall complete , standard psychology courses, as defined by Subparagraphs (a)(9) and (a)(10) of this Rule, to meet the minimum educational requirements to apply for licensure. The course work shall be completed at an institution of higher education in a graduate psychology program in the same specialty area as the degree program completed by the individual and shall be reported on an official transcript. Alternately, the course work may be completed in a formal re-specialization program in psychology at an institution of higher education as defined in G.S. 90-270.136(5), which shall be reported on an official transcript. A formal re-specialization program in psychology means a program in which individuals already holding a doctoral degree in psychology complete additional education and training in order to change their specialist area of study. Re-specialization programs involve coursework in a health service psychology field, including clinical, counseling, school or combinations of these areas. Respecialization programs also include education in profession-wide competencies, such as, ethics, assessment, intervention; experiential education such as practicum; and a one-year internship. The individual shall provide a certificate of completion of a respecialization program, issued by the program. No credit shall be accepted by the Board for audited courses. This additional graduate level course work shall not duplicate course work taken by the individual in his or her degree program or prior to admittance to his or her degree program.

(c) If an individual's degree program did not include a minimum of 54 semester (81 quarter or 72 trimester) hours of graduate study in standard psychology courses, exclusive of credits for internship or practicum and thesis or dissertation, the individual shall not be allowed to obtain additional hours at a post-graduate level to meet the hourly requirements in Subparagraphs (a)(9) and (a)(10).

History

• Authority G.S. 90-270.143; 90-270.145(a)
• Eff. June 1, 1988
• Amended Eff. July 1, 2009; July 1, 1997; October 1, 1991; March 1, 1989
• Readopted Eff. April 1, 2020
• Amended Eff. August 1, 2021.

21 NCAC 54 .1901 Examinations

(a) Qualifying Examinations. The following examinations shall be taken as set forth in this Rule. The applicant shall comply with this Rule and the deadlines and procedures established by the examination contractor, and the testing vendor.

(1) National Examination. An applicant for licensure shall take the national examination after being approved for the national examination by the Board. The national examination is the Examination for Professional Practice in Psychology (EPPP) that is developed by the Association of State and Provincial Psychology Boards (ASPPB). The passing point for licensed psychologist shall be a scaled score of 500, and the passing point for licensed psychological associate shall be a scaled score of 440, unless a licensed psychological associate applies to practice under Rule .2008(h)(3) of this Chapter. Then in order to be approved under Rule .2008(h)(3) of this Chapter, he or she must meet the passing point of a scaled score of 500. If a licensed psychological associate does not meet the passing point of a scaled score of 500, he or she must have been practicing for 5 years, as set forth in Rule .2008(h)(3) of this Chapter in order to apply to practice under Rule .2008(h)(3) of this Chapter. This examination shall not be required for an applicant who has previously taken the EPPP and whose score met the North Carolina passing point which was established for that particular administration date of the examination, unless the Board determines pursuant to G.S. 90-270.148 that an individual shall be required to take and pass a current form of the EPPP. The EPPP shall not be required for an applicant who documents meeting requirements for licensure specified in Rule .1707 of this Chapter.

(2) State Examination. An applicant for licensure shall take the Board-developed State Examination after being approved for the state examination by the Board. The State Examination shall assess the applicant's knowledge of the North Carolina Psychology Practice Act, the rules of this Chapter and the code of ethics of the American Psychological Association. The passing point for all licensees shall be set at 78 percent of the total scored items on the examination.

(3) Ethics Renewal Examination. An applicant for license renewal shall take the Board-developed ethics renewal examination every two years. Completion of this examination shall count for one Category A continuing education credit in ethics, as required by Rule .2104(d) of this Chapter.

(b) Special Administrations. Applicants with disabilities as defined by the Americans with Disabilities Act of 1990 (ADA), which is hereby incorporated by reference, including subsequent amendments and editions, available at no cost at www.ada.gov, and documented by a licensed medical professional shall be administered the EPPP and State examination under conditions that shall minimize the effect of the disabilities on their performance. Special test administrations shall be as comparable as possible to a standard administration.

History

• Authority G.S. 90-270.143; 90-270.145; 90-270.147(a)(2); 90-270.148(b)
• Eff. September 1, 1982
• Amended Eff. September 1, 2005; April 1, 2001; October 1, 1996; March 1, 1989; January 1, 1986; July 1, 1985; August 1, 1984
• Readopted Eff. April 1, 2020
• Amended Eff. August 1, 2021.

21 NCAC 54 .1902 Reporting of Scores

History

• Status: expired
• Authority G.S. 90-270.9
• Eff. September 1, 1982
• Amended Eff. October 1, 1991; January 1, 1986
• Expired Eff. November 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 54 .1903 RETAKING the national examination

An applicant may take the national examination no more than 4 times in a 12-month period and no more frequently than every 60 days upon payment of the required fee set forth in Rule .1605(3) of this Section. The 12-month period begins on the date of the letter notifying the applicant that his or her credentials have been approved for national examination by the Board. After failing the national examination for the fourth time or after the passage of 12 months, whichever occurs first, an applicant must reapply for licensure.

History

• Authority G.S. 90.270.139(b); 90-270.143
• Eff. September 1, 1982
• Amended Eff. April 1, 2001; October 1, 1991; March 1, 1989; July 1, 1985
• Readopted Eff. April 1, 2020.

21 NCAC 54 .1904 FAILURE TO APPEAR for the national examination

(a) If an applicant does not appear for the national examination within four months from the date of the letter sent by the Board notifying the applicant that his or her credentials have been approved for the national examination by the Board, the applicant she shall be deemed to have failed the examination.

(b) If the applicant does not appear for the national examination within the time period set forth in Paragraph (a) of this Rule, the applicant shall be permitted to take the examination within the next consecutive four months without reapplying for licensure.

(c) If the applicant does not appear for an examination within the second four-month period, he or she shall be deemed to have failed the examination a second time and must reapply for licensure. Except as exempt under G.S. 90-270.138, after failing to appear for the examination for the second time, an applicant shall not practice or offer to practice psychology without first becoming licensed by the Board.

History

• Authority G.S. 90-270.139(b); 90-270.143
• Eff. September 1, 1982
• Amended Eff. April 1, 2001; May 1, 1996; October 1, 1991; March 1, 1989; July 1, 1985
• Readopted Eff. April 1, 2020
• Amended Eff. August 1, 2021.

21 NCAC 54 .2001 Supervisor

(a) Except as provided in Paragraph (b) of this Rule, the following individuals shall be recognized as qualified supervisors for individuals requiring supervision to practice psychology:

(1) a licensed psychologist who has been issued a permanent license by the Board;

(2) any person who was in a psychology position with the State of North Carolina on December 31, 1979, and who is still so employed, provided that such supervision is, and was on December 31, 1979, within the psychologist's job description and is only for activities that are part of the duties and responsibilities of the supervisee within his or her position at a State agency or department;

(3) a doctoral level licensed psychologist who is licensed in the jurisdiction where the supervisee is practicing psychology; or

(4) a licensed psychological associate who is under supervision as required under Rule .2008 of this Section and is approved to practice under Rule .2008(h)(3) of this Section and is certified as a health services provider psychological associate (HSP-PA) under Rule .2706 of this Chapter.

(b) The Board shall disapprove an otherwise qualified supervisor for the following reasons:

(1) documentation that the supervisor is not competent or qualified to supervise the supervisee;

(2) documentation the supervisor has failed to adhere to legal or ethical standards as set forth in G.S. 90-270.148(a);

(3) documentation that there is a lack of similarity between the supervisor's training, experience and area of practice and the supervisee's proposed area(s) of practice;

(4) documentation that the supervisor has a license against which disciplinary or remedial action has been taken by the Board or any other occupational licensing Board; or

(5) documentation that the supervisor has not completed the training described, and within the time frame set forth, in Paragraph (c) of this Rule.

(c) A licensee who engages in the supervision of an applicant for licensure, a licensed psychological associate, or a provisionally licensed psychologist in North Carolina must complete a three-hour training session which meets the following requirements:

(1) addresses how to supervise in accordance with Board rules regarding supervision requirements;

(2) is sponsored or co-sponsored by an entity approved by the Board as a Category A program sponsor in Rule .2104(b)(3) of this Chapter; and

(3) is presented by an individual or individuals assigned by the Board.

If a licensee takes the training session on-line, the licensee shall take and complete an examination at the completion of the session. The sponsor or co-sponsor of a training session shall submit a list of attendees who complete the three-hour training session, including completing any examination, to the Board no later than 30 days following the training session. The training shall be completed, and documentation of completion received in the Board's office, no later than September 1, 2022. If the training is not completed by September 1, 2022, a licensee shall not enter into a supervision contract with an applicant, a licensed psychological associate, or a licensed psychologist-provisional until he or she completes the training and the Board receives documentation of such. A licensee who completes the training and passes the examination shall be permitted to count the three hours toward the minimum continuing education hours required in Rule .2104 of this Chapter for the renewal period it was when completed.

(d) The licensee shall be required to take the training set forth in Paragraph (c) of this Rule one time unless the Board finds that he or she is failing to adhere to the supervision requirements set forth in this Section.

(e) Each supervisor shall:

(1) assess his or her ability to meet the supervisory needs of supervisees and potential supervisees;

(2) offer and provide supervision only within the supervisor's area(s) of competence;

(3) enter into a written agreement with the supervisee on a Board adopted supervision contract form, which sets forth the supervisee's obligations as well as the supervisor's responsibilities to the supervisee;

(4) direct the supervisee to practice psychology only within areas for which the supervisee is qualified by education, training, or supervised experience;

(5) establish and maintain a level of supervisory contact consistent with that described in the supervision contract form on file with the Board and be accessible to the supervisee;

(6) direct the supervisee to keep the supervisor informed of services performed by the supervisee;

(7) advise the Board if the supervisor has reason to believe that the supervisee is practicing in a manner that indicates that violations of G.S. 90-270.148(a) have been committed;

(8) maintain a record of supervision with a supervisee that documents the following:

(A) dates and appointment times of each supervision session, including the length of time of each session;

(B) a summary of each session including treatment or assessment issues addressed, concerns identified by the supervisor and supervisee, recommendations of the supervisor, and intended outcome for recommendations of the supervisor; and

(C) fees charged, if any, to the supervisee for supervision;

(9) except when prevented from doing so by circumstances beyond the supervisor's control, retain securely and confidentially the records reflecting supervision with a supervisee for at least seven years from the date of the last session of supervision with a supervisee. If there are pending legal or ethical investigations or proceedings or if there is any other compelling circumstance, the supervisor shall retain the complete record of supervision securely and confidentially for a period of seven years from the final resolution of such legal or ethical matter;

(10) report on the supervision report form that agreed upon supervision has occurred; and

(11) file a final supervision report within two weeks of termination of supervision.

(f) To maintain the professional nature of the supervision, a familial or personal relationship, such as a spouse, parent, sibling or close friend, shall not exist between the supervisor and supervisee, except in extraordinary circumstances, such as the lack of availability of any other qualified supervisor. In such cases, the Board shall require documentation from the supervisor or supervisee that no other supervision is available and three reference letters from other mental health professionals regarding the supervisor's ability to perform the supervision requirements under Paragraph (e) of this Rule.

History

• Authority G.S. 90-270.139; 90-270.143
• Eff. September 1, 1982
• Amended Eff. July 1, 1997; October 1, 1991; March 1, 1989
• Readopted Eff. January 1, 2021
• Amended Eff. August 1, 2021.

21 NCAC 54 .2002 Nature of Supervision

(a) The nature of supervision shall depend on the areas of practice, experience, and training related to the area of specialty of the supervisee. A supervisor shall train the supervisee in skills, methods, and interventions, including enhancement and refinement of previously learned skills.

(b) During supervision, the supervisor and supervisee shall include consideration of the following areas:

(1) ethical, legal, and professional standards in accordance with G.S. 90-270.148(a);

(2) technical skills and competency;

(3) supervisee's utilization of supervision; and

(4) supervisee's ability to function with reduced supervision, as set forth in Rule .2008 of this Section.

(c) Each supervisee shall:

(1) attend scheduled supervision sessions;

(2) provide the supervisor with a disclosure of psychological services being offered or rendered by the supervisee;

(3) cooperate with the supervisor to assure that all conditions in Rule .2001(c) of this Section are met;

(4) provide the supervisor with information necessary for the supervisor to advise the supervisee on cases of possible violations of G.S. 90-270.148(a);

(5) notify the Board if he or she has reason to believe that the supervisor has behaved in a manner which indicates that the supervisor has committed a violation of G.S. 90-270.148(a); and

(6) file a revised supervision contract form within 30 days of a change in the conditions specified in the supervision contract form on file with the Board, as set forth in Rule .2008 of this Section.

(d) The supervisee and supervisor shall determine jointly how to notify clients or patients of the supervisory process such as clinical information may be discussed with the supervisor or the means by which the supervisor may be contacted, and which cases, issues, and techniques are necessary for supervision. Supervisors shall not be required to sign or co-sign supervisees' reports, treatment plans, letters, or other clinical documents. Clinical documents are not required to reflect that the supervisee is receiving supervision.

History

• Authority G.S. 90-270.139; 90-270.143
• Eff. September 1, 1982
• Amended Eff. July 1, 1997; October 1, 1991; March 1, 1989
• Readopted Eff. April 1, 2020
• Amended Eff. August 1, 2021.

21 NCAC 54 .2003 Contracting and Reporting

History

• Status: repealed
• Authority G.S. 90-270.2(f); 90-270.4(a2); 90-270.5(d); 90-270.9; 90-270.15(e)
• Eff. September 1, 1982
• Amend Eff. October 1, 1991; March 1, 1989; January 1, 1986; August 1, 1984
• Repealed Eff. July 1, 1997.

21 NCAC 54 .2004 Time Requirements

History

• Status: repealed
• Authority G.S. 90-270.2(f); 90-270.4(a2); 90-270.5(d); 90-270.9; 90-270.15(e)
• Eff. September 1, 1982
• Amend Eff. October 1, 1991; March 1, 1989; January 1, 1986; August 1, 1984
• Repealed Eff. July 1, 1997.

21 NCAC 54 .2005 DEFINiTION OF FACE TO FACE SUPERVISION

(a) As used in these Rules in this Chapter the term "face-to-face supervision" shall mean both in-person supervision, where the supervisor and supervisee meet in person at the same physical location, and electronic means of face‐to‐face interaction without meeting in person.

(b) The face‐to‐face supervision shall be live, interactive, and visual. Video or other technology may be used so long as it is real time and involves verbal and visual interaction for the entire session. The face‐to‐face supervision shall maintain the confidentiality of the communication as it relates to the identifying information regarding patients/clients.

(c) When a supervisor and supervisee are deciding whether to meet in person or through electronic medium, they shall consider factors such as:

(1) whether reports or evaluations will be reviewed and whether that can be done through use of electronic medium;

(2) whether the supervisory relationship is recently established; or

(3) whether there are concerns that are better addressed in person.

History

• Authority G.S. 90-270.136(f); 90-270.139; 90-270.143
• Eff. September 1, 1982
• Amended Eff. July 1, 1997; January 1, 1986; August 1, 1984
• Readopted Eff. January 1, 2021.

21 NCAC 54 .2006 Psychological Associate Activities

(a) The assessment of overall personality functioning by a psychological associate requires supervision. The assessment of personality functioning involves any assessment or evaluative technique which leads to conclusions, inferences, and hypotheses regarding personality functioning. This includes:

(1) all statements regarding personality attributes, features, traits, structure, dynamics, and pathology or assets;

(2) the use of personality assessment techniques which include, but are not limited to, observation, interviewing, mental status examinations, word association tests, diagnostic play therapy, and autobiographical techniques; and

(3) the use of standardized personality techniques or tests. Examples of techniques or tests include, but are not limited to, the following: Rorschach, Thematic Apperception Test, sentence completion tests, the House Tree Person, Minnesota Multiphasic Personality Inventory, the California Personality Inventory, The Millon tests, the 16PF, and all other self-report inventories and questionnaires, as well as scales and check lists completed by others. The tests identified in this Rule as requiring supervision do not constitute an exhaustive list, only the most commonly utilized measures.

Not requiring supervision are screening techniques which lead to simple descriptors of persons which may be completed by a variety of professional and non-professional observers and are interpreted by other parties.

(b) The conduct of neuropsychological evaluations by psychological associates requires supervision. Not requiring supervision are neuropsychological screenings which lead to simple behavioral descriptions rather than clinical interpretations, or the administration of rating devices which may be completed by a variety of professional and non-professional observers and are subsequently interpreted by other parties.

(c) Psychotherapy, counseling, and any other interventions with a clinical population for the purpose of preventing or eliminating symptomatic, maladaptive, or undesired behavior provided by a psychological associate require supervision. Clinical populations include persons with discernible mental, behavioral, emotional, psychological, or psychiatric disorders as evidenced by an established Axis 1 or Axis II diagnosis or V Code condition in the then current DSM and all persons meeting the criteria for such diagnoses. Interventions other than psychotherapy and counseling that are encompassed by this definition include, but are not limited to, psychological assessment, psychoanalysis, behavior analysis/therapy, biofeedback, and hypnosis. Supervision is required when the psychological associate is providing an intervention to persons within a clinical population, directly with the person(s) or in consultation with a third party, for the purpose of preventing or eliminating symptomatic, maladaptive, or undesired behavior. Supervision is required for the design or clinical oversight of interventions for persons within a clinical population, such as biofeedback techniques and behavior intervention programs; however, supervision is not required for the actual implementation of such interventions that were designed for others to implement, which may or may not constitute ancillary services.

(d) The use, including authorization, of intrusive, punitive, or experimental procedures, techniques, or measures by a psychological associate requires supervision. These procedures, techniques, or measures include, but are not limited to, seclusion, physical restraint, the use of protective devices for behavioral control, isolation time-out, and any utilization of punishment techniques involving aversive stimulation. Also included in this definition are any other techniques which are physically intrusive, are restrictive of human rights or freedom of movement, place the client at risk for injury, or are experimental in nature (i.e., in which the efficacy and degree of risk have not previously been clinically established).

(e) Supervision is required for a psychological associate who provides clinical supervision to other service providers who are engaged in activities which would require supervision if directly provided by the psychological associate.

History

• Authority G.S. 90-270.139(e); 90-270.143
• Eff. October 1, 1991
• Amended Eff. October 1, 2006.

21 NCAC 54 .2007 Applicants and Other Nonlicensed Individuals

(a) Except as provided for in this Rule, Rule .1610 of this Chapter, and Rule .1703 of this Chapter, applicants and individuals who have yet to apply for licensure shall not practice or offer to practice psychology without supervision. With the exception of those activities which are exempt from licensure as stipulated in G.S. 90-270.138, all activities comprising the practice of psychology shall be subject to supervision by a supervisor. A minimum of one hour per week of face-to-face individual supervision shall be required in any week in which an applicant practices psychology. Supervision shall be provided by an individual who shall be recognized as an appropriate supervisor of licensees as defined in Rule .2001 of this Section.

(b) An applicant who is not practicing or offering to practice psychology in North Carolina shall not be required to receive supervision.

(c) An applicant shall keep a written, notarized supervision contract form on file in the Board's office at all times. A supervision contract form shall document either that supervision is required and shall be received, or that supervision is not required.

(d) An initial written, notarized supervision contract form shall be filed along with the application form. The contents of the contract form can be found in Rule .1701(a)(3) of this Chapter. A new supervision contract form shall be filed within 30 days of a change in the conditions specified in the supervision contract form on file with the Board and within 30 days after receiving written notification from the Board that the filing of a new form is necessary to provide for the protection of the public or the regulation of the practice of psychology.

(e) Supervision reports shall be submitted upon termination of supervision, when there is a change in the conditions specified in the supervision contract form on file with the Board, or at any time that the supervisor has concerns regarding the supervisee's performance. The report form shall include the following:

(1) legal name;

(2) license number;

(3) mailing address, email address and telephone number;

(4) work setting covered by report;

(5) if work at the setting has been terminated;

(6) dates covered by the report;

(7) supervisor's name and license number;

(8) number of hours of supervision;

(9) number of supervision sessions;

(10) number of hours supervisee engaged in activities requiring supervision;

(11) number of hours supervisee engaged in health service activities;

(12) ratings of supervisee; and

(13) if supervisee was unemployed or not practicing psychology in North Carolina.

(f) Additional monitoring and reporting to the Board shall be required in cases where the Board determines by reviewing previous supervision reports or other information (e.g., reference letters, ethical complaints, etc.) problems in the supervisee's failure to practice in accordance with G.S. 90-270.148(a). Additional documentation or an interview with the Board or its designated representative(s) may be required when questions arise regarding the supervisee's practice due to information supplied or omitted on supervision contract forms and reports or when required forms are not filed with the Board.

(g) Contract and report forms can be obtained from the Board's website.

History

• Authority G.S. 90-270.139(c); 90-270.143
• Eff. April 1, 1994
• Temporary Adoption Eff. December 1, 1993, for a period of 180 Days or until the permanent rule becomes effective, whichever is sooner
• Amended Eff. July 1, 1997
• Readopted Eff. April 1, 2020
• Amended Eff. August 1, 2021.

21 NCAC 54 .2008 Psychological Associate

(a) A Psychological Associate practicing psychology in North Carolina shall receive supervision for activities specified in G.S. 90-270.139(e) and Rule .2006 of this Section.

(b) A Psychological Associate whose professional practice is limited to those activities other than those specified in G.S. 90-270.139(e) and Rule .2006 of this Section as requiring supervision shall not be required to receive supervision.

(c) A Psychological Associate who is a regular salaried employee of the State Department of Public Instruction or a local board of education, and whose professional activities are limited only to those for which he or she is employed by that agency, shall not be required to receive supervision. This exemption shall not apply to individuals who contract with the Department of Public Instruction or local boards of education for the delivery of psychological services which otherwise require supervision in the schools.

(d) A Psychological Associate who engages in the practice of psychology in a jurisdiction other than North Carolina shall not be required to receive supervision as set forth in this Rule for those services rendered in another jurisdiction so long as said services in another jurisdiction are rendered in a manner consistent with that jurisdiction's legal requirements.

(e) A written, notarized supervision contract form shall be filed within 30 days of a change in the conditions specified in the supervision contract form on file with the Board and within 30 days after receiving written notification from the Board that the filing of a new form is necessary to provide for the protection of the public or the regulation of the practice of psychology. A supervision contract form shall document either that supervision is required and shall be received, or that supervision is not required. A separate supervision contract form shall be filed for each separate work setting. A work setting is considered as self-employment, employment under an umbrella agency, or employment at a stand-alone business entity. If receiving supervision from more than one supervisor to meet the supervision requirements set forth in this Rule, a separate supervision contract form shall be filed with each individual supervisor.

(f) A supervisor shall report to the Board that agreed upon supervision has occurred and shall file a final report upon termination of supervision. A report shall be submitted to the Board by the following time periods:

(1) within 30 days after receiving written notification from the Board that such is due;

(2) within 2 weeks of termination of supervision; and,

(3) within 2 weeks of a change in the conditions specified in the supervision contract form on file with the Board.

If not receiving supervision, it shall be the responsibility of the Psychological Associate to report such to the Board.

(g) Additional supervision and reporting to the Board shall be required in cases where the Board determines by reviewing previous supervision reports or other information (e.g. reference letters, ethical complaints, etc.) problems in the supervisee's failure to practice in accordance with G.S. 90-270.148(a). Additional documentation or an interview with the Board or its designated representative(s) may be required when questions arise regarding the supervisee's practice due to information supplied or omitted on supervision contract forms and reports or when required forms are not filed with the Board.

(h) Supervision shall be provided in individual, face-to-face supervision, as defined by Rule .2003 of this Section, sessions which shall last no longer than 2 hours or less than 30 minutes by an individual who is an appropriate supervisor as defined in Rule .2001 of this Section. The rates of supervision specified in this Paragraph shall be provided for each separate work setting in which the Psychological Associate engages in the activities requiring supervision. Minimum hours of supervision required for each work setting shall not be split between more than two supervisors. The term "post-licensure" in this Paragraph shall refer to the period following issuance of a Psychological Associate license by the North Carolina Psychology Board. The term "supervised practice" in this Paragraph shall refer to activities requiring supervision as specified in G.S. 90-270.139(e) and Rule .2006 of this Section. Except as provided in Paragraph (g) of this Rule, minimum supervision requirements shall be as follows:

(1) Level 1. For a Psychological Associate with less than 3 calendar years consisting of at least 4500 hours of post-licensure supervised practice, minimum supervision shall be provided as follows:

No. of hours per month No. of hours of required

engaging in activities individual supervision

that require supervision per month

1 - 10 1

11 - 20 2

21 - 30 3

31 plus 4

(2) Level 2. If a Psychological Associate does not meet the pass point of a scaled score of 500 as set forth in Rule .1901(a)(1) of this Chapter, then, after receiving a minimum of 3 calendar years consisting of at least 4500 hours of post-licensure supervised practice a minimum of one hour per month individual supervision, the Psychological Associate who engages in activities requiring supervision, shall receive one hour of supervision per month, regardless of the number of hours per month engaging in activities that require supervision. To be approved by the Board for Level 2 supervision, a Psychological Associate shall:

(A) make application on an application form provided by the Board, which shall include the following information:

(i) legal name;

(ii) license number;

(iii) license date;

(iv) email address;

(v) mailing address;

(vi) telephone number;

(vii) dates of practicing psychology;

(viii) total hours of practicing psychology;

(ix) job title;

(x) work duties; and

(xi) name and address of supervisor.

(B) document that all performance ratings for the preceding 3 years and 4500 hours of post-licensure supervised practice have been average or above average as reported on previous supervision reports;

(C) have received at least one calendar year of supervision from the most recent supervisor; and

(D) have the recommendation of the most recent supervisor for this level of supervision.

(3) Level 3. After a minimum of 3 calendar years consisting of at least 4500 hours of post-licensure supervised practice, as set forth above in Paragraph (h)(1) of this Rule, or 5 calendar years of post licensure supervised experience, as set forth in Paragraph (h)(2) of this Rule if a psychological associate does not meet the scale score of 500, a minimum of one hour every three months of individual supervision shall be provided to a Psychological Associate who engages in activities requiring supervision, provided that a Psychological Associate shall:

(A) make application on an application form provided by the Board, which shall include the information set forth in Part (h)(2)(A) of this Rule;

(B) document that all performance ratings for the preceding 3 years and 4500 hours of post-licensure supervised practice have been average or above average for those applying under Subparagraph (h)(1) of this Rule; or 5 years of post-licensure supervised practice for those required to apply under Subparagraph (h)(2) of this Rule;

(C) have received at least one calendar year of supervision from the most recent supervisor; and

(D) have the recommendation of the most recent supervisor for this level of supervision.

(i) The frequency and scope of supervision may, at the discretion of the supervising psychologist, be modified provided that the minimum rate of supervision as defined in Subparagraph (h)(1), (h)(2) or (h)(3) of this Rule is provided. The supervising psychologist of record may review, approve, and monitor additional individual or group supervision to be provided to the supervisee by a licensed psychological associate, licensed psychologist holding a permanent or provisional license, or a professional from a related discipline. Such supervision shall not substitute for the minimum requirements specified in Subparagraph (h)(1), (h)(2) or (h)(3) of this Rule.

(j) Contract, report and application forms can be obtained from the Board's website.

History

• Authority G.S. 90-270.138(c); 90-270.139(e); 90-270.143
• Eff. July 1, 1997
• Readopted Eff. January 1, 2021
• Amended Eff. August 1, 2021.

21 NCAC 54 .2009 Licensed Psychologist

(a) Except as provided in Rule .1707 of this Chapter, to be issued a permanent license at the Psychologist level, an applicant shall document a minimum of 2 years consisting of at least 3000 hours of supervised practice which shall meet the requirements specified in Paragraphs (i) and (j) of this Rule. A minimum of 1 calendar year consisting of at least 1500 hours of this supervised practice shall be accrued at the postdoctoral level.

(b) A psychologist who meets all other requirements for a permanent license set forth in G.S. 90-270.145(a) except the two years of supervised experience shall be issued a provisional license at the Psychologist level and shall comply with supervision requirements specified in this Rule.

(c) If practicing psychology in North Carolina, a provisional licensee shall receive at least one hour per week of face-to-face individual supervision by an appropriate supervisor as defined in Rule .2001 of this Section until permanent status is approved by the Board.

(d) A provisional licensee who engages in the practice of psychology in a jurisdiction other than North Carolina shall not be required to receive supervision specified in this Rule for those services rendered in another jurisdiction so long as said services in another jurisdiction shall be rendered in a manner consistent with that jurisdiction's legal requirements.

(e) A written, notarized supervision contract form shall be filed within 30 days of a change in the conditions specified in the supervision contract form on file with the Board and within 30 days after receiving written notification from the Board that the filing of a new form is necessary to provide for the protection of the public or the regulation of the practice of psychology. A supervision contract form shall document either that supervision is required and shall be received, or that supervision is not required. A separate supervision contract form shall be filed for each separate work setting. A work setting is considered as self-employment, employment under an umbrella agency, or employment at a stand-alone business entity. If receiving supervision from more than one supervisor, a separate supervision contract form shall be filed with each individual supervisor.

(f) A supervisor shall report to the Board that agreed upon supervision has occurred and shall file a final report upon termination of supervision. If not receiving supervision, it shall be the responsibility of the provisional licensee to report such to the Board. A report shall be submitted to the Board within 30 days after receiving written notification from the Board that such is due, within 2 weeks of termination of supervision, and within 2 weeks of a change in the conditions specified in the supervision contract form on file with the Board.

(g) Additional supervision and reporting to the Board shall be required in cases where the Board determines by reviewing previous supervision reports or other information (e.g. reference letters, ethical complaints, etc.) problems in the supervisee's failure to practice in accordance with G.S. 90-270.148(a). Additional documentation or an interview with the Board or its designated representative(s) may be required when questions arise regarding the supervisee's practice due to information supplied or omitted on supervision contract forms and reports or when required forms are not filed with the Board.

(h) One year of supervised experience shall meet all of the following criteria for a training program in psychology:

(1) The training shall be a planned sequence of training experience in the practice of psychology, in contrast to "on the job" training, and shall provide the trainee with a planned, programmed sequence of training experience.

(2) The training site shall have a written statement or brochure which describes its training program and is made available to prospective trainees.

(3) Trainees shall be designated as "interns," fellows," or "residents," or shall hold other designation which indicates training status.

(4) The training shall be completed within a consecutive period of 24 months.

(5) The training shall consist of at least 1500 hours of practice in psychology as defined by G.S. 90-270.136(8).

(6) A minimum of two doctorally trained licensed, certified, or license eligible psychologists shall be supervisors at the training site.

(7) The training shall be under the direction of a licensed, certified, or license eligible doctorally trained psychologist who shall be on the staff of the training site, who shall approve and monitor the training, who shall be familiar with the training site's purposes and functions, and who shall agree to assume responsibility for the quality, suitability, and implementation of the training experience.

(8) The training shall provide a minimum of two hours per week of individual face-to-face discussion of the trainee's practice, with the intent of overseeing the psychological services rendered by the trainee. Supervision may be provided in part by psychiatrists, social workers, or other related professionals qualified by the training site, but at least 50% of supervision shall be provided by licensed, certified, or license-eligible doctorally trained psychologists.

(9) In addition to individual supervision, the training site shall provide a minimum of two hours per week of instruction which may be met by group supervision, assigned reading, seminars, and similarly constituted organized training experiences.

(10) Internships accredited by the American Psychological Association shall be deemed to meet the requirements in this Paragraph.

(i) One year of supervised experience shall meet all of the following criteria:

(1) A minimum of one hour per week of face-to-face, individual supervision shall be provided.

(2) The experience shall consist of a minimum of 1 calendar year, shall include 1500 hours of practice, and shall be completed within a consecutive 4-year period.

(3) Supervision shall be provided for the practice of psychology as defined by G.S. 90-270.136(8).

(4) Supervision shall be provided by an individual who is an appropriate supervisor of licensees as defined in Rule .2001 of this Section.

(j) Contract and report forms can be obtained from the Board's website.

History

• Authority G.S. 90-270.139(d); 90-270.143
• Eff. July 1, 1997
• Readopted Eff. April 1, 2020
• Amended Eff. August 1, 2021.

21 NCAC 54 .2101 License Renewal Form

(a) A licensee shall renew his or her license by October 1 of each even numbered year by submitted to the Board a completed renewal application form.

(b) The form shall include the following information:

(1) legal name;

(2) license number;

(3) current addresses and email address;

(4) telephone number;

(5) area of specialty;

(6) principal setting of practice;

(7) any malpractice actions;

(8) whether denied a professional license, had a professional license disciplined, or have pending charges against a professional license;

(9) whether convicted of, or entered a plea of guilty or nolo contendere to any felony or any misdemeanor involving moral turpitude, misrepresentation or fraud in dealing with the public, or conduct otherwise relevant to fitness to practice psychology, or a misdemeanor charge reflecting the inability to practice psychology with due regard to the health and safety of clients or patients;

(10) whether completed required continuing education during the preceding two years, as required by Rule .2104 of this Section; and

(11) a complete supervision report shall be submitted.

(c) Failure of a postal service or an internet provider to deliver the renewal application or failure of a licensee to submit all required information on the form by the deadline set forth in G.S. 90-270.147(a), shall not excuse the late fee or prevent license suspension.

History

• Authority G.S. 90-270.143; 90-270.147
• Eff. September 1, 1982
• Amended Eff. May 1, 1996; October 1, 1991; August 1, 1984
• Readopted Eff. April 1, 2020
• Amended Eff. August 1, 2021.

21 NCAC 54 .2102 Second Notice

(a) If a licensee has not sent in a renewal application and fee required in accordance with G.S. 90-270.147(1), the Board shall send a second notice of renewal to the licensee. Upon receipt of the second notification, the licensee shall provide the required information.

(b) Failure to provide the required renewal application and fees within 60 days of the renewal date shall result in the automatic suspension of the license.

History

• Authority G.S. 90-270.143; 90-270.147(1); 90-270.148(f)
• Eff. September 1, 1982
• Readopted Eff. April 1, 2020
• Amended Eff. August 1, 2021.

21 NCAC 54 .2103 Reinstatement

(a) The information required for each applicant requesting reinstatement of licensure after a license has been suspended due to non-renewal shall consist of:

(1) completed reinstatement application form. The form shall include the following information:

(A) applicant's legal name;

(B) mailing address and telephone number;

(C) business name, mailing address and telephone number;

(D) Social Security number;

(E) e-mail address;

(F) date and place of birth;

(G) licensure or applicant for licensure by another psychology board;

(H) if taken, the score on the Examination for Professional Practice in Psychology;

(I) whether applicant has previously applied for a license to practice psychology in North Carolina;

(J) whether the applicant was denied a professional license or permit, privilege of taking an examination, had a professional license or permit disciplined by any licensing authority in North Carolina or elsewhere, or charges are pending against a professional license or permit held by the applicant;

(K) whether the applicant has withdrawn an application for licensure or an application to take a professional licensing examination in North Carolina or elsewhere;

(L) whether the applicant has ever been convicted of, or entered a plea of guilty or nolo contendere to any felony or misdemeanor other than a minor traffic violation;

(M) other fields of work for which the applicant is licensed or certified; or has applied for licensure or certification;

(N) whether the applicant holds a diploma from the American Board of Professional Psychology;

(O) whether doctoral program was APA accredited at the time of graduation;

(P) names of graduate programs attended and dates degrees awarded;

(Q) names and mailing addresses of three professional references, other than supervisors;

(R) all work experience including, any graduate internship, practicum, or other supervised training experience that serves as the basis for current application for licensure;

(S) reason for reapplying for licensure in North Carolina;

(T) any disability that may require some special accommodation, as set forth in the ADA in taking licensing examinations;

(U) if applying for Health Services Provider Certification; and

(V) certify that the applicant has read and understands the public notice statement on employee misclassification maintained on the Board's website and whether the applicant has been investigated for employee misclassification within the past 12 months.

(2) documentation of having completed a minimum of 24 continuing education hours as specified in Rule .2104 of this Section during the two years preceding the date of application for reinstatement of licensure;

(3) completed supervision report form, if applicable; and

(4) payment of the renewal and reinstatement fees.

The information listed in this Paragraph shall be filed in the Board office within 30 days after a license has been suspended due to non-renewal.

(b) The information required for each applicant requesting reinstatement of licensure after a license has been suspended for more than 30 days due to non-renewal or after a license has been voluntarily relinquished with the Board's , consent, pursuant to G.S. 90-270.148(h), shall consist of:

(1) typed or legibly printed, signed or digitally signed application form and supervision contract form;

(2) signed consent form, completed Fingerprint Record Card, and other such form(s) or information as required by the North Carolina Department of Justice to perform a criminal history record check;

(3) payment of fee required by the North Carolina Department of Justice to perform a criminal history record check;

(4) documentation of having completed a minimum of 24 continuing education hours as specified in Rule .2104 of this Section during the two years preceding the date of application for reinstatement of licensure;

(5) completed supervisory forms from present and past supervisors, if applicable, as set forth in G.S. 90-270.148(h);

(6) three completed reference forms from professionals who are familiar with the applicant's current work, one of which shall be from a doctoral level psychologist, as set forth in Rule .1701(a)(8) of this Chapter;

(7) written verification and report on the status of any occupational licensure, including dates of licensure and any disciplinary action which is pending or has been taken, sent directly to the Board from any other regulatory agency in North Carolina and any other jurisdiction in which the applicant has applied for a license, is currently licensed, or previously was licensed, if applicable;

(8) official graduate college transcripts sent directly to the Board by the training institution(s); and

(9) payment of the renewal and reinstatement fees within 30 days after receiving notification from the Board that reinstatement of licensure has been approved.

(c) An application shall contain all required materials as set forth in Paragraphs (a) and (b) of this Rule to be complete. An incomplete application shall be active for three months from the date of application. At the end of such time, if still incomplete, the application shall be void, and the applicant shall be deemed to have discontinued the application process. If the individual chooses to pursue licensure at a later date, the individual shall reapply.

(d) To be considered to have made application for reinstatement of licensure pursuant to Paragraph (b) of this Rule the information specified in Subparagraphs (b)(1) through (b)(4) of this Rule shall be filed in the Board office within 30 days of offering to practice or undertaking the practice of psychology in North Carolina.

(e) The Board shall require applicants for reinstatement to take the state examination.

History

• Authority G.S. 90-270.143; 90-270.147(a)(2); 90-270.148.(f),(h); 90-270.155(a)
• Eff. August 1, 1984
• Amended Eff. March 1, 2008; May 1, 1996; November 1, 1991; March 1, 1989
• Readopted Eff. April 1, 2020
• Amended Eff. August 1, 2021.

21 NCAC 54 .2104 Continuing Education

(a) All licensees shall complete continuing education in accordance with this Rule prior to the renewal of a license. The license of any license who fails to complete the required continuing education shall not be renewed and shall be suspended automatically in accordance with G.S. 90-270.148(f).

(b) Definitions.

(1) Continuing education hour – one hour of instructional or contact time.

(2) Biennial renewal period – the period of time from the first day of October in each even numbered year, continuing until the last day in November in the next even numbered year.

(3) Category A program sponsor –

(A) North Carolina Psychology Board;

(B) American Psychological Association (APA);

(C) American Psychological Association approved sponsors;

(D) National Association of School Psychologists (NASP);

(E) National Association of School Psychologists approved sponsors;

(F) North Carolina Area Health Education Centers (NCAHEC); or

(G) North Carolina Psychological Association (NCPA).

(4) Category B program sponsor – any program sponsor not listed in Subparagraph (3) of this Paragraph.

(c) During each biennial renewal period, a licensee must complete a minimum of 24 continuing education hours, a minimum of 15 of which must be completed under a Category A program sponsor as defined in Subparagraph )(b)(3) of this Rule. The remaining required hours of continuing education may be completed in either Category A or Category B. Included in the 15 hours under a Category A program sponsor, a minimum of 3 continuing education hours in the area of ethics in the professional practice of psychology must be completed. To be credited as fulfillment of this requirement, the word "ethics" or a derivative of the word "ethics" must be in the title of the program, and the program must include such content.

(d) Except as specified in Paragraphs (f) and (g) of this Rule, the 24 continuing education hours, whether Category A or B, must meet all of the following requirements:

(1) The continuing education hours must be obtained through:

(A) in-person attendance at programs;

(B) presentations at programs; or

(C) completion of on-line or correspondence courses.

(2) The program sponsor shall award a certificate of completion which documents the following information:

(A) name of sponsor and any cosponsor of program;

(B) number of contact hours credited for psychologists;

(C) title of program;

(D) date of program; and

(E) in the case of an APA or NASP approved sponsor, a statement that the entity is APA or NASP approved to provide the program as continuing education to psychologists.

(3) All continuing education hours, whether Category A or B, must be in the maintenance and enrichment of professional skills and competencies within the licensee's scope of practice in psychology, including, but not limited to:

(A) training in empirically supported assessment or treatment;

(B) the application of research to the practice of psychology;

(C) legal issues in psychology;

(D) ethics in the professional practice of psychology;

(E) training in how to properly supervise in accordance with Board rules regarding supervision requirements, as described in Rule .2001(c) of this Chapter; and

(F) training in best practice standards and guidelines.

(e) To renew a licensee, a licensee shall submit the following to document that he or she has met the continuing education requirements specified in this Rule:

(1) a signed attestation form; which includes the following:

(A) Category A documentation including:

(i) date of program;

(ii) number of contact hours;

(iii) name of sponsor of program;

(iv) title of program;

(v) location of program.

(B) Category B. documentation including:

(i) date of program or activity;

(ii) number of instructional or contact hours;

(iii) description of activity;

(iv) name of presenter, facilitator, or leader;

(v) name of sponsor;

(vi) location;

(vii) full citation of article;

(viii) summary of content; and

(C) an attestation by the licensee that the statements on the form are true and correct.

(2) except as specified in Paragraphs (f) and (g) of this Rule, copies of certificates of completion that include the information specified in Subparagraph (d)(2) of this Rule.

(f) A maximum of three continuing education hours may be credited in each biennial renewal period for any licensee who has received Board-required supervision, except when specified otherwise under a Consent Order or Final Decision executed by the Board. These three hours must be documented by the supervisor and will be credited toward the maximum nine hours allowed under Category B program sponsors.

(g) A maximum of nine continuing education hours may be credited in each biennial renewal period for graduate course work completed on a pass/fail or graded basis in a doctoral psychology program that is approved by the American Psychological Association. These hours must be documented on an official transcript sent to the Board by the institution of higher education at which the applicant completed the courses and will be credited toward the maximum nine hours allowed under Category B program sponsors.

(h) A maximum of one continuing education hour may be credited in each biennial renewal period for completion in each renewal cycle of the Board developed ethics renewal examination described in Rule .1901(a)(3) of this Chapter.

(i) Continuing education hours credited for license renewal in one biennium renewal period shall not be credited for license renewal in another biennium renewal period.

(j) An individual licensed on or before October 1, 2020, shall attest on the license renewal application for the 2020-2022 biennial renewal period, and on each subsequent biennial renewal application, to having met the mandatory continuing education requirements specified in this Rule. An individual licensed after October 1, 2020, shall attest on the second license renewal application following licensure, and on each subsequent biennial renewal application, to having met the mandatory continuing education requirements specified in this Rule.

(k) An applicant for reinstatement of licensure must document that he or she has completed a minimum of 24 continuing education hours as specified in this Rule within the two years preceding the date of application for reinstatement of licensure and must attest on each subsequent biennial renewal application to having met the mandatory continuing education requirements specified in this Rule.

History

• Authority G.S. 90-270.143; 90-270.147(a)(2)
• Eff. August 1, 2002
• Amended Eff. July 1, 2003
• Readopted Eff. April 1, 2020
• Amended Eff. August 1, 2021.

21 NCAC 54 .2201 Corporate Name

History

• Status: repealed
• Authority G.S. 55B-5; 55B-14; 90-270.9
• Eff. September 1, 1982
• Amended Eff. March 1, 1989; January 1, 1986
• Repealed Eff. September 1, 1996.

21 NCAC 54 .2202 Certificate of Registration

The information required for an applicant to obtain a certificate of registration for a professional corporation or professional limited liability company organized to render professional psychological services shall consist of:

(1) typed, or printed, signed or digitally signed application form. The form shall include the following information:

(A) name of corporation;

(B) purpose for which corporation is organized;

(C) mailing address;

(D) email address;

(E) telephone number;

(F) name, address, and license number (if applicable) of incorporator(s);

(G) name and license number of stockholder(s);

(H) name and occupation of members of board of directors;

(I) name and occupation of officers;

(J) name and license number of psychologists to be employed by the corporation; and

(K) name and duties of persons other than psychologists employed, or to be employed, by the corporation.

(2) a completed Articles of Incorporation for a professional corporation or the Articles of Organization for a professional limited liability company; and

(3) following submission of the Articles of Incorporation or Articles of Organization to the Secretary of State by the applicant , the applicant must submit to the Board a final certified copy of the Articles of Incorporation or Articles of Organization issued by the Secretary of State. The certificate of registration shall remain effective until January 1 following the date of such registration.

History

• Authority G.S. 55B-10; 57D-2-01; 90-270.143
• Eff. September 1, 1982
• Amended Eff. July 1, 1996; March 1, 1989; January 1, 1986
• Readopted Eff. April 1, 2020.

21 NCAC 54 .2203 Renewal of Certificate of Registration

(1) An application for renewal shall be sent to each registered professional corporation and professional limited liability company prior to January 1. The Board shall renew the certificate of registration upon receipt of the completed written application of the holder and the renewal fee, as set forth in Rule .1605 of this Chapter.

(2) The application shall include the following information:

(A) names of current members of professional entity;

(B) corporation or company mailing address;

(C) corporation or company email address and telephone number;

(D) assumed name, if different from professional entity name.

History

• Authority G.S. 55B-11; 57D-2-02; 90-270.143
• Eff. September 1, 1982
• Amended Eff. July 1, 1996
• Readopted Eff. April 1, 2020.

21 NCAC 54 .2204 Suspension or Revocation of Certificate of Registration

History

• Status: repealed
• Authority G.S. 55B-13; 90-270.9
• Eff. September 1, 1982
• Amended Eff. March 1, 1989
• Repealed Eff. May 1, 1996.

21 NCAC 54 .2301 Right to Hearing

21 NCAC 54 .2302 REQUEST FOR HEARING

21 NCAC 54. 2303 GRANTING OR DENYING HEARING REQUESTS

21 NCAC 54 .2304 NOTICE OF HEARING

21 NCAC 54 .2305 WHO SHALL HEAR CONTESTED CASES

History

• Authority G.S. 90-270.9; 150B-3(b); 150B-38; 150B-40(b); 150B-40(e)
• Eff. August 1, 1984
• Amended Eff. March 1, 1989; September 1, 1988; August 1, 1987; January 1, 1986
• Repealed Eff. April 1, 2020.

21 NCAC 54 .2306 Petition for Intervention

History

• Status: repealed
• Authority G.S. 90-270.9; 150B-38(f)
• Eff. August 1, 1984
• Repealed Eff. March 1, 1989.

21 NCAC 54 .2307 Types of Intervention

History

• Status: expired
• Authority G.S. 1A-1, Rule 24; 90-270.9; 150B-38(f)
• Eff. August 1, 1984
• Expired Eff. November 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 54 .2308 Disqualification of Board Member

(a) If for any reason a Board member determines that personal bias or other factors render him unable to conduct or participate in the hearing and perform all duties in an impartial manner, he shall submit, in writing, to the Board, his disqualification and the reasons.

(b) If for any reason any party in a contested case believes that a Board member is personally biased or otherwise unable to conduct or participate in the hearing and perform all duties in an impartial manner, the party may file a sworn, notarized affidavit with the Board.

(c) The affidavit must state all facts the party deems relevant to the disqualification of a Board member.

(d) An affidavit seeking disqualification shall be considered timely if filed at least 10 days before commencement of the hearing or, if filed within 10 days of the hearing, as soon as the party becomes aware of the facts that give rise to the belief that Board member may be disqualified.

(e) Procedure for Determining Disqualification.

(1) The chairperson of the Board may appoint a member of the Board to investigate the allegations of the affidavit and report his findings and recommendations to the Board.

(2) The Board, with the advice of such assistants as it deems appropriate, shall decide whether to disqualify the challenged individual.

(3) The person whose disqualification is to be determined will not participate in the decision but will have the right to furnish information to the Board.

(4) A record of proceedings and the reasons for decisions reached will be maintained as part of the contested case.

(f) Disqualification or withdrawal of a Board member because of personal bias or otherwise will not require the hearing to be postponed unless a quorum is not available or the Board member disqualified is the presiding officer and assignment of a new presiding officer would cause substantial prejudice to any party.

History

• Authority G.S. 90-270.143; 150B-40(b)
• Eff. August 1, 1984
• Amended Eff. March 1, 1989; January 1, 1986
• Readopted Eff. April 1, 2020.

21 NCAC 54 .2309 Failure to Appear

(a) Continuances shall be granted only in compelling circumstances, such as sickness, previous immovable conflict, or unavailability of key witnesses.

(b) If a hearing is conducted or a decision is reached in an administrative hearing in the absence of a party, or if a proceeding is dismissed as to a party, that party may file a motion for reconsideration with the Board.

(c) Motions to reconsider shall not be granted except when the petitioner can show that the reasons for his failure to appear were due to an emergency, such as an urgent medical issue or severe weather.

History

• Authority G.S. 90-270.143; 150B-40(a)
• Eff. August 1, 1984
• Amended Eff. March 1, 1989; January 1, 1986
• Readopted Eff. April 1, 2020.

21 NCAC 54 .2310 Simplification of Issues

History

• Status: expired
• Authority G.S. 90-270.9; 150B-40(c)(5)
• Eff. August 1, 1984
• Amended Eff. March 1, 1989
• Expired Eff. November 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 54 .2311 Subpoenas

History

• Status: repealed
• Authority G.S. 90-270.9; 150B-39(c)
• Eff. August 1, 1984
• Amended Eff. March 1, 1989; January 1, 1986
• Repealed Eff. April 1, 2020.

21 NCAC 54 .2312 Final Decisions in Administrative Hearings

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-36; 150A-37
• Eff. August 1, 1984
• Repealed Eff. January 1, 1986.

21 NCAC 54 .2313 Official Record

History

• Status: repealed
• Authority G.S. 90-270.9; 150A-36; 150A-37
• Eff. August 1, 1984
• Repealed Eff. January 1, 1986.

21 NCAC 54 .2314 Presiding Officer

Prior to designation of a presiding officer by the Board, or if the presiding officer is unavailable or disqualifies himself, the chairperson of the Board shall act as presiding officer for purposes of issuing subpoenas, ordering the production of records, responding to motions for continuances or extensions of time, controlling and ruling on issues surrounding discovery, and otherwise acting on matters arising in connection with a pending hearing.

History

• Authority G.S. 90-270.143; 150B-40(b),(c)
• Eff. January 1, 1986
• Readopted Eff. April 1, 2020.

21 NCAC 54 .2401 Petition for Rulemaking Hearings

(a) Any person wishing to submit a petition requesting the adoption, amendment or repeal of a rule by the Board shall mail a petition to the Board at the address shown in Rule .1602 of this Chapter.

(b) The petition shall include the following information:

(1) a draft of the proposed text change, if requesting the Board to create or amend a rule;

(2) a statement of the effect the proposed rule change would have; and

(3) name(s) and address(es) of petitioner(s).

(c) The petition may also include the following information:

(1) reasons for the proposal;

(2) statutory authority for the Board to promulgate the rule;

(3) effect of the proposed rule on existing practices in the area involved, including cost factors if available;

(4) any data supporting the proposal; and

(5) names of those most likely to be affected by the proposed rule, with addresses if reasonably known;

History

• Authority G.S. 90-270.143; 150B-20
• Eff. June 1, 1988
• Amended Eff. March 1, 1989
• Readopted Eff. April 1, 2020.

21 NCAC 54 .2402 Disposition of Petition

(a) The Board shall determine whether to grant the petitioner's request. Prior to making this determination, the Board's chairperson or his or her designee may request additional information from the petitioner(s), may contact interested persons likely to be affected by the proposed rule and request comments, or may use any other method for obtaining information. The chairperson or designee shall consider all of the contents of the petition submitted plus any other information obtained by the means described herein.

(b) Based upon the information submitted as set forth in G.S. 150B-20 and Rule .2401 of this Section, the chairperson or designee shall recommend to the Board to either grant or deny the petition.

History

• Authority G.S. 90-270.143; 150B-20
• Eff. June 1, 1988
• Readopted Eff. April 1, 2020.

21 NCAC 54 .2501 Request to Participate in Hearing

History

• Status: expired
• Authority G.S. 90-270.9; 150B-11(1); 150B-12
• Eff. June 1, 1988
• Amended Eff. March 1, 1989
• Expired Eff. November 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 54 .2502 Board Response to the Request to Participate

History

• Status: expired
• Authority G.S. 90-270.9; 150B-11(1); 150B-12
• Eff. June 1, 1988
• Amended Eff. March 1, 1989
• Expired Eff. November 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 54 .2503 Presentation of Oral Comment

History

• Status: expired
• Authority G.S. 90-270.9; 150B-11(1); 150B-12
• Eff. June 1, 1988
• Amended Eff. March 1, 1989
• Expired Eff. November 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 54 .2504 Written Submissions

History

• Status: expired
• Authority G.S. 90-270.9; 150B-11(1); 150B-12
• Eff. June 1, 1988
• Amended Eff. March 1, 1989
• Expired Eff. November 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 54 .2505 Powers and Duties of the Presiding Officer

History

• Status: expired
• Authority G.S. 90-270.9; 150B-11(1); 150B-12
• Eff. June 1, 1988
• Amended Eff. March 1, 1989
• Expired Eff. November 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 54 .2601 Request for Declaratory Ruling

(a) All requests for declaratory rulings shall be written and mailed to the North Carolina Psychology Board at the address shown in Rule .1602 of this Chapter.

(b) Each Request for Declaratory Ruling must include the following information:

(1) name and address of the persons requesting the ruling;

(2) the statute or rule to which the request relates;

(3) a statement of the manner in which the requesting person is aggrieved by the rule or statute or its potential application to him or her; and

(4) the consequences of a failure to issue a declaratory ruling.

(c) Whenever the Board finds good cause exists to deny the request for declaratory ruling, the Board shall deny the request to issue a declaratory ruling. The Board's refusal shall be followed within 30 days of the receipt of the petition, by the issuance of written notification to the petitioner. The notice shall state the decision and the reasons therefore.

(d) Good cause for the denial of a declaratory ruling request shall include one of the following:

(1) the person submitting the request is not a person aggrieved;

(2) there is no conflict or inconsistency within the Board regarding an interpretation of the law or a rule adopted by the Board;

(3) a situation where there has been a similar controlling factual determination in a contested case;

(4) if the request for declaratory ruling involves a factual context that was considered upon adoption of the rule being questioned as evidenced by the rulemaking record;

(5) the factual representations are not related to the statute or rule being questioned;

(6) issuing the declaratory ruling will not serve the public interest; or

(7) if circumstances stated in the request or otherwise known to the Board show that a contested case hearing would be appropriate.

(e) Where the Board issues a declaratory ruling, the declaratory ruling shall be issued within 45 days after Board's decision to grant the petition.

(f) A declaratory ruling procedure may consist of written submissions, oral hearings, or other procedure as deemed appropriate by the Board based upon whether the additional submitted information would assist the Board in determining whether to grant or deny the petition.

History

• Authority G.S. 90-270.143; 150B-4
• Eff. June 1, 1988
• Readopted Eff. April 1, 2020.

21 NCAC 54 .2602 Disposition of Request

History

• Status: expired
• Authority G.S. 90-270.9; 150B-11(1); 150B-17
• Eff. September 1, 1988
• Amended Eff. March 1, 1989
• Expired Eff. November 1, 2017 pursuant to G.S. 150B-21.3A.

21 NCAC 54 .2701 Health Services ACTIVITIES

(a) Health services in psychology include services provided directly to clients or patients or groups of clients or patients. Such services include the following:

(1) the diagnosis, evaluation, treatment, remediation, and prevention of:

(A) mental, emotional, and behavioral disorder;

(B) substance abuse and dependency; and

(C) psychological aspects of physical illness, accident, injury, and disability.

(2) psychotherapy, counseling, psychoeducational, and neuropsychological services related to services described in Subparagraph (a)(1) of this Rule;

(3) psychological assessment and report writing, including scoring of test protocols;

(4) documentation of services provided to clients or patients, such as progress or process notes, clinical entries in records;

(5) collateral contacts by a psychologist with family members, caretakers, and other individuals for the purpose of benefiting a client or patient of that psychologist; and

(6) consultation with other professionals in service to the psychologist's clients or patients.

(b) Health services in psychology do not include the following:

(1) clinical supervision of other professionals who provide health services to clients or patients;

(2) psychoeducational instruction to individuals who are not identified clients or patients of the psychologist providing such instruction;

(3) career counseling, to include assessment of interests and aptitudes;

(4) vocational and educational guidance;

(5) the teaching of psychology;

(6) the conduct of psychological research and the provision of psychological services or consultations to organizations or institutions, except when such activities involve the delivery of direct health services to individuals or groups of individuals who are themselves the intended beneficiaries of such services; or

(7) administrative tasks associated with the delivery of health services, such as billing and insurance communications.

History

• Authority G.S. 90-270.136(4); 90-270.136(8); 90-270.143
• Temporary Adoption Eff. April 20, 1994 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. July 1, 1994
• Amended Eff. July 1, 2009
• Readopted Eff. April 1, 2020.

21 NCAC 54 .2702 Requirements Before June 30, 1994

History

• Status: expired
• Temporary Adoption Eff. April 20, 1994 for a period of 180 days or until the permanent rule becomes
• effective, whichever is sooner
• Authority G.S. 90-270.9; 90-270.20(e)(f)
• Temporary Adoption Expired Eff. July 1, 1994.

21 NCAC 54 .2703 Display of Certificate

A health services provider certificate shall be displayed within the same physical office as the licensee's licensure certificate, or be available for view upon request by the licensee's patients or clients, at any time that licensee is practicing psychology.

History

• Authority G.S. 90-270.143; 90-270.153
• Eff. July 1, 1994
• Readopted Eff. April 1, 2020.

21 NCAC 54 .2704 Hsp-P Requirements

(a) To be certified as a health services provider psychologist (HSP-P), a licensed psychologist holding permanent North Carolina licensure shall be qualified by education as defined in Paragraph (b) of this Rule and shall have completed two years of supervised experience, of which at least one year shall be post-doctoral. These two years of experience shall meet the criteria specified in Paragraphs (d) and (e) of this Rule, or in Paragraph (f) of this Rule. The applicant shall meet the criteria and submit the documentation required by this Rule.

(b) The application form shall include the following information:

(1) applicant's name;

(2) mailing address;

(3) email address;

(4) telephone number;

(5) license number; and

(6) health services provider certification level.

(c) For purposes of G.S. 90-270.153(b), a licensed psychologist shall be qualified by education upon documentation of the following:

(1) is approved for or is listed in the National Register of Health Service Providers in Psychology at the time of the application;

(2) is a diplomat in good standing of the American Board of Professional Psychology in a health services specialty area;

(3) is a graduate from a doctoral program that was accredited at the time of the applicant's graduation by the American Psychological Association or the Canadian Psychological Association in Clinical Psychology, Counseling Psychology, School Psychology, or Combined Professional-Scientific Psychology; or

(4) has an academic foundation in the provision of health services as defined in Rule .2701(a) of this Section which meets the following requirements:

(A) The applicant's doctoral program or formal postdoctoral program of re-specialization in psychology shall train individuals to provide health services in psychology.

(B) Within the applicant's doctoral training program, or formal postdoctoral program of respecialization, in health services in psychology, course work shall have been completed in the areas of assessment, diagnosis, intervention, and psychopathology. The applicant shall further establish that he or she has completed relevant course work that has provided training in diagnosis, evaluation, treatment, remediation, or prevention of mental, emotional, and behavioral disorder, disability, and illness; substance abuse; habit and conduct disorder; or psychological aspects of physical illness, accident, injury, and disability.

(C) An applicant shall be considered to have been trained in the provision of health services in psychology if the applicant establishes that requirements set forth in Parts (b)(4)(A) and (b)(4)(B) of this Rule have been met through a doctoral program, or formal postdoctoral program of re-specialization, in any one of the following areas of specialization in psychology: applied behavior analysis in psychology, applied developmental psychology, clinical psychology, counseling psychology, rehabilitation psychology, or school psychology.

(D) An applicant who has completed a doctoral program that trains individuals for careers in administration, research, teaching, academia, and other areas not involving training in the provision of health services in psychology shall not be considered to have been provided an academic foundation in the provision of health services and shall not be approved for HSP-P certification.

(E) Only that course work taken at an institution of higher education as defined in G.S. 90-270.136(5) shall be considered by the Board to establish that an applicant has an academic foundation in the provision of health services.

(d) Except as provided in Paragraph (f) of this Rule, and in addition to the one year of supervised experience required by Paragraph (e) of this Rule, an applicant shall have one year of supervised experience as follows:

(1) The training shall be a planned sequence of training experience in the provision of health services, in contrast to "on the job" training, and shall provide the trainee with a planned, programmed sequence of training experience.

(2) The training site shall have a written statement or brochure that describes its training program and is made available to prospective trainees.

(3) Trainees shall be designated as "interns," fellows," or "residents," or hold other designation which indicates training status.

(4) The training shall be completed within 24 months.

(5) The training shall consist of at least 1500 hours of practice.

(6) At least 25% of the training shall be spent in the provision of direct health services to patients or clients seeking assessment or treatment.

(7) Up to 25% of the training may be comprised of research activities.

(8) A minimum of two doctorally trained licensed, certified, or license eligible psychologists shall be supervisors at the training site.

(9) The training shall be under the direction of a licensed, certified, or license eligible doctorally trained psychologist who is on the staff of the training site, who approves and monitors the training, who is familiar with the training site's purposes and functions, and who agrees to assume responsibility for the quality, suitability, and implementation of the training experience.

(10) The training shall provide a minimum of two hours per week of individual face-to-face discussion of the trainee's practice, with the intent of overseeing the health services rendered by the trainee. Supervision may be provided in part by psychiatrists, social workers, or other mental health professionals qualified by the training site, but at least 50 percent of supervision shall be provided by licensed, certified, or license-eligible doctorally trained psychologists.

(11) In addition to individual supervision, the training site shall provide a minimum of two hours per week of instruction which may be met by group supervision, assigned reading, seminars, and similarly constituted organized training experiences.

(12) This specified year of supervised experience may be obtained at a predoctoral level, provided that an additional year of supervised experience as defined in Paragraph (d) of this Rule is obtained at a post-doctoral level.

(13) Internships accepted for listing in the National Register of Health Service Providers in Psychology and internships accredited by the American Psychological Association in Clinical Psychology, Counseling Psychology, or School Psychology shall be deemed to meet the requirements in this Paragraph.

(e) An applicant shall demonstrate one year of supervised experience which meets the following requirements:

(1) The experience shall consist of a minimum of one calendar year and include 1500 hours of supervised experience.

(2) The experience shall be completed within a consecutive four-year period.

(3) The supervision shall be for the direct provision of health services in psychology by the applicant to individuals or groups of clients/patients.

(4) At least one hour per week of formal, face-to-face, individual supervision shall be provided.

(5) The supervisor shall be a licensed or certified psychologist, whose license or certificate was in good standing, in the state where the practice occurred.

(6) The supervisor, at the time of supervision, shall not be in a dual relationship with the supervisee, such as spouse, relative, friend, or therapist.

(7) This specified year of supervised experience may be obtained at a predoctoral level, provided that an additional year of supervised experience as defined in Paragraph (c) of this Rule is obtained at a post-doctoral level.

(f) An applicant who documents that he or she meets any one of the following criteria shall be deemed to meet all requirements of this Rule for certification as a health services provider psychologist (HSP-P):

(1) is currently approved for listing, or is currently listed, in the National Register of Health Service Providers in Psychology;

(2) is a diplomate in good standing of the American Board of Professional Psychology in Clinical Psychology, Counseling Psychology, or School Psychology;

(3) is a graduate from a doctoral program which was accredited at the time of the applicant's graduation by the American Psychological Association in Clinical Psychology, Counseling Psychology, School Psychology, or Combined Professional-Scientific Psychology and which included an internship accredited by the American Psychological Association, and who completes a postdoctoral year of supervised experience as defined in either Paragraph(d) or (e) of this Rule;

(4) is a graduate from a doctoral program which was fully accredited at the time of the applicant's graduation by the American Psychological Association in School Psychology and which included an internship meeting the guidelines of the Council of Directors of School Psychology Programs as documented by the program chair, and who completes a postdoctoral year of supervised experience as defined in either Paragraph (d) or (e) of this Rule;

(5) is a graduate who received a doctoral degree prior to 1979 from a program which included course work which demonstrates an academic foundation in the provision of health services as defined in Rule .2701(a) of this Section, and which included the equivalent of a one year supervised internship in an American Psychological Association accredited program providing health services, in a Veterans Administration setting providing health services, or at a site providing health services which was specifically acceptable to the applicant's doctoral training program, and who completes a postdoctoral year of supervised experience as defined in either Paragraph (c) or (d) of this Rule; or

(6) is approved for licensure under senior psychologist requirements specified in 21 NCAC 54 .1707 and demonstrates that at least 25 percent of his or her qualifying practice has been in the provision of direct health services, as defined in Rule .2701(a) of this Section.

(g) An applicant applying under Subparagraph (f)(1) of this Rule, and who has not yet been approved for listing in the National Register of Health Service Providers in Psychology, shall be permitted to file an affidavit verifying that he or she qualifies for listing in the Register. Upon receipt of this affidavit, the Board may issue a health services provider certificate, conditioned upon receipt of a letter from the Register within 60 days of receipt of the affidavit which confirms approval for, or listing in, the Register. An extension of the 60 days may be granted upon showing that additional time is needed for application review by the National Register of Health Service Providers.

(h) An applicant for health services provider certification who knowingly provides false or fraudulent information to the Board with respect to his or her application, shall be subject to disciplinary action by the Board, pursuant to G.S. 90-270.148, including revocation of licensure and the health services provider certificate.

History

• Authority G.S. 90-270.143; 90-270.146(a)(6),(c); 90-270.148(a)(3); 90-270.148(a)(22); 90-270.153(b)
• Temporary Adoption Eff. December 19, 1994 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• RRC Objection due to lack of statutory authority Eff. May 18, 1995
• Eff. June 21, 1995
• Amended Eff. August 1, 2000; August 1, 1996; January 1, 1996
• Readopted Eff. April 1, 2020
• Amended Eff. August 1, 2021.

21 NCAC 54 .2705 Hsp-Pp Requirements

(a) To be certified as a health services provider psychologist provisional (HSP-PP), a licensed psychologist holding provisional North Carolina licensure shall be qualified by education. An applicant shall submit a completed, notarized application form and provide documentation of meeting health services provider requirements.

(b) The application form shall include the following information:

(1) applicant's name;

(2) mailing address;

(3) email address;

(4) telephone number;

(5) license number; and

(6) health services provider certification level.

(c) An applicant shall demonstrate that he or she is qualified by education to provide health services by meeting one of the criteria defined in Rule .2704(b) of this Section.

History

• Authority G.S. 90-270.143; 90-270.153(d)
• Temporary Adoption Eff. December 19, 1994 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• RRC Objection due to lack of statutory authority Eff. May 18, 1995
• Eff. June 21, 1995
• Amended Eff. January 1, 1996
• Readopted Eff. April 1, 2020.

21 NCAC 54 .2706 Hsp-Pa Requirements

(a) To be certified as a health services provider psychological associate (HSP-PA), a North Carolina licensed psychological associate shall be qualified by education as set forth in Paragraph (b) of this Rule, and submit a completed, notarized application form. The application form shall include the following information:

(1) applicant's name;

(2) mailing address;

(3) email address;

(4) telephone number;

(5) license number; and

(6) health services provider certification level.

(b) An applicant shall demonstrate that he or she holds a master's, specialist, or doctoral degree which provides an academic foundation in the provision of health services by meeting the following requirements:

(1) The master's, specialist, or doctoral program in psychology shall train individuals to provide health services in psychology.

(2) Course work shall be completed in the areas of assessment, diagnosis, intervention, psychopathology, evaluation, treatment, remediation, or prevention of one or more of the following areas:

(A) mental, emotional, and behavioral disorder, disability, and illness;

(B) substance abuse;

(C) habit and conduct disorder; or

(D) psychological aspects of physical illness, accident, injury, and disability.

(3) An applicant shall be considered to have been trained in the provision of health services in psychology if the applicant establishes that requirements set forth in Subparagraphs (b)(1) and (b)(2) of this Rule have been met through a master's, specialist, or doctoral degree program in psychology in any one of the following areas of specialization in psychology: applied behavior analysis in psychology, applied developmental psychology, clinical psychology, counseling psychology, rehabilitation psychology, school psychology, health psychology, or substance abuse treatment psychology.

(4) If the applicant is unable to establish that he or she has a master's, specialist, or doctoral degree from a program in psychology that provides training in the provision of health services, the applicant shall not be eligible for HSP-PA certification. This shall apply even if the applicant establishes that course work in the areas listed in Subparagraph (b)(2) of this Rule was completed or if the applicant has completed an applied training experience (i.e., practicum, internship, residency, postdoctoral fellowship, etc.) in the provision of health services without having completed a planned and directed training program in health services in psychology.

(5) An applicant who has completed a program in psychology that establishes in institutional publications an intent to train individuals for careers in administration, research, teaching, academia, and other areas not involving training in the provision of health services in psychology shall not be considered to have been provided an academic foundation in the provision of health services and shall not be approved for HSP-PA certification.

(6) Only course work taken at an institution of higher education as defined in G.S. 90-270.136(5) shall be considered by the Board to establish that an applicant has an academic foundation in the provision of health services.

(7) Applicants for HSP-PA shall document that their degree program included an internship, externship, practicum, or supervised field experience at a site providing health services. This supervised training experience shall meet all of the following criteria:

(A) It shall be a planned sequence of training experience, in contrast to on-the-job training, and shall be integrated with the educational program in which the student is enrolled. This supervised training experience shall be planned by the educational program faculty and training site staff rather than by the student.

(B) The supervised training experience shall have a written description detailing the program of training, or a written agreement, developed prior to the time of the training, between the student's educational program and the training site. Such an agreement shall be approved by the student's educational program prior to the beginning of the supervised training experience.

(C) The supervised training experience site shall have a designated and appropriately licensed or certified psychologist or psychological associate responsible for the integrity and quality of the supervised training experience.

(D) A student enrolled in a supervised training experience shall be designated as any of the following: an "intern," "extern," or "practicum student," or shall hold a title which indicates training status for the practice of psychology and provision of health services.

(E) The supervised training experience shall be a minimum of 12 weeks consisting of at least 500 hours of supervised training. At least 400 hours of the training shall be in the provision of health services as defined by G.S. 90-270.136(4) and Rule .2701(a) of this Section.

(F) The supervised training experience shall be completed within a period of 12 consecutive months at not more than two training sites.

(G) Except as provided in Part (b)(7)(H) of this Rule, regularly scheduled individual face-to-face supervision with the specific intent of overseeing the provision of health services shall be provided by a North Carolina licensed or certified psychologist or psychological associate or by a psychologist who is exempt from licensure, pursuant to G.S. 90-270.138(b), at a rate of not less than one hour per week during at least 12 separate weeks of the supervised training experience. The supervisor shall establish and maintain a level of supervisory contact consistent with professional standards and shall be accessible to the student.

(H) If completing a supervised training experience outside of North Carolina, the student shall be provided regularly scheduled individual face-to-face supervision with the specific intent of overseeing the provision of health services by a licensed or certified psychologist or psychological associate or by an individual holding a master's, specialist, or doctoral degree in psychology, at a rate of not less than one hour per week during at least 12 separate weeks of the supervised training experience. The supervisor shall establish and maintain a level of supervisory contact consistent with professional standards and shall be accessible to the student. Proof of the supervisor's license or degree program, as applicable, may be required by the Board to establish the supervisor's training in psychology.

(c) An applicant who is approved for licensure as a Psychological Associate under senior psychologist requirements specified in 21 NCAC 54 .1707 and demonstrates that at least 25 percent of his or her qualifying practice has been in the provision of direct health services, as defined in Rule .2701(a) of this Section, shall be deemed to meet all requirements of this Rule for certification as a health services provider psychological associate (HSP-PA).

History

• Authority G.S. 90-270.143; 90-270.146(c); 90-270.153(c)
• Temporary Adoption Eff. December 19, 1994 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• RRC Objection due to lack of statutory authority Eff. May 18, 1995
• Eff. June 21, 1995
• Amended Eff. March 1, 2008; August 1, 2000; August 1, 1996
• Readopted Eff. April 1, 2020
• Amended Eff. August 1, 2021.

21 NCAC 54 .2801 Scope

(a) Any psychologist employing or supervising unlicensed individuals performing ancillary services shall maintain professional responsibility for the quality of the services rendered and for the effects of the services upon the client, patient, or other individuals. The psychologist shall have face-to-face contact during the course of services with all patients, clients, or other recipients of services who are provided ancillary services by unlicensed persons as part of the psychologist's services.

(b) Ancillary services shall be considered to be only those activities that an individual shall engage in for the purpose of providing assistance to a psychologist in providing psychological services to patients, clients, and their families, as set forth in Rule .2805 of this Section. Not included as ancillary services are those clerical and administrative services which are not directly related to assisting a psychologist in the provision of psychological services.

(c) Failure of any psychologist to train ancillary services personnel, to ensure that training has occurred, or to supervise ancillary services personnel shall subject that psychologist to disciplinary action pursuant to G.S. 90-270.148(a).

History

• Authority G.S. 90-270.143; 90-270.154
• Eff. April 1, 2003
• Readopted Eff. April 1, 2020
• Amended Eff. August 1, 2021.

21 NCAC 54 .2802 Titles

Titles of individuals providing ancillary services shall not indicate either that these individuals are licensed or trained in psychology or that the individuals are providing services defined as the practice of psychology in G.S. 90-270.136(8). Unlicensed individuals providing ancillary services shall not use any title incorporating the words "assessment," "associate," "clinical," "counseling," "diagnostic," "evaluation," "examiner," "psychologic," "psychological," "psychologist," "psychology," or derivatives of such. Examples of titles that unlicensed individuals may use include "aide," "assistant," "behavioral," "testing," "technician," "psychometrist," or derivatives of these titles.

History

• Authority G.S. 90-270.143; 90-270.154
• Eff. April 1, 2003
• Readopted Eff. April 1, 2020
• Amended Eff. August 1, 2021.

21 NCAC 54 .2803 Employment and Supervision of Unlicensed Individuals

(a) Any psychologist who employs or supervises unlicensed individuals who provide ancillary services as specified in Rule .2801 of this Section shall maintain documentation of the relationship between the psychologist and the unlicensed individual beginning with the date employment began. The psychologist shall maintain documentation of the relationship with the unlicensed individual for a minimum of seven years after the termination of the relationship and shall present the documentation to the Board upon written request.

(b) If the unlicensed individual is supervised by more than one psychologist, there shall be a psychologist appointed to have primary responsibility for the coordination of and provision of ancillary services by the unlicensed individual. The appointed psychologist shall have responsibility for clinical record keeping with regard to the ancillary services provided by the unlicensed individual. Any psychologist supervising or employing persons who provide ancillary services shall not submit records regarding ancillary services personnel to the Board unless ordered to do so pursuant to G.S. 90-270.143.

(c) The psychologist shall be competent to render all ancillary services specified in Rule .2801 of this Section that the employee or supervisee shall render. Supervision may be delegated to other psychologists affiliated with the employment setting whose competence in the delegated areas has been demonstrated by previous education, training, and experience.

(d) Any psychologist who employs or supervises individuals to provide ancillary services shall be accessible at all times, either on-site or through electronic communication, and shall be available to render assistance when needed to the unlicensed individual and patient or client, or shall have arranged for another psychologist to be accessible and available in the absence of the supervising psychologist. Psychologists shall meet with all unlicensed individuals whom they supervise to the extent necessary to provide supervision for the activities in which the unlicensed individual is engaged. The psychologist shall maintain documentation of supervisory sessions, including dates, appointment times, and length of time of each supervision session, for a period of at least seven years following the termination of ancillary services by ancillary services personnel.

History

• Authority G.S. 90-270.143; 90-270.154
• Eff. April 1, 2003
• Readopted Eff. April 1, 2020
• Amended Eff. August 1, 2021.

21 NCAC 54 .2804 Qualifications and Training

(a) Prior to the provision of ancillary services by an unlicensed individual, the psychologist supervising or employing the individual shall provide training in and establish that the individual has knowledge and understanding of legal and ethical requirements for maintaining confidentiality, exceptions to confidentiality, including mandated reporting of suspected abuse or neglect, and professional ethics. The licensed psychologist shall maintain documentation that the individual is trained in the aforementioned areas. Documentation of training shall include the date(s) on which training occurred, the purpose of the training, the identity of the individual(s) providing the training, and the total number of hours of training for each date on which the training occurred. Training in professional ethics shall include the Code of Conduct set forth in G.S. 90-270.148(a).

(b) The psychologist shall maintain documentation of the employee's or supervisee's training for at least seven years following the termination of ancillary services by ancillary services personnel.

(c) A psychologist shall not employ or supervise individuals to provide ancillary services who have previously been licensed or certified to practice psychology who have relinquished their licenses or certification or who have had their licenses or certification restricted, suspended, or revoked by the Board in North Carolina or any other jurisdiction.

History

• Authority G.S. 90-270.143; 90-270.154
• Eff. April 1, 2003
• Readopted Eff. April 1, 2020
• Amended Eff. August 1, 2021.

21 NCAC 54 .2805 Services Appropriate for Ancillary Services Personnel

(a) When a psychologist employs or supervises an unlicensed individual that provides only clerical functions, such as responding to telephone inquiries, scheduling appointments, filing insurance claims, typing psychological reports, and completing data entry of test results after a patient or client has responded to such items as questionnaires and forms, the licensed psychologist shall be exempt from the requirements of Rule .2803 of this Section as to these unlicensed individuals.

(b) Tasks requiring technical skills, training and judgment during execution are appropriate activities in which unlicensed individuals may engage. Examples of these activities include obtaining demographic histories; implementing biofeedback techniques; administering and scoring specific parts of psychological tests, including neuropsychological tests, which are scored on a pass/fail, multiple choice, or true/false basis, or for which scores are based on speed or quantity of performance; administering intelligence tests and other psychological tests to an individual in which the patient or client's performance may alter the length of the protocol, require adjustment of the number of items administered, or require that a decision be made to probe a response of the patient or client provided that ancillary services personnel have been deemed by the licensee to have met the training requirements of the test publisher; and implementing specific behavioral interventions that are part of a treatment plan.

(c) A dated entry shall be made in the patient or client's records at any time that an ancillary service is provided at the request or direction of the licensee. This entry shall include all ancillary services provided and billed to a third party or paid by the patient or client to the licensee and all ancillary services for which there is no charge. Unlicensed individuals providing ancillary services who make clinical record entries regarding services they provide shall sign such entries and indicate their titles under Rule .2802 of this Section as providers of ancillary services. The psychologist shall ensure that case notes, financial statements, and other records of services identify whether the psychologist or the unlicensed individual was the direct provider of the service.

History

• Authority G.S. 90-270.143; 90-270.154
• Eff. April 1, 2003
• Readopted Eff. April 1, 2020.

21 NCAC 54 .2806 Services Not Appropriate for Unlicensed Individuals

Individuals providing ancillary services shall not engage in the administration of projective techniques; psychological evaluation report writing; and all forms of diagnostic interviewing, counseling, and psychotherapy. Psychological test results shall not be interpreted by ancillary services personnel to recipients of services or their designated representative(s).

History

• Authority G.S. 90-270.143; 90-270.154
• Eff. April 1, 2003
• Readopted Eff. April 1, 2020.

Chapter 56 Engineers and Surveyors

21 NCAC 56 .0101 Identification

The North Carolina State Board of Examiners for Engineers and Surveyors is hereinafter referred to as "the Board."

History

• Authority G.S. 89C-10
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2000; April 1, 1989; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .0102 General Purpose of Board

History

• Status: repealed
• Authority G.S. 89C-2; 89C-10; 89C-13 to 89C-17; 89C-20 to 89C-23
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. January 1, 1982
• Repealed Eff. April 1, 1989.

21 NCAC 56 .0103 Organization

(a) Board Committees. The Board shall be organized into an engineering committee, a land surveying committee and a continuing professional competency (CPC) committee. The engineering committee shall consist of the four engineer members and one public member. The land surveying committee shall consist of the three land surveyor members and one public member. The CPC committee shall consist of one engineer member, one land surveyor member and one public member. The Board chair shall appoint the chairs and members of each committee.

(b) Executive Director. The executive director may be authorized by the Board or the chair to represent the Board before professional or governmental organizations when such representation serves to further and support the purposes of the Board and is made within the expressed policies of the Board or these Rules.

(c) Actions by the Board. Actions taken by the Board shall be by majority vote of a quorum of the Board.

History

• Authority G.S. 89C-4; 89C-8; 89C-9; 89C-10; 89C-11
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. September 1, 2009; August 1, 2000; August 1, 1998; April 1, 1989; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .0104 Description of Seal

The official seal adopted by the Board is the Great Seal of the State of North Carolina with the inscription of the Board name on the perimeter.

History

• Authority G.S. 89C-10(b)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2000; August 1, 1998; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .0201 Physical Qualifications

History

• Status: repealed
• Authority G.S. 89C-4; 89C-5; 89C-6; 89C-9; 89C-11
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. December 1, 1984.

21 NCAC 56 .0202 Hours of Work

History

• Status: repealed
• Authority G.S. 89C-4; 89C-5; 89C-6; 89C-9; 89C-11
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. December 1, 1984.

21 NCAC 56 .0203 Pay Periods

History

• Status: repealed
• Authority G.S. 89C-4; 89C-5; 89C-6; 89C-9; 89C-11
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. December 1, 1984.

21 NCAC 56 .0204 Travel and Expense Vouchers

History

• Status: repealed
• Authority G.S. 89C-4; 89C-5; 89C-6; 89C-9; 89C-11
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. December 1, 1984.

21 NCAC 56 .0205 Overtime

History

• Status: repealed
• Authority G.S. 89C-4; 89C-5; 89C-6; 89C-9; 89C-11
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. December 1, 1984.

21 NCAC 56 .0206 Annual Vacation

History

• Status: repealed
• Authority G.S. 89C-4; 89C-5; 89C-6; 89C-9; 89C-11
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. December 1, 1984.

21 NCAC 56 .0207 Holidays

History

• Status: repealed
• Authority G.S. 89C-4; 89C-5; 89C-6; 89C-9; 89C-11
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. December 1, 1984.

21 NCAC 56 .0208 Sick Leave

History

• Status: repealed
• Authority G.S. 89C-4; 89C-5; 89C-6; 89C-9; 89C-11
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. December 1, 1984.

21 NCAC 56 .0209 Compensatory Time

History

• Status: repealed
• Authority G.S. 89C-4; 89C-5; 89C-6; 89C-9; 89C-11
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. December 1, 1984.

21 NCAC 56 .0210 Hospitalization Coverage and Benefits

History

• Status: repealed
• Authority G.S. 89C-4; 89C-5; 89C-6; 89C-9; 89C-11
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. December 1, 1984.

21 NCAC 56 .0211 Retirement Coverage and Benefits

History

• Status: repealed
• Authority G.S. 89C-4; 89C-5; 89C-6; 89C-9; 89C-11
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. December 1, 1984.

21 NCAC 56 .0212 Subject to Change

History

• Status: repealed
• Authority G.S. 89C-4; 89C-5; 89C-6; 89C-9; 89C-11
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. December 1, 1984.

21 NCAC 56 .0301 Policy

History

• Status: repealed
• Authority G.S. 89C-10(g); 89C-11
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. January 1, 1982
• Repealed Eff. April 1, 1989.

21 NCAC 56 .0302 Finances

History

• Status: repealed
• Authority G.S. 89C-10(g); 89C-11
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. January 1, 1982
• Repealed Eff. April 1, 1989.

21 NCAC 56 .0303 Disbursement of Funds

The Board may dispense funds for educational programs. Entities described in G.S. 89C-10(g) may request funds in writing and provide the following information:

(1) The amount needed;

(2) The intended use of the funds;

(3) Subject material to be presented and qualifications of instructors to be employed;

(4) Itemized breakdown of the amount needed and the total expected costs; and

(5) Source and amount of assistance being given by any other person or organization.

History

• Authority G.S. 89C-10(g)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. April 1, 1989; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. March 1, 2023; July 1, 2020.

21 NCAC 56 .0304 Suspension of Authority to Expend Funds

In the event that the Board's authority to expend funds is suspended pursuant to G.S. 93B-2(d), the Board shall continue to issue and renew licenses and collect all fees set forth in G.S. 89C-14, 89C-17, and 89C-24. The Board shall maintain an escrow account into which any fees tendered during the Board's period of suspension shall be deposited. Once the Board's authority is restored, the funds shall be moved from the escrow account into the general operating account.

History

• Authority G.S. 89C-10; 89C-11; 93B-2
• Eff. July 1, 2020.

21 NCAC 56 .0401 Records of Board Proceedings

Records of all proceedings of the Board such as rule-making proceedings, declaratory rulings and contested cases and all other records are retained at the office of the Board or are disposed of in accordance with the records retention and disposition schedule filed with the Department of Cultural Resources.

History

• Authority G.S. 89C-10(a); 89C-12
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2011; August 1, 1998; April 1, 1989; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .0402 Records of Applications

All records of applications for licensure which are active are retained at the office of the Board. However, application files once submitted to the Board are Board property and are not returnable. During the time records are physically held in the Board office an applicant can obtain a copy of the application form by request to the Board office. Inactive applications shall be destroyed after one year after giving 30 day notice to the last known address of the applicant, upon approval of the Department of Cultural Resources in accordance with G.S. 121-5.

History

• Authority G.S. 89C-10(a); 89C-12
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. July 1, 2009; August 1, 2000; January 1, 1982.
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .0403 Application Files

History

• Status: repealed
• Authority G.S. 89C-10(a); 89C-12
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1994; April 1, 1989; January 1, 1982
• Repealed Eff. August 1, 1998.

21 NCAC 56 .0404 Destruction of Application Files

History

• Status: repealed
• Authority G.S. 89C-10(a); 89C-12
• Eff. February 7, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. April 1, 1989; January 1, 1982
• Repealed Eff. August 1, 1998.

21 NCAC 56 .0405 Reactivation of Application File

History

• Status: repealed
• Authority G.S. 89C-10(a); 89C-12
• Eff. February 7, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. April 1, 1989; January 1, 1982
• Repealed Eff. August 1, 1998.

21 NCAC 56 .0501 Requirements for Licensing

(a) Education. Pursuant to G.S. 89C-13, the Board shall consider the education of an applicant in determining eligibility for certification as an Engineer Intern or licensure as a Professional Engineer. Certain terms describing the educational requirements found in G.S. 89C-13 are defined as follows:

(1) "An EAC/ABET accredited program" is a program accredited by the Engineering Accreditation Commission (EAC) of the Accreditation Board for Engineering and Technology (ABET). A list of accredited programs can be found on ABET's website at https://www.abet.org.

(2) "An engineering curriculum or related science curriculum of four years or more" is a curriculum including non-ABET accredited engineering degrees or related science degrees. The curriculum may also include a bachelor's degree in engineering technology, whether or not accredited by the Engineering Technology Accreditation Commission (ETAC) of ABET.

(3) "A master's degree in engineering from an institution that offers EAC/ABET accredited programs" and "an earned doctoral degree in engineering from an institution that offers EAC/ABET accredited programs" are graduate degrees in engineering from an institution which offers EAC/ABET accredited undergraduate programs.

(4) Educational programs "approved by the Board as being of satisfactory standing" include foreign degrees equivalent to the National Council of Examiners for Engineering and Surveying (NCEES) Engineering Education Standard, which includes subsequent amendments and is incorporated by reference. A copy of the applicable standard is available at no cost at https://ncees.org/ncees-services/credentials-evaluations/. Foreign degrees shall be considered substantially equivalent only after the Board obtains an evaluation report from the Credentials Evaluations Service of NCEES evaluating the foreign degree.

(b) Experience. Pursuant to G.S. 89C-13, the Board shall consider the experience of an applicant in determining eligibility for certification as an Engineer Intern or licensure as a Professional Engineer.

(1) Required Experience. In evaluating experience, the Board shall consider an applicant's total experience record and its progressive nature. Experience shall be of a progressive engineering nature obtained after graduation from a program that meets the criteria set forth in G.S. 89C-13 and defined in Paragraph (a) of this Rule. Not less than half of required engineering experience shall be gained under the responsible charge of a licensed Professional Engineer, or if not, the applicant shall submit a written explanation to the Board explaining why the experience should be considered acceptable. Experience gained under the technical supervision of an unlicensed individual shall be considered based upon the engineering education and experience credentials of the unlicensed supervisor. Experience gained in the armed services, typically while serving in an engineering or engineering related group, shall be accepted only if substantially equivalent to civilian work.

(2) Definition. "Progressive experience" requires that during the period of time provided as experience, an applicant made a practical utilization of acquired knowledge and demonstrated continuous improvement, growth, and development in the utilization of that knowledge as revealed in the complexity and technical detail of the work product or work record. The applicant shall demonstrate continuous assumption of greater individual responsibility for the work product over that period of time. The progressive experience on engineering projects shall demonstrate an increasing quality and responsibility that shows the Board that the applicant is competent to practice engineering.

(3) Credit for Experience. In evaluating progressive engineering experience, the Board shall give credit for experience in the following areas of work:

(A) One year of credit shall be granted for graduate schooling or research in an engineering program resulting in award of a master's degree from an institution that offers EAC/ABET-accredited programs;

(B) Two years of credit shall be granted for graduate schooling or research in an engineering program resulting in award of an earned doctoral degree in engineering from an institution that offers EAC/ABET-accredited programs. If an applicant has earned both a master's and doctoral degree in engineering from an institution that offers EAC/ABET accredited programs, the applicant shall receive only two years of credit.

(C) A maximum of two years of credit shall be granted for progressive land surveying experience; and

(D) Teaching of engineering subjects at the university level in an engineering program offering a four-year or more degree approved by the Board.

The Board shall not accept combinations of the categories in this Subparagraph as fulfilling all the necessary statutory experience requirements.

(4) An exception to the requirement in Subparagraph (b)(1) of this Rule that experience be obtained after graduation is for the long-established practice qualification of 20 years or more, as provided for in G.S. 89C-13(a3).

(5) Other experience is considered if it is:

(A) Experience obtained prior to graduation as part of an ABET accredited engineering program shown on the transcript, with a maximum credit of one year; or

(B) Experience obtained in a foreign country that is performed under direct supervision of a Professional Engineer licensed with a member Board of the National Council of Examiners for Engineering and Surveying (NCEES).

History

• Authority G.S. 89C-10; 89C-13
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2014; August 1, 2011; May 1, 2009; August 1, 2002; August 1, 2000; August 1, 1998; November 2, 1992; April 1, 1989; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. February 1, 2026; July 1, 2020.

21 NCAC 56 .0502 Application Procedure: Individual

(a) General. A person desiring to become certified as an Engineer Intern or licensed as a Professional Engineer shall apply to the Board.

(b) Application. The appropriate application may be accessed on the Board's website. Applicants may access the Engineer Intern certification forms at https://www.ncbels.org/application/engineer-intern-certification/. Applicants may access the Professional Engineer licensure forms at https://www.ncbels.org/applications/professional-engineers/.

(c) Applicable Forms:

(1) Engineer Intern Certification Form. After passing the Fundamentals of Engineering examination, an applicant may apply to the Board to become certified as an "Engineer Intern." This form requires the applicant to set forth their personal history, educational background, engineering experience, and character references. The applicant shall submit a 2-inch by 2-inch passport style photograph adequate for current identification purposes.

(2) Professional Engineer Form. All persons, including comity applicants and certified Engineer Interns, shall apply for licensure using the Professional Engineer Form. This form requires the applicant to set forth their personal and educational background, engineering experience, and character references. The applicant shall submit a 2-inch by 2-inch passport style photograph adequate for current identification purposes.

(3) Supplemental Form. All persons applying for licensure as a Professional Engineer shall submit the Supplemental Form, which requires the applicant to list all engineering experience.

(4) Reference Forms:

(A) Persons applying for certification as an Engineer Intern shall submit to the Board the names of three individuals, one of whom is a professional engineer, who are familiar with the applicant's work, character, and reputation. Persons applying for licensure as a Professional Engineer shall submit to the Board the names of five individuals, three of whom are professional engineers, who are familiar with the applicant's work, character, and reputation.

(B) Applicants may access Engineer Intern certification reference forms and Professional Engineer licensure reference forms at the websites listed above in Paragraph (b) of this Rule. The applicant shall distribute the reference forms to the persons listed on the application as references. To be considered, completed reference forms shall be received by the Board from the person providing the reference within one year of application.

(C) The reference form provides the individual evaluating the applicant the opportunity to state the evaluating individual's profession, knowledge of the applicant, and information concerning the applicant's engineering experience, character, and reputation.

(d) Fees:

(1) Engineer Intern Certification Form. No application fee is required to become certified as an "Engineer Intern."

(2) Professional Engineer Form. The application fee of one hundred dollars ($100.00) is payable with the filing of the application.

(3) Comity. The licensure fee of one hundred dollars ($100.00) is payable with the filing of the application.

(4) Examination. The examination fee for any applicant is payable to the National Council of Examiners for Engineering and Surveying (NCEES) at the time of registering to take the exam in accordance with G.S. 89C-14.

(e) The Board shall accept the records maintained by the National Council of Examiners for Engineering and Surveying (NCEES) as evidence of licensure in another jurisdiction. For comity licensure, the Board shall accept the NCEES record in lieu of the applicant completing the experience, education, and references sections of the application. A comity application, with or without a NCEES record, shall be administratively approved by the Executive Director without waiting for the next regular meeting of the Board. The Executive Director's approval shall be based upon evidence of current licensure in another jurisdiction with comparable qualifications, the required references, and the comity applicant's disciplinary record in other jurisdictions. Each administrative approval shall be reported to the Board at its next regular meeting for final approval.

(f) Model Law Engineer. The term "Model Law Engineer" refers to a person who meets the requirements of this Section by meeting the requirements of NCEES, has a current NCEES record on file, and is designated as a "Model Law Engineer." A "Model Law Engineer" application shall be administratively approved by the Executive Director based upon the designation, without waiting for the next regular meeting of the Board, at which time the action shall be reported to the Board for final approval.

(g) Personal interview. During the application process, Board members shall interview the applicant if the members have questions regarding the applicant's education, experience, or character.

History

• Authority G.S. 89C-10; 89C-13; 89C-14; 89C-15
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1994; November 2, 1992; April 1, 1989; December 1, 1984
• RRC Objection due to lack of Statutory Authority Eff. November 17, 1994
• Amended Eff. August 1, 2014; May 1, 2009; August 1, 2002; August 1, 2000; August 1, 1998; January 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. April 1, 2025; May 1, 2024.

21 NCAC 56 .0503 Examinations

(a) The Board offers the following examinations that are the national examinations of the National Council of Examiners for Engineering and Surveying (NCEES) with application made directly to NCEES to take the exam:

(1) Fundamentals of Engineering (FE): This examination is designed to test the applicant's proficiency and knowledge of the fundamentals of engineering; and

(2) Principles and Practice of Engineering (PE): This examination is designed to test the applicant's proficiency and knowledge of engineering principles and practices.

(b) Examination Aids. Examinees may utilize examination aids as specified and published by NCEES.

(c) Examination Sequence. Before the applicant shall be permitted to be examined on the principles and practice of engineering, the applicant shall pass the examination on the fundamentals of engineering, unless the applicant can provide evidence of 20 years of progressive engineering experience, or is a full-time engineering faculty member, or possesses an earned doctoral degree in engineering. NCEES administers the fundamentals of engineering examination as a computer-based exam.

(d) Only those applicants who have met the education requirements as set forth in Rule .0501(a) of this Section, and have passed the FE exam may sit for the PE exam prior to gaining the required experience. Upon gaining the required experience, as set forth in Rule .0501(b) of this Section, an applicant may apply for the PE license.

(e) Reasonable Accommodation. An applicant may make a written request to NCEES, before the application deadline, for reasonable accommodation for the exam. Reasonable accommodation shall be granted based upon meeting the Guidelines for Requesting Religious and ADA Accommodations published by the National Council of Examiners for Engineering and Surveying (NCEES).

(f) Exam Results. Exam results shall be supplied in writing as pass or fail. No results will be given in any other manner.

(g) Review of Failed Exams. An applicant who fails to make a passing score on an exam shall receive an exam analysis by NCEES.

History

• Authority G.S. 89C-10; 89C-13; 89C-14; 89C-15
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2014; September 1, 2009; May 1, 2009; April 1, 2001; August 1, 1998; November 2, 1992; April 1, 1989; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2020.

21 NCAC 56 .0504 Certificates

History

• Status: repealed
• Authority G.S. 89C-3; 89C-13; 89C-15; 89C-16
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. January 1, 1982
• Repealed Eff. April 1, 1989.

21 NCAC 56 .0505 Expiration and Renewal of Certificates

(a) Professional Engineer Licensure. A license to practice professional engineering expires on the last day of each calendar year. A licensee may renew their license through their online licensee portal on the Board's website during the renewal period beginning on the first day of December through the last day of January. An annual renewal fee of seventy-five dollars ($75.00) shall be payable to the Board. During the renewal process, a licensee shall provide their physical places of business and residential addresses, report compliance with continuing education requirements, and report any criminal convictions or disciplinary actions described herein. A licensee shall give notice to the Board of a change of business or residential address within 30 days of the change. A licensee shall give notice to the Board of any criminal convictions, including DWI but not including minor traffic offenses (offenses that are not a misdemeanor or felony) within 30 days of the conviction. A nolo contendere plea is equated to a conviction for reporting purposes. A licensee shall give notice to the Board of any disciplinary actions received in any jurisdiction on any engineering license resulting in a restriction on the licensee's practice within 30 days of the disciplinary action. A disciplinary action which restricts a licensee's practice includes revocation, suspension, denial of licensure, refusal to renew, refusal to reinstate, put on probation, restriction of practice area, or a voluntary permanent surrender of a license.

(b) Engineering Intern Certificate. The Engineering Intern certificate does not expire and, therefore, does not have to be renewed.

(c) Professional Engineer, Retired. The Board shall approve the application for use of the title for a person who has been duly licensed as a professional engineer by the Board, who chooses to relinquish or not to renew a license and has had no disciplinary action or criminal conviction that would support a determination that the licensee is not of good character and reputation. Conduct demonstrating lack of good character and reputation includes, but is not limited to:

(1) Any felony conviction;

(2) Any conviction involving fraud, dishonesty, false statements, or deceit;

(3) Any disciplinary action by the Board involving fraud, deceit, gross negligence, incompetence, or misconduct directly related to the practice of engineering; or

(4) Any prior finding by the Board that the Licensee knowingly provided materially false information to the Board.

History

• Authority G.S. 89C-10; 89C-17; 89C-3(8a);89C-21
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2011; July 1, 2010; July 1, 2009; December 4, 2002; August 1, 2000; August 1, 1998; May 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. December 1, 2025.

21 NCAC 56 .0506 waiver for licensees serving on active duty in the armed forces of the us

(a) All Professional Engineers currently licensed by and in good standing with the Board (whose license is not suspended or revoked) who are serving in the armed forces of the United States and who are eligible for an extension of time to file a tax return pursuant to G.S. 105-249.2 are granted a waiver of their mandatory continuing education requirements and annual renewal fee for the time period disregarded pursuant to the Internal Revenue Code 26 U.S.C. 7508.

(b) Request for waiver by an eligible licensee, meeting requirements in Paragraph (a) of this Rule, of renewal fee and waiver of continuing education requirements:

(1) The licensee shall notify the Board of eligibility before the current license expires. Upon such notification, the Board shall maintain the license in active status through the extension period.

(2) If the licensee fails to notify the Board of eligibility for the extension period before the current license expires, upon receipt and acceptance of a renewal application within the extension period and presentation of proof that the licensee was eligible on the date that is the deadline for renewal, the expired license or registration shall be deemed retroactively to have not expired.

(3) The licensee who submits a renewal application within the extension period shall not be deemed to hold a lapsed license subject to reinstatement fees.

(4) The licensee may renew the license within the extension period despite failing to complete the specified continuing education requirements.

(5) A licensee shall provide proof of eligibility for the extension period when the licensee or registrant submits the renewal application.

History

• Authority G.S. 89C-10; 89C-17; 93B-15
• Eff. August 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .0601 Requirements for Licensing

(a) Education. Pursuant to G.S. 89C-13(b), the Board shall consider the education of an applicant in determining eligibility for licensure as a Professional Land Surveyor. Certain terms concerning the educational requirements found in G.S. 89C-13(b)(1a) are defined as follows:

(1) "Bachelor of Science degree in surveying or other equivalent curricula" are degrees that shall contain a minimum of 45 semester hours, or their quarter-hour equivalents. Of the 45 semester hours, a minimum of 12 semester hours of surveying fundamentals, 12 semester hours of applied surveying practice, and 12 semester hours of advanced or theoretical surveying courses are required. The remainder of the required surveying courses may be elective-type courses in any of the categories; and

(2) "Associate degree in surveying technology" are degrees that shall contain a minimum of 20 semester hours, or quarter-hour equivalents. Courses, completed with a passing grade, shall be in surveying fundamentals, applied surveying practice, and advanced or theoretical surveying courses, including courses in surveying practices, subdivision design and planning, surface drainage, and photogrammetry.

(3) An applicant wishing to complete a "Land Surveyor Apprenticeship" contemplated in G.S. 89C-13(b)(1a)(d1) shall complete one of the following:

(A) Certified Survey Technician Program (CST) of the National Society of Surveyors (NSPS) levels I through IV.

(B) "Technologist" Certification Program of the American Society for Photogrammetry and Remote Sensing (ASPRS).

(C) The Surveying Education Standard of the National Council of Examiners for Engineering and Surveying (NCEES) by obtaining college semester credit hours, as modified to require the following 39 college semester hours:

(i) Twelve college semester hours in mathematics beyond basic mathematics, but the credits include college algebra or higher mathematics. These courses must emphasize mathematical concepts and principles rather than computation. Course examples include college algebra, trigonometry, analytic geometry, differential and integral calculus, linear algebra, numerical analysis, probability and statistics, and advanced calculus; and

(ii) Twenty-seven college semester hours of surveying science and surveying practice. Courses shall be taught by surveying faculty qualified by education, training or experience to teach the subject matter. Examples of courses are basic surveying, route surveying, geodesy, geographic information systems, land development design and planning, global positioning systems, photogrammetry, mapping, legal principles of land surveying, boundary law, professional surveying and mapping, and remote sensing. Graduate-level surveying courses can be included to fulfill curricular requirements in this area.

(D) Apprenticeship program, administered through ApprenticeshipNC, or equivalent administrator, approved by the Board, as including elements equivalent to Parts (A), (B), or (C) of this Subparagraph.

(b) Experience. Pursuant to G.S. 89C-13(b), the Board shall consider the experience of an applicant in determining eligibility for licensure as a Professional Land Surveyor.

(1) Required Experience. In evaluating experience, the Board shall consider an applicant's total experience record and its progressive nature. Not less than half of the required land surveying experience shall be gained under the responsible charge of a Professional Land Surveyor, or if not, the applicant shall submit a written explanation to the Board explaining why the experience should be considered acceptable. Experience gained under the technical supervision of an unlicensed individual shall be considered based upon the engineering or surveying education and experience credentials of the unlicensed supervisor. Experience gained in the armed services, typically while serving in an engineering or surveying related group, shall be accepted only if substantially equivalent to civilian work.

(2) Definition. "Progressive practical experience" requires that during the period of time provided as experience, an applicant made a practical utilization of their acquired knowledge of the principles of geometry and trigonometry in determining the shape, boundaries, position, and extent of the earth's surface; and demonstrated a continuous improvement, growth, and development in the utilization of that knowledge. The applicant shall show the continuous assumption of greater individual responsibility for the work product over that period of time. The progressive experience on surveying projects shall demonstrate an increasing quality and responsibility that shows the Board that the applicant is competent to practice surveying.

(3) Other Experience. The applicant shall document the nature and details of the work done in the following areas to evidence to the Board its equivalency to land surveying:

(A) construction layout;

(B) engineering surveying; or

(C) part-time surveying work.

(c) Exhibits, Drawings, Maps:

(1) Required Exhibit:

(A) General. The applicant shall submit, along with the application, an actual map of a boundary survey of an actual project prepared under the direct supervision and responsible charge of a Professional Land Surveyor who states that the applicant did the preparatory work of the survey; that shows, by its conformance, that the applicant is knowledgeable of the contents of the Standards of Practice for Land Surveying in North Carolina as set forth in Section .1600 of this Chapter; and that shows that the applicant is able to apply this knowledge by preparing a map in accordance with the various legal and professional requirements of land surveying.

(B) Physical Requirement. The map submitted shall be a clean, clear, legible print of an original map in the file of a Professional Land Surveyor.

(C) Specific Requirements. The details that shall be evaluated are those applicable to the particular project as described in the Standards of Practice for Land Surveying in North Carolina as set forth in Section .1600 of this Chapter, and as described in G.S. 47-30. In addition, the exhibit shall contain a statement that the field work, calculation, and mapping were performed by the applicant under the supervision of a Professional Land Surveyor, attested to by that Professional Land Surveyor.

(2) Requirements for Comity Applicant. The map submitted by an applicant under comity may be a representative map of an actual survey of a project or work performed in the state of licensure that is modified to meet the requirements in Subparagraph (c)(1) of this Rule and shall be evaluated in accordance with the requirements applicable to the particular project as described in the Standards of Practice for Land Surveying in North Carolina as set forth in Section .1600 of this Chapter, and as described in G.S. 47-30.

History

• Authority G.S. 89C-10; 89C-13; 89C-3(4a)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2014; July 1, 2009; August 1, 2000; August 1, 1998; November 2, 1992; April 1, 1989; December 1, 1984; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2020
• Temporary Amendment Eff. July 1, 2022
• Amended Eff. December 1, 2025; March 1, 2023.

21 NCAC 56 .0602 Application Procedure: Individual

(a) General. A person desiring to become certified as a Surveyor Intern or licensed as a Professional Land Surveyor shall apply to the Board.

(b) Application. The appropriate application may be accessed on the Board's website. Applicants may access the Surveyor Intern certification forms at https://www.ncbels.org/application/land-surveyor-intern-certification/. Applicants may access the Professional Land Surveyor licensure forms at https://www.ncbels.org/applications/professional-land-surveyor/.

(c) Application Forms:

(1) Surveyor Intern Certification Form. After passing the Fundamentals of Surveying examination, an applicant may apply to the Board to become certified as a " Surveyor Intern." This form requires the applicant to set forth their personal history, educational background, surveying experience, character references, and exhibit. The applicant shall submit a 2-inch by 2-inch passport style photograph adequate for current identification purposes.

(2) Professional Land Surveyor Form. All persons, including comity applicants and certified Surveyor Interns, shall apply for licensure using the Professional Land Surveyor form. This form requires the applicant to set forth their personal and educational background, surveying experience, character references, and exhibit. The applicant shall submit a 2-inch by 2-inch passport style photograph adequate for current identification purposes.

(3) Supplemental Form. All persons applying for licensure as a Professional Land Surveyor shall submit the Supplemental Form, which requires the applicant to list all surveying experience.

(4) Reference Forms:

(A) Persons applying for certification as a Surveyor Intern shall submit to the Board the names of three individuals, one of whom is a professional land surveyor, who are familiar with the applicant's work, character, and reputation. Persons applying for licensure as a Professional Land Surveyor shall submit to the Board the names of five individuals, three of whom are professional land surveyors, who are familiar with the applicant's work, character, and reputation.

(B) Applicants may access Surveyor Intern certification reference forms and Professional Land Surveyor licensure reference forms at the websites listed above in Paragraph (b) of this Rule. The applicant shall distribute the reference forms to the persons listed on the application as references. To be considered, completed reference forms shall be received by the Board from the person providing the reference within one year of application.

(C) The reference form provides the individual evaluating the applicant the opportunity to state the evaluating individual's profession, knowledge of the applicant, and information concerning the applicant's surveying experience, character, and reputation.

(d) Fees:

(1) Surveyor Intern Certification Form. No application fee is required to become certified as a "Surveyor Intern."

(2) Professional Land Surveyor Form. The application fee of one hundred dollars ($100.00) is payable with the filing of the application.

(3) Comity. The licensure fee of one hundred dollars ($100.00) is payable with the filing of the application.

(4) Examination. The examination fee for any applicant shall be payable to the National Council of Examiners for Engineering and Surveying (NCEES) at the time of registering to take the exam in accordance with G.S. 89C-14.

(e) The Board shall accept the records maintained by the National Council of Examiners for Engineering and Surveying (NCEES) as evidence of licensure in another jurisdiction. For comity licensure, the Board shall accept the NCEES record in lieu of the applicant completing the experience, education, and references sections of the application. A comity application, with or without a NCEES record, shall be administratively approved by the Executive Director without waiting for the next regular meeting of the Board. The Executive Director's approval shall be based upon evidence of current licensure in another jurisdiction with comparable qualifications, the required references, the comity applicant's disciplinary record in other jurisdictions, and whether the applicant passed the state-specific exam. Each administrative approval shall be reported to the Board for at its next regular meeting for final approval.

(f) Personal Interview. During the application process, Board members shall interview the applicant if the members have questions regarding the applicant's education, experience, or character.

History

• Authority G.S. 89C-10; 89C-13; 89C-14; 89C-15
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2014; May 1, 2009; August 1, 2002; August 1, 2000; August 1, 1998; May 1, 1994; April 1, 1989; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. May 1, 2025.

21 NCAC 56 .0603 Examinations

(a) The Board offers the following examinations that are the national examinations of the National Council of Examiners for Engineering and Surveying (NCEES) with application made directly to NCEES to take the exam:

(1) Fundamentals of Surveying (FS): This examination is designed to test the applicant's proficiency and knowledge of the fundamentals of surveying. (Reference to Fundamentals of Surveying is the revised name of the national exam that is the Fundamentals of Land Surveying in G.S. 89C); and

(2) Principles and Practice of Surveying. This examination is designed to test the applicant's proficiency and knowledge of land surveying practices and procedures generally and specifically within North Carolina. (Reference to Principles and Practice of Surveying is the revised name of the national exam that is the Principles and Practice of Land Surveying in G.S. 89C).

(b) State-Specific Exam. The State-specific portion of the principles and practice of surveying examination shall be provided by the Board.

(1) Examination Filing Deadline. The applicant who wishes to take the State-specific portion of the principles and practice of surveying examination shall deliver the completed application, including all necessary references, transcripts, and verifications, to the Board office at least 60 days prior to the date for taking the exam.

(2) Unexcused Absences. For the State-specific portion of the principles and practices of surveying examination, after a seating notice for a scheduled examination has been issued, if applicant fails to appear, the applicant's record shall reflect "unexcused absence," unless the absence was for jury duty or the applicant was not physically able to be present, as indicated by a doctor's certificate. The examination fee shall be forfeited if the applicant's record reflects an unexcused absence.

(3) Re-Examination. A person who failed the State-specific portion of the principles and practices of surveying examination may apply to take the examination again at the after a six-month waiting period by making written request and submitting the required exam fee. A person having a combined record of three failures shall be eligible only after submitting a new application with appropriate application fee, and shall be considered by the Board for re-examination at the end of 12 months after the last failure.

(c) Examination Aids. Examinees may utilize examination aids as specified and published by NCEES or the Board.

(d) Preparation of Examination. NCEES administers the fundamentals of surveying examination and the examination in the principles and practice of surveying as computer-based exams.

(e) Reasonable Accommodation. An applicant may make a written request to NCEES, before the application deadline, for reasonable accommodation for the exam. Reasonable accommodation shall be granted based upon meeting the Guidelines for Requesting Religious and ADA Accommodations published by the National Council of Examiners for Engineering and Surveying (NCEES).

(f) Exam Results. Exam results shall be supplied in writing as pass or fail. No results shall be given in any other manner.

(g) Review of Failed Exams. An applicant who fails to make a passing score on an NCEES exam shall receive an exam analysis by NCEES. An applicant who fails to make a passing score on the two-hour state-specific portion of the exam may request in writing within 30 days of receiving the result to have an opportunity to review that portion of the exam. The review shall be done in the Board office under supervision of staff and is limited to one hour.

History

• Authority G.S. 89C-10; 89C-15
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2014; May 1, 2009; April 1, 2001; August 1, 1998; November 2, 1992; April 1, 1989; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2020.

21 NCAC 56 .0604 Standards of Practice

History

• Status: repealed
• Authority G.S. 89C-10; 89C-21
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. January 1, 1982
• Repealed Eff. July 1, 1989.

21 NCAC 56 .0605 Certificates

History

• Status: repealed
• Authority G.S. 89C-3; 89C-13; 89C-15; 89C-16
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. January 1, 1982
• Repealed Eff. April 1, 1989.

21 NCAC 56 .0606 Expiration and Renewal of Certificates

(a) Professional Land Surveyor Licensure. A license to practice surveying expires on the last day of each calendar year. A licensee may renew their license through their online licensee portal on the Board's website during the renewal period beginning on the first day of December through the last day of January. An annual renewal fee of seventy-five dollars ($75.00) shall be payable to the Board. During the renewal process, a licensee shall provide their physical places of business and residential addresses, report compliance with continuing education requirements, and report any criminal convictions or disciplinary described herein. A licensee shall give notice to the Board of a change of business or residential address within 30 days of the change. A licensee shall give notice to the Board of any criminal convictions, including DWI but not including minor traffic offenses (offenses that are not a misdemeanor or felony) , within 30 days of the conviction. A nolo contendere plea is equated to a conviction for reporting purposes. A licensee shall give notice to the Board of any disciplinary actions received in any jurisdiction on any surveyor license resulting in a restriction on the licensee's practice within 30 days of the disciplinary action. A disciplinary action which restricts a licensee's practice includes revocation, suspension, denial of licensure, refusal to renew, refusal to reinstate, put on probation, restriction of practice area, or a voluntary permanent surrender of a license.

(b) Surveyor Intern Certificate. The surveyor intern certificate does not expire and, therefore, does not have to be renewed.

(c) Professional Land Surveyor, Retired. The Board shall approve the application for use of the title for a person who has been duly licensed as a Professional Land Surveyor by the Board, who chooses to relinquish or not to renew a license and has had no disciplinary action that would support a determination that the licensee is not of good character and reputation. Conduct demonstrating lack of good character and reputation includes, but is not limited to:

(1) Any felony conviction;

(2) Any conviction involving fraud, dishonesty, false statements, or deceit;

(3) Any disciplinary action by the Board involving fraud, deceit, gross negligence, incompetence, or misconduct directly related to the practice of land surveying; or

(4) Any prior finding by the Board that the Licensee knowingly provided materially false information to the Board.

History

• Authority G.S. 89C-17; 89C-3(9a); 89C-21
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2011; July 1, 2010; July 1, 2009; December 4, 2002; August 1, 2000; August 1, 1998; May 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. December 1, 2025.

21 NCAC 56 .0607 waiver for licensees serving on active duty in the armed forces of the us

(a) All Professional Land Surveyors currently licensed by and in good standing with the Board (whose license is not suspended or revoked) who are serving in the armed forces of the United States and who are eligible for an extension of time to file a tax return pursuant to G.S. 105-249.2 are granted a waiver of their mandatory continuing education requirements and annual renewal fee for the time period disregarded pursuant to the Internal Revenue Code 26 U.S.C. 7508.

(b) Request for waiver by an eligible licensee, meeting requirements in Paragraph (a) of this Rule, of renewal fee and waiver of continuing education requirements:

(1) The licensee shall notify the Board of eligibility before the current license expires. Upon such notification, the Board shall maintain the license in active status through the extension period.

(2) If the licensee fails to notify the Board of eligibility for the extension period before the current license expires, upon receipt and acceptance of a renewal application within the extension period and presentation of proof that the licensee was eligible on the date that is the deadline for renewal, the expired license or registration shall be deemed retroactively to have not expired.

(3) The licensee who submits a renewal application within the extension period shall not be deemed to hold a lapsed license subject to reinstatement fees.

(4) The licensee may renew the license within the extension period despite failing to complete the specified continuing education requirements.

(5) A licensee shall provide proof of eligibility for the extension period when the licensee or registrant submits the renewal application.

History

• Authority G.S. 89C-10; 89C-17; 93B-15
• Eff. August 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .0608 Surveyor Intern

(a) General. To obtain the optional certification as a Surveyor Intern, an applicant shall:

(1) pass the fundamentals of land surveying examination and make application to the Board on a form prescribed and furnished by the Board,

(2) be of good character and reputation,

(3) submit three character references to the Board, one of whom is a professional land surveyor,

(4) comply with the requirements of this rule, and

(5) satisfy one of the following requirements related to education and experience:

(A) Have a bachelor of science degree in surveying or other equivalent curricula, approved by the Board and a record satisfactory to the Board of one year of progressive practical experience under a practicing professional land surveyor.

(B) Have an associate degree in surveying technology approved by the Board and a record satisfactory to the Board of two years of progressive practical experience under a practicing professional land surveyor.

(C) Have graduated from high school or completed a high school equivalency certificate and a record satisfactory to the Board of five years of progressive practical experience, under a practicing professional land surveyor.

(D) Graduation from a high school or the completion of a high school equivalency certificate, completion of a Land Surveyor Apprenticeship, and a record satisfactory to the Board of three years of progressive practical experience under a practicing professional land surveyor.

(b) Request. The application form may be requested from the Board office or obtained from the website.

(c) Application Form. Surveyor Intern Certificate Application form. After passing the Fundamentals of Land Surveying examination an applicant may make application to the Board to become certified as a "Surveyor Intern." This form requires the applicant to set forth personal history, educational background, surveying experience, character references and exhibit. A passport-type photographic quality portrait that is adequate for current identification purposes is required.

(d) Reference Forms:

(1) Persons applying to be certified as a Surveyor Intern shall submit to the Board names of individuals who are familiar with the applicant's work, character and reputation. The names shall be submitted by the applicant on the application form.

(2) Persons applying for certification as a Surveyor Intern must submit three references, one of whom shall be a professional land surveyor.

(3) In addition to the applicant submitting names to the Board of such individuals, those individuals in submitting to the Board their evaluations of the applicant shall use the reference forms supplied them by the applicant.

(4) The reference form requires the individual evaluating the applicant to state the evaluating individual's profession, knowledge of the applicant, and information concerning the applicant's land surveying experience, character, and reputation.

(5) The Board shall provide the reference forms to the applicant along with the application for licensure. The reference forms shall then be distributed by the applicant to the persons listed on the application as references. The applicant is responsible to have the individuals listed as references return the forms to the Board prior to the filing deadline for the examination applied for by the applicant.

(e) Personal Interview. During the application process, the applicant may be interviewed by Board members if the members have questions regarding the applicant's education, experience or character, based upon the information submitted in the application.

History

• Authority G.S. 89C-2; 89C-10; 89C-13; 89C-14; 89C-15
• Temporary Adoption Eff. July 1, 2022
• Eff. March 1, 2023.

21 NCAC 56 .0701 Rules of Professional Conduct

(a) In order to safeguard the life, health, property, and welfare of the public and to establish and maintain a high standard of integrity, skills, and practice in the professions of engineering and land surveying, the Rules of Professional Conduct in this Rule are adopted in accordance with G.S. 89C-20 and are binding upon every person holding a certificate of licensure as a Professional Engineer or Professional Land Surveyor (licensee), and on all business entities authorized to offer or perform engineering or land surveying services in this state. All persons licensed under the provisions of Chapter 89C of the General Statutes are charged with having knowledge of the Board Rules, including the Rules of Professional Conduct, and are deemed to be familiar with their provisions and to understand them.

(b) A licensee shall conduct their practice in a manner that protects the public health, safety, and welfare by complying with the rules of this Chapter and G.S. 89C. The licensee shall at all times recognize the primary obligation to protect the public in the performance of their professional duties. If the licensee's engineering or land surveying judgment is overruled under circumstances where the health, safety, or welfare of the public are endangered, the licensee shall inform the employer, the client, the contractor, other affected parties, and any appropriate regulatory agency of the possible consequences of the situation.

(c) A licensee shall perform services only in areas of the licensee's competence and:

(1) Shall undertake to perform engineering and land surveying assignments only when qualified by education or experience in the specific technical field of professional engineering or land surveying involved;

(2) May accept an assignment or project requiring education or experience outside of the licensee's own areas of competence, but only to the extent that the services are restricted to those portions or disciplines of the assignment in which the licensee is qualified. All other portions or disciplines of such assignment shall be performed by associates, consultants, or employees who are licensed and competent in those portions or disciplines.

(d) A licensee shall not affix his or her signature or seal to any engineering or land surveying plan or document for which the licensee was not in responsible charge of the work through direct control and personal supervision. In order to exercise responsible charge of engineering or surveying work, either when delegating tasks to others, in circumstances where a licensee in responsible charge of the work is unavailable to complete the work, or the work is a design plan signed and sealed by an out-of-jurisdiction licensee (not a site adaptation of a standard design plan under Rule 21 NCAC 56 .1106), the licensee must possess full professional knowledge of and control over the work and shall:

(1) Have and exercise the authority to review and to change, reject or approve both the work in progress and the final work product, through examination, evaluation, communication and direction throughout the development of the work;

(2) Be personally aware of the scope of the work, its needs, parameters, limitations and special requirements;

(3) Be capable of answering questions relevant to the surveying or engineering decisions made as part of the services provided, in sufficient detail to demonstrate knowledge of the proficiency in the work; and

(4) Accept full responsibility for the work.

(A) The burden for demonstrating responsible charge lies with the licensee, including maintaining records, calculations, drawings, surveys, specifications, and other documents associated with the work.

A licensee may affix his or her seal and signature to drawings and documents depicting the work of two or more professionals, provided it is designated by a note under the seal stating the specific subject matter for which each is responsible.

(e) A licensee shall issue public statements only in an objective and truthful manner and:

(1) Shall be objective and truthful in all professional reports, statements or testimony. The licensee shall include all relevant and pertinent information in such reports, statements or testimony;

(2) When serving as an expert or technical witness before any court, commission, or other tribunal, shall express an opinion only when it is founded upon adequate knowledge of the facts in issue, upon a background of technical competence in the subject matter, and upon honest conviction of the accuracy and propriety of the licensee's testimony;

(3) Shall issue no statements, criticisms, or arguments on engineering or land surveying matters connected with public policy on behalf of or paid for by an interested party, or parties, unless the licensee has prefaced the comment by explicitly identifying the licensee's name, by disclosing the identities of the party or parties on whose behalf the licensee is speaking, and by revealing the existence of any pecuniary interest the licensee may have in the matters; and

(4) Shall not attempt to injure, maliciously or falsely, directly or indirectly, the professional reputation, prospects, practice or employment of another engineer or land surveyor, nor indiscriminately criticize another engineer or land surveyor's work in public. Indiscriminate criticism includes statements without valid basis or cause, that are not objective and truthful, or that fail to include all relevant and pertinent information. If the licensee believes that another engineer or land surveyor is guilty of misconduct or illegal practice, such information shall be presented to the North Carolina Board of Examiners in the form of a complaint.

(f) A licensee shall avoid conflicts of interest and:

(1) Shall inform the employer or client, and any reviewing agency, of any business association, interests, or circumstances which could influence judgment or the quality of services;

(2) Shall not accept compensation, financial or otherwise, from more than one party for services on the same project, or for services pertaining to the same project, unless the circumstances are disclosed to, and agreed to, in writing, by all interested parties;

(3) Shall not solicit or accept financial or other valuable considerations from material or equipment suppliers for specifying their products;

(4) Shall not solicit or accept gratuities, directly or indirectly, from contractors, their agents, or other parties dealing with the client or employer in connection with work for which the licensee is responsible;

(5) When in public service as a member, advisor, or employee of a governmental body or department, shall not participate in considerations or actions with respect to services provided by the licensee or the licensee's firm in private engineering and land surveying practices;

(6) Shall not solicit or accept an engineering or land surveying contract from a governmental body on which a principal or officer of the licensee's firm serves as a member; and

(7) Shall not attempt to supplant another engineer or land surveyor in a particular employment after becoming aware that the other has been selected for the employment.

(g) A licensee shall solicit or accept work only on the basis of qualifications and:

(1) Shall not offer to pay, either directly or indirectly, any commission, political contribution, gift, or other consideration in order to secure work, exclusive of securing salaried positions through employment agencies;

(2) Shall compete for employment on the basis of professional qualification and competence to perform the work. The licensee shall not solicit or submit proposals for professional services containing a false, fraudulent, misleading, deceptive or unfair statement or claim regarding the cost, quality or extent of services to be rendered;

(3) Shall, with regard to fee bidding on public projects, comply with the provisions of G.S. 143-64.31 et seq., (or for federal projects, the Brooks Act, 40 U.S. Code 541 et seq.) and shall not knowingly cooperate in a violation of any provision of G.S. 143-64.31 et seq. (or of 40 U.S. Code 541 et seq.); and

(4) Shall not falsify or permit misrepresentation of academic or professional qualifications and shall only report educational qualifications when a degree or certificate was awarded, unless it is stated that no degree or certificate was awarded. The licensee shall not misrepresent degree of responsibility in or for the subject matter of prior assignments. Brochures or other presentations incident to the solicitation of employment shall not misrepresent pertinent facts concerning employers, employees, associates, joint ventures, or past accomplishments with the intent and purpose of enhancing qualifications and work.

(h) A licensee shall perform services in an ethical and lawful manner, as required by this Rule, and shall not knowingly associate with or permit the use of the licensee's name or firm name in a business venture by any person or firm which the licensee knows, or has reason to believe, is engaging in business or professional practices of a fraudulent or dishonest nature or is not properly licensed.

(i) If a licensee has knowledge of or reason to believe that any person or firm may be in violation of Board Rules or G.S. 89C, the licensee shall report such information to the Board as a complaint and shall cooperate with the Board by providing any additional information or assistance requested. A licensee under investigation shall timely respond to all inquiries and correspondence from the Board and shall timely claim any correspondence sent by U.S. Postal Service or other delivery service. For purposes of this Rule, "timely" means within the time specified in the correspondence, or if no time is specified, within 30 days of receipt. Certified mail is considered timely claimed if it is claimed before being returned by the U.S. Postal Service to the Board.

(j) A Professional Engineer or Professional Land Surveyor whose professional license is revoked, suspended, denied, refused renewal, refused reinstatement, put on probation, restricted, or surrendered as a result of disciplinary action by another jurisdiction is subject to discipline by the Board if the licensee's action constitutes a violation of G.S. 89C or the rules adopted by the Board.

History

• Authority G.S. 89C-17; 89C-20; 89C-10
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. September 1, 2011; May 1, 2009; August 1, 2002; August 1, 2000; August 1, 1998; November 2, 1992; April 1, 1989; January 1, 1982; March 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. December 1, 2025; May 1, 2024.

21 NCAC 56 .0702 Rules of Conduct of Advertising

(a) The Professional Engineer or Professional Land Surveyor shall not make exaggerated, misleading, deceptive or false statements or claims about professional qualifications, experience or performance in brochures, correspondence, listings, or other public communications.

(b) The prohibitions listed in Paragraph (a) of this Rule include, but are not limited to, the use of statements containing a material misrepresentation of fact or omitting a material fact necessary to keep the statement from being misleading; statements intended or likely to create an unjustified expectation; and statements containing a prediction of future success.

(c) Consistent with the foregoing, the Professional Engineer or Professional Land Surveyor may advertise for recruitment of personnel.

(d) Consistent with the foregoing, the Professional Engineer or Professional Land Surveyor may prepare articles for the lay or technical press. Such articles shall not imply credit to the author for work performed by others.

History

• Authority G.S. 89C-20
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2000; August 1, 1998; April 1, 1989; March 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .0801 Requirements

History

• Status: repealed
• Authority G.S. 55B-10; 89C-24
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. January 1, 1982
• Repealed Eff. April 1, 1989.

21 NCAC 56 .0802 Procedure

(a) Professional Corporations and Limited Liability Companies:

(1) Request. A request for an application for licensure as a professional corporation or professional limited liability company engaged in the practice of engineering or land surveying may be made at the Board office at 4601 Six Forks Road, Suite 310, Raleigh, NC 27609 or obtained from the website at www.ncbels.org.

(2) Applicable Form. All professional corporations and professional limited liability companies complying with the statutory requirements of G.S. 89C, G.S. 55B and G.S. 57D that desire to practice engineering or land surveying shall apply by using a form prepared by the Board. This form shall require the applicant, by and through an officer, director and shareholder of the professional corporation or limited liability company who is licensed with the North Carolina Board of Examiners for Engineers and Surveyors in a profession of the services to be offered, to certify that it and the stockholders of the corporation or members of the limited liability company have complied with the provisions of the applicable provisions of the General Statutes. The form shall also require that the officers, directors, shareholders, members and professional employees be listed on that application.

(3) Certificate of Licensure:

(A) Upon receiving the application with application fee of one hundred dollars ($100.00), the Board, after determining that the firm has complied with the statutory requirements, shall issue a certificate of compliance.

(B) The firm shall forward the certificate of compliance to the Secretary of State along with its articles of incorporation or articles of organization.

(C) Upon approval by the Secretary of State, the firm shall forward to the Board a certified copy of its articles of incorporation or articles of organization.

(D) Upon receipt of the certified copy of the articles of the firm, if all statutory requirements have been met, the Board shall approve the application and issue the firm a certificate of licensure.

(b) Business Firms and Chapter 87 Corporations:

(1) Request. A request for an application for licensure as a business firm or Chapter 87 corporation, as defined in G.S. 55B-15(a)(2), engaged in the practice of engineering or land surveying may be made at the Board office or obtained from the website. A sole proprietorship owned and operated by the individual licensee in the licensee's name as reflected in the Board's records is exempt from firm licensure.

(2) Applicable Form. All business firms or Chapter 87 corporations that desire to practice engineering or land surveying shall apply by using a form prepared by the Board. The form shall require the applicant, through a principal officer, partner or owner, to certify that the business firm will be operated in compliance with the laws of the State of North Carolina and the rules of the North Carolina Board of Examiners for Engineers and Surveyors.

(3) Certificate of Licensure. Upon receiving the application with application fee of one hundred dollars ($100.00), the Board, after determining that the firm has complied with the statutory requirements, shall issue a certificate of licensure.

History

• Authority G.S. 55B-4; 55B-10; 55B-15; 57D-2-02; 89C-10; 89C-24
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2014; May 1, 2009; August 1, 2000; February 1, 1996; May 1, 1994; April 1, 1989; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .0803 Fees

History

• Status: repealed
• Authority G.S. 89C-10; 89C-24
• Eff. February 1, 1976; Readopted Eff. September 29, 1977
• Repealed Eff. April 1, 1989.

21 NCAC 56 .0804 Annual Renewal and 30-Day Reporting of Violations and Change of Address

(a) Renewal. The certificate of licensure for a business shall be renewed annually.

(b) Expiration. The certificate of licensure expires on the last day of June following its issuance by the Board and becomes invalid on that date unless renewed.

(c) Application. A business may renew their license through an online portal on the Board's website beginning on the first day of June. During the renewal process, the business shall provide the information listed in paragraph (d) of this Rule, report any criminal convictions or disciplinary actions described in paragraph (d) of this Rule, and pay a renewal fee of seventy-five dollars ($75.00). The Board shall renew the certificate of licensure, provided that the business has complied with all rules of the Board and G.S. 55B, the Professional Corporation Act.

(d) Reporting. The business shall give notice to the Board on a change form within 30 days of any change of:

(1) business address and branch locations;

(2) resident professional or licensee in responsible charge;

(3) business name;

(4) officers, directors, or owners; or

(5) the services being offered.

The business shall give notice to the Board of any criminal convictions within 30 days of the conviction. The business shall give notice to the Board of any disciplinary actions received in any jurisdiction on any engineering or surveying firm license resulting in a restriction on the business' practice within 30 days of the disciplinary action. A disciplinary action which restricts a business' practice includes revocation, suspension, denial of licensure, refusal to renew, refusal to reinstate, put on probation, restriction of practice area, or a voluntary permanent surrender of a license.

(e) If a business fails to renew its certificate of licensure within one year of the expiration date, the business shall submit a new application for a new certificate of licensure in accordance with all requirements of 21 NCAC 56 .0802.

(f) If any business that holds a current certificate of licensure ceases business because the professional licensee receives a waiver from paying the individual renewal fee under 21 NCAC 56 .0506 or 21 NCAC 56 .0607, the annual renewal fee for the business shall be waived for the same time period.

History

• Authority G.S. 55B-11; 57D-2-01; 89C-10; 89C-14; 89C-17; 89C-24
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2011; July 1, 2010; July 1, 2009; December 4, 2002; April 1, 2001; February 1, 1996; May 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. December 1, 2025; July 1, 2020.

21 NCAC 56 .0805 Registration Not Required

History

• Status: repealed
• Authority G.S. 55b-15; 89C-10; 89C-24
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. April 1, 1989.

21 NCAC 56 .0901 Offices

(a) Professional Engineering Services. Every firm, partnership, corporation, or limited liability company that performs or offers to perform engineering services, as defined in G.S. 89C-3(6), within the State of North Carolina shall have a resident Professional Engineer in each separate office located in North Carolina where those services are performed or offered to be performed. Out-of-state office locations where engineering services are performed or offered to be performed for North Carolina projects shall have Professional Engineers in responsible charge of only those specific projects in compliance with Rule .0701(d) of this Chapter.

(b) Land Surveying Services. Every firm, partnership, corporation, or limited liability company that performs or offers to perform land surveying services, as defined in G.S. 89C-3(7), within the State of North Carolina shall have a resident Professional Land Surveyor in each separate office located in North Carolina where those services are performed or offered to be performed. Out-of-state office locations where surveying services are performed or offered to be performed for North Carolina projects shall have Professional Land Surveyors in responsible charge of only those specific projects in compliance with Rule .0701(d) of this Chapter.

(c) Resident. The terms "resident Professional Engineer" and "resident Professional Land Surveyor" are defined as a licensee who spends a majority of the licensee's normal working time in that office. Such time shall not be less than a majority of the operating hours of the business. A Professional Engineer or Professional Land Surveyor shall be the resident professional at only one place of business at one time unless each business is at least one-third owned by the resident professional. The Board shall specifically approve such arrangement after a determination that the businesses are integrated in operation, ownership, and office location and that the resident professional will be in responsible charge of the professional services.

(d) No firm, partnership, corporation, or limited liability company shall practice, offer to practice, or market either engineering or land surveying services unless there is a licensed resident professional for that service in responsible charge at that office. Advertisements, signs, letterheads, business cards, directories, or any other form of representation shall not include any reference to any service that cannot be provided under the responsible charge of a properly qualified resident professional. The licensed entity shall give notice to the Board of a change of resident professional within 30 days after the change.

(e) A licensed entity shall not practice, offer to practice, or market professional services during any period of time without a resident professional.

History

• Authority G.S. 55B-12(b); 89C-10; 89C-24
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2014; August 1, 2002; April 1, 2001; August 1, 1998; May 1, 1994; January 1, 1992; April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. April 1, 2025.

21 NCAC 56 .0902 business TITLES

(a) Companies, partnerships, corporations, limited liability companies, or any other business providing professional engineering or land surveying services, as defined in G.S. 89C-3, within North Carolina shall not practice under a name that is misleading.

(b) Business names are misleading when they:

(1) are not truthful; suggest qualifications, credentials, or expertise that the firm does not possess; or provide inaccurate information;

(2) make exaggerated, deceptive, or false statements or claims about professional qualifications, experience, or performance;

(3) create an unjustified expectation or prediction of future success;

(4) imply a connection with a government agency;

(5) include obscene, indecent, or profane language; or

(6) use a name which is deceptively similar to that of an existing firm name by not having at least one unique substantive word, not including articles, prepositions, suffixes, or words denoting organizational structure such as group, associate, or similar words or any derivative of those words.

(c) A business shall not change its title, or operate under an assumed name, without first applying to the Board for a determination that the proposed title meets the requirements of Paragraphs (a) and (b) of this Rule. Requests for name changes shall be made in writing on the change forms referenced in 21 NCAC 56 .0804(d). Requests to operate under an assumed name shall be made in writing.

History

• Authority G.S. 55B-12(b); 89C-10; 89C-24
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2000; August 1, 1998; May 1, 1994; April 1, 1989; April 1, 1980
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. April 1, 2025; July 1, 2020.

21 NCAC 56 .1001 General

History

• Status: repealed
• Authority G.S. 89C-10; 89C-25
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2000; April 1, 1989; January 1, 1982
• Repealed Eff. February 1, 2013.

21 NCAC 56 .1002 Application Procedure

History

• Status: repealed
• Authority G.S. 89C-10; 89C-25
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2000; April 1, 1989; January 1, 1982
• Repealed Eff. February 1, 2013.

21 NCAC 56 .1003 Seal

History

• Status: repealed
• Authority G.S. 89C-10; 89C-25
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2000; April 1, 1989; January 1, 1982
• Repealed Eff. February 1, 2013.

21 NCAC 56 .1101 General

It is misconduct for a Professional Engineer or Professional Land Surveyor to seal work done by another individual unless the work is performed under the "responsible charge" of the Professional Engineer or Professional Land Surveyor.

History

• Authority G.S. 89C-3(10); 89C-10; 89C-16
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2000; April 1, 1989; December 1, 1984; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1102 Design

The standard design of the seal shall be two concentric circles in which North Carolina and the name of the licensee are placed within the outermost circle and in which the license number of the licensee and either "Professional Engineer" or "Professional Land Surveyor," is placed within the innermost circle. The size shall be 1 ½ to 1 ¾ inches in diameter.

History

• Authority G.S. 89C-10; 89C-16
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 2009; August 1, 2000; August 1, 1998; April 1, 1989; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1103 Standard Certification Requirements

(a) Certification of Final Drawings. Drawings or maps not subject to the exceptions in Paragraph (c) of this Rule shall conform to the following:

(1) Certification is required on reproducibles or original drawings;

(2) The seal may be a rubber stamp, embossed seal, computer-generated seal, or other facsimile that becomes a permanent addition to a plan sheet or map;

(3) The licensee's written signature must be placed over, or adjacent to, the seal on the original document. A facsimile signature is not acceptable;

(4) The date of signing must be annotated on the original document;

(5) All sheets of engineering and surveying drawings must be certified;

(6) The name, address and license number of the licensee's firm shall be included on each sheet of engineering drawings. For surveys, the name, address and license number of the licensee's firm shall be included on the first sheet of the survey or title sheet. The individual license number of the sole proprietor shall be used as the license number for an exempt sole proprietorship that meets the requirements of 21 NCAC 56 .0802(b)(1); and

(7) Any revision on a drawing after a licensee's certification is affixed shall be described and dated and if not done under the responsible charge of the same licensee shall be separately certified.

(b) Certification of Specifications and Reports. All specifications, reports, or other documents, including letter reports and calculations, not subject to the exceptions in Paragraph (c) of this Rule shall conform to the following:

(1) Certification is required on original specifications, reports, or other documents, including letter reports and calculations;

(2) The seal may be a rubber stamp, or other facsimile;

(3) The licensee's written signature must be placed over, or adjacent to, the seal on the original document. A facsimile signature is not acceptable;

(4) The date of signing must be annotated on the original document;

(5) The title sheet of engineering specifications or other reports must be certified and bear the name, address and license number of the licensee's firm. The title sheet of any survey report or written description of property shall include the name, address and license number of the licensee's firm. The individual license number of a sole proprietor shall be used as the license number for an exempt sole proprietorship that meets the requirements of 21 NCAC 56 .0802(b)(1); and

(6) Any revision in the document after a licensee's certification is affixed shall be described and dated and if not done under the responsible charge of the same licensee shall be separately certified.

(c) Exceptions to Required Certification. The certification of a licensee on a map, drawing, plan, specification, plat, document, or report shall signify that it is the final work of the licensee unless the work is stamped or marked substantially as follows so as to put the public on notice not to use as a final product, in which case certification is optional:

(1) "Preliminary - Do not use for construction";

(2) "Progress Drawings - Do not use for construction";

(3) "Preliminary Plat - Not for recordation, conveyances, or sales";

(4) "Final Drawing - Not released for construction";

(5) "Final Drawing - For Review Purposes Only";

(6) "Not a Certified Document – This document originally issued and sealed by (name of licensee), (license number), on (date of sealing). This document shall not be considered a certified document";

(7) "Not a Certified Document as to the Original Document but Only as to the Revisions - This document originally issued and sealed by (name of licensee), (license number), on (date of sealing). This document is only certified as to the revisions".

(d) Electronically Transmitted Documents. Documents, including drawings, specifications and reports, that are transmitted electronically beyond the direct control of the licensee shall have the computer-generated seal removed from the original file, unless signed with a digital signature as defined in Paragraph (e) of this Rule. After removal of the seal the electronic media shall have the following inserted in lieu of the signature and date: "This document originally issued and sealed by (name of sealer), (license number), on (Date of sealing). This medium shall not be considered a certified document." Hardcopy documents containing the original seal, signature and date of the licensee may be duplicated by photocopy or electronic scanning processes and distributed either in hardcopy or electronic medium. The scanned digital files of certified documents are not subject to the requirements of this Paragraph. The electronic transmission beyond the direct control of the licensee of CAD, vector or other files subject to easy editing are subject to the requirements of this paragraph. Easy editing is based on the file consisting of separate elements that can be individually modified or deleted. Documents that are excepted from certification by a statement meeting the requirements of Subparagraphs (c)(1) through (c)(5) of this Rule are not subject to the requirements of this Paragraph.

(e) Documents to be electronically transmitted beyond the direct control of the licensee that are signed using a digital signature, shall contain the authentication procedure in a secure mode and a list of the hardware, software and parameters used to prepare the document(s). Secure mode means that the authentication procedure has protective measures to prevent alteration or overriding of the authentication procedure. The term "digital signature" shall be an electronic authentication process that is attached to or logically associated with an electronic document. The digital signature shall be:

(1) Unique to the licensee using it;

(2) Capable of verification;

(3) Under the sole control of the licensee; and

(4) Linked to a document in such a manner that the digital signature is invalidated if any data in the document is changed.

(f) A digital signature process may be submitted to the Board for approval that it meets the criteria set forth in Subparagraphs (e)(1) through (4) of this Rule. The licensee shall confirm that if another process is used, that it meets the criteria.

History

• Authority G.S. 89C-10; 89C-16
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2011; July 1, 2009; May 1, 2009; August 1, 2002; August 1, 2000; August 1, 1998; February 1, 1996; May 1, 1994; April 1, 1989; December 1, 1984
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1104 Certification with Temporary Permit

History

• Status: repealed
• Authority G.S. 89C-10; 89C-16; 89C-25
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2000; August 1, 1998; February 1, 1996; April 1, 1989; January 1, 1982
• Repealed Eff. February 1, 2013.

21 NCAC 56 .1105 Firm Seal

The use of a seal by a firm is not required for certification. A firm seal is not authorized for use in lieu of the required seal of a Professional Engineer or Professional Land Surveyor. When a firm seal is used, it does not relieve the individual licensee of the requirements and responsibilities pertaining to the individual's seal.

History

• Authority G.S. 89C-10; 89C-16; 89C-25
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2000; August 1, 1998; May 1, 1994; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1106 Certification of Standard Design Plans

Standard design plans that were initially prepared and certified by an individual who is a licensed engineer in the state of origin of such plans (including North Carolina) may then be reviewed by a North Carolina Professional Engineer for code conformance, design adequacy, and site adaptation for the specific application within North Carolina. The reviewing Professional Engineer who is licensed in North Carolina assumes responsibility for such standard designs. Standard plans, which bear the seal of the original design engineer who is a licensed engineer in another state, or North Carolina, shall be sealed by the reviewing North Carolina Professional Engineer who is assuming responsibility. In addition to the seal, a statement shall be included as follows: "These plans have been properly examined by the undersigned. I have determined that they comply with existing local North Carolina codes, and have been properly site adapted for use in this area."

History

• Authority G.S. 89C-10; 89C-16
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 2009; August 1, 2000; August 1, 1998; April 1, 1989; December 1, 1984; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1107 Certification of Plans for Building and Structure Permits

History

• Status: repealed
• Authority G.S. 89C-10; 89C-16; 89C-21
• Eff. January 1, 1982
• Amended Eff. December 1, 1984
• Repealed Eff. April 1, 1989.

21 NCAC 56 .1108 Land Surveying

History

• Status: repealed
• Authority G.S. 89C-10; 89C-16; 89C-21
• Eff. January 1, 1982
• Amended Eff. December 1, 1984
• Repealed Eff. April 1, 1989.

21 NCAC 56 .1201 Petitions

(a) Any person wishing to submit a petition requesting the adoption, amendment or repeal of a rule by the Board shall send the petition to the executive director at the Board's office in Raleigh, North Carolina.

(b) The petition shall contain the following information:

(1) a draft of the proposed rule;

(2) reason for proposal;

(3) effect on existing rules;

(4) any data supporting proposal;

(5) effect of the proposed rule on existing practices in the area involved, including cost factors;

(6) names of those most likely to be affected by the proposed rule, with addresses if reasonably known; and

(7) name and address of each petitioner.

(c) A review committee made up of one member of the Board, the executive director and the legal counsel for the Board, on behalf of the Board, shall determine, based on a study of the facts stated in the petition, whether the public interest will be served by granting it. It shall consider all the contents of the submitted petition, plus any additional information it deems relevant.

(d) The executive director, on behalf of the review committee, shall make a recommendation to the Board for the denial of the petition or the institution of rulemaking proceedings, as the case may be.

(e) Within 120 days of submission of the petition, the Board shall render a final decision.

(f) If the decision is to deny the petition, the executive director, on behalf of the Board, will notify the petitioner in writing, stating the reasons therefore. If the decision is to grant the petition, the Board shall publish notice of rulemaking proceedings.

History

• Authority G.S. 89C-10; 150B-20
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2000; August 1, 1998; April 1, 1989; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1202 Notice

History

• Status: repealed
• Authority G.S. 89C-10; 150A-12(c); 150A-12
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. December 1, 1984
• Repealed Eff. April 1, 1989.

21 NCAC 56 .1203 Hearings

(a) Unless otherwise stated in a particular rulemaking notice, hearings before the Board shall be held in the Board office.

(b) Presentations may not exceed 10 minutes unless, upon request, either before or at the hearing, the Board grants an extension of time, for a fuller explanation.

(c) Upon receipt of a request to make an oral presentation the executive director shall acknowledge receipt of the request, and inform the person making the request of the imposition of any limitations deemed necessary to the end of a full and effective public hearing on the proposed rule.

(d) Any person may file a written submission containing data, comments or arguments after publication of a rulemaking notice as allowed by G.S. 150B-21.2(f). Written submissions, except when otherwise stated in the particular rulemaking notice, shall be sent to the Board. Such submissions shall clearly state the proposed rule(s) to which the comments are addressed.

(e) Upon receipt of such written comments, prompt acknowledgment shall be made by the Board.

(f) The presiding officer at the hearing shall have complete control of the proceedings, including extensions of any time requirements, recognition of speakers, time allotments for presentations, direction of the flow of the discussion and the management of the hearing. The presiding officer, at all times, shall take care that each person participating in the hearing is given a fair opportunity to present views, data and comments.

(g) A record of all rulemaking proceedings shall be maintained at the Board's office.

History

• Authority G.S. 89C-10; 150B-21.2
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2000; August 1, 1998; April 1, 1989; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1204 Emergency Rules

History

• Status: repealed
• Authority G.S. 89C-10; 150A-13
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. April 1, 1989.

21 NCAC 56 .1205 Declaratory Rulings

(a) Any person substantially affected by a statute administered or rule promulgated by the Board may request a declaratory ruling as to whether or how the statute or rule applies to a given factual situation or whether a particular agency rule is valid.

(b) All requests for declaratory rulings shall be written and mailed to the Board.

(c) All requests for a declaratory ruling must include the following information:

(1) name and address of petitioner;

(2) statute or rule to which petition relates;

(3) concise statement of the manner in which petitioner is aggrieved by the rule or statute or its potential application to petitioner;

(4) a statement of whether an oral hearing is desired, and if so, the reasons for such an oral hearing.

(d) Whenever the Board believes for good cause that the issuance of a declaratory ruling is undesirable, it may refuse to do so. When good cause is deemed to exist, the Board shall notify the petitioner of its decision in writing stating reasons for the denial of a declaratory ruling.

(e) Where a declaratory ruling is deemed appropriate, the Board shall issue the ruling within 60 days of receipt of the petition.

(f) A declaratory ruling procedure may consist of written submissions, oral hearings, or such other procedure as may be appropriate in a particular case.

History

• Authority G.S. 89C-10; 150B-4
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1301 Improper Practice by a Licensee

(a) General. Licensee practice that may violate the rules of this Chapter or G.S. 89C is subject to Board investigation and disciplinary action by the Board.

(b) Preferring Charges. Any person who believes that any licensed Professional Engineer, Professional Land Surveyor, or business holding a certificate of licensure is in violation of the provisions of G.S. 89C or the rules in this Chapter may prefer charges against that person or business, in the form of a complaint, completed to the best of that individual's knowledge and belief, along with providing corroborative evidence that helps support the charges. An optional complaint form is provided by the Board to aid in filing the complaint.

(c) Preliminary Review:

(1) Upon receipt of a filed charge that meets requirements of G.S. 89C and the rules of the Board a case shall be opened. Other information indicating that a licensee is in violation of the provisions of G.S. 89C or the rules of the Board may be a basis for opening a case by the Board.

(2) A field investigation may be performed if determined necessary by the Executive Director in order to obtain additional information and evidence.

(3) If the Executive Director determines that the charges are corroborated by evidence, a written notice and explanation of the charge shall be forwarded to the person or business against whom the charge is made and a response requested, within 15 days, to show compliance with G.S. 89C and the rules of the Board for retention of the license. Notice of the charge and of the alleged facts or alleged conduct shall be given personally or by certified mail, return receipt request.

(4) After preliminary evidence has been obtained, the matter shall be referred to the Board's review committee, made up of the following individuals:

(A) one member of the Board who is licensed in the respective profession;

(B) the legal counsel of the Board; and

(C) the Executive Director of the Board or Assistant Executive Director if designated by the Executive Director.

(5) Upon review of the evidence, the review committee shall:

(A) recommend that the Board dismiss the charge as unfounded or trivial;

(B) when the charge is admitted as true, recommend that the Board accept the admission of guilt by the person charged and order that person not to commit in the future the specific act or acts admitted and also not to violate any of the provisions of the Board rules or the statutes at any time in the future;

(C) present the charge, whether admitted or denied, to the full Board for a hearing and determination by the Board on the merits of the charge in accordance with the substantive and procedural requirements of the provisions of Section .1400 of this Chapter and the provisions of G.S. 150B; or

(D) whether the charge is admitted or denied, give written notice to the licensee that:

(i) sufficient evidence exists which, if not rebutted or explained, would justify the Board in taking an action set out in Rule .1402(4) through (12) of this Chapter;

(ii) stating the nature of the evidence; and

(iii) that unless the licensee, within 20 days after service of said notice, deposits in the mail a certified letter addressed to the Board and containing a request for a hearing or settlement conference, that it will recommend that the Board take the action(s) specified in the notice, set out in Rule .1402(4) through (12) of this Chapter.

(d) Consultant. A consultant to the review committee shall be designated by the Board Chair if a board member is a complainant, witness, or respondent in a case. The consultant shall be a licensed professional engineer or professional land surveyor, depending on the nature of the case. The consultant shall review all case materials and make a recommendation for consideration by the review committee as to the merits of the case. The consultant shall review any new information presented in the event of a settlement conference and make a recommendation to the settlement conference committee.

(e) Board Decision. When the review committee proceeds pursuant to Parts (c)(5)(A) or (B) of this Rule, upon approval of the Board, notice shall be given to the party against whom the charges have been brought and the party submitting the charge. The Board is not required to notify the parties of the reasons of the Board in making its decision.

(f) Settlement Conference. When the review committee proceeds pursuant to Parts (c)(5)(C) or (D) of this Rule, the licensee may request in writing a settlement conference to pursue resolution of the issue(s) through informal procedures. If, after the completion of a settlement conference, the licensee and Board's settlement committee do not agree to a resolution of the dispute for the full Board's consideration, the original administrative proceeding shall commence. During the course of the settlement conference, no sworn testimony shall be taken, nor shall any witnesses be cross-examined.

(1) The Board's settlement committee shall be made up of the following individuals:

(A) the member of the Board who served on the review committee or a replacement member if the member is not available;

(B) one public member from the Board;

(C) the legal counsel of the Board; and

(D) the Executive Director of the Board or Assistant Executive Director if designated by the Executive Director.

(2) Upon review of the evidence, the settlement committee shall:

(A) recommend that the Board dismiss the charge as unfounded or trivial;

(B) when the charge is admitted as true, recommend the Board accept the admission of guilt by the person charged and order the person not to commit in the future the specific act or acts admitted and, also, not to violate any provisions of the Board Rules or the statutes at any time in the future;

(C) direct that the charge, whether admitted or denied, be presented to the full Board for a hearing and determination by the Board on the merits of the charge in accordance with the substantive and procedural requirements of the provisions of Section .1400 of this Chapter and the provisions of G.S. 150B; or

(D) recommend that the Board approve a settlement agreed to by the licensee and proposed by the settlement conference committee.

History

• Authority G.S. 89C-10; 89C-21; 89C-22
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2011; July 1, 2009; May 1, 2009; August 1, 2000; August 1, 1998; March 1, 1996; April 1, 1989; December 1, 1984; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2020.

21 NCAC 56 .1302 UNLAWFUL PRACTICE BY AN UNLICENSED PeRSON

(a) General. Alleged unlawful practice by an unlicensed person shall be subject to Board investigation and enforcement, to include applying for relief by injunction or referral to an agency of the State for appropriate legal action.

(b) Preferring Charges. Any person who believes that any person or business (party) is in violation of the acts specified in G.S. 89C may prefer charges against that person or business, in the form of a complaint, completed to the best of that individual's knowledge and belief, in the form of a complaint, along with providing corroborative evidence that helps support the charges. An optional complaint form is provided by the Board to aid in filing the complaint.

(c) Preliminary Determination:

(1) Upon receipt of a filed charge that meets requirements of G.S. 89C and the rules of the Board a case shall be opened. Other information indicating that a party is in violation of the provisions of G.S. 89C or the rules of the Board may be a basis for opening a case by the Board.

(2) A field investigation may be performed if determined necessary by the Executive Director in order to obtain additional information and evidence.

(3) If the Executive Director determines that charges are corroborated by evidence, a written notice and explanation of the charge shall be forwarded to the person or business against whom the charge is made and a response is requested, within 15 days, to show compliance with G.S. 89C. Notice of the charge and of the alleged facts or alleged conduct shall be given personally or by certified mail, return receipt requested.

(4) After preliminary evidence has been obtained, the matter shall be referred to the Board's review committee, which is made up of the following individuals:

(A) one member of the Board;

(B) the legal counsel of the Board; and

(C) the Executive Director of the Board or Assistant Executive Director if designated by the Executive Director.

(5) Upon review of the available evidence, the review committee shall recommend to the Board that:

(A) the investigation be continued and the party be notified with an explanation of the charge(s) and given an opportunity to provide a response to show compliance with G.S. 89C;

(B) the charge be dismissed as unfounded or trivial;

(C) a letter be issued informing of the possible violation of G.S. 89C and that further action may be pursued under G.S. 89C-23; or

(D) the matter be referred to an appropriate agency for necessary legal action.

(d) Board Decision. Notice of decision by the Board on recommendations of the review committee shall be given to the party submitting the charge.

History

• Authority G.S. 89C-10; 89C-23
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2011; August 1, 2000; August 1, 1998; May 1, 1994; April 1, 1989; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2020.

21 NCAC 56 .1401 General Rules

Whenever the Board, by its official action, acts in such a way as to affect the rights, duties, or privileges of a specific identified party, that party, upon request, will be given an administrative hearing.

History

• Authority G.S. 89C-10; 89C-21; 89C-22; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1402 Opportunity for Licensee or Applicant to Have Hearing

Every licensee or applicant for a license shall be afforded notice and an opportunity to be heard on any action, where the effect would be:

(1) to deny permission to take an examination for licensing for which application has been duly made;

(2) to deny a license based on comity;

(3) to deny a license after an applicant has taken and passed an examination;

(4) to require re-examination for licensing;

(5) to withhold the renewal of a license for any cause other than failure to pay a statutory renewal fee;

(6) to suspend a license;

(7) to revoke a license;

(8) to impose a civil penalty;

(9) to issue a reprimand;

(10) to refuse to renew;

(11) to refuse to reinstate; or

(12) to require additional education.

History

• Authority G.S. 89C-10; 89C-21; 89C-22; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2014; April 1, 1989; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1403 NOTICE OF CONTEMPLATED BOARD action to applicant: REQUEST FOR HEARING

When the Board takes an action specified in Subparagraphs (1), (2) or (3) of Rule .1402 of this Section, it shall give the applicant a written statement:

(1) that the applicant failed to meet the qualifications to be examined or to be issued a license;

(2) stating the specific deficiencies as to why the applicant failed; and

(3) that unless the applicant, within 20 days after service of the notice, deposits in the mail a certified letter addressed to the Board and containing a request for a hearing, the Board's action will become final.

In any Board proceeding involving the denial of an application to take an examination, or refusal to issue a license after an applicant has taken and passed an examination, the burden of satisfying the Board of the applicant's qualifications shall be upon the applicant.

History

• Authority G.S. 89C-10; 89C-21; 89C-22; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 1998; December 1, 1984; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2020.

21 NCAC 56 .1406 Place of Hearing

History

• Status: repealed
• Authority G.S. 89C-10; 89C-21; 89C-22; 150A-3; 150A-23; 150A-24; 150A-32
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977.
• Amended Eff. December 1, 1984; January 1, 1982
• Repealed Eff. April 1, 1989.

21 NCAC 56 .1407 Intervention

History

• Status: repealed
• Authority G.S. 89C-10; 89C-21; 89C-22; 150A-3; 150A-23; 150A-24; 150A-32
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977.
• Amended Eff. December 1, 1984; January 1, 1982
• Repealed Eff. April 1, 1989.

21 NCAC 56 .1408 Hearing Officers

History

• Status: repealed
• Authority G.S. 89C-10; 89C-21; 89C-22; 150A-3; 150A-23; 150A-24; 150A-32
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977.
• Amended Eff. December 1, 1984; January 1, 1982
• Repealed Eff. April 1, 1989.

21 NCAC 56 .1409 Conduct of Contested Case

(a) Failure to Appear:

(1) If a party served with notice requests a hearing within the time required and fails to appear without having notified the Board, and no continuance or adjournment is ordered, the party is considered to have waived the right to appear at the hearing and the Board may proceed with the hearing in the party's absence.

(2) If the absent party is the only party other than the Board, the Board may proceed with the hearing and make its decision in the party's absence.

(3) Continuances and adjournments shall be granted to a party only in compelling circumstances and for hardship noted.

(4) If a hearing is conducted or a decision reached in the absence of a party, that party may petition the Board for a reopening of the case. Petitions will not be granted, except when petitioner can show that the reasons for the failure to appear were justifiable and that fairness requires reopening of the case. The decision made by the Board will be in writing. A copy will be sent to the petitioner and made a part of the record of the contested case.

(b) Simplification of Issues. The parties to a contested case may agree in advance to simplify the hearing by eliminating issues to be contested at the hearing, accepting the validity of certain proposed evidence, accepting the findings in some other case with relevance to the case at hand, or agreeing to such other matters as may expedite the hearing.

(c) Subpoenas:

(1) The executive director shall issue subpoenas in the Board's name.

(2) Subpoenas requiring the attendance of witnesses, or those to produce documents, evidence, or things, will be issued by the executive director within five business days of the receipt of a request from a party to the case for such subpoena.

(3) Any person receiving a subpoena from the Board may object thereto by filing a written objection to the subpoena with the Board. Such objection must include a concise, but complete statement of reasons why the subpoena should be revoked or modified. These reasons may include lack of relevancy of the evidence requested, lack of particularity in the description of the evidence sought, or any other reasons sufficient in law for holding the subpoena invalid, such as that the evidence is privileged, that appearance or production would be so disruptive as to be unreasonable in light of the significance of the evidence sought, or other undue hardships.

(4) The objecting witness shall serve the objection on the party who requested the subpoena as soon as the objection is filed with the Board.

(5) The party requesting the subpoena, within five days, may file a written response to the objection. The response shall be served in like manner as the objection.

(6) After receipt of the objection and response thereto, if any, the Board shall issue a notice to the party who requested and the party challenging the subpoena, and may notify all other parties of an open hearing, to be scheduled as soon as practicable, at which time evidence and testimony may be presented limited to the questions raised by the objection and response, if any.

(7) Promptly after the close of such hearing, the Board will rule on the challenge and issue a written decision. A copy of this decision will be issued to all parties and made a part of the record.

History

• Authority G.S. 89C-10; 89C-21; 89C-22; 150B-38; 150B-39; 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2000; August 1, 1998; April 1, 1989; December 1, 1984; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1410 Discovery

History

• Status: repealed
• Authority G.S. 89C-10; 89C-21; 89C-22; 150A-28
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Repealed Eff. April 1, 1989.

21 NCAC 56 .1411 Depositions

Depositions shall be taken in accordance with the North Carolina Rules of Civil Procedure.

History

• Authority G.S. 89C-10; 89C-21; 89C-22; 150B-39(a)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1412 Conduct of Hearing

History

• Status: repealed
• Authority G.S. 89C-10; 89C-21; 89C-22; 150A-25
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. January 1, 1982
• Repealed Eff. April 1, 1989.

21 NCAC 56 .1413 Decision of Board

(a) Manner and Time of Rendering Decision. After a hearing has been completed the Board shall proceed to consider the case and as soon as practicable shall render their decision. The decision must be rendered within 90 days after the hearing.

(b) Service of Written Decision. The Board shall serve upon each party a written copy of the decision, either personally or by certified mail. If the decision is sent by certified mail it shall be deemed to have been served on the date borne on the return receipt.

(c) Final Decision. The final decision of the Board shall be in the manner and form prescribed by G.S. 150B-42(a).

(d) Official Record. The official record shall be prepared in all contested cases in accordance with the requirements of G.S. 150B-42(b).

History

• Authority G.S. 89C-10; 89C-21; 89C-22; 150B-42
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 2009; April 1, 1989; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1501 General

Fees for returned checks shall be in the maximum amount established by G.S. 25-3-506.

History

• Authority G.S. 89C-14; 89C-17; 89C-18
• Eff. May 1, 1989
• Amended Eff. August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1601 General

In order to better serve the general public in regulating the practice of land surveying in North Carolina, the minimum standards of practice set forth in this Section are established, and shall be observed by Professional Land Surveyors in the practice of land surveying.

History

• Authority G.S. 89C-10; 89C-20
• Eff. July 1, 1989
• Amended Eff. August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1602 Surveying Procedures

(a) A Professional Land Surveyor shall spend the necessary time and effort to make investigation to determine if there are encroachments, gaps, lappages, or other irregularities along each line surveyed. Points may be placed on the line from closed or verified traverses and the necessary investigations made from these points. If these investigations are not made, then the surveyor shall not certify to an actual survey of that line and the plat shall contain the appropriate qualifications in accordance with the rules in this Section.

(b) Any and all visible or determined encroachments or easements on the property being surveyed shall be accurately located and indicated.

(c) With respect to investigation of property boundaries and recorded easements, the surveyor shall examine the most recent deeds and recorded plats adjacent to the subject property as well as all deeds and plats recorded after the date of the deed or plat upon which the survey is being based (the survey reference deed or plat).

(d) Except as provided in Paragraph (e) of the Rule, metal stakes or materials of comparable permanence shall be placed at all corners of the property.

(e) Where a corner falls in a right-of-way, tree, stream, or on a fence post, boulder, stone, or similar object, one or more monuments or metal stakes shall be placed in the boundary so that the inaccessible point may be located accurately on the ground and the map.

(f) The results of a survey shall be provided to the user of that survey as either a map or a report of survey. The results may be presented in written or graphic form. In either case, the survey shall be factual and understandable to the anticipated user of the map or report. All reference sources shall be identified. Artificial monuments called for in such reports shall be described as having been found in place or set by the surveyor. When no monument is found or set for points described in Paragraph (e) of this Rule, that fact shall be noted.

(g) Tie lines and grid control defined. Where the results of a survey are reported in the form of a plat or a written description, one or more corners shall, by a system of azimuths or courses and distances, be accurately tied to and coordinated with a horizontal control monument of some United States or State Agency survey system, such as the North Carolina Geodetic Survey, where such monument is within 2000 feet of the subject property, right-of-way, easement or other surveyed entity (i.e., "grid control"). Where the North Carolina grid system coordinates of said monument are on file in the Department of Public Safety, Emergency Management, Geodetic Survey office, the coordinates of both the referenced corner or point and the monument(s) shall be shown in X (easting) and Y (northing) coordinates on the plat or in the written description or document. The coordinates shall be identified as based on "NAD 83," indicating North American Datum of 1983 or as "NAD 27," indicating North American Datum of 1927. The datums of the National Geodetic Survey (NGS) are incorporated by reference including subsequent amendments and editions, and may be accessed free of charge at www.ngs.noaa.gov. The tie lines to the monuments shall be sufficient to establish true north or grid north bearings for the plat or description if the monuments exist in pairs. Control monuments within a previously recorded subdivision may be used in lieu of grid control. In the interest of bearing consistency with previously recorded plats, existing bearing control may be used where practical. In the absence of grid control, other natural or artificial monuments or landmarks shall be used. In all cases, the tie lines shall be sufficient to accurately reproduce the subject lands from the control or reference points used.

(h) Whenever area is computed and included on a plat, written description, or other document, the surveyor shall state on the plat, description, or document the method used to compute the area. Area computations by estimation, by planimeter, by scale, or by copying from another source are not acceptable methods, except in the case of tracts containing inaccessible areas.

History

• Authority G.S. 89C-10; 89C-20
• Eff. July 1, 1989
• Amended Eff. August 1, 2014; August 1, 2012 (see S.L. 2012-143, s.1.(f)); September 1, 2011; May 1, 2009; August 1, 2000; August 1, 1998; February 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. May 1, 2026; August 1, 2025.

21 NCAC 56 .1603 Classification of Boundary Surveys

General. "Boundary surveys" are defined as surveys made to establish or to retrace a boundary line on the ground, or to obtain data for constructing a map, plat, or report showing a boundary line. For the purpose of this Rule, the term refers to all surveys, including "loan" or "physical" surveys, that involve the determination or depiction of property lines. For the purpose of specifying minimum allowable surveying standards for boundary surveys, the following four general classifications of lands in North Carolina are established from the standpoint of their real value, tax value, or location. Each map shall contain a statement of the calculated ratio of precision before adjustments or a statement of positional accuracy.

(1) Local Control Network Surveys (Class AA). Local control network surveys are traverse networks utilizing permanent points for the purpose of establishing local horizontal control networks for future use by local surveyors. For Class AA boundary surveys in North Carolina, the angular error of closure shall not exceed ten seconds times the square root of the number of angles turned. The ratio of precision shall not exceed an error of closure of one foot per 20,000 feet of perimeter of the parcel of land (1:20,000). When using positional accuracy standards for Class AA control and boundary surveys, neither axis of the 95 percent confidence level error ellipse for any control point or property corner shall exceed 0.05 feet or 0.015 meters plus 30 ppm measured relative to the position(s) of the horizontal control points used and referenced on the survey.

(2) Urban Land Surveys (Class A). Urban surveys include lands that normally lie within a town or city. For Class A boundary surveys in North Carolina, the angular error of closure shall not exceed 20 seconds times the square root of the number of angles turned. The ratio of precision shall not exceed an error of closure of one foot per 10,000 feet of perimeter of the parcel of land (1:10,000). When using positional accuracy standards for Class A control and boundary surveys, neither axis of the 95 percent confidence level error ellipse for any control point or property corner shall exceed 0.10 feet or 0.030 meters plus 50 ppm measured relative to the position(s) of the horizontal control points or property corners used and referenced on the survey.

(3) Suburban Land Surveys (Class B). Suburban surveys include lands in or surrounding the urban properties of a town or city. For Class B boundary surveys in North Carolina, the angular error of closure shall not exceed 25 seconds times the square root of the number of angles turned. The ratio of precision shall not exceed an error of closure of one foot per 7,500 feet of perimeter of the parcel of land (1:7,500). When using positional accuracy standards for Class B control and boundary surveys, neither axis of the 95 percent confidence level error ellipse for any control point or property corner shall exceed 0.12 feet or 0.037 meters plus 90 ppm measured relative to the position(s) of the horizontal control points or property corners used and referenced on the survey.

(4) Rural and Farmland Surveys (Class C). Rural and farmland surveys include lands located in rural areas of North Carolina and generally outside the suburban properties. For Class C boundary surveys in North Carolina, the angular error of closure shall not exceed 30 seconds times the square root of the number of angles turned. The ratio of precision shall not exceed an error of closure of one foot per 5,000 feet of perimeter of the parcel of land (1:5,000). When using positional accuracy standards for Class C control and boundary surveys, neither axis of the 95 percent confidence level error ellipse for any control point or property corner shall exceed 0.15 feet or 0.046 meters plus 150 ppm measured relative to the position(s) of the horizontal control points or property corners used and referenced on the survey.

History

• Authority G.S. 89C-10; 89C-20
• Eff. July 1, 1989
• Amended Eff. August 1, 2014; May 1, 2009; August 1, 2000; August 1, 1998; November 2, 1992; January 1, 1992
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2020.

21 NCAC 56 .1604 Mapping Requirements for Boundary Surveys

(a) The size of a map shall be such that all details are legible on a copy.

(b) Any lines that are not actually surveyed shall be indicated on the map and a statement included revealing the source of information from which the line is derived.

(c) All surveys based on the North Carolina grid system shall contain a statement identifying the coordinate system referenced datum used.

(d) All plats (maps), unless marked as "Preliminary Plat - Not for recordation, conveyances, or sales" shall be sealed, signed, and dated by the Professional Land Surveyor and shall contain the following:

(1) An accurately positioned north arrow coordinated with any bearings shown on the plat. Indication shall be made as to whether the north index is true, magnetic, North Carolina grid ('NAD 83' and realization (date of adjustment of coordinate system) or 'NAD27'), or is referenced to old recorded deed or recorded plat bearings. If the north index is magnetic or referenced to old recorded deed or recorded plat bearings, the date and the source (note if not determined) shall be indicated.

(2) The azimuth or courses and distances of every property line surveyed shall be shown. Distances shall be in feet or meters and decimals thereof. The number of decimal places shall be appropriate to the class of survey required in Rule .1603 of this Section.

(3) All plat lines shall be horizontal or grid measurements. All lines shown on the plat shall be correctly plotted to the scale shown. Enlargements of portions of a plat are not required to be to scale. Where the North Carolina grid system is used, the combined grid factor shall be shown on the face of the plat. If grid distances are used, they shall be shown on the plat.

(4) Where a boundary is formed by a curved line, the following data shall be given: actual survey data or a series of subchords with bearings and distances around the curve. If standard curve data is used, the bearing and distance of the long chord (from point of curvature to point of tangency) shall be shown on the face of the plat.

(5) Where a subdivision of land is set out on the plat, all streets and lots shall be accurately plotted with dimension lines indicating widths and all other information pertinent to retracing all lines in the field. This shall include bearings and distances to form a continuous closure of the entire perimeter.

(6) Control corners, and all other corners that are marked by monument or natural object shall be identified on all plats, and all corners of adjacent owners along the boundary lines of the subject tract that are marked by monument or natural object shall be shown.

(7) The surveyor shall show one of the following (or note if could not be determined):

(A) The names of adjacent land owners;

(B) The lot, block, parcel, and subdivision designations; or

(C) Other legal reference.

(8) All visible and apparent rights-of-way, easements, watercourses, utilities, roadways, and other such improvements shall be accurately located where crossing or forming any boundary line of the property shown.

(9) Tie lines as required and defined in Rule .1602(g) of this Section shall be accurately shown on the face of the plat, whether or not the plat is to be recorded.

(10) A vicinity map (location map) shall appear on the face of the plat.

(11) Each map shall contain:

(A) the property designation;

(B) the name of owner or prospective owner;

(C) the location (including township, county, and State);

(D) the date or dates the survey was conducted;

(E) a scale of the drawing listed in words or figures;

(F) a bargraph;

(G) the title source; and

(H) a legend depicting nomenclature or symbols not otherwise labeled.

(12) Any map not certified for recording under G.S. 47-30, and all reports of survey, shall contain this certificate signed by the Professional Land Surveyor in substantially the following form:

"I certify that this map was drawn under my supervision from an actual survey made under my supervision (deed description recorded in Book ______, page ______ or other reference source ____________________); that the boundaries not surveyed are indicated as drawn from information in Book ______, page ______ or other reference source ____________________; that the ratio of precision or positional accuracy is ___________________; and that this map meets the requirements of The Standards of Practice for Land Surveying in North Carolina (21 NCAC 56. 1600)."

This ______ day of _______________, 2_____.

Seal __________________________________________

Professional Land Surveyor

History

• Authority G.S. 89C-10; 89C-16; 89C-20
• Eff. July 1, 1989
• Amended Eff. August 1, 2014; May 1, 2009; August 1, 2000; August 1, 1998; February 1, 1996; November 2, 1992; January 1, 1992
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2020.

21 NCAC 56 .1605 Classification of Vertical Control Surveys

(a) General. Vertical control surveys are defined as measurements taken by surveying methods (differential leveling, trigonometric leveling, and global positioning surveys) to determine elevation with respect to vertical datum, usually National Geodetic Vertical Datum of 1929 (NGVD29) or North American Vertical Datum of 1988 (NAVD88). Global Position Surveys shall only be used to obtain Class C surveys. For the purpose of specifying minimum allowable surveying standards, the following three general classifications of vertical control surveys are established.

(1) For Class A vertical control surveys in North Carolina, the vertical error in feet shall not exceed 0.10 times the square root of the number of miles run from the reference datum.

(2) For Class B vertical control surveys in North Carolina, the vertical error in feet shall not exceed 0.20 times the square root of the number of miles run from the reference datum.

(3) For Class C vertical control surveys in North Carolina, the vertical error in feet shall not exceed 0.30 times the square root of the number of miles run from the reference datum. The vertical error in global position surveys shall not exceed five centimeters relative to the referenced benchmark(s) at the 95 percent confidence level (2 sigma) accuracy as defined in Federal Geographic Data Committee Standards.

(b) A certificate, substantially in the following form, shall be affixed to all maps or reports:

" I, ______________________, certify that this vertical control survey was completed to the Class ___ standard [(21 NCAC 56.1605(a)] under my direct and responsible charge from an actual survey made under my supervision."

History

• Authority G.S. 89C-10; 89C-20
• Eff. November 2, 1992
• Amended Eff. August 1, 2011; August 1, 2002; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1606 Specifications for Topographic and Planimetric Mapping, Including Ground, Airborne, and Spaceborne Surveys

(a) General.

(1) "Topographic surveys" are defined as surveys that have as their major purpose the determination of the configuration (relief) of the earth (ground) and the location of natural or artificial objects thereon.

(2) "Planimetric mapping" is defined as producing a map that presents the horizontal positions only for the features represented. This is distinguished from a topographic map by the omission of relief in measurable form.

(3) "Airborne and spaceborne surveys" are defined as the use of photogrammetry, LIDAR, IFSAR, or other similar measurement technologies for obtaining reliable information about physical objects and the environment, including terrain surface, through the process of recording, measuring, and interpreting images and patterns of electromagnetic radiant energy and other phenomena. This Rule establishes minimum allowable photogrammetric production procedures and standards for photogrammetric mapping and digital data production.

(b) Production procedures for topographic and planimetric mapping surveys shall be in accordance with the standards established by Part 3 of the Federal Geographic Data Committee (FGDC) Geospatial Positioning Accuracy Standard and applicable extensions and revisions. These standards are incorporated by reference including subsequent amendments and editions. The material is available from the FGDC at www.fgdc.gov at no cost. Reporting accuracy shall be in accordance with Part 1 of the FGDC geospatial standards.

(c) Topographic or planimetric maps, orthophotos, and related electronic data, unless marked as "Preliminary Map," shall meet one of the below classes, as contractually specified to FGDC Standards, or National Agriculture Imagery Program of the US Department of Agriculture (NAIP) Standards, or to State adopted base mapping standards for horizontal and vertical accuracies. The NAIP imagery standards are incorporated by reference including subsequent amendments and editions and may be accessed free of charge at http://www.fsa.usda.gov/Internet/FSA_File/naip_info_sheet_2013.pdf. In the absence of a specified standard, the surveyor shall conform the survey to the requirements for a Class B survey.

(1) For horizontal accuracy, the five general classifications are:

(A) Class AA surveys. For Class AA surveys in North Carolina, the relative accuracy shall be equal to or no less than 0.033 meter (0.10 feet);

(B) Class A surveys. For Class A surveys in North Carolina, the relative accuracy shall be equal to or less than 0.5 meter (1.64 feet);

(C) Class B surveys. For Class B surveys in North Carolina, the relative accuracy shall be equal to or less than 1.0 meter (3.28 feet);

(D) Class C surveys. For Class C surveys in North Carolina, the relative accuracy shall be equal to or less than 2 meters (6.56 feet); and

(E) Class D surveys. For Class D surveys in North Carolina, the relative accuracy shall be equal to or less than 5 meters (16.40 feet).

(2) For vertical accuracy, the three general classifications are:

(A) Urban and suburban vertical control surveys (Class A). Urban and suburban vertical control surveys include lands that lie within or adjoin a town or city. For Class A vertical control surveys in North Carolina, the vertical error in feet shall not exceed 0.10 times the square root of the number of miles run from the reference datum.

(B) Other vertical control surveys (Class B). Other vertical control surveys include all lands which are not covered by Class A as described in Part (A) of this Subparagraph. For Class B vertical control surveys in North Carolina, the vertical error in feet shall not exceed 0.20 times the square root of the number of miles run from the reference datum.

(C) Trigonometric vertical control surveys (Class C). Trigonometric vertical control surveys shall be used for vertical control for aerial and topographic mapping. The vertical error in feet shall not exceed 0.3 times the square root of the number of miles run from the reference datum.

(d) When the resulting product is a digital (electronic) data set, or a map or document that consists of more than one sheet or otherwise cannot be certified, a project report shall be certified. The report shall be marked "Preliminary" if applicable.

(e) Ground control for topographic and planimetric mapping projects shall be in North Carolina State Plane Coordinate System grid coordinates and distances when the project is tied to grid. A minimum of one permanent project vertical control point shall be shown.

(f) The project map or report shall contain the following information:

(1) Date of original data acquisition;

(2) Altitude of sensor and sensor focal length, as applicable;

(3) Date of document or data set compilation;

(4) If hard copy product is produced, the maps shall contain a north arrow, map legend, final document scale, including bargraph, and contour interval, as applicable;

(5) Coordinate system for horizontal and vertical denoting SI or English units (i.e., NAD83, assumed, or other coordinate system);

(6) A list or note showing the control points used for the project. The minimum data shown for each point shall include: physical attributes (e.g. iron rod, railroad spike), latitude and longitude (or X and Y Grid coordinates), and elevation, as applicable;

(7) If other data is included, the source and accuracy of those items shall be indicated;

(8) For topographic maps or data sets, contours in areas obscured by man-made or natural features shall be uniquely identified or enclosed by a polygon identifying the obscured area. The accuracies of the contours or of features in this obscured area shall be noted "No reliance is to be placed on the accuracy of these contours;"

(9) A vicinity map depicting the project location on the first sheet of all hard copy maps or in the report accompanying digital files; and

(10) The name of the client for whom the project was conducted.

(g) Nothing in this Rule shall be construed to negate or replace the relative accuracy standards found in Rules .1601 through .1608 of this Section.

(h) A certificate, substantially in the following form, shall be affixed to all maps or reports:

" I, ______________________, certify that this project was completed under my direct and responsible charge from an actual survey made under my supervision; that this_______________ (insert as appropriate: ground, airborne or spaceborne) survey was performed at the ___ percent confidence level to meet Federal Geographic Data Committee Standards; that this survey was performed to meet the requirements for a topographic/planimetric survey to the accuracy of Class ____ and vertical accuracy when applicable to the Class ___ standard, and that the original data was obtained on _____(date)__________; that the survey was completed on ___(date)_______; that contours shown as [broken lines] may not meet the stated standard; and all coordinates are based on____________________________ 'NAD 83' and realization (date of adjustment of coordinate system) or 'NAD 27' and all elevations are based on ________________ (NGVD 29, NAVD 88, or other)."

(i) Documents transmitted electronically shall have the computer-generated seal removed from the original file and a copy of the project report shall be certified and sent to the client. The electronic data shall have the following inserted in lieu of the signature and date:

"This document originally issued and sealed by (name of sealer), (license number), on (date of sealing). This electronic media shall not be considered a certified document. See the project report for certificate and seal."

History

• Authority G.S. 89C-10; 89C-16; 89C-20
• Eff. November 2, 1992
• Amended Eff. August 1, 2014; August 1, 2011; May 1, 2009; August 1, 2002; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1607 Global Positioning Systems Surveys

(a) General. Global Navigation Satellite Systems (GNSS) is the generic name of navigation and positioning systems with global coverage that is comprised of GPS (Global Positioning System, United States, originally Navstar), GLONASS (Global Navigation Satellite System, Russia), Galileo (Europe), BDS (BeiDou Navigation Satellite System, China, also known as COMPASS), and any other satellite-based navigation and positioning systems.

(b) The Professional Land Surveyor in responsible charge of the GPS survey shall certify all prepared documents pursuant to Rule .1103 of this Chapter and include a GPS certificate on the survey. When a map or document consists of more than one sheet, only one sheet must contain the certificate and all others must be certified. The certificate or metadata notes shall contain the following information:

(1) Class of GPS survey as defined in the Standards of Practice (or list the sections);

(2) Positional accuracy;

(3) Type of GPS field procedure, such as Static, Kinematic, Pseudo-Kinematic, Real-time Kinematic, Real-time Kinematic networks, and Online Position User Service;

(4) Dates of survey;

(5) What datum and epoch coordinates or geographic positions are based on;

(6) Designation of fixed-control stations and their positional data;

(7) Geoid model used;

(8) Combined grid factor(s); and

(9) Units.

The certificate shall be substantially in the following form:

"I, ____________________, certify that this map was drawn under my supervision from an actual GPS survey made under my supervision and the following information was used to perform the survey:

(1) Class of survey:

(2) Positional accuracy:

(3) Type of GPS field procedure:

(4) Dates of survey:

(5) Datum/Epoch:

(6) Published/Fixed-control used:

(7) Geoid model:

(8) Combined grid factor(s):

(9) Units: "

(c) GPS surveys to provide control networks shall be performed in such a manner that it meets a 95 percent confidence level of the positional accuracy of each point relative to the published positions of the control points used and shall meet the accuracy standards of a Class AA survey as set out in Rule .1603.

(d) GPS surveys performed to provide local horizontal or vertical control on a parcel of land where the boundary or topography of that parcel will be shown relative to North Carolina grid horizontal or vertical datum shall be performed using techniques that will provide the standards of accuracy for the class of survey being performed while determining the horizontal or vertical positions of objects as set out in Rule .1603 or Rule .1606 as applicable.

(e) Fixed station(s) used for the project shall appear on the map, plat, or report. The minimum data shown for each fixed station shall be station name, horizontal position (northing and easting) or latitude, longitude, elevation (ellipsoid or orthometric), and datum and epoch.

History

• Authority G.S. 89C-10; 89C-20
• Eff. November 2, 1992
• Amended Eff. August 1, 2011; May 1, 2009; August 1, 2002; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. August 1, 2025; July 1, 2020.

21 NCAC 56 .1608 Classification/Land Information System/Geographic Information System Surveys

(a) General: "Land Information System/Geographic Information System (LIS/GIS)" surveys are defined as the measurement of existing surface and subsurface features for the purpose of determining their accurate geospatial location for inclusion in an LIS/GIS database. All LIS/GIS surveys as they relate to property lines, rights-of-way, easements, subdivisions of land, the position for any survey monument or reference point, the determination of the configuration or contour of the earth's surface or the position of fixed objects thereon, and geodetic surveying that includes surveying for determination of the size and shape of the earth both horizontally and vertically and the precise positioning of points on the earth utilizing angular and linear measurements through spatially oriented spherical geometry, shall be performed by a Land Surveyor who is a licensee of this Board unless exempt by G.S. 89C-25. For the purpose of specifying minimum allowable surveying standards, five general classifications of LIS/GIS surveys are established, any of which may be specified by the client. In the absence of a specified standard, the surveyor shall conform the survey to the requirements for a Class B survey.

(1) For horizontal accuracy, the five general classifications are:

(A) Class AA LIS/GIS Surveys. For Class AA LIS/GIS surveys in North Carolina, the relative accuracy shall be equal to or no less than 0.033 meter (0.10 feet);

(B) Class A LIS/GIS surveys. For Class A LIS/GIS surveys in North Carolina, the relative accuracy shall be equal to or less than 0.5 meter (1.64 feet);

(C) Class B LIS/GIS surveys. For Class B LIS/GIS surveys in North Carolina, the relative accuracy shall be equal to or less than 1.0 meter (3.28 feet);

(D) Class C LIS/GIS surveys. For Class C LIS/GIS surveys in North Carolina, the relative accuracy shall be equal to or less than 2 meters (6.56 feet); and

(E) Class D LIS/GIS surveys. For Class D LIS/GIS surveys in North Carolina, the relative accuracy shall be equal to or less than 5 meters (16.40 feet).

(2) For vertical accuracy, the three general classifications are:

(A) Urban and suburban vertical control surveys (Class A). Urban and suburban vertical control surveys include lands that lie within or adjoin a town or city. For Class A vertical control surveys in North Carolina, the vertical error in feet shall not exceed 0.10 times the square root of the number of miles run from the reference datum.

(B) Other vertical control surveys (Class B). Other vertical control surveys include all lands which are not covered by Class A as described in Part (A) of this Subparagraph. For Class B vertical control surveys in North Carolina, the vertical error in feet shall not exceed 0.20 times the square root of the number of miles run from the reference datum.

(C) Trigonometric vertical control surveys (Class C). Trigonometric vertical control surveys shall be used for vertical control for aerial and topographic mapping. The vertical error in feet shall not exceed 0.3 times the square root of the number of miles run from the reference datum. The vertical error in Global Navigation Satellite System (GNSS) surveys shall not exceed five centimeters relative to the referenced benchmark(s) at the 95 percent confidence level (2 sigma) accuracy as defined in Federal Geographic Data Committee Standards.

(b) Nothing in this Rule negates or replaces the relative accuracy standards found in Rules .1601 through .1607 of this Section.

(c) The Professional Land Surveyor in responsible charge of the LIS/GIS boundary or geodetic control survey shall certify all of the following in either written or digital form:

(1) Class of LIS/GIS survey. The method of measurement used to evaluate the accuracy shall be described as either statistical testing or least squares adjustment results, comparison with values of higher accuracy, and repeat measurements. The reporting standard in the horizontal component is the radius of a circle of uncertainty, such that the true or theoretical location of the point falls within that circle 95 percent of the time;

(2) Method of measurement (i.e. global navigation satellite systems, electronic scanners, theodolite and electronic distance meter, transit and tape);

(3) Date(s) of the survey; and

(4) Datum used for the survey.

(d) A certificate, substantially in the following form, shall be affixed to all maps or reports:

"I, ______________________, certify that this project was completed under my direct and responsible charge from an actual survey made under my supervision; that this survey was performed to meet the requirements for an LIS/GIS survey [21 NCAC 56.1608] to the accuracy of Class ____ and vertical accuracy; when applicable to the Class ___ standard method used to evaluate the accuracy was _______________; method of measurement ______________; date(s) of survey ___________; datum used for survey __________; and all coordinates are based on ______________ ['NAD 83' and realization (date of adjustment of coordinate system) or 'NAD 27'] and all elevations are based on ________________ (NGVD 29, NAVD 88, or other)."

History

• Authority G.S. 89C-10; 89C-20
• Eff. February 1, 1996
• Amended Eff. August 1, 2014; August 1, 2011; July 1, 2009; May 1, 2009; August 1, 2002; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1609 Minimum Photogrammetric Production Standards

History

• Status: repealed
• Authority G.S. 89C-10; 89C-20
• Eff. August 1, 2000
• Repealed Eff. August 1, 2002.

21 NCAC 56 .1701 Introduction

Every licensee shall meet the continuing professional competency requirements of this Section for professional development as a condition for licensure renewal.

History

• Authority G.S. 89C-10(a); 89C-17
• Eff. December 1, 1994
• Amended Eff. August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1702 Definitions

Terms used in this Section are defined as follows:

(1) Professional Development Hour (PDH) - A contact hour (nominal) of instruction or presentation. The common denominator for other units of credit.

(2) Continuing Education Unit (CEU) - Unit of credit customarily used for continuing education courses. One continuing education unit equals 10 contact hours of instruction or presentation.

(3) College or Unit Semester or Quarter Hour - Credit for Accreditation Board for Engineering and Technology approved course or other related college course.

(4) Course or Activity - Any course or activity with a purpose and objective which will maintain, improve, or expand the skills and knowledge relevant to the licensee's field of practice.

(5) Dual Licensee - A person who is licensed as both an engineer and a land surveyor.

(6) Sponsor - Organization or individual that has supplied information on a form prescribed and furnished by the Board with respect to the organization or individual's ability to provide instruction in "for credit" courses. Courses offered by those designated as "Sponsor" must contain a purpose and objective, and result in the maintenance, improvement, or expansion of skills and knowledge relevant to a licensee's field of practice.

(7) Ethics or Rules of Professional Conduct - A course or activity with content areas concerning:

(a) the awareness of ethical concerns and conflicts;

(b) an enhanced familiarity with codes of conduct;

(c) an understanding of standards of practice or care;

(d) project management and risk-assessment management; or

(e) other similar topics aimed at maintaining, improving, or expanding the skill sets and knowledge relevant to conducting the practice of the profession so as to protect the health, safety, and welfare of the public.

(8) Standards of Practice for Land Surveying - A course or activity with content areas related to Standards of Practice for Land Surveying in Section .1600 of this Chapter.

History

• Authority G.S. 89C-10(a); 89C-17; 89C-20
• Eff. December 1, 1994
• Amended Eff. May 1, 2009; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. March 1, 2023.

21 NCAC 56 .1703 Requirements

Every licensee shall obtain 15 PDH units during the renewal period. Effective as of the 2024 license renewal, for all licensees at least 1 PDH shall be in Ethics or Rules of Professional Conduct. In addition, for Professional Land Surveyors 1 PDH shall be in the Standards of Practice for Land Surveying. If a licensee exceeds the annual requirement in any renewal period, a maximum of 15 PDH units may be carried forward into the subsequent renewal period. Selection of courses and activities that meet the requirements of Rule .1702(4) of this Section is the responsibility of the licensee. Post evaluation of the courses that are documented as required by Rule .1706 of this Section for compliance with Rules .1702, .1703, .1704, and .1705 of this Section may result in non-acceptance by the Board. PDH units may be earned as follows:

(1) Completion of college courses;

(2) Completion of continuing education courses, seminars, or workshops;

(3) Completion of correspondence, televised, Internet, videotaped, audiotaped, and other courses or tutorials, provided an exam is required for completion. No exam is required for attendance at a webinar presentation if attendance is documented;

(4) Presenting or attending seminars, in-house courses, workshops, or professional or technical presentations made at meetings, conventions or conferences;

(5) Teaching or instructing in Items (1) through (4) of this Rule;

(6) Authoring published papers, articles, or books;

(7) Active participation in professional or technical societies or accrediting organizations as defined in Rule .1705(f) of this Section;

(8) Patents;

(9) Authoring exam questions accepted for use in the engineering or land surveying exams; or

(10) Active participation on boards, commissions, committees or councils of private, local, state or federal government entities as defined in Rule .1705(g) of this Section; or

(11) Active participation in educational outreach activities pertaining to professional licensure or the surveying/engineering professions that involve K–12 or higher education students as defined in Rule .1705(h) of this Section.

History

• Authority G.S. 89C-10(a); 89C-17
• Eff. December 1, 1994
• Amended Eff. August 1, 2014; August 1, 2011; May 1, 2009; August 1, 2000; August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. March 1, 2023.

21 NCAC 56 .1704 Units

The conversion of units of credit set forth in Rule .1703 of this Section to PDH units is as follows:

(1) 1 College or unit semester hour.

45 PDH

(2) 1 College or unit quarter hour.

30 PDH

(3) 1 Continuing Education Unit.

10 PDH

(4) 1 Contact hour of professional development in course work, seminars, or professional or technical presentations made at meetings, conventions or conferences, and for correspondence, televised, Internet, videotaped, audiotaped, and other courses or tutorials. Contact hours equal the actual time of instruction and shall be credited to the nearest one-third of an hour.

1 PDH

(5) For teaching in Items (1) – (4) of this Rule, PDH credits are doubled. Teaching credit is valid for teaching a course or seminar for the first time only. Teaching credit does not apply to full-time faculty, as defined by the institution where a licensee is teaching.

(6) Each published paper, article or book.

10 PDH

(7) Active participation in professional or technical societies or in accrediting organizations as defined in Rule .1705(f) of this Section. (Each society or organization)

2 PDH

(8) Each patent.

10 PDH

(9) Each question used.

2 PDH

(10) Active participation on boards, commissions, committees or councils of private, local, state or federal government entities as defined in Rule .1705(g) of this Section. (Each entity)

2 PDH

(11) Active participation in educational outreach activities pertaining to professional licensure or the surveying/engineering professions that involve K–12 or higher education students as defined in Rule .1705(h) of this Section. (Each hour)

1 PDH

(not to exceed 3 PDHs)

History

• Authority G.S. 89C-10(a); 89C-17
• Eff. December 1, 1994
• Amended Eff. August 1, 2014; May 1, 2009; August 1, 2000; August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. March 1, 2023.

21 NCAC 56 .1705 Determination of Credit

(a) Approval of courses, sponsors, credit, PDH value for courses, and other methods of earning credit shall meet Rule .1702(4) of this Section.

(b) Credit for college or community college courses shall be based upon course credit established by the college.

(c) Credit for continuing education courses, seminars and workshops shall be based on one PDH unit for each hour of attendance. Attendance at programs presented at professional and technical society meetings shall earn PDH units for the actual time of each program.

(d) Credit for correspondence, televised, Internet, videotaped, audiotaped, and other courses or tutorials, provided an exam is required for completion, shall be based upon one PDH unit for each hour assigned to the course, provided such hours reflect the course material and content required of the professional to complete the course.

(e) Credit determination for published papers, articles and books and obtaining patents is the responsibility of the licensee to support and document the hours reported in compliance with the rules of this Section.

(f) Credit for active participation in professional or technical societies or accrediting organizations (limited to 2 PDH per society or organization), requires that a licensee serve as an officer or participate as a member and contribute to the work of a committee of the society, or for accrediting organizations serve as an officer or participate in a committee or accreditation visits. PDH credits are not earned until the end of each year of service is completed.

(g) Credit for active participation on boards, commissions, committees or councils of private, local, state or federal government entities (limited to 2 PDH per entity) requires utilizing engineering or land surveying knowledge (as applicable) in the participation. PDH credits are not earned until the end of each year of service is completed.

(h) Credit for active participation in educational outreach activities by providing education about professional licensure or the surveying and engineering professions that involve K–12 or higher education students (limited to 3 PDH).

History

• Authority G.S. 89C-10(a); 89C-17
• Eff. December 1, 1994
• Amended Eff. August 1, 2014; August 1, 2011; May 1, 2009; August 1, 2000; August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. March 1, 2023.

21 NCAC 56 .1706 Recordkeeping

The licensee shall maintain the following records to be used to support credits claimed:

(1) a log showing the type of activity claimed, title or specific subject, sponsoring organization, location, duration, date, instructor's or speaker's name, and PDH credits earned, and other information on a form as prescribed by the Board; and

(2) attendance verification records in the form of completion certificates, or other documents supporting evidence of attendance.

These records must be maintained for a period of three years and copies may be requested by the board for audit verification purposes. The Board shall approve other records that contain the information required by this Rule.

History

• Authority G.S. 89C-10(a); 89C-17
• Eff. December 1, 1994
• Amended Eff. May 1, 2009; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1707 Exemptions

A licensee is exempt from the professional development educational requirements for the following reasons:

(1) New licensees by way of examination or comity are exempt for their first renewal period.

(2) If currently licensed by and in good standing (license is not suspended or revoked) with the Board a licensee who is serving in the armed forces of the United States and who is eligible for an extension of time to file a tax return pursuant to G.S. 105-249.2 is granted a waiver of the mandatory continuing education requirements for the time period disregarded pursuant to the Internal Revenue Code 26 U.S.C. 7508.

The licensee shall request the waiver as follows:

(a) The licensee shall notify the Board of eligibility before the current license expires. Upon such notification, the Board shall maintain the license in active status through the extension period.

(b) If the licensee fails to notify the Board of eligibility for the extension period before the current license expires, upon receipt and acceptance of a renewal application within the extension period and presentation of proof that the licensee was eligible on the date that is the deadline for renewal, the expired license or registration shall be deemed retroactively to have not expired.

(c) The licensee who submits a renewal application within the extension period shall not be deemed to hold a lapsed license subject to reinstatement fees.

(d) The licensee may renew the license within the extension period despite failing to complete the specified continuing education requirements.

(e) A licensee shall provide proof of eligibility for the extension period when the licensee or registrant submits the renewal application.

A request shall be administratively approved by the Executive Director, without waiting for the next regular meeting of the Board at which time the action shall be reported to the Board for final approval.

(3) The Board shall exempt a licensee if the Board determines that the licensee is experiencing physical disability, illness, or other extenuating circumstances that prevent the licensee from obtaining professional development hours. Supporting documentation must be furnished to the Board. A request shall be administratively approved by the Executive Director, without waiting for the next regular meeting of the Board at which time the action shall be reported to the Board for final approval.

(4) Licensees who list their occupation as "Inactive" on the Board approved renewal form and who are no longer providing professional engineering or land surveying services are exempt from the professional development hours required. In the event such a person elects to return to active practice of professional engineering or land surveying, professional development hours must be earned in accordance with the requirements of Rule .1708 in this Section before returning to active practice for each year exempted not to exceed the annual requirement for two years.

History

• Authority G.S. 89C-10(a); 89C-17; 93B-15
• Eff. December 1, 1994
• Amended Eff. August 1, 2011; May 1, 2009; August 1, 2000; February 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. March 1, 2023.

21 NCAC 56 .1708 Reinstatement

A licensee may bring an inactive license to active status by obtaining all delinquent PDH units. However, if the total number required to become current exceeds 30, then 30 shall be the maximum number required. Reinstatement of a license that was not renewed within 12 months after expiration (archived license), in addition to a new application, requires obtaining all delinquent PDH units as required to reinstate an inactive license.

History

• Authority G.S. 89C-10(a); 89C-17
• Eff. December 1, 1994
• Amended Eff. August 1, 2002; August 1, 2000; February 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1709 Comity/Out-of-Jurisdiction Resident

Licensees who are residents of jurisdictions other than North Carolina shall meet the CPC requirements of their resident jurisdiction. If the licensee resides in a jurisdiction that has no continuing professional competency (CPC) requirement, or the licensee is exempt from the CPC requirement in the licensee's resident jurisdiction, the licensee must meet the requirements of North Carolina.

History

• Authority G.S. 89C-10(a); 89C-17
• Eff. December 1, 1994
• Amended Eff. May 1, 2009; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1710 DUAL licenseEs

The number of PDH units required shall remain the same for persons who hold a second license as engineer or land surveyor. Holders of a second license must obtain a minimum of one-third of the total PDH requirements in each field. The remaining one-third requirement may be obtained in either field at the sole discretion of the licensee.

History

• Authority G.S. 89C-10(a); 89C-17
• Eff. December 1, 1994
• Amended Eff. July 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1711 Forms

Renewal applications may require the completion of a continuing education form specified by the board outlining PDH credit claimed. The licensee must supply sufficient detail on the form to permit audit verification, must certify and sign the continuing education form, and submit the form with the renewal application and fee.

History

• Authority G.S. 89C-10(a); 89C-17
• Eff. December 1, 1994
• Amended Eff. July 1, 2009; August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1712 Compliance

(a) Compliance with annual Continuing Professional Competency (CPC) requirements shall be determined through an audit process conducted by the Board. Determination of individuals to be audited shall be accomplished through a random selection process or as the result of information available to the Board. Individuals selected for auditing shall provide the Board with the following documentation of the CPC activities claimed for the renewal period:

(1) Attendance verification records in the form of transcripts, completion certificates, other documents supporting evidence of attendance, and a log as defined in Rule .1706 of the Section; and

(2) Information regarding course content, instructors and sponsoring organization, for activities presented by other than approved sponsors as defined in Rule .1713 of this Section.

(b) Attendance records shall be maintained by individual licensees for a period of three years for audit verification purposes.

History

• Authority G.S. 89C-10(a); 89C-17
• Eff. December 1, 1994
• Amended Eff. May 1, 2009; February 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

21 NCAC 56 .1713 Sponsors

(a) The Board may approve sponsors of Continuing Professional Competency (CPC) activities. The Board may maintain a list of sponsors which have agreed to conduct programs in accordance with the standards of CPC activities set forth in 21 NCAC 56. 1700. Such sponsors shall indicate their agreement with the requirements by executing a Sponsor Agreement on a form provided by the Board. These sponsors shall be designated as "Approved Sponsors" based upon approval by the Board of the sponsor application and payment of a one hundred fifty dollar ($150.00) application fee. The application form contains the following:

(1) Name of applicant, contact name, mailing and physical address, phone number, and email address;

(2) Type of organization;

(3) Delivery of course type(s), program offerings (to public or in-house);

(4) Offered to Professional Engineers or Professional Land Surveyors, or both;

(5) Example of certificate of completion that attests to attendance;

(6) Summary of qualifications of organization;

(7) Types (subjects) of courses offered;

(8) Sample course outline(s); and

(9) Qualifications of course instructor(s)

(b) By entering into an agreement with the Board to be designated as an "Approved Sponsor," the sponsor shall agree to the following terms as the sole terms of the agreement:

(1) Allow persons designated by this Board to attend any or all courses, without fee or charge, for the purpose of determining that said course meets the standards of the Board;

(2) Allow persons designated by this Board to review course material for the purpose of determining that the course meets the standards of the Board;

(3) State in every brochure, publication or announcement concerning the course, the general content of the course and the specific knowledge or skill to be taught or addressed, as well as the credit to be earned in Professional Development Hours (PDH);

(4) Ensure that the instructors or presenters of the course or program are qualified by education, training or experience to teach the subject matter;

(5) Provide persons completing the course with written documentation attesting to that person's attendance to the course, as well as the name of the course, the date and location held, the instructor's name and the number of PDHs earned;

(6) Provide attendees an evaluation form as provided by the Board that is to be collected and retained for audit by the Board;

(7) Have a visible, continuous and identifiable contact person who is charged with the administration of the sponsor's CPC program and who has the responsibility for assuring and demonstrating to the Board compliance with this Rule, as well as for any other organization working with the sponsor for the development, distribution or presentation of CPC courses or activities; and

(8) Retain for a period of three years a copy of the documentation required by this Paragraph.

(c) Sponsors shall renew annually on a form provided by the Board.

(d) Failure of an approved sponsor to comply with the terms of the CPC sponsor agreement is grounds for the Board to revoke, suspend or terminate the agreement, to remove the sponsor's name from the list of approved sponsors and to notify the public of such action. A sponsor that is given notice of revocation, suspension or termination may request an administrative hearing to be conducted as provided in 21 NCAC 56 .1400 Contested Cases.

(e) Approval of a sponsor is equivalent to the language of licensing a sponsor in G.S. 89C-10(h).

History

• Authority G.S. 89C-10; 89C-17
• Eff. February 1, 1996
• Amended Eff. August 1, 2011; July 1, 2009; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. March 1. 2023.

Chapter 57 Appraisal Board

Subchapter A

21 NCAC 57A .0101 Form

A person who wishes to be registered as a trainee or to obtain licensure as a licensed real estate appraiser or certification as a certified real estate appraiser may obtain the required form upon request to the Board or from the Board's website at www.ncappraisalboard.org. The form calls for information such as the applicant's name and address, the applicant's social security number, a passport size photograph of the applicant, places of residence and employment, education, and such other information as may be necessary to identify the applicant and determine his qualifications and fitness for registration, licensure, or certification.

History

• Authority G.S. 93E-1-6(a); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; September 1, 2008; April 1, 1999.
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57A .0102 Filing and Fees

(a) Each application for registration as a trainee, licensure as a licensed real estate appraiser, or certification as a certified real estate appraiser shall be accompanied by the required application fee. An additional fee may be charged to defray the cost of any competency examination administered by a private testing service. This additional fee shall be no more than the fee set by the private testing agency. The Board may reject and return to the applicant any application which is incomplete or not accompanied by the required fee or fees. Application fees accompanying complete applications are not refundable.

(b) The application fee shall be that prescribed in G.S. 93E-1-6(b).

(c) Payment of application fees shall be made by certified check, bank check, or money order payable to the North Carolina Appraisal Board.

History

• Authority G.S. 93E-1-6; 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; September 1, 2008; January 1, 2008; August 1, 2002; April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57A .0201 Qualifications for Trainee Registration and Appraiser Licensure and Certification

(a) Applicants for registration as a trainee real estate appraiser, licensure as a licensed residential real estate appraiser, and for certification as a certified real estate appraiser shall satisfy the qualification requirements set forth in the Real Property Appraiser Qualification Criteria as implemented by The Appraisal Foundation's Appraiser Qualifications Board, which is hereby incorporated by reference, including subsequent amendments and editions and can be found at www.appraisalfoundation.org/pages/criteria at no cost.

(b) Applicants for licensure or certification who apply through the supervisor and trainee method and who are currently registered trainees shall submit a copy of their complete appraisal log in accordance with Rule .0407(d) of this Subchapter. All applicants for licensure or certification shall provide to the Board copies of appraisal reports and workfiles, as requested, in order for an appraisal to be given experience credit.

(c) As an alternative to the requirements in Paragraph (b) of this Rule, applicants for licensure or certification shall complete the requirements of a Practical Applications of Real Estate Appraisal (PAREA) program or Practicum course as established in the Real Property Appraiser Qualification Criteria and approved by The Appraisal Foundation's Appraiser Qualifications Board, shall submit a certificate of completion, and shall meet any additional requirements set forth in Rule .0601 of this Subchapter.

(d) When a trainee or a licensed or certified real estate appraiser upgrades his or her registration, license, or certificate, the previous registration, license, or certificate shall be canceled by the Board.

(e) In the event that the Board requests that an applicant submit updated information or provide further information that the Board determines is necessary in order for the applicant to complete the application and the applicant fails to submit the requested information within 90 days following the Board's request, the Board will void the application. An applicant whose application has been voided shall start the licensing process over by filing a complete application with the Board and paying all required fees, as set forth in G.S. 93E-1-6.

(f) If an applicant has an open complaint before the North Carolina Appraisal Board or an appraiser licensing board from any other state, the application shall be accepted but no further action shall be taken on the application until the complaint is resolved. If the applicant has any pending criminal charges in this or any state, they shall be reviewed as set forth in G.S. 93B-8.1.

(g) An applicant may request that his or her application be withdrawn at any time before final action is taken by the Appraisal Board on the application.

History

• Authority G.S. 93E-1-6; 93E-1-10; 93B-8.1
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; January 1, 2013; July 1, 2010; September 1, 2008; January 1, 2008; March 1, 2007; April 1, 2006, July 1, 2005; August 1, 2002; April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2026; December 31, 2025; June 1, 2020; May 1, 2020.

21 NCAC 57A .0202 Fitness for Registration, Licensure, or Certification

(a) The Appraisal Board shall consider the fitness for registration, licensure, or certification of each applicant. When the fitness of an applicant is in question, action by the Board shall be deferred until the applicant has demonstrated that the applicant possesses the requisite competency, truthfulness, honesty and integrity.

(b) When the application is deferred, the Board shall notify the applicant and the applicant shall be entitled to demonstrate his or her competency or fitness for registration or certification at a hearing before the Board.

(c) The inquiry into fitness for registration, licensure, or certification may include consideration of whether the applicant has:

(1) had disciplinary action taken against any professional license in North Carolina or any other state;

(2) committed or done any act that, if committed or done by any real estate trainee or appraiser, would be grounds pursuant to the North Carolina Appraiser's Act for disciplinary action including the suspension or revocation of registration, licensure, or certification; or

(3) been convicted of or pleaded guilty to any criminal act, or whether any such actions or charges are pending.

(d) All applicants for registration, licensure, or certification shall obtain a criminal records check that is satisfactory to the Board. This records check must have been performed within 60 days of the date the completed application for registration, licensure, or certification is received by the Board. Applicants shall pay the vendor directly for the cost of these reports.

(e) In order to be satisfactory to the Board, the criminal records check must contain all of the following:

(1) a state court felony and misdemeanor criminal records search for each state lived in for at least the last seven years;

(2) a state probation and incarceration check for each state lived in for at least the last seven years;

(3) a federal court felony and misdemeanor criminal records check;

(4) a state sex offender search for each state lived in for at least the last seven years;

(5) a federal sex offender search; and

(6) an address trace on the applicant's Social Security number.

(f) Notice to the applicant that his or her competency or fitness for registration, licensure, or certification is in question shall be sent by the Board in writing, by certified mail, return receipt requested, to the address shown upon the application. The applicant shall have 60 days from the date of receipt of this notice to request a hearing before the Board. Failure to request a hearing within this time constitutes a waiver of the applicant's right to a hearing on his or her application for registration, licensure, or certification, and the application shall be deemed denied. Nothing in this Rule shall be interpreted to prevent an applicant from reapplying for registration, licensure, or certification.

History

• Authority G.S. 93E-1-6; 93E-1-10
• Eff. July 1, 1994
• Amended Eff. February 1, 2014; January 1, 2013; September 1, 2008; July 1, 2005; August 1, 2002; April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57A .0203 Registration, LICENSE, and Certificate Renewal

(a) All registrations, licenses, and certificates expire on June 30 of each year unless renewed before that time.

(b) A holder of a trainee registration, an appraiser license, or certificate applying to renew such registration, license, or certificate shall apply for renewal in writing upon the form provided by the Board or log into the licensee login section on the Board's website and shall pay the renewal fee as prescribed in G.S. 93E-1-7(a). Forms are available on the Board's website at www.ncappraisalboard.org. The renewal fee is not refundable after July 1.

(c) All trainees, licensees, and certificate holders, either resident or non-resident, who are required by G.S. 93E-1-7 to complete continuing education as a condition of renewal, shall satisfy the continuing education requirements set forth in Rule .0204 of this Section.

(d) An applicant for renewal who initially qualified for licensure or certification pursuant to Rule .0211 of this Section, is not required to maintain licensure with the appraiser regulatory authority of the other state in order to renew the license in North Carolina.

(e) Any person who acts or holds himself out as a registered trainee, licensed, or certified real estate appraiser while his trainee registration, appraiser license, or certificate is expired shall be subject to disciplinary action and penalties as prescribed in G.S. 93E.

History

• History Note Authority G.S. 93E-1-7(a),(b); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. January 1, 2013; January 1, 2008; March 1, 2007; March 1, 2006; August 1, 2002; April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2022.

21 NCAC 57A .0204 Continuing Education

(a) All registered trainees, real estate appraiser licensees, and certificate holders shall, upon the renewal of their registration, license, or certificate in every odd-numbered year, have obtained continuing education, as required by this Rule. Trainees and appraisers who initially registered with the Board after January 1 of an odd-numbered year are not required to obtain continuing education for renewal of their registration in that odd-numbered year.

(b) Each trainee, licensee, and certificate holder who is required to obtain continuing education pursuant to Paragraph (a) of this Rule shall complete 28 hours of continuing education before June 1 of every odd-numbered year. Specific topics required as part of the 28 hours of continuing education are outlined in Paragraph (d) of this Rule. Except as provided in Paragraphs (g) and (h) of this Rule, such education shall have been obtained by taking courses approved by the Board for continuing education credit, at schools approved by the Board to offer such courses, as set forth in 21 NCAC 57B .0603. Such education shall relate to real estate appraisers maintaining and increasing their skill, knowledge, and competency in real property appraising. There is no exemption from the continuing education requirement for trainees or appraisers whose status has been upgraded to the level of licensed residential, certified residential, or certified general appraiser, since the issuance or most recent renewal of their registration, license, or certificate. Trainees, licensees, and certificate holders shall not take the same continuing education course more than once during the two-year continuing education cycle.

(c) Each appraisal continuing education course shall include a minimum of two classroom hours of instruction on real estate appraisal or related topics, as set forth in the Real Property Appraiser Qualification Criteria as implemented by The Appraisal Foundation's Appraiser Qualifications Board, which is hereby incorporated by reference, including subsequent amendments and editions, and can be found at www.appraisalfoundation.org/pages/criteria at no cost.

(d) Each trainee, licensee, and certificate holder who is required to obtain continuing education pursuant to Paragraph (a) of this Rule shall, as part of the 28 hours of continuing education required in Paragraph (b) of this Rule, complete the seven-hour National Uniform Standards of Professional Appraisal Practice (USPAP) Continuing Education course, as required by the Appraiser Qualifications Board of the Appraisal Foundation. Each trainee, licensee, and certificate holder shall complete a course which meets the content requirements of the Valuation Bias and Fair Housing Laws and Regulations outline, as set forth in the Real Property Appraiser Qualification Criteria, every continuing education cycle. The course length must be at least seven-hours the first time a trainee, licensee, or certificate holder completes the continuing education requirements of the Valuation Bias and Fair Housing Laws and Regulations requirement. If an appraiser completes the seven-hour (plus one hour exam) course as part of their qualifying education, they have met this requirement. Each continuing education cycle thereafter, the course length shall be at least four-hours.

(e) A trainee, licensee, or certificate holder who completes approved continuing education courses in excess of the requirement shall not carry over any continuing education credits from those courses into the subsequent years.

(f) Course sponsors shall provide a certificate of course completion to each trainee, licensee, and certificate holder who completes a course, as set forth in 21 NCAC 57B .0603. Course sponsors shall send to the Board a roster of all who completed the course. This roster shall be sent within 15 days of completion of the course. In order to renew a registration, license, or certificate in a timely manner, the Board shall receive proof of completion of the continuing education requirement prior to processing a registration, license, or certificate renewal application. Proof of completion shall be receipt by the Board of a roster from a school or course sponsor showing the courses completed by the applicant. If proof of having completed the continuing education requirement is not provided, the registration, license, or certificate shall expire and the trainee, licensee, or certificate holder shall be subject to the provisions of Rules .0203(e) and .0206 of this Section.

(g) A current or former trainee, licensee, or certificate holder may request that the Board grant continuing education credit for a course that has been completed but is not approved by the Board, or for appraisal education activity equivalent to a Board approved course, by making such request and submitting a non-refundable fee of fifty dollars ($50.00) as set out in G.S. 93E-1-8(d) for each course or type of appraisal education activity to be evaluated. Such requests shall be received before June 15 of an odd-numbered year to be credited towards the continuing education requirement for that odd-numbered year. Continuing education credit for a non-approved course shall be granted only if the trainee, licensee, or certificate holder provides proof of course completion and the Board finds that the course satisfies the requirements for approval of appraisal continuing education courses with regard to subject matter, course length, instructor qualifications, and student attendance, as set forth in 21 NCAC 57B .0603. Appraisal education activities for which credit may be awarded include teaching appraisal courses, authorship of appraisal textbooks, and development of instructional materials on appraisal subjects. Up to 14 hours of continuing education credit may be granted in each continuing education cycle for participation in appraisal education activities. Trainees, and licensed or certified appraisers who have taught an appraisal course approved by the Board for continuing education credit, are deemed to have taken an equivalent course and are not subject to the fee prescribed in G.S. 93E-1-8(d), provided they submit verification of having taught the course(s). A trainee, licensee, or certificate holder who teaches a Board approved continuing education course shall not receive continuing education credit for the same course more than once every two years, regardless of how often he or she teaches the course.

(h) A trainee, licensee, or certificate holder may receive continuing education credit by taking any of the Board approved precertification courses, other than Basic Appraisal Principles and Basic Appraisal Procedures, or their approved equivalents. Trainees, licensees, and certificate holders who wish to use a precertification course for continuing education credit shall comply with the provisions of 21 NCAC 57B .0604.

(i) A licensee or certificate holder who resides in another state, and is currently credentialed in another state, may satisfy the continuing education requirements in an odd-numbered year by submitting an affidavit prior to renewal which lists all continuing education completed within the current continuing education cycle. The affidavit form may be found on the Board's website at www.ncappraisalboard.org, and shall include the following:

(1) the licensee's full name;

(2) the licensee's license number;

(3) the course provider's name;

(4) the state the continuing education is approved and claimed through;

(5) the course title;

(6) the course hours;

(7) the date the course was completed; and

(8) the signature of the licensee.

The Board will audit no less than ten percent of licensees who renew with an affidavit. A licensee or certificate holder selected for a continuing education audit shall make the certificates available to the Board upon request. A licensee or certificate holder who became licensed in North Carolina by licensure or certification with another state and now resides in North Carolina, may renew by affidavit for his or her first renewal as a resident of North Carolina only if the appraiser moved to North Carolina on or after January 1 of an odd-numbered year. If an appraiser was a resident of this State before January 1 of an odd-numbered year, the appraiser shall comply with the requirements of this section regardless of how the license or certificate was obtained.

(j) A trainee, licensee, or certificate holder who returns from active military duty on or after February 1 of an odd-numbered year, may renew his or her registration, license, or certificate in that odd-numbered year even if the required continuing education is not completed before June 1 of that year. When a trainee, licensee, or certificate holder returns from active duty, all required continuing education shall be completed pursuant to the deadline in the Real Property Appraiser Qualification Criteria as implemented by The Appraisal Foundation's Appraiser Qualifications Board. The Board shall immediately place any licensee or certificate holder enrolled in the Appraisal Subcommittee's National Registry in an inactive status and may revoke the registration, license, or certificate, in accordance with G.S. 93E-1-12, if the required continuing education is not completed pursuant to the deadline in the Real Property Appraiser Qualification Criteria as implemented by The Appraisal Foundation's Appraiser Qualifications Board. This Paragraph applies to an individual who is serving in the armed forces of the United States and to whom G.S. 105-249.2 grants an extension of time to file a tax return.

History

• Authority G.S. 93B-15; 93E-1-7(a); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; January 1, 2013; July 1, 2011; July 1, 2010; January 1, 2008; March 1, 2007; March 1, 2006; July 1, 2005; July 1, 2003; August 1, 2002; April 1, 1999
• Pursuant to G.S. 150B.21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2026, August 1, 2024; July 1, 2022; July 1, 2019; July 1, 2018.

21 NCAC 57A .0205 Inactive Status

History

• Status: repealed
• Authority G. S. 93E-1-7; 93E-1-10
• Eff. July 1, 1994
• Repealed Eff. August 1, 2002.

21 NCAC 57A .0206 Expired Registration, License or Certificate

(a) Expired registrations, licenses, and certificates may be reinstated within 12 months after expiration upon payment to the Board of the renewal and late filing fees as set out in G.S. 93E-1-7, and proof of having completed the continuing education that would have been required had the registration, license, or certificate been renewed. This includes the most recent seven-hour National Uniform Standards of Professional Appraisal Practice (USPAP) Continuing Education course and the required number of hours of a course which meets the content requirements of the Valuation Bias and Fair Housing Laws and Regulations outline, as set forth in the Real Property Appraiser Qualification Criteria as implemented by The Appraisal Foundation's Appraiser Qualifications Board, which is hereby incorporated by reference, including subsequent amendments and editions, and can be found at www.appraisalfoundation.org at no cost.

(b) If a registration, license, or certificate has been expired for more than 12 months, but less than five years, an applicant may apply for reinstatement. In order to be considered for reinstatement, the applicant shall pay the filing fee as set out in G.S. 93E-1-7 and include in the application proof that the applicant has completed the continuing education that would have been required had the registration, license, or certificate been continuously renewed. This includes the most recent edition of the seven-hour National USPAP Continuing Education course and the required number of hours of a course which meets the content requirements of the Valuation Bias and Fair Housing Laws and Regulations outline, as required by the Real Property Appraiser Qualification Criteria as implemented by The Appraisal Foundation's Appraiser Qualifications Board. In addition, the Board shall consider whether the applicant for reinstatement has any prior or current disciplinary actions, and shall examine the applicant's fitness for registration, licensure, or certification before granting the request for reinstatement. A completed application for reinstatement shall be received by June 1 of the fifth year after the registration, license, or certificate expired.

(c) The reinstatement application is available on the Board's website at www.ncappraisalboard.org, and shall include the following:

(1) the applicant's name, address, phone number, email, date of birth, social security number and driver's license number;

(2) the applicant's license number;

(3) the applicant's previous places of residence and employment for the past five years;

(4) whether the applicant is a citizen of the United States of America, active military, military veteran, or a military spouse;

(5) the name of the applicant's high school, location, and year graduated;

(6) whether the applicant has ever had any disciplinary actions taken against them in connection with any appraiser, real estate, or other professional license held;

(7) whether the applicant has ever been convicted of any criminal offense, or has any criminal charges pending;

(8) a criminal background check; and

(9) the signature of the applicant.

(d) An application for reinstatement shall not be granted if the registration, license, or certificate has been expired for more than five years.

(e) Reinstatement of a registration, license or certification is effective on the date it is issued by the Board. It is not retroactive.

(f) A trainee or appraiser whose registration, license, or certification has expired, and who is returning from active military duty, may renew his or her registration, license, or certificate when the trainee or appraiser returns from active duty, without payment of a late filing fee, as long as the trainee or appraiser renews the registration, license, or certificate within the timeframe outlined in the Real Property Appraiser Qualification Criteria as implemented by The Appraisal Foundation's Appraiser Qualifications Board. This Rule applies to an individual who is serving in the armed forces of the United States and to whom G.S. 105-249.2 grants an extension of time to file a tax return.

History

• History Note Authority G.S. 93E-1-6; 93E-1-7; 93E-1-10; 93E-1-11; 93E-1-12
• Eff. July 1, 1994
• Amended Eff. September 1, 2014; July 1, 2014; July 1, 2011; September 1, 2008; March 1, 2007; July 1, 2005; August 1, 2002; April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. August 1, 2024; July 1, 2022.

21 NCAC 57A .0207 Payment of Registration, License and Certificate Fees

Payments to the Board for registration, license, and certificate fees which are returned unpaid shall be cause for registration, license, or certificate denial, suspension, or revocation.

History

• Authority G.S. 93E-1-10; 93E-1-12(a)(9)
• Eff. July 1, 1994
• Amended Eff. August 1, 2002; April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2026; September 1, 2021.

21 NCAC 57A .0208 Replacement Registration, License and Certificate Fees

(a) A trainee, licensee, or certificate holder may, by paying the fee prescribed in G.S. 93E-1-7(d) to the Board, obtain a duplicate trainee registration, appraiser license, or certificate to replace an original registration, license, or certificate that has been lost, damaged, or destroyed or if the name of the trainee, licensee, or certificate holder has been lawfully changed. The Request for Reissuance of Appraiser Wall Certificate is available on our website at www.ncappraisalboard.org.

(b) The form shall include the following:

(1) the appraiser's name and signature;

(2) the appraiser's license number; and

(3) the appraiser's address.

History

• Authority G.S. 93E-1-7(d); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. January 1, 2008; August 1, 2002; April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2022.

21 NCAC 57A .0209 National Appraiser Registry

Licensees and certificate holders may apply for enrollment in the national registry of licensed and certified real estate appraisers or for the renewal or reinstatement of such enrollment online through the licensee login section on the Board's website at www.ncappraisalboard.org. The enrollment shall be accompanied by the fee specified in G.S. 93E-1-11(d) plus any additional fee that may be required by the appropriate agency or instrumentality of the federal government.

History

• Authority G.S. 93E-1-10; 93E-1-11(d)
• Eff. July 1, 1994
• Amended Eff. January 1, 2008; March 1, 2007; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2022.

21 NCAC 57A .0210 Temporary Practice

(a) A real estate appraiser who does not reside in North Carolina and who is licensed or certified by the appraiser licensing or certifying agency in another state may apply to receive temporary appraiser licensing or certification privileges in this State by filing an application with the Board. The application is available on the Board's website at www.ncappraisalboard.org. The application shall include:

(1) the applicant's name, address, phone number, email;

(2) license or certification number currently held in another state;

(3) whether the applicant has had any disciplinary actions taken against them in connection with any appraiser, real estate, or other professional license held;

(4) whether the applicant has ever been convicted of any criminal offense or has any criminal charges pending;

(5) the projected beginning and ending date of the appraisal assignment;

(6) a legal description of the subject properties and purpose of the appraisal assignment; and

(7) the signature of the applicant.

(b) Upon filing a completed application accompanied by the fee prescribed in G.S. 93E-1-9(c), the Board shall consider whether an applicant's appraiser license or certification is or has been subject to discipline in their resident state or any other state, and shall consider all other information outlined in Rule .0202 of this Section, in determining whether to approve an application. If the application is approved, an applicant shall be granted a temporary practice permit by the Board authorizing the applicant to perform in this State the appraisal assignment described in the application, provided that the Board determines that the length of time projected by the applicant for completion of the assignment is reasonable given the scope and complexity of the assignment.

(c) Privileges granted under the provisions of this Rule shall expire upon the expiration date set forth in the temporary practice permit. If additional time is needed to complete the appraisal assignment, the permittee may request an extension of the temporary practice permit. The request shall be submitted and received by the Board prior to the expiration of the original practice permit, shall be in writing, and shall include the following:

(1) temporary practice permit number;

(2) the amount of additional time needed to complete the assignment; and

(3) the reason the extension is necessary.

Upon receipt of the request, the Board shall extend the temporary practice privileges if it determines that additional time is needed to complete the assignment.

(d) An applicant for a temporary practice permit shall not begin performing any appraisal work in this State until the temporary practice permit has been issued by the Board. The Board shall deny an applicant who begins work before the permit is issued.

(e) Persons granted temporary practice privileges under this Rule shall only advertise or otherwise hold themselves out as being a North Carolina licensed or certified appraiser for the assignment for which they received the temporary practice permit. Any appraisal report for an appraisal of property located in North Carolina shall contain a copy of the temporary practice permit number for that assignment.

(f) A trainee shall not apply for a temporary practice permit. The term "trainee" shall include apprentices and others who are licensed and regulated by a state agency to perform real estate appraisals under the supervision of a certified appraiser. If a trainee not registered in this State inspects a property located in this State, the trainee shall be accompanied by the trainee's supervising appraiser. The trainee's supervisor shall be a North Carolina certified real estate appraiser. If not, the supervising appraiser shall be certified as a real estate appraiser in another state and shall receive a temporary practice permit for the assignment.

History

• Authority G.S. 93E-1-9; 93E-1-10; 12 U.S.C. 3351(a)
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; September 1, 2008; January 1, 2008; March 1, 2007; July 1, 2005; July 1, 2003; August 1, 2002; April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2022; May 1, 2020.

21 NCAC 57A .0211 APPLICANTS lICENSED OR CERTIFIED IN ANOTHER STATE

(a) Applicants for licensure or certification who are not licensed or certified in North Carolina but are licensed or certified in another State shall file an application as stated in Rule .0101 of this Subchapter. The application may be found on the Board's website at www.ncappraisalboard.org. The application requires:

(1) the applicant's name and contact information;

(2) the applicant's education background;

(3) the applicant's prior disciplinary and criminal history; and

(4) a sworn statement that the information in the application is correct.

Applicants who do not reside in North Carolina, shall consent to service of process in this State and file an affidavit of residency with the application. If the applicant is not active on the Appraisal Subcommittee's National Registry, the applicant shall file with the application a letter of good standing from the appraiser licensing board of any state where the applicant is licensed or certified no later than 30 days prior to the date application is made in this State.

(b) Applicants for licensure or certification shall obtain a criminal records check that complies with the requirements of G.S. 93E-1-6(c1).

(c) An appraiser whose license or certification is suspended in North Carolina shall not apply for licensure or certification in this State under this Rule while the license or certification is suspended. An appraiser whose license or certification was revoked in North Carolina shall not apply for licensure or certification in this State under this Rule for five years after the date of revocation.

History

• Authority G.S. 93E-1-6(c1); 93E-1-9 ; 93E-1-10; 93E-1-12(c)
• Eff. March 1, 2007
• Amended Eff. July 1, 2016; January 1, 2013; September 1, 2008; January 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. May 1, 2020.

21 NCAC 57A .0301 Time and Place

(a) Applicants who have completed the education and experience requirements for licensure or certification as set forth in G.S. 93E-1-6 shall be issued an examination authorization by the Board. The examination authorization is valid for 24 months from date of issuance.

(b) Examination results are valid for 24 months from the date the examination is completed, as set forth in the Real Property Appraiser Qualification Criteria as implemented by The Appraisal Foundation's Appraiser Qualifications Board, which is hereby incorporated by reference, including subsequent amendments and editions, and can be found at www.appraisalfoundation.org at no cost.

History

• Authority G.S. 93E-1-6(c); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; January 1, 2013; September 1, 2008; January 1, 2008; April 1, 2006; July 1, 2005; August 1, 2002; April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. August 1, 2024; May 1, 2020.

21 NCAC 57A .0302 Subject Matter and Passing Scores

History

• Status: repealed
• Authority G.S. 93E-1-6(c); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; January 1, 2013; September 1, 2008; March 1, 2007; April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Repealed Eff. May 1, 2020.

21 NCAC 57A .0303 Re-Examination

(a) Applicants for an appraiser license or certificate who fail to pass or appear for any examination for which the applicant has been scheduled by the Board-approved private testing service, may schedule a subsequent examination and shall pay the prescribed examination testing fees to the Board-approved private testing service.

(b) If an applicant fails the examination, the applicant shall wait a minimum of 30 days before retaking the examination. If the applicant does not pass the examination within 24 months from the date of issuance of the examination authorization, the applicant shall reapply for licensure or certification.

History

• Authority G.S. 93E-1-6; 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; January 1, 2013; September 1, 2008; July 1, 2005; August 1, 2002; April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. August 1, 2024.

21 NCAC 57A .0304 Cheating and Related Misconduct

Applicants shall not cheat or attempt to cheat on an examination by any means, including both giving and receiving assistance, and shall not communicate in any manner for any purpose with any person other than an examination supervisor during an examination. Violation of this Rule shall be grounds for dismissal from an examination, invalidation of examination scores, and denial of an appraiser certificate, as well as for disciplinary action if the applicant holds a trainee registration, an appraiser license or certificate.

History

• Authority G.S. 93E-1-6(c); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. January 1, 2013; August 1, 2002; April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57A .0305 Confidentiality of Examinations

History

• Status: repealed
• Authority G.S. 93E-1-6(c); 93E-1-10
• Eff. July 1, 1994
• Repealed Eff. April 1, 1999.

21 NCAC 57A .0306 Examination Review

History

• Status: repealed
• Authority G.S. 93E-1-6(c); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Repealed Eff. May 1, 2020.

21 NCAC 57A .0401 Use of Titles

(a) A trainee shall utilize either the term "registered trainee" or the term "trainee real estate appraiser" when performing an appraisal of real estate or any interest therein, and when referring to himself as a trainee.

(b) A licensed residential real estate appraiser shall utilize the term "licensed residential real estate appraiser" and a certified residential real estate appraiser shall utilize the term "certified residential real estate appraiser" when performing an appraisal of real estate or any interest therein, and when referring to himself or herself as an appraiser. A certified general real estate appraiser shall utilize the term "certified general real estate appraiser" when performing appraisals of all types of real estate or any interest therein, and when referring to himself or herself as an appraiser.

(c) Trainee registration, licensure or certification as a real estate appraiser is granted only to persons and does not extend to a business entity operated by a trainee, licensed or certified real estate appraiser.

History

• Authority G.S. 93E-1-10
• Eff. July 1, 1994
• Amended Eff. January 1, 2008; July 1, 2005; July 1, 2003; August 1, 2002; April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57A .0402 Registrations, Licenses and Certificates

The annual registration, license, or certificate renewal issued by the Board to each trainee, licensed, or certified real estate appraiser shall be retained by the trainee, licensee, or certificate holder as evidence of registration, licensure, or certification.

History

• Authority G.S. 93E-1-10
• Eff. July 1, 1994
• Amended Eff. March 1, 2006; August 1, 2002; April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2026; July 1, 2022.

21 NCAC 57A .0403 Advertising

(a) When advertising or otherwise holding himself or herself out as a trainee or real estate appraiser, a trainee shall identify himself or herself either as a "registered trainee" or as a "trainee real estate appraiser," a licensed residential real estate appraiser shall identify himself or herself as a "licensed residential real estate appraiser," a certified residential real estate appraiser shall identify himself or herself as a "certified residential real estate appraiser," and a certified general real estate appraiser shall identify himself or herself as a "certified general real estate appraiser".

(b) A registered trainee, licensed or certified real estate appraiser doing business as a partnership, association, corporation, or other business entity shall not represent in any manner to the public that the partnership, association, corporation, or other business entity is registered, licensed, or certified by the State of North Carolina to engage in the business of real estate appraising.

History

• Authority G.S. 93 E-1-3.1; 93E-1-10
• Eff. July 1, 1994
• Amended Eff. January 1, 2008; July 1, 2005; July 1, 2003; August 1, 2002; April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2026.

21 NCAC 57A .0404 Change of Name or Address

All trainees, licensees, and certificate holders shall notify the Board in writing of each change of business address, residence address, or name change within 10 days of the change. The trainee, licensee, or certificate holder shall submit the Request for Reissuance of Appraiser Wall Certificate Due to Name Change form. The form shall be accompanied by the fee prescribed in G.S. 93E-1-7(d). The form may be found on the Board's website at www.ncappraisalboard.org, and shall include the following information:

(1) licensee's previous name;

(2) licensee's new name;

(3) the date the name was legally changed;

(4) signature, date, and license number; and

(5) the legal documentation showing the name change.

History

• Authority G.S. 93E-1-10
• Eff. July 1, 1994
• Amended Eff. August 1, 2002; April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2022; May 1, 2020.

21 NCAC 57A .0405 Appraisal Reports

(a) Each written appraisal report prepared by or under the supervision of a licensed or certified real estate appraiser shall bear the signature of the licensed or certified appraiser, the license or certificate number of the licensee or certificate holder in whose name the appraisal report is issued, and the designation "licensed residential real estate appraiser," "certified residential real estate appraiser," or "certified general real estate appraiser," as applicable. Each appraisal report shall also state whether or not the licensed or certified appraiser has personally inspected the property, and shall identify in the body of the report any other person who assisted in the appraisal process other than by providing clerical assistance. Appraisers shall personally affix their signature to their appraisal reports and shall not allow any other person or entity to affix their signature. Trainees are not required to affix their signatures to appraisal reports, but if they do so, they must personally affix their signature and shall not allow any other person or entity to affix their signature. Trainees and appraisers shall sign their reports with the same name as it is printed on their license or certification.

(b) A licensed or certified real estate appraiser who signs an appraisal report prepared by another person, in any capacity, is responsible for the content and conclusions of the report.

(c) A written appraisal report shall be issued on all real estate appraisals performed in connection with federally related transactions.

(d) Appraisers shall keep a log of all appraisals performed. The log shall contain the appraiser's license or certificate number, the street address of the subject property, the date the report was signed, the name of anyone assisting in the preparation of the report, and the name of the client. These logs shall be updated at least every 30 days.

(e) Any appraiser who signs an appraisal report is entitled to make or retain a copy of that appraisal report, as long as the copy is made at the time the report is prepared. Any appraiser who signs or is listed as providing significant real property assistance in an appraisal report shall be given a copy of the appraisal reports and the workfiles, by the appraiser that has custody of the workfiles, upon request for purposes of: submission of the report and workfile to the Appraisal Board; compliance with due process of law, such as a subpoena; submission to a peer review committee; or in accordance with retrieval arrangements made by the appraiser and the person or entity retaining the report and workfile.

(f) Appraisal reports transmitted electronically to clients shall be sent in a secure format, such as Adobe PDF.

(g) An appraiser shall retain each version of an appraisal report transmitted to the client, to any intended user, or to any other party authorized by the client.

History

• Authority G.S. 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2011; July 1, 2010; September 1, 2008; January 1, 2008; March 1, 2007; March 1, 2006; July 1, 2003; August 1, 2002; April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2026; December 31, 2025.

21 NCAC 57A .0406 Business Practices

History

• Status: repealed
• Authority G.S. 93E-1-3(b); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2005; August 1, 2002; April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Repealed Eff. August 1, 2024.

21 NCAC 57A .0407 Supervision of trainees

(a) A certified real estate appraiser may engage a registered trainee to assist in the performance of real estate appraisals. In the alternative, applicants for licensure or certification may complete the requirements of a Practical Applications of Real Estate Appraisal (PAREA) program or Practicum course as established in the Real Property Appraiser Qualification Criteria and approved by The Appraisal Foundation's Appraiser Qualifications Board, shall submit a certificate of completion, and shall meet any additional requirements set forth in Rule .0601 of this Subchapter. Individuals choosing PAREA or Practicum are not required to register as a trainee.

(b) If a certified real estate appraiser engages a registered trainee to assist in the performance of real estate appraisals, the appraiser shall:

(1) have been certified for at least three years;

(2) have no more than three trainees working under his or her supervision at any one time;

(3) prior to the date any trainee begins performing appraisals under his or her supervision, the supervisor shall inform the Board of the name of the trainee by filing a Supervisor Declaration Form with the Board. The form may be found on the Board's website at www.ncappraisalboard.org. The supervisor shall also inform the Board when a trainee is no longer working under his or her supervision by submitting a new Supervisor Declaration Form. The form shall include the following information:

(A) the name and registration number of trainee;

(B) the name and certification number of supervisor;

(C) the date the trainee completed the supervisor/trainee course;

(D) the date the supervisor completed the supervisor/trainee course;

(E) whether the supervisor has had any disciplinary action within the past three years or pending complaints against his or her certification in any state; and

(F) the signature of both the supervisor and trainee (only required for association).

(4) actively and personally supervise the trainee on all appraisal reports and appraisal related activities until the trainee is no longer under his or her supervision;

(5) review all appraisal reports and supporting data used in connection with appraisals in which the services of a trainee is utilized, and assures that research of general and specific data has been conducted and reported, application of appraisal principles and methodologies has been applied, and that any analysis, opinions, or conclusions are developed and reported so that the appraisal report is not misleading;

(6) comply with all provisions of Rule .0405 of this Section regarding appraisal reports;

(7) review and sign the trainee's log of appraisals prepared in accordance with Paragraph (d) of this Rule. The supervisor shall make available to the trainee a copy of every appraisal report where the trainee documents appraisal experience on their experience log and the trainee's contribution is noted in the appraisal report, or the trainee signs the appraisal report; and

(8) not have received any disciplinary action against his or her appraisal certificate from the State of North Carolina or any other state within the previous three years. For the purposes of this Subparagraph, "disciplinary action" means an active suspension, a downgrade of a credential, a revocation, or any other action that restricts a supervisor's ability to engage in appraisal practice.

(c) "Active and personal supervision" includes direction, guidance, and support from the supervisor. The supervising appraiser shall have input into and knowledge of the appraisal report prior to its completion, and shall make any changes to the report before it is transmitted to the client. In addition, the supervisor shall accompany the trainee on the inspections of the subject property on the first 25 appraisal assignments or the first 750 hours of experience, whichever comes first for which the trainee either signs the appraisal report or is noted as providing significant appraisal assistance in the report, in compliance with Standard Rule 2(a) and Standard Rule 2(b) of the Uniform Standards of Professional Appraisal Practice. After that point, the trainee may perform the inspections without the presence of the supervisor provided that the supervisor is satisfied that the trainee is competent to perform those inspections.

(d) An appraisal experience log shall be maintained jointly by the supervisor and the trainee. Both the supervisor and the trainee are responsible for maintaining the experience log and ensuring that it is accurate, current, and includes the following:

(1) the trainee's name and signature;

(2) the supervisor's name and signature;

(3) the supervisor's certificate number;

(4) the date the supervisor signed the log;

(5) the subject property address;

(6) the date the appraisal report was signed;

(7) the report type, such as an appraisal report, a restricted appraisal report, or the type of reporting form used;

(8) the client's name;

(9) the trainee's file number for the appraisal assignment, if any;

(10) the number of verifiable work hours by the trainee on the assignment;

(11) whether the supervisory appraiser accompanied the trainee on the inspection of the subject property; and

(12) a description of the work performed by the trainee and the level of review and supervision of his or her supervisor on each assignment.

The log shall be updated at least every 30 days. A separate log shall be maintained for each supervising appraiser. A log form is available on the Board's website at www.ncappraisalboard.org.

(e) An appraiser shall complete the supervisor trainee course developed by the North Carolina Appraisal Board, within the past 10 years, prior to supervising a trainee. This course shall be taught only by instructors approved by the Board in accordance with 21 NCAC 57B .0614.

(f) Trainees shall ensure that the Appraisal Board has received the Supervisor Declaration Form on or before the day the trainee begins assisting the supervising appraiser by contacting the Board by telephone or email at ncab@ncab.org. The form may be found on the Board's website at www.ncappraisalboard.org. Trainees shall not receive appraisal experience credit for appraisals performed in violation of this Paragraph.

(g) Supervising appraisers shall not be employed by a trainee or by a company, firm, or partnership in which the trainee has a controlling interest.

(h) Only one trainee may receive credit for providing real property appraisal assistance on an appraisal report.

History

• Authority G.S. 93E-1-6.1; 93E-1-10; 93E-1-12
• Eff. July 1, 1994
• Amended Eff. January 1, 2015; July 1, 2014; January 1, 2013; July 1, 2010; September 1, 2008; January 1, 2008; March 1, 2007; March 1, 2006; July 1, 2005; August 1, 2002; April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2026; December 31, 2025; May 1, 2020; July 1, 2019.

21 NCAC 57A .0408 Supervision of Licensed and Certified Residential Appraisers

History

• Status: repealed
• Authority G.S. 93E-1-10
• Eff. July 1, 1994
• Repealed Eff. August 1, 2002.

21 NCAC 57A .0409 Reporting required actions

Whenever any of the actions outlined in G.S. 93E-1-12(b)(1),(2),(4),(5),(6) are taken against a trainee, licensee or certificate holder, the registration/license/certificate holder must report those actions to the Board within 60 days of the final judgment or final order on a form prescribed by the Board.

History

• Authority G.S. 93E-10; 93E-1-12(b)(7)
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57A .0410 Appraisal Management Companies

An appraiser who performs an appraisal for an appraisal management company (AMC) shall verify that the company is registered with the North Carolina Appraisal Board pursuant to G.S. 93E-2-4, unless the AMC is exempt from registration pursuant to G.S. 93E-2-2, before accepting the assignment.

History

• Authority G.S. 93E-2-1; 93E-2-3; 93E-2-4(a)
• Eff. January 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. September 1, 2021; May 1, 2020.

21 NCAC 57A .0501 Appraisal Standards

(a) Every registered trainee, and licensed and certified real estate appraiser, shall comply with the following provisions of the "Uniform Standards of Professional Appraisal Practice" (USPAP), promulgated by the Appraisal Standards Board of the Appraisal Foundation, all of which are incorporated by reference, including subsequent amendments and editions:

(1) Definitions;

(2) Preamble;

(3) Ethics Rule;

(4) Record Keeping Rule;

(5) Competency Rule;

(6) Scope of Work Rule;

(7) Jurisdictional Exception Rule; and

(8) Standards Rules 1, 2, 3, and 4.

(b) A copy of the USPAP document may be obtained from the Appraisal Foundation at https://www.appraisalfoundation.org. The cost for a copy of the USPAP document shall be no more than the fee set by the Appraisal Foundation.

History

• Authority G.S. 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2016; January 1, 2013; January 1, 2008; July 1, 2005; August 1, 2002; April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. August 1, 2024; July 1, 2022; August 1, 2018.

21 NCAC 57A .0601 reporting EXPERIENCE CREDIT

(a) Applicants for licensure or certification shall meet the Real Property Appraiser Qualification Criteria as implemented by The Appraisal Foundation's Appraiser Qualifications Board. An applicant shall obtain the required experience by performing or reviewing appraisals using appraisal methods and processes that are employed by real estate appraisers and shall comply with the edition of the Uniform Standards of Professional Appraisal Practice (USPAP) in effect at the time of the appraisal, in addition to meeting the applicable requirements set forth in this Section.

(b) Except as provided in Paragraphs (c) through (e) of this Rule, applicants shall use the Appraisal Board's appraisal experience log to report appraisal experience. The appraisal experience log is available on the Board's website at www.ncappraisalboard.org.

(1) The Log shall contain the following:

(A) the applicant's name and signature;

(B) the supervisor's name and signature;

(C) the supervisor's certificate number;

(D) the date the supervisor signed the log;

(E) the subject property address;

(F) the date the appraisal report was signed;

(G) the report type, such as an appraisal report, a restricted appraisal report, or the type of reporting form used;

(H) the client's name;

(I) the applicant's file number for the appraisal assignment, if any;

(J) the number of verifiable work hours by the trainee applicant on the assignment;

(K) whether the supervisory appraiser accompanied the applicant on the inspection of the subject property; and

(L) a description of the work performed by the applicant and the level of review and supervision by his or her supervisor on each assignment.

(c) In the alternative, applicants for licensure may complete the requirements of a Practical Applications of Real Estate Appraisal (PAREA) program as established in the Real Property Appraiser Qualification Criteria and approved by The Appraisal Foundation's Appraiser Qualifications Board, and shall submit a certificate of completion.

(d) In the alternative, applicants for residential certification may complete the requirements of a PAREA program, and shall submit a certificate of completion along with an experience log demonstrating they have completed at least 15 appraisal reports. The Appraisal Board shall select five reports and workfiles to review for compliance with USPAP.

(1) Applicants shall use the Appraisal Board's PAREA experience log to report appraisal experience. The PAREA experience log is available on the Board's website at www.ncappraisalboard.org.

(2) The PAREA experience log shall contain the following:

(A) the applicant's name and signature;

(B) the date the log was signed;

(C) the date the appraisal report was signed;

(D) the subject property address;

(E) the report type, such as an appraisal report, a restricted appraisal report, or the type of reporting form used;

(F) the property type; and

(G) a description of the work performed by the applicant.

(e) In the alternative, applicants for licensure or certification may complete a Practicum course as established in the Real Property Appraiser Qualification Criteria and approved by The Appraisal Foundation's Appraisal Qualifications Board, and shall submit a certificate of completion along with an experience log demonstrating they have completed at least 15 appraisal reports. The Board will select five reports to review for compliance with USPAP.

(1) Applicants shall use the Appraisal Board's Practicum experience log to report appraisal experience. The Practicum appraisal experience log is available on the Board's website at www.ncappraisalboard.org.

(2) The Practicum experience log shall contain the following:

(A) the applicant's name and signature;

(B) the instructor's name and signature;

(C) the instructor's certificate number;

(D) the date the log was signed;

(E) the subject property address;

(F) the date the appraisal report was signed;

(G) the report type, such as an appraisal report, a restricted appraisal report, or the type of reporting form used;

(H) the client's name, if any;

(I) the applicant's file number for the appraisal assignment, if any;

(J) the number of verifiable work hours by the trainee applicant on the assignment;

(K) whether the instructor accompanied the applicant on the inspection of the subject property; and

(L) a description of the work performed by the applicant and the level of review and supervision of his or her instructor on each assignment.

(f) Applicants shall retain all versions of all appraisal reports and their associated workfiles to support all appraisal experience reported on any experience log.

History

• Authority G.S. 93E-1-6.1; 93E-1-10
• Eff. July 1, 2016
• Amended Eff. July 1, 2026, December 31, 2025; May 1, 2020.

21 NCAC 57A .0602 Acceptable Experience – Residential Category

Appraising the following types of properties qualifies as residential appraisal experience:

(a) residential single-family;

(b) residential multi-family of 2 – 4 units;

(c) residential vacant lot (1 – 4 family property); and

(d) farm properties consisting of less than 100 acres and a homestead.

History

• Eff. July 1, 2016.

21 NCAC 57A .0603 Acceptable Experience – General Category

Appraising the following types of properties qualifies as general appraisal experience:

(1) land such as farms of 100 acres or more in size, undeveloped tracts, residential multi-family sites other than those listed in Rule .0602 of this Section, commercial sites, industrial sites, or land in transition;

(2) residential multi-family properties (5 or more units) such as apartments, condominiums, town-houses, or mobile home parks;

(3) commercial single-tenant properties such as office buildings, retail stores, restaurants, service stations, banks, or day care centers;

(4) commercial multi-tenant properties such as office buildings, hotels, or shopping centers;

(5) industrial properties such as warehouses or manufacturing plants; and

(6) institutional properties such as assisted living facilities, nursing homes, hospitals, schools, churches, or government buildings.

History

• Eff. July 1, 2016.

21 NCAC 57A .0604 Types of Appraisal Experience

(a) An applicant may receive experience credit for standard appraisals, review appraisals, and demonstration appraisals. In the alternative, applicants for licensure or certification may complete the requirements of a Practical Applications of Real Estate Appraisal (PAREA) program or Practicum course as established in the Real Property Appraiser Qualification Criteria and approved by The Appraisal Foundation's Appraiser Qualifications Board, shall submit a certificate of completion, and shall meet any additional requirements set forth in Rule .0601 of this Subchapter.

(b) A "standard appraisal" is the process of developing an appraisal in accordance with Uniform Standards of Professional Appraisal Practice (USPAP) and preparing a written or oral appraisal report or file memorandum describing the appraisal and reporting the estimate of value.

(c) A "review appraisal" is the process of reviewing an appraisal report in accordance with USPAP that is prepared by another appraiser and preparing a separate written or oral appraisal report or file memorandum setting forth the results of the review process.

(d) A "demonstration appraisal" is an appraisal performed without a client and in accordance with USPAP. If a trainee performs a demonstration appraisal, the trainee's supervisor shall sign the appraisal in order for the trainee to receive experience credit for it.

History

• Authority G.S. 93E-1-10
• Eff. July 1, 2016
• Amended Eff. July 1, 2026; December 31, 2025.

21 NCAC 57A .0605 Reporting Appraisal Experience

History

• Status: repealed
• Authority G.S. 93E-1-6.1; 93E-1-10
• Eff. July 1, 2016
• Amended Eff. December 31, 2025; September 1, 2019
• Repealed Eff. July 1, 2026.

Subchapter B

21 NCAC 57B .0101 Registered Trainee Course Requirements

(a) Each applicant for registration as a trainee shall meet the Real Property Appraiser Qualification Criteria as implemented by The Appraisal Foundation's Appraiser Qualifications Board.

(b) The Board shall approve all course sponsors, schools, and course content that qualify for credit. These courses shall be completed within the five-year period immediately preceding the date when application for registration is made to the Board by the applicant.

(c) Before the application may be granted by the Board, the applicant shall complete the supervisor-trainee course as set forth in 21 NCAC 57A .0407 (e).

History

• Authority G.S. 93E-1-6(a); 93E-1-8(a); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. January 1, 2015; January 1, 2013; July 1, 2010; September 1, 2008; January 1, 2008; July 1, 2005; July 1, 2003; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. September 1, 2026; February 1, 2024; July 1, 2022; May 1, 2020.

21 NCAC 57B .0102 Licensed Residential and Certified Residential Real Estate Appraiser Course Requirements

History

• Status: repealed
• Authority G.S. 93E-1-6(a); 93E-1-6(b); 93E-1-6(c); 93E-1-8(a); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. January 1, 2015; July 1, 2014; January 1, 2013; July 1, 2010; September 1, 2008; January 1, 2008; March 1, 2007; July 1, 2005; July 1, 2003; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. March 21, 2019
• Repealed Eff. May 1, 2020.

21 NCAC 57B .0103 Certified General Real Estate Appraiser Course Requirements

History

• Status: repealed
• Authority G.S. 93E-1-6(a); 93E-1-6(b); 93E-1-6(c); 93E-1-8(a); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. January 1, 2015; July 1, 2014; January 1, 2013; July 1, 2010; September 1, 2008; January 1, 2008; March 1, 2007; July 1, 2005; July 1, 2003; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. March 21, 2019
• Repealed Eff. May 1, 2020.

21 NCAC 57B .0104 Course Exemptions for Equivalent Education

History

• Status: repealed
• Authority G.S. 93E-1-6(a); 93E-1-10
• Eff. July 1, 1994
• Repealed Eff. July 1, 2014.

21 NCAC 57B .0201 Purpose and Applicability

This Section establishes criteria for approval and operational requirements for all real estate appraisal qualifying course sponsors and schools. These standards shall be satisfied in order for course sponsors and schools to obtain and maintain approval of their courses for appraiser qualifying education credit. Schools and course sponsors shall obtain course approval from the Board prior to conducting qualifying courses and prior to advertising or otherwise representing that a course is or may be approved for credit in North Carolina.

History

• Authority G.S. 93E-1-8(a); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; September 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57B .0202 Application for Approval

Schools and other course sponsors seeking approval to conduct real estate appraisal qualifying courses shall make written application to the Board. The application form may be found on the Board's website at www.ncappraisalboard.org.

History

• Authority G.S. 93E-1-8(a); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; September 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57B .0203 Criteria for Approval

Approval to conduct real estate appraisal qualifying courses shall be granted to a school or course sponsor when it is shown to the satisfaction of the Board that:

(1) the school or course sponsor has submitted a completed application form. The form may be found at the Board's website at www.ncappraisalboard.org;

(2) the school or course sponsor complies with the standards described in this Section; and

(3) the courses to be conducted comply with the standards described in Section .0300 of this Subchapter.

History

• Authority G.S. 93E-1-8(a); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; September 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57B .0204 Facilities and Equipment

(a) Classrooms shall be of sufficient size to accommodate comfortably all students enrolled in a course, shall have adequate light, heat, cooling and ventilation and shall be free of distractions which would disrupt class sessions.

(b) Classrooms shall contain a student desk or worktable space for each student that contains sufficient area for each student.

(c) Sponsors are required to comply with all applicable local, state and federal laws and regulations regarding safety, health and sanitation. Sponsors shall furnish the Board with inspection reports from appropriate local building, health and fire inspectors upon the request of the Board.

(d) Sponsors must supply separate restroom facilities for males and females.

(e) Classes may not be held in a personal residence under any circumstances.

History

• Authority G.S. 93E-1-8(a); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. January 1, 2008; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57B .0205 Enrollment Contracts

Schools and course sponsors shall execute a written contract with each student enrolled and shall provide a copy of such contract to the student. Such contract shall state the amount of tuition and fees paid, the school's policy regarding refund of tuition and fees, and the title and dates of the courses for which the student is enrolled.

History

• Authority G.S. 93E-1-8(a); 93E-1-10
• Eff. July 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57B .0206 Admissions Policy and Practice

Schools and course sponsors shall not discriminate in their admissions policy, practice or general operations against any person on the basis of age, sex, race, color, creed, national origin, religious preference or handicap. A statement to this effect shall be included in all bulletins, catalogues or similar official publications.

History

• Authority G.S. 93E-1-8(a); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57B .0207 Administration

One person shall be designated as the Director for each approved school or course sponsor and shall be responsible for administrative matters such as program development, scheduling of classes, advertising, maintenance of facilities and equipment, record keeping, and general supervision of the instruction program. The Director shall ensure that the policies and general operations of the school or course sponsor comply with the provisions of Sections .0200 and .0300 of this Subchapter. Except for the approved schools or course sponsors offering only the 8-hour Valuation Bias and Fair Housing course, the Director shall meet the fitness standards for applicants for trainee registration or appraiser licensure or certification. The Director shall:

(1) have a baccalaureate or higher degree in the field of education; or

(2) have at least two years full time experience within the past 10 years as an instructor or school administrator; or

(3) meet the minimum appraisal education and experience qualifications listed in 21 NCAC 57B .0306 to teach either the residential or general appraisal precertification courses; or

(4) possess qualifications which are found by the Board to be substantially equivalent to Item (1), (2), or (3) of this Rule.

History

• Authority G.S. 93E-1-8(a); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; September 1, 2008; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2026.

21 NCAC 57B .0208 Accommodations for Persons with Disabilities

The Board may suspend, revoke, or deny renewal of approval of a real estate school or course sponsor to conduct appraiser qualifying courses upon finding that any court of competent jurisdiction has found the school or course sponsor official or instructor in the employ of the school or course sponsor to be in violation of any applicable federal or state law or regulation prohibiting discrimination on the basis of disability, requiring that courses related to certification for professional or trade purposes be offered in a place and manner accessible to persons with disabilities.

History

• Authority G.S. 93E-1-8(a); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; September 1, 2008; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57B .0209 Certification of Course Completion

Approved schools or course sponsors must provide each passing student with a course completion certificate. Certificates of course completion shall be on a document bearing the letterhead or insignia of the school or course sponsor and shall have the signature or signature stamp of the school or course sponsor director. A student who has taken a qualifying course, other than the 15 hour National USPAP course, for continuing education credit and who does not pass the examination shall not be given a course completion certificate, but shall be given a certificate of attendance for the course, provided that the student complies with the provisions of 21 NCAC 57B .0303. Either certificate is valid to obtain continuing education credit, in accordance with 21 NCAC 57B .0604.

History

• Authority G.S. 93E-1-8(a); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; September 1, 2008; January 1, 2008; July 1, 2005; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57B .0210 Course Records

Schools and course sponsors shall:

(1) retain on file for five years copies of all grade and attendance records for each approved course and shall make such records available to the Board upon request;

(2) retain on file for two years a master copy of each final course examination, which shall include the answer key, course title, course dates, and name of instructor. Examination file copies shall be made available to the Board upon request;

(3) within 15 days of course completion, submit to the Board a roster of all students who completed the course; and

(4) provide each student with contact information for the Appraisal Board so that students may contact the Board with questions or concerns regarding the course.

History

• Authority G.S. 93E-1-8(a); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. January 1, 2013; January 1, 2008; March 1, 2007; July 1, 2005; July 1, 2003; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2022.

21 NCAC 57B .0211 Program Changes

Approved schools and course sponsors must notify the Board of any changes to be made with respect to course content, course completion standards, instructors, school director or textbooks as prescribed in Section .0300 of this Subchapter. Requests for approval of such changes must be in writing, and must be sent to the Board at least 15 calendar days before the proposed change would take effect. In the event of an emergency, such as the disability, death or unforeseen departure of the instructor or school director, where it is not possible to request approval of a change at least 15 days in advance, the school must request such change immediately but no later than the end of the next business day via fax, telephone or other electronic means.

History

• Authority G.S. 93E-1-8(a); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. March 1, 2006; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57B .0212 Withdrawal or Denial of Board Approval

The Board may deny or withdraw approval of any school or course sponsor upon finding that:

(1) the school or course sponsor director has refused or failed to comply with any of the provisions of Sections .0200 and .0300 of this Subchapter;

(2) the school or course sponsor has made any false statements or presented any false information in connection with an application for Board approval or renewal of the sponsor or its courses; or

(3) the school or course sponsor director has performed any act which constitutes improper, fraudulent, or dishonest conduct.

History

• Authority G.S. 93E-1-8(a); 93E-1-10
• Eff. July 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57B .0301 Purpose

This Section establishes minimum standards for real estate appraisal qualifying courses prescribed by G.S. 93E-1-6(a).

History

• Authority G.S. 93E-1-8(a); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; September 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57B .0302 Course Content

(a) All courses shall consist of instruction in the subject areas outlined in the Real Property Appraiser Qualification Criteria as implemented by The Appraisal Foundation's Appraiser Qualifications Board, which is hereby incorporated by reference, including subsequent amendments and editions, and can be found at www.appraisalfoundation.org at no cost.

(b) Partial credit shall be awarded when only part of the course covers the subject areas outlined in the Real Property Appraiser Qualification Criteria as implemented by The Appraisal Foundation's Appraiser Qualifications Board.

(c) On or before the first class meeting day of the Basic Appraisal Principles course, the instructor shall give to each student a handout prepared by the Board regarding the trainee registration process and the process to upgrade to a licensed or certified appraiser. The student handout may be accessed on the Board's website at www.ncappraisalboard.org.

History

• Authority G.S. 93E-1-6; 93E-1-8(a); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; September 1, 2008; January 1, 2008; July 1, 2005; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. August 1, 2024; May 1, 2020; September 1, 2019.

21 NCAC 57B .0303 Course Completion Standards

(a) Academic standards for course completion shall assure that students receiving a passing grade possess knowledge and understanding of the subject areas prescribed for the course. A student's grade shall be based on his or her performance on examinations, graded homework, and class work assignments.

(b) Course completion requirements shall include a comprehensive final examination that accounts for at least 50 percent of a student's grade for the course. Open book final examinations shall be prohibited. Schools and course sponsors may, within 90 days of the course ending date, allow a student one opportunity to make up any missed course examination or to retake any failed course examination without repeating the course; however, any make up examination shall be comparable to the initial examination with regard to the number of questions and overall difficulty, and at least 75 percent of the questions in the make up examination shall be different from those used in the initial examination.

(c) The final examination shall be proctored in person or remotely. If in person, the proctor shall:

(1) require photographic identification from the applicant, such as a driver's license or a passport;

(2) not allow a student to bring any personal items such as a backpack, purse, briefcase, or device that would enable the student to access the internet during the examination; and

(3) be the school or course sponsor director, an employee of the school or course sponsor, or the instructor for the course. If a director, employee, or instructor is not available to proctor the examination, the school or course sponsor shall employ an official to serve as a proctor. Officials that may serve as proctors include a public librarian, notary public, attorney, police officer, or teacher. A proctor shall not be a family member or friend of a student unless that person is the director, an employee, or an instructor of the school or the course sponsor.

(d) If the final examination is proctored remotely, the proctor shall ensure that it is a closed book exam with no study materials available during the exam, through continuously observing the student remotely from a web camera or through use of software with bio-metric proctoring.

(e) The instructor may offer additional hours of instruction so that students may make up lost hours of instruction.

(f) Students who are taking a qualifying course, other than the 15 hour National USPAP course, for continuing education credit, may sit for the final course examination, but they shall not be required to pass the examination in order to receive continuing education credit. Students who take and pass the examination, and who comply with the provisions of this Rule shall be given a course completion certificate. Students who do not take and pass the examination but who otherwise comply with the provisions of this Rule shall be given a certificate of attendance. The requirements set forth in a conditional dismissal, consent order, or order of the Board after a hearing shall not be modified by the provisions of this Paragraph.

History

• Authority G.S. 93E-1-8(a); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2016; July 1, 2014; July 1, 2010; September 1, 2008; July 1, 2005; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2022.

21 NCAC 57B .0304 Course scheduling

(a) All courses shall have fixed beginning and ending dates. Late enrollment shall be permitted only if the enrolling student satisfies the attendance requirements set forth in Paragraph (e) of Rule .0303 of this Section.

(b) Courses shall be scheduled in a manner that provides for class meetings of up to eight classroom hours in any given day.

(c) A classroom hour consists of 50 minutes of classroom instruction. Classroom breaks at the rate of 10 minutes per classroom hour shall be scheduled; however, instructors shall not use accumulated, unused break time to end the class early.

(d) Instruction shall be given for the minimum hours as set forth in the Real Property Appraiser Qualifications Criteria as implemented by The Appraisal Foundation's Appraiser Qualifications Board.

(e) All courses, except asynchronous distance education courses, shall have a minimum of three students in attendance in order for the course to be held.

History

• Authority G.S. 93E-1-8(a); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2016; July 1, 2010; January 1, 2008; July 1, 2005; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2022; May 1, 2020.

21 NCAC 57B .0305 Textbooks

Each course must utilize a textbook or course materials which are approved by the Board as well as any additional instructional materials which may be prescribed by the Board for such course.

History

• Authority G.S. 93E-1-8(a); 93E-1-10
• Eff. July 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57B .0306 Instructor Requirements

(a) Except for guest lecturers as set forth in Paragraph (b) of this Rule, all courses that qualify for credit pursuant to this Section shall be taught by instructors who meet the following minimum qualifications:

(1) for residential appraiser courses, the instructor shall:

(A) have two years' full-time experience, consisting of 1500 hours per year, as a certified residential or general real estate appraiser within the previous five years, with at least one-half of the experience in residential property appraising; and

(B) be a current certified residential or general real estate appraiser.

(2) for general appraiser courses, the instructor shall:

(A) have three years' full-time experience as a general real estate appraiser within the previous five years, with at least one-half of the experience in income property appraising; and

(B) currently be and has been a certified general real estate appraiser for at least five years.

(3) for USPAP courses, the instructor shall:

(A) currently be a certified residential or a certified general appraiser; and

(B) be certified by the Appraiser Qualifications Board of the Appraisal Foundation as an instructor for the National USPAP Course. If a USPAP instructor fails to renew or loses his or her certification by the Appraiser Qualifications Board, the instructor shall stop teaching and notify the Appraisal Board of the loss of certification.

(4) for statistics, modeling and finance courses, the instructor shall:

(A) have previously completed the statistics, modeling and finance course; or

(B) have completed three semester hours of statistics from a regionally accredited college or university.

(5) for the 8-hour Valuation Bias and Fair Housing Laws and Regulations courses that do not have course approval through The Appraisal Foundation's Appraisal Qualifications Board Course Approval Program, the instructor shall:

(A) have a bachelor's degree in any field and three years of experience directly related to the subject matter to be taught;

(B) have a master's degree in any field and one year of experience directly related to the subject matter to be taught;

(C) have a master's or higher degree in a field that is directly related to the subject matter to be taught;

(D) have five years of real estate appraisal teaching experience directly related to the subject matter to be taught; or

(E) be a certified residential or certified general appraiser and have previously completed the 8-hour Valuation Bias and Fair Housing Laws and Regulations class within five years of application.

(b) Guest lecturers who do not possess the qualifications set forth in Paragraph (a) of this Rule may teach collectively up to one-fourth of any course, if each guest lecturer possesses education and experience in the subject area about which the lecturer is teaching.

(c) Instructors shall conduct their classes in a manner that demonstrates knowledge of the subject matter being taught and mastery of the following teaching skills:

(1) The ability to utilize illustrative examples, and to respond to questions from students;

(2) The ability to utilize varied instructive techniques other than straight lecture, such as class discussion;

(3) The ability to utilize instructional aids to enhance learning;

(4) The ability to maintain a learning environment and control of a class; and

(6) The ability to interact with students in a professional and non-discriminatory manner.

(d) Upon request of the Board, an instructor or proposed instructor shall submit to the Board a recording that depicts the instructor teaching portions of a qualifying course, in order to ensure that all requirements of this Rule are being met.

(e) The inquiry into determining whether to approve an instructor shall include consideration of whether the instructor has ever had any disciplinary action taken or has a disciplinary action pending against his or her appraisal license or certificate or any other professional license or certificate in North Carolina or any other state. If the instructor has any pending criminal charges in this or any state, they shall be reviewed as set forth in G.S. 93B-8.1 in determining whether to approve the instructor. An instructor shall not have received any disciplinary action against his or her appraisal license or certificate from the State of North Carolina or any other state within the previous two years. For the purposes of this Section, disciplinary action means a reprimand, suspension (whether active or inactive), or a revocation.

(f) Proposed qualifying course instructors who do not meet the minimum appraisal education and experience qualifications listed in Paragraph (a) of this Rule, and who seek to have their qualifications determined by the Board to be equivalent to the qualifications listed in Paragraph (a) of this Rule, shall supply the Board with copies of sample appraisal reports or other evidence of experience.

(g) Persons desiring to become instructors for qualifying courses shall file an instructor application for qualifying education and be approved by the Board. There is no fee for application for instructor approval. Once an instructor has been approved to teach a specific qualifying course, that person may teach the course at any school or for any course sponsor approved by the Appraisal Board to offer qualifying courses. The instructor application form shall include the following information:

(1) the instructor's name, address, phone number, and email address;

(2) a list of course providers the instructor will be teaching for;

(3) the programs the instructor is seeking approval for;

(4) the instructor's licensing and certification history;

(5) whether the instructor has ever been denied a trainee registration, or appraiser license, or certificate in this State or any other state;

(6) whether the instructor has any disciplinary action taken against a trainee registration, appraiser license or certificate in NC or any other state;

(7) whether the instructor has had any disciplinary action within the past three years or pending complaints or charges pending against any professional license in this State;

(8) the instructor's college education, appraisal education, appraisal experience, and description of work experience; and

(9) the signature of applicant.

(h) Current Appraisal Board members shall not be eligible to teach qualifying courses during their term of office on the Board.

(i) Approval of qualifying education course instructors expires on December 31 immediately following the date of approval. Applications for renewal of Board approval shall be filed with the Board annually on or before December 1.

History

• Authority G.S. 93E-1-8(a); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; July 1, 2010; September 1, 2008; March 1, 2007; March 1, 2006; July 1, 2005; July 1, 2003; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2026; June 1, 2020; May 1, 2020; July 1, 2019.

21 NCAC 57B .0307 Criteria for Course Recognition

(a) Schools and course sponsors seeking to offer appraiser qualifying courses shall make written application to the Board and pay applicable fees as required by G.S. 93E-1-8(b). The application may be accessed on the Board's website at www.ncappraisalboard.org. This application shall include:

(1) the name of school, mailing address, and phone number;

(2) the name and email address of the school owner and contact person;

(3) the name of the school's Director pursuant to Rule .0207 of this Subchapter;

(4) whether the school owner(s), Director, or any proposed instructor have had any criminal convictions or had any disciplinary action taken against a professional license;

(5) whether the classroom facilities meet the minimum requirements in Rule .0204 of this Subchapter;

(6) the courses they are seeking approval for;

(7) the proposed instructors for the courses; and

(8) the applicant's signature.

(b) Appraisal subject matter electives offered for credit pursuant to the Real Property Appraiser Qualification Criteria as implemented by The Appraisal Foundation's Appraiser Qualifications Board shall meet all other requirements of this Chapter. The content of these electives shall be related to the appraisal of real property to be approved for credit. Appraisal subject matter elective courses shall contain a minimum of 15 hours.

(c) The 15 hour USPAP course shall be as approved by the Appraiser Qualifications Board of the Appraisal Foundation.

(d) The application shall state the name of the instructor for each course. All instructors shall be approved by the Board pursuant to Rule .0306 of this Section. After the course is approved, if a school or course sponsor seeks to change instructors, the school shall notify the Board of the name of the new instructor at least seven calendar days before the proposed change would take effect. If the proposed instructor is not currently approved in accordance with Rule .0306 of this Section, the instructor shall be approved by the Board before the school or course sponsor may allow the instructor to start instructing.

(e) Course sponsors may offer all qualifying classes via distance education, as set forth in the Real Property Appraiser Qualification Criteria as implemented by The Appraisal Foundation's Appraiser Qualifications Board. The Board shall be provided access to the course online and shall not be charged any fee for such access. To be approved for credit, an online qualifying education course shall meet all of the conditions imposed by the Rules in this Subchapter. A course completion certificate shall be forwarded to the student as stated in Rule .0607 of this Subchapter.

History

• Authority G.S. 93E-1-8(a); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; July 1, 2010; September 1, 2008; January 1, 2008; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2022; May 1, 2020.

21 NCAC 57B .0401 Applicability

This Section applies to private real estate appraisal schools offering qualifying courses, appraisal trade organizations and to all other course sponsors other than North Carolina colleges, universities, community, or technical colleges accredited by the Southern Association of Colleges and Schools, and agencies of the federal, State or local government.

History

• Authority G.S. 93E-1-8(a),(b); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; September 1, 2008; January 1, 2008; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57B .0402 Original Course Approval Fee

The original prelicensing and precertification approval fee shall be that specified in G.S. 93E-1-8(b). The fee shall be paid to the North Carolina Appraisal Board and is non-refundable. Schools and course sponsors may offer approved courses as frequently as is desired during the period for which approval is granted without paying additional course fees.

History

• Authority G.S. 93E-1-8(b); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. January 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2022.

21 NCAC 57B .0403 Fee for Renewal of Course Approval

(a) Board approval of courses expires on the next December 31 following the date of issuance. In order to assure continuous approval of courses, applications for renewal of Board approval, accompanied by the renewal fee specified in G.S. 93E-1-8(b), must be filed with the Board annually on or before December 1. Applications which are incomplete, as well as all applications for renewal of course approval submitted after December 1, shall be treated as original course approval applications.

(b) The fee is non-refundable.

History

• Authority G.S. 93E-1-8(a),(b); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. January 1, 2008; March 1, 2006; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57B .0501 Applicability

History

• Status: repealed
• Authority G.S. 93E-1-8(a),(b); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. March 1, 2006; August 1, 2002
• Repealed Eff. January 1, 2008.

21 NCAC 57B .0502 Original Course Approval Fee

History

• Status: repealed
• Authority G.S. 93E-1-8(a),(b); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. March 1, 2006; August 1, 2002
• Repealed Eff. January 1, 2008.

21 NCAC 57B .0503 Fee For Renewal of Course Approval

History

• Status: repealed
• Authority G.S. 93E-1-8(a),(b); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. March 1, 2006; August 1, 2002
• Repealed Eff. January 1, 2008.

21 NCAC 57B .0601 Purpose and Applicability

This Section establishes minimum standards for appraisal continuing education courses authorized by G.S. 93E-1-8 (c) and required by Rule .0204 of Subchapter 57A. These standards must be satisfied in order for course sponsors to obtain and maintain approval of their courses for appraiser continuing education credit. Except as provided in Rule .0602(a) of this Section, any school, organization, agency, individual, or other entity is eligible to become a continuing education course sponsor. Course sponsors must obtain course approval from the Board prior to conducting the course for continuing education credit and prior to advertising or otherwise representing that a course is or may be approved for continuing education credit in North Carolina. To request credit for a continuing education course which has not been approved by the Board, a trainee, licensee or certificate holder must follow the procedure set forth in 21 NCAC 57A .0204(g).

History

• Authority G.S. 93E-1-8(c); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. September 1, 2019.

21 NCAC 57B .0602 Application And Fee

(a) Course sponsors seeking approval of appraisal continuing education courses shall make written application to the Board. A course sponsor shall be the owner of the proprietary rights to the course for which approval is sought or shall have the permission of the course owner to seek course approval. After receipt of a completed application, the Board shall review the application pursuant to the criteria set forth in 21 NCAC 57B .0603 and shall notify the sponsor of its decision.

(b) The original application fee shall be that specified in G.S. 93E-1-8(d) for each course for which approval is sought. A fee is not required if the course sponsor is an accredited North Carolina college, university, junior college, or community or technical college, or if the course sponsor is an agency of the federal, state, or local government. A course sponsor may offer approved courses as frequently as is desired during the period for which approval is granted without paying additional fees.

(c) Each application shall be accompanied by copies of all course materials, including handbooks, slides, overheads, and other non-published materials. The application shall also include the title, author, publisher and edition for each published textbook. Each application shall also have a timed outline for the course.

(d) The application shall state the name of the instructor for the course.

History

• Authority G.S. 93E-1-8(c),(d)
• Eff. July 1, 1994
• Amended Eff. January 1, 2008; March 1, 2006; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2022.

21 NCAC 57B .0603 Criteria for Course Approval

The following requirements shall be satisfied in order for course sponsors to obtain approval of a course for appraiser continuing education credit:

(1) The subject matter of the course shall comply with the requirements of Rule .0204 of Subchapter 57A and the information to be provided in the course shall be both accurate and current.

(2) The course shall involve a minimum of two hours of instruction on acceptable subject matter as outlined in 21 NCAC 57A .0204(c). A classroom hour consists of 50 minutes of classroom instruction and 10 minutes of break time. Instruction shall be given for the full number of hours for which credit is given. Instructors shall not accumulate unused break time to end the class early.

(3) The course instructor(s) shall:

(a) possess the fitness for licensure required of applicants for trainee registration, real estate appraiser licensure, or certification; and

(b) have either:

(i) two years' full-time experience that is related to the subject matter to be taught;

(ii) a baccalaureate or higher degree in a field that is related to the subject matter to be taught;

(iii) two years' full-time experience teaching the subject matter to be taught; or

(iv) an equivalent combination of such education and experience.

(4) The course shall be one involving a qualified instructor who, except as noted in Item (5) of this Rule, shall be physically present in the classroom at all times, and shall personally provide the instruction for the course. The course instructor may utilize video instruction, or similar types of instruction by other persons to enhance or supplement his or her personal instruction; however, such other persons shall not be considered to be the course instructor and the course instructor shall be physically present when such indirect instruction by other persons is being utilized. The instructor shall comply with Rule .0306(c) of this Subchapter. Instructors for the National USPAP courses shall be certified by the Appraiser Qualifications Board of the Appraisal Foundation. Current Appraisal Board members shall not teach continuing education courses during their term of office on the Board.

(5) Course sponsors may offer all continuing education classes via distance education as set forth in the Real Property Appraiser Qualification Criteria as implemented by The Appraisal Foundation's Appraiser Qualifications Board. A sponsor seeking approval of a computer-based education course shall provide the Board access to the course via the internet at a date and time satisfactory to the Board and the Board shall not be charged any fee for such access. A course completion certificate shall be forwarded to the student as stated in Rule .0607 of this Section, and a course roster shall be sent to the Appraisal Board in accordance with Rule .0608 of this Section.

(6) The course shall be an educational program intended to improve the knowledge, skill and competence of trainees, and licensed and certified real estate appraisers.

(7) The course sponsor shall certify that the course shall be conducted in accordance with the operational requirements stated in Rule .0606 of this Section and that the course sponsor will comply with all other applicable rules contained in this Section.

(8) The course title shall not include the words "Uniform Standards of Professional Appraisal Practice" or "USPAP" unless the course is either the 15-hour National USPAP course or the 7-hour National USPAP Continuing Education course. If the course is the 7-hour National USPAP Continuing Education course, the course title shall state which edition of USPAP will be taught in that specific course.

(9) Each course shall utilize a textbook or course materials that have been approved by the Board.

(10) If the course content is related to technology, such as software, hardware, electronic devices, manuals, or databases, the course shall be developed specifically for utilization in the real estate appraisal business in order to be approved for continuing education credit. Such courses shall not require the student to purchase specific products, and the course shall not be used to sell or advertise particular products or software.

History

• Authority G.S. 93E-1-8(c); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. January 1, 2015; July 1, 2010; January 1, 2008; March 1, 2007; March 1, 2006; July 1, 2005; July 1, 2003; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2026; February 1, 2024; July 1, 2022; September 1, 2019.

21 NCAC 57B .0604 Qualifying Courses

(a) Appraisal qualifying courses conducted by North Carolina approved schools or by appraisal trade organizations which are approved as equivalent to the North Carolina qualifying courses may be separately approved as appraisal continuing education courses. Trainees, licensed, and certified appraisers may obtain continuing education credit for these courses only to the extent permitted by Rule .0204 of Subchapter 57A. Appraisal trade organizations shall at all times assure compliance with Rules .0606, .0607, and .0608 of this Section in order to retain such approval for these courses.

(b) It is presumed that any person taking any of the qualifying courses is doing so for registration, licensure, or certification purposes. If the person wishes to obtain continuing education credit for the course, he or she shall request such credit in writing and shall send the original course completion certificate or course attendance certificate with the request.

History

• Authority G.S. 93E-1-8(c); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; September 1, 2008; March 1, 2007; July 1, 2005; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57B .0605 Continuing Education Credit Hours

The course approval issued to a course sponsor shall include the number of hours of continuing education credit that will be awarded for the course. The minimum number of continuing education credit hours awarded for a course shall be two hours, and the maximum number of continuing education credit hours awarded for a course, regardless of its length, shall be thirty hours. Continuing education credit hours shall not be carried forward into subsequent licensing periods. No continuing education credit shall be awarded for courses taken before the student was registered as a trainee or licensed or certified as an appraiser in this state or any other state.

History

• Authority G.S. 93E-1-8(c); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; January 1, 2013; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2022.

21 NCAC 57B .0606 Course Operational Requirements

Course sponsors shall maintain compliance with Rule .0603 of this Section and shall also comply with the following requirements:

(1) Courses shall last a maximum of eight classroom hours in any day. A classroom hour shall consist of 50 minutes of classroom instruction and ten minutes of break time.

(2) Course sponsors shall not utilize advertising of any type that is false or misleading about the course content, number of hours of credit that have been awarded by the Board, or credentials of instructor. Sponsors shall specify the number of continuing education credit hours awarded by the Board for the course.

(3) Course sponsors shall, upon request, provide any prospective student a description of the course content regarding the instruction to be provided in the course.

(4) Courses conducted in a facility shall meet the following requirements:

(a) contains a student chair, desk or worktable space for each student;

(b) is free of noise or visual distractions that disrupt class sessions;

(c) complies with all applicable local, state and federal laws and regulations regarding safety, health, and sanitation; and

(d) Classes shall not be held in a personal residence.

(5) Attendance shall be monitored during all class sessions to ensure compliance with the attendance requirement. Instruction shall be given for the number of hours for which credit is given. Instructors shall not accumulate unused break time to end the class early.

(6) Instructors shall require student attentiveness during class sessions. Students shall not be permitted to engage in activities that are not related to the instruction being provided.

(7) Course sponsors for which an application fee is required by Rules .0602(b) and .0611(b) of this Section shall have course cancellation and fee refund policies. In the event a scheduled course is canceled, efforts shall be made to notify preregistered students of the cancellation and all prepaid fees received from such preregistered students shall be refunded within 30 days of the date of cancellation or, with the student's permission, applied toward the fees for another course.

(8) Upon request of the Board, in order to ensure compliance with the requirements of this Rule, the course sponsor shall submit to the Board a recording that depicts the instructor teaching portions of any continuing education course.

(9) Course sponsors shall provide the Board in writing or via an electronic link to the sponsors' website with the dates and locations of all classes the sponsor is offering in North Carolina at least 10 calendar days before the class is offered, unless circumstances beyond the control of the course sponsor require that the course be rescheduled, such as a weather emergency. If the dates or location of the classes change after such information is provided to the Board, the course sponsor shall notify the Board of such changes within five days of the rescheduled date in writing or via an electronic link.

(10) Course sponsors shall provide each student with contact information for the Appraisal Board.

(11) If an instructor has any disciplinary action taken against his or her appraisal license or any other professional license in North Carolina or any other state, or if the instructor has been convicted of or pled guilty to any misdemeanor or felony, the school or course sponsor shall report that fact to the Board within 15 business days.

(12) All courses, except asynchronous distance education courses, shall have a minimum number of three students enrolled in the course in order for the course to take place.

History

• Authority G.S. 93E-1-8(c); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. January 1, 2013; July 1, 2010; January 1, 2008; March 1, 2007; July 1, 2005; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. September 1, 2026; July 1, 2022; May 1, 2020; July 1, 2019.

21 NCAC 57B .0607 Certification of Course Completion

Course sponsors must issue a certificate of course completion within 15 days of completion of the course to all students who satisfactorily complete an approved course. If the course sponsor is located in North Carolina, the certificate, which the student must retain for a period of two years, must bear the signature or signature stamp of a person designated by the course sponsor to sign such certificate. North Carolina-based course sponsors must notify the Board in advance of the person(s) designated to sign certificates of course completion for courses conducted in North Carolina. If the course sponsor is not located in North Carolina, the certificate of course completion must show the name of the course sponsor, the name of the course, the number of classroom hours, the course dates, the state or city where the course was conducted, and the full name of the student.

History

• Authority G.S. 93E-1-8(c); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. January 1, 2013; January 1, 2008; July 1, 2003; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57B .0608 Sponsor reporting of continuing EDUCATION credit

Course sponsors shall, within 15 days of course completion, submit to the Board a roster of all North Carolina registered trainees, licensed and certified appraisers, who completed the course.

History

• Authority G.S. 93E-1-8(c); 93E-1-1
• Eff. July 1, 1994
• Amended Eff. July 1, 2010; January 1, 2008; July 1, 2005; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2022.

21 NCAC 57B .0609 changes during the approval period

(a) Course sponsors shall obtain advance approval from the Board for any changes to be made in approved courses with regard to the number of hours, course content, or instructors. Requests for approval of such changes shall be in writing, and shall be sent to the Board at least 15 calendar days before the proposed change would take effect.

(b) In the event of an emergency, such as the disability, death, or unforeseen departure of the instructor or school director, where it is not possible to request approval of a change at least 15 days in advance, the school shall request such change immediately but no later than the end of the next business day to the Board office via email to: ncab@ncab.org.

History

• Authority G.S. 93E-1-8(c); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. March 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2022.

21 NCAC 57B .0610 Course Records

Course sponsors must retain on file for three years records of student registration and attendance for each approved course that is conducted and must make such records available to the Board upon request.

History

• Authority G.S. 93E-1-8(c); 93E-1-10
• Eff. July 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57B .0611 Renewal of Approval and Fees

(a) Board approval of appraisal continuing education courses (except the seven hour National USPAP Continuing Education course) expires on the next December 31 following the date of issuance. In order to assure continuous approval, applications for renewal of Board approval, accompanied by the prescribed renewal fee, must be filed with the Board annually on or before December 1. All applications for renewal of course approval received on or before December 1, which are incomplete as of that date, as well as all applications for renewal of course approval submitted after December 1, shall be treated as original applications for approval of continuing education courses. Schools and course sponsors must send a copy of all course materials every third renewal of a continuing education course.

(b) The annual fee for renewal of Board approval shall be that specified in G.S. 93E-1-8(d) for each course for which renewal of approval is requested, provided that no fee is required for course sponsors that are exempted from original application fees by Rule .0602(b) of this Section. The fee is non-refundable.

(c) Application for approval of the even-numbered year edition of the seven hour National USPAP Continuing Education course shall be made when the instructor for the course has been certified by the Appraiser Qualifications Board of the Appraisal Foundation to teach that edition of USPAP. Such approval shall expire on December 31 of the following even numbered year. This course approval may be renewed in the fall of the even-numbered year, and shall expire on September 30 of the following odd-numbered year.

History

• Authority G.S. 93E-1-8(c),(d); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. January 1, 2013; July 1, 2010; January 1, 2008; March 1, 2007; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. February 1, 2024.

21 NCAC 57B .0612 Withdrawal Or Denial Of Approval

The Board may deny or withdraw approval of any course upon finding that:

(1) the course sponsor has made any false statements or presented any false information in connection with an application for course approval or renewal of course approval;

(2) the course sponsor has refused or failed to comply with any of the provisions of this Section;

(3) the course sponsor has engaged in a pattern of consistently canceling scheduled courses;

(4) the school or course sponsor has offered or held a continuing education course stating that the students will receive continuing education credit from the North Carolina Appraisal Board when it is not approved to do so;

(5) the instruction provided in a course is of unsatisfactory quality; or

(6) the instructor failed to demonstrate effective teaching skills.

(7) the instructor has had disciplinary action taken on his or her appraisal license or any other professional license in North Carolina or any other state, or has been convicted of or pleaded guilty to any criminal act.

History

• Authority G.S. 93E-1-8(c); 93E-1-10
• Eff. July 1, 1994
• Amended Eff. January 1, 2008; March 1, 2006; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57B .0613 payment of fee required by g.s. 93E-1-7(b1)

Schools and course sponsors who are required by G.S. 93E-1-7(b1) to pay a fee to the Board for each licensee completing an approved continuing education course conducted by the school or course sponsor shall remit the fee to the Board upon uploading the course roster online.

History

• Authority G.S. 93E-1-7; 93E-1-10
• Eff. September 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. May 1, 2020; July 1, 2018.

21 NCAC 57B .0614 INSTRUCTORS FOR THE supervisor/trainee COURSE

(a) Instructors for the supervisor/trainee course set forth in G.S. 93E-1-6.1 shall meet the requirements of a supervisor as outlined in 21 NCAC 57A .0407(b)(1) and (b)(8).

(b) Persons who wish to teach the supervisor/trainee course shall be approved by the Board before they may teach this course. Approval of a supervisor/trainee course instructor authorizes the instructor to teach the course for any approved course sponsor.

(c) Applicants who wish to become instructors for the supervisor/trainee course shall, within three years of applying, complete the trainee supervision course with a Board approved sponsor, before they may be approved.

(d) Approval of supervisor/trainee course instructors expires on December 31 immediately following the date of approval. Applications for renewal of Board approval shall be filed with the Board annually on or before December 1.

History

• Authority G.S. 93E-1-6.1; 93E-1-8(c); 93E-1-10
• Eff. July 1, 2014
• Amended Eff. July 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2026; July 1, 2022; May 1, 2020.

21 NCAC 57B .0615 Emergency Provisions for EXTENSION for remote learning for Qualifying Education, Continuing Education and taking of licensing examination

History

• Status: expired
• Authority; G.S. 93E-1-6; 93E-1-7; 93E-1-8; 93E-2-6; S.L. 2020-97, s. 3.20; S.L. 2021-3, s. 2.11
• Emergency Adoption Eff. April 1, 2020
• Emergency Adoption Eff. May 21, 2020 to expire pursuant to S.L. 2020-3, s. 4.38 (e)
• Emergency Adoption Expired Eff. August 1, 2020 pursuant to S.L. 2020-3, s. 4.38 (e)
• Emergency Adoption Eff. October 19, 2020 to expire pursuant to S.L. 2020-97, s. 3.20(e)
• Emergency Adoption Eff. March 26, 2021 to expire pursuant to S.L. 2021-3, s. 2.11(a)
• Emergency Adoption Expired Eff. December 31, 2021.

Subchapter C

21 NCAC 57C .0101 Form of Complaints and Other Pleadings

(a) Complaints shall be in writing and contain the following information:

(1) name of the trainee, appraiser, or appraisal management company;

(2) name of the complainant;

(3) physical address and contact information of the complainant; and

(4) the facts that form the basis of the complaint.

(b) When a complaint is received by the Board it shall be considered an allegation. The Board staff shall review the allegation to determine whether it shall be investigated, including examination of the appraisal report, if applicable, which shall be requested from the appraiser, and if based on this information there appears to be no violations of USPAP or any of the Board rules or statutes, then the allegations shall not be further investigated and will be dismissed. A three-panel committee of the Board shall review this decision.

(c) If the three-panel committee determine that further investigation is required, then a formal complaint shall be opened, and the Board staff shall request a response and the entire workfile from the appraiser and shall proceed to investigate the matter.

(d) After the review as set forth above, when the Board staff investigates a complaint, the scope of the investigation shall not be limited to the persons or transactions described or alleged in the complaint.

(e) Complainants are not parties to contested cases heard by the Board, but may be witnesses in the cases.

(f) There is no specific form required for answers, motions, or other pleadings submitted prior to the hearing relating to contested cases before the Board, except they shall be in writing. The document shall identify the file number and state the matters it alleges, answers, or requests. Motions may be made on the record during the course of the hearing before the Board.

(g) After the review as set forth above, during the course of an investigation of a complaint, the Board, through its legal counsel or staff, may send a trainee, appraiser, or appraisal management company one or more letters of inquiry requesting a response from the trainee, appraiser, or appraisal management company. The initial letter of inquiry, or attachments thereto, shall set forth the subject matter being investigated. Upon receipt of a letter of inquiry, the trainee, appraiser, or appraisal management company shall respond within 30 calendar days. The response shall include copies of all documents requested in a letter of inquiry.

(h) Hearings in contested cases before the Board shall be governed by the provisions of Article 3A of Chapter 150B of the General Statutes.

(i) A complaint shall not be accepted if the applicable time period for retention of the work file for that appraisal assignment pursuant to the Recordkeeping Rule of the Uniform Standards of Professional Appraisal Practice has expired. This Section does not apply to complaints involving the actions outlined in G.S. 93E-1-12(b)(1),(2),(4), and (5).

History

• Authority G.S. 93E-1-10; 93E-1-12; 93E-2-3; 93E-2-8
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; January 1, 2011; July 1, 2003; August 1, 2002
• Readopted Eff. July 1, 2018
• Amended Eff. May 1, 2020.

21 NCAC 57C .0102 Presiding Officer

(a) The Appraisal Board may designate any of its members to preside over the hearing in a contested case. When no designation is made, the Chair of the Board shall preside, or, in his absence, the Vice Chair shall preside. The presiding officer shall rule on motions or other requests made in a contested case prior to the conduct of the hearing in that case except when the ruling on the motion would be dispositive of the case. When the ruling on a motion or request would be dispositive of the case, the presiding officer shall make no ruling and the motion or request shall be determined by a majority of the Board.

(b) The Chair of the Board may allow the Board's Executive Director to grant the first request for a continuance of a hearing. Any subsequent requests for continuance shall be granted by the Chair of the Board. The granting of a continuance is wholly discretionary.

History

• Authority G.S. 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2003; August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. September 1, 2026.

21 NCAC 57C .0103 Subpoenas

(a) The Executive Director of the Appraisal Board and the Board's Legal Counsel shall have the authority to issue subpoenas in the name of the Board.

(b) The presiding officer in a contested case shall also have the authority to issue subpoenas relating to that contested case.

History

• Authority G.S. 93E-1-10
• Eff. July 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57C .0104 Petition to Reopen Proceeding

(a) After a final decision has been reached by the Board in a contested case, a party may petition the Board to reconsider a case. Petitions will not be granted except when the petitioner can show that the reasons for reconsidering the case are to introduce newly discovered evidence which was not presented at the initial hearing because of some justifiable, excusable or unavoidable circumstance. Upon the running of the 30 day period for seeking judicial review, such petitions will have no effect. Petitions for reopening the proceedings shall not toll the 30 days available for seeking judicial review, as provided in G.S. 150B-45.

(b) Decisions on petitions to reopen cases are within the discretion of the Board.

History

• Authority G.S. 93E-1-10
• Eff. July 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57C .0201 Petition for Rulemaking Hearings

(a) Any person wishing to file a petition requesting the adoption, amendment or repeal of a rule by the Board shall file a written petition with the Executive Director.

(b) The petition shall include the following information:

(1) name, address and occupation of petitioner;

(2) a summary of the proposed action (adoption, amendment or repeal of a rule or rules);

(3) a draft of the proposed rule or other action;

(4) a complete statement of the reason for the proposed action; and

(5) an identification of the persons or class of persons most likely to be affected by the proposed action.

(c) The Board shall decide whether to allow or deny a rule-making petition.

History

• Authority G.S. 93E-1-10; 150B-20
• Eff. July 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57C .0301 Written Submissions

Any person may file a written submission containing data, comments or arguments after publication of a rule-making notice and prior to the decision of the Board to adopt, amend or repeal the rule or rules in question. Written submissions shall be addressed to the Board and shall clearly state the rule or proposed rule to which the comments are directed.

History

• Authority G.S. 93E-1-10; 150B-21.2(e)
• Eff. July 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57C .0302 Presiding Officer

The presiding officer at any rule-making hearing shall have control of the proceedings, including: recognition of speakers, time allotments for presentations, the right to question speakers, direction of the discussion, and management of the hearing.

History

• Authority G.S. 93E-1-10
• Eff. July 1, 1994
• Amended Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57C .0303 Record of Proceedings

A record of rule-making proceedings will be available for public inspection during regular office hours at the Board's office. This record will contain the original petition, if any, the notice, all written memoranda and information submitted, and a record or summary of oral presentations, if any, and, in any case where a proposal was rejected, the reason therefor.

History

• Authority G.S. 93E-1-10; 150B-21
• Eff. July 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57C .0401 Requests for Rulings: Disposition of Requests

(a) All requests for declaratory rulings shall be written and filed with the Board. The request must contain the following information:

(1) the name, address and signature of petitioner;

(2) a concise statement of the manner in which petitioner is aggrieved by the rule or statute in question, or its potential application to him;

(3) a statement of the interpretation given the statute or rule in question by petitioner;

(4) a statement of the reasons, including any legal authorities, in support of the interpretation given the statute or rule by petitioner.

(b) The Board shall either deny the request, stating the reasons therefor, or issue a declaratory ruling. When in its discretion, the Board determines that the issuance of a declaratory ruling is undesirable, it may refuse to issue such ruling.

(c) The Board shall not issue a declaratory ruling when the petitioner or his or her request is the subject of, or materially related to, a matter under investigation by the Board or a contested case before the Board.

History

• Authority G.S. 93E-1-10
• Eff. July 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

Subchapter D

21 NCAC 57D .0101 Form

An appraisal management company that wishes to file an application for an appraisal management company certificate of registration may obtain the required form upon request to the Board or on the Board's website at www.ncappraisalboard.org. The appraisal management company shall submit an application to the Board by mail that includes the following information:

(1) the legal name of the applicant;

(2) the name under which the applicant will do business in North Carolina;

(3) the type of business entity;

(4) the address of its principal office;

(5) the applicant's NC Secretary of State Identification Number if required to be registered with the Office of the NC Secretary of State;

(6) a completed application for approval of the compliance manager, as set forth in G.S. 93E-2-5;

(7) any past criminal conviction of and any pending criminal charge against the compliance manager and any person or entity that owns over 10 percent of the appraisal management company;

(8) any past revocation, surrender in lieu of revocation, cancellation, refusal, or denial of an appraisal license of any person or entity that owns any part, directly or indirectly, of the appraisal management company;

(9) any disciplinary action taken against the applicant, including the effective date of the disciplinary action and whether the applicant has complied;

(10) other States where the applicant is registered to operate, if applicable;

(11) applicant's employer identification number (EIN);

(12) if a general partnership, a description of the applicant entity, including a copy of its written partnership agreement or, if no written agreement exists, a written description of the rights and duties of the several partners;

(13) if a business entity other than a corporation, limited liability company, or partnership, a description of the organization of the applicant entity, including a copy of its organizational documents;

(14) if a foreign business entity, a certificate of authority to transact business in North Carolina and an executed consent to service of process and pleadings;

(15) a certification that the applicant has obtained a surety bond as required by G.S. 93E 2-4(g);

(16) the name, address, and contact information for any individual or business entity that directly or indirectly owns over 10 percent of the appraisal management company; and

(17) the annual size of the appraisal panel, in this state and nationwide, of the appraisal management company for the previous calendar year.

History

• Authority G.S. 93E-2-4; 93E-2-5; 93E-2-8
• Eff. January 1, 2011
• Amended Eff. July 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. August 1, 2024; May 1, 2020.

21 NCAC 57D .0102 Filing and Fees

(a) Each application for registration shall be accompanied by the required application fee. The Board shall reject and return to the applicant any application which is incomplete or not accompanied by the required fee or fees. Application fees accompanying complete applications are not refundable.

(b) The application fee shall be thirty-five hundred dollars ($3,500).

(c) Payment of application fees shall be made by certified check, bank check or money order payable to the North Carolina Appraisal Board.

(d) In the event that the Board asks an applicant to submit updated information or provide further information necessary to complete the application and the applicant fails to submit such information within 90 days following the Board's request, the Board shall cancel the applicant's application and the application fee shall be retained by the Board. An applicant whose application has been cancelled and who wishes to obtain a registration must start the process over by filing a complete application with the Board and paying all required fees.

(e) An applicant may request that its application be withdrawn at any time before final action is taken by the Appraisal Board on the application. The application fee shall not be refunded.

History

• Authority G.S. 93E-2-3; 93E-2-4; 93E-2-6
• Eff. January 1, 2011
• Amended Eff. January 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57D .0201 Fitness for Registration

(a) The Appraisal Board shall consider the fitness for registration of each applicant. When the fitness of an applicant is in question, action by the Board shall be deferred until the applicant has affirmatively demonstrated that the applicant possesses the requisite competency, truthfulness, honesty and integrity.

(b) When the application is deferred, the Board shall notify the applicant and the applicant shall be entitled to demonstrate his or her fitness for registration at a hearing before the Board.

(c) The inquiry into fitness for registration shall include consideration of whether the applicant has had any disciplinary action taken against any professional license in North Carolina or any other state, and whether the applicant has committed or done any act which would be grounds for disciplinary action including the suspension or revocation of registration, and whether the applicant has been convicted of or pleaded guilty to any criminal act, and whether any such actions or charges are pending.

(d) All applicants shall obtain a criminal records check pursuant to G.S. 93E-2-11. This records check must have been performed within 60 days of the date the completed application for registration is received by the Board. Applicants shall pay all required fees required to perform the check.

(e) Notice to the applicant that its competency or fitness for registration is in question shall be in writing, sent by certified mail, return receipt requested, to the address shown upon the application. The applicant has 60 days from the date of receipt of this notice to request a hearing before the Board. Failure to request a hearing within this time constitutes a waiver of the applicant's right to a hearing on its application for registration, and the application shall be deemed denied. Nothing in this Rule shall be interpreted to prevent an applicant from reapplying for registration.

(f) For the purposes of this Section, "applicant" shall mean any person owning 10 percent or more of the appraisal management company.

History

• Authority G.S. 93E-2-3; 93E-2-4; 93E-2-11
• Eff. February 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57D .0202 Registration Renewal

(a) All registrations shall expire on June 30 of each year, unless renewed during the renewal period. The renewal period shall be from May 1 through June 30 of each year.

(b) A holder of an appraisal management company registration applying for renewal of registration shall apply in writing upon the form provided by the Board or log into the licensee login section on the Board's website and shall pay the renewal fee. The renewal fee shall be two-thousand dollars ($2,000). The renewal fee is not refundable on or after July 1.

(c) The renewal form shall include the following:

(1) The appraisal management company's name and registration number;

(2) the contact person for renewal;

(3) the updated address for the company, service of process agent, direct and indirect owners of more than 10 percent, and compliance manager, if applicable;

(4) whether the company owner(s) or compliance manager, as set forth in G.S. 93E-2-5, have had an appraiser credential refused, denied, cancelled, surrendered in lieu of revocation, or revoked in any state;

(5) a copy of the surety bond that expires no sooner than June 30th of the year following renewal;

(6) the signature of the applicant; and

(7) the operation type, total number of appraisers on the panel in North Carolina for the previous calendar year, the total number of appraisers on the panel nationwide for the previous calendar year, and the number of appraisers on the panel who performed one or more appraisals in connection with a covered transaction in North Carolina for the previous calendar year.

(d) In addition to the renewal fee, an appraisal management company shall submit with its renewal the annual appraisal management company registry fee required by the Appraisal Subcommittee pursuant to 12 C.F.R. 1102.402. The fee shall then be transmitted by the Board to the Appraisal Subcommittee.

(e) Any company who acts or holds itself out as a registered appraisal management company while its appraisal management company registration is expired shall be subject to disciplinary action and penalties in G.S. 93E-2-8 and G.S. 93E-2-10.

History

• Authority G.S. 93E-2-3; 93E-2-4; 93E-2-5; 93E-2-6; 93E-2-8; 93E-2-10
• Eff. January 1, 2011
• Amended Eff. July 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. August 1, 2024; July 1, 2022; July 1, 2018.

21 NCAC 57D .0203 Expired Registration

(a) Expired registrations may be reinstated within six months after expiration upon proper application and payment to the Board of the renewal fee of two thousand dollars ($2,000) and the late filing fee of twenty dollars ($20.00) for each month or part thereof that the registration is lapsed, not to exceed one hundred twenty dollars ($120.00).

(b) Reinstatement is not retroactive.

History

• Authority G.S. 93E-2-3; 93E-2-6
• Eff. January 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57D .0204 Payment of Fees to the Board

Payments to the Board for fees that are returned unpaid are cause for registration denial, suspension, or revocation.

History

• Authority G.S. 93E-2-3; 93E-2-8(a)(7)
• Eff. January 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2026.

21 NCAC 57D .0301 Use of Registration Number

A real estate appraisal management company shall state its North Carolina registration number on any appraisal order for a property located in North Carolina.

History

• Authority G.S. 93E-2-3
• Eff. January 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57D .0302 CHANGE IN registration & REPORTING REQUIREMENTS

(a) Appraisal management companies shall notify the Board in writing of each change of name, trade name, federal identification number, organizational status, ownership structure, compliance manager, surety bond, registered agent, business address, telephone number, or email address within 10 business days of said change. The business address and email address provided shall enable the Board to electronically correspond with and physically locate the appraisal management company.

(b) If an appraisal management company intends to change its designated compliance manager or direct or indirect owner, it must notify the Board at least 10 business days before the effective date of the intended change and submit an application for approval of the designated compliance manager or any new direct or indirect owner who will own more than ten percent of the appraisal management company. The application shall include a criminal records check pursuant to G.S. 93E-2-11.

(c) If the appraisal management company has an unexpected change to its designated compliance manager or direct or indirect owner and is unable to provide at least 10 business days' notice of the change, the company shall have 10 business days from the unexpected change to notify the Board. An unexpected change shall consist of: death, sudden termination or resignation, injury, or illness. An application shall be submitted to the Board, which shall include a criminal records check pursuant to G.S. 93E-2-11, within 15 business days of when an interim designated compliance manager, a new designated compliance manager, or any new direct or indirect owner that owns more than ten percent of the appraisal management company as a result of the unexpected change, is appointed, hired, or otherwise determined.

(d) Appraisal management companies shall notify the Board in writing within 10 business days of any event that may cause the applicant or registration to be disciplined in accordance with G.S. 93E-2-8(a).

History

• Authority G.S. 93E-2-3; 93E-2-4; 93E-2-5; 93E-2-8; 93E-2-9
• Eff. January 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. August 1, 2024.

21 NCAC 57D .0303 Compliance Manager

(a) A compliance manager shall be designated with the Board for each appraisal management company. The compliance manager shall be a certified real estate appraiser certified under G.S. 93E, Article I or in another state.

(b) An appraisal management company shall file an application with the Board for approval of the designated compliance manager. This application shall provide the Board with the compliance manager's name, mailing and physical address, and phone and email contact information, and shall be signed by the designated compliance manager. The application may be accessed at the Board's website at www.ncappraisalboard.org.

(c) The designated compliance manager shall obtain a criminal records check pursuant to 93E-2-11. Applicants shall pay all required fees to perform the check. This records check shall have been performed within 60 days of the date the completed application is received by the Board. The criminal records check results must be attached to the application for approval as a compliance manager.

(d) The designated compliance manager is responsible for:

(1) notifying the Board of any change of trade name or contact information of the appraisal management company and the registration of any assumed business name adopted by the appraisal management company for its use;

(2) the retention and maintenance of records relating to appraisals conducted by or on behalf of the appraisal management company;

(3) the maintenance of a record of all appraisers in North Carolina who perform appraisals for the appraisal management company, including a log of payments to appraisers; and

(4) the conduct of advertising of appraisal management services by or in the name of the appraisal management company.

(e) If an appraisal management company intends to change its compliance manager, it must submit an application for approval of the new compliance manager at least 10 business days before the effective date of the change.

(f) If a compliance manager leaves the appraisal management company and the company is unable to give at least 10 days' notice of the change, the company shall have 15 business days from the date the compliance manager leaves to obtain a new compliance manager.

History

• Authority G.S. 93E-2-3; 93E-2-4(b); 93E-2-5
• Eff. January 1, 2011
• Amended Eff. July 1, 2014
• Readopted Eff. July 1, 2018.

21 NCAC 57D .0304 Appraiser Qualifications

An appraisal management company shall assure that any appraiser being added to its appraiser panel to appraise properties in North Carolina holds a license in good standing in this State pursuant to the North Carolina Appraisers Act. The appraisal management company shall verify the status of the appraiser by contacting the North Carolina Appraisal Board or by utilizing the National Registry of the Appraisal Subcommittee.

History

• Authority G.S. 93E-2-3; 93E-2-4(f)
• Eff. January 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57D .0305 Appraiser Competency

Before an appraiser is added to a panel, an appraisal management company shall require the appraiser to declare in writing the appraiser's areas of geographic competency, the types of properties the appraiser is competent to appraise, and the methodologies the appraiser is competent to perform. The appraisal management company shall request the appraiser to update this information at least annually, and shall keep copies of any such declarations for a period of five years from the date they are submitted.

History

• Authority G.S. 93E-2-3; 93E-2-4(b)
• Eff. January 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2026.

21 NCAC 57D .0306 Appraisal Review

An appraisal management company shall review the work of all independent appraisers that are performing real estate appraisal services for the appraisal management company to validate that the real estate appraisal services are being conducted in accordance with USPAP. An appraisal management company is not required to review all appraisals performed by each appraiser, but may choose a representative sample of each appraiser's reports. An appraisal management company must review each appraiser's work at least once a year, and shall keep records of such reviews for a period of five years from the date they are done.

History

• Authority G.S. 93E-2-3; 93E-2-4(b); 93E-2-9
• Eff. January 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. September 1, 2026.

21 NCAC 57D .0307 Records

(a) An appraisal management company shall maintain a record of each request it receives for its services in North Carolina. If an appraisal is ordered, the record shall include the name of the appraiser who performs the appraisal, the physical address or legal identification of the subject property, the name of the appraisal management company's client for the appraisal, and the amount paid to the appraiser.

(b) The Board shall maintain a list of all applicants for registration under this Article that includes for each applicant the date of application, the name and primary business location of the applicant, phone and email contact information, and whether the registration was granted or refused.

(c) A registered appraisal management company shall maintain the accounts, correspondence, memoranda, papers, books, and other records related to services provided by the appraisal management company. Such records may be maintained in electronic form. All records shall be preserved for five years.

(d) If the information contained in any document filed with the Board is or becomes inaccurate or incomplete in any material respect, the appraisal management company shall file a correcting amendment to the information contained in the document to the Board within 10 days of the change.

History

• Authority G.S. 93E-2-3; 93E-2-9
• Eff. January 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57D .0308 Production of Records

If an appraisal management company is requested to produce books and records to the Appraisal Board pursuant to G.S. 93E-2-8(g) or 93E-2-8(i), the appraisal management company shall produce those records so that they may be viewed in the Appraisal Board's office in Raleigh, North Carolina. Books and records shall be produced in writing, by computer disc or by electronic delivery. If the appraisal management company is unable to comply, the company shall pay all costs associated with viewing the records in another location.

History

• Authority G.S. 93E-2-3; 93E-2-8
• Eff. January 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57D .0309 Complaints Against Appraisers

(a) If an appraisal management company believes that a real estate appraiser licensed in this State has violated applicable law or the Uniform Standards of Professional Appraisal Practice or has engaged in unethical conduct, it shall file a complaint with the Board. If the complaint relates to an appraisal, it shall be filed within 90 days of the date the appraisal is submitted to the appraisal management company. The complaint form may be found on the Board's website at www.ncappraisalboard.org.

(b) The complaint shall state the name and contact information for the person at the appraisal management company who should be contacted during the investigation into the complaint. This person shall have knowledge of the basis for the complaint and shall be able to produce records required by the investigation.

History

• Authority G.S. 93E-2-3; 93E-2-4(c)
• Eff. January 1, 2011
• Amended Eff. July 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57D .0310 Payment of Fees to Appraisers

(a) Appraisal management companies shall pay fees to an appraiser within 30 days of the date the appraisal is first transmitted by the real estate appraiser to the company as follows:

(1) If payment is made by electronic means, the funds for the fee shall be deposited into the appraiser's account so that they are available to the appraiser on the 31st day following the date the appraisal is first transmitted to the company.

(2) If payment is made by check, the check shall be postmarked no later than the 30th day following the date the appraisal is first transmitted to the company.

(b) If an appraisal management company decides that it will not pay a fee to an appraiser for an appraisal, the appraisal management company shall notify the appraiser in writing of the reason for nonpayment. Such notice shall be sent to the appraiser within 30 days after the date the appraiser first transmits the appraisal to the appraisal management company by any established method that provides proof of delivery, including registered mail, return receipt requested. The notice shall state the address of the subject property of the appraisal, the name of the appraiser(s) signing the report, and the reason why the fee shall not be paid. The notice shall also notify the appraiser of any dispute resolution process that the appraisal management company may have in place.

History

• Authority G.S. 93E-2-3; 93E-2-4(d)
• Eff. January 1, 2011
• Amended Eff. July 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57D .0311 Removal of an Appraiser from an Appraisal Panel

(a) If an appraisal management company decides to remove an independent appraiser from its list of qualified appraisers, the appraisal management company shall notify the appraiser in writing of the reason for removal.

(b) Such notice shall be sent to the appraiser by any method that provides proof of delivery, including registered mail, return receipt requested.

(c) If applicable, the notice shall include a description of the appraiser's illegal conduct, substandard performance, or otherwise improper or unprofessional behavior, or of any violation of the Uniform Standards of Professional Appraisal Practice or State licensing standards.

(d) The appraisal management company shall also notify the appraiser of any dispute resolution process that it may have in place through which the appraiser may dispute the removal.

(e) An appraisal management company shall not remove an appraiser from its panel in retaliation for the appraiser filing a complaint with the Board against the company.

History

• Authority G.S. 93E-2-3; 93E-2-7(a)
• Eff. January 1, 2011
• Amended Eff. January 1, 2013
• Readopted Eff. July 1, 2018.

21 NCAC 57D .0312 Requesting Additional Information from an Appraiser

An appraisal management company may request that a real estate appraiser who performs an appraisal for the appraisal management company provide additional information as follows:

(1) An appraisal management company may request that the appraiser consider additional appropriate property information including relevant sales data and property characteristics. Such request shall be made within 30 days of the date the appraisal is first transmitted by the appraiser to the appraisal management company.

(2) An appraisal management company may request that the appraiser provide further detail, substantiation, or explanation for the appraiser's value conclusion, or to correct errors in an appraisal report. There is no time limit on such requests.

(3) Any request under this Rule shall be sent to the appraiser in writing or by electronic means.

History

• Authority G.S. 93E-2-3; 93E-2-7
• Eff. January 1, 2011
• Amended Eff. January 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

21 NCAC 57D .0401 Business Practices

(a) An appraisal management company shall not:

(1) prohibit an appraiser from stating on an appraisal the fee the appraiser was paid by the company for the appraisal;

(2) prohibit an appraiser from stating on an appraisal the appraiser's primary business address; or

(3) prohibit an appraiser from informing a property owner, lender, or any other person or entity the appraiser's primary business address.

(b) An appraisal management company shall conduct its appraisal management services in accordance with the requirements of Section 129E(a)-(i) of the Truth in Lending Act, 15 U.S.C. 1639e(a)-(i), and regulations thereunder, incorporated herein by reference including all subsequent amendments, and may be found on the Board website at www.ncappraisalboard.org/additional-resources at no cost.

History

• Authority G.S. 93E-2-3; 93E-2-7
• Eff. January 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. July 1, 2026.

21 NCAC 57D .0403 Criminal Background Checks

(a) A criminal background check for the purpose of this Rule shall meet the requirements of 21 NCAC 57A .0202(e).

(b) If an appraisal management company requests a background check from an appraiser and that appraiser has had a criminal background check performed within the preceding twelve months, it shall be the responsibility of the appraiser to provide a complete copy of that background check to the appraisal management company.

(c) If an appraisal management company's client requires a background check that is more comprehensive than the one required under G.S. 93E-1-6(c1) and codified in 21 NCAC 57A .0202(e), nothing in this Rule prohibits the client from obtaining that background check as long as the appraiser is not required to pay for that background check.

(d) An appraisal management company may obtain more than one background check on an appraiser in a 12 month period as long as the appraiser is not required to pay for that additional background check.

(e) An appraiser who alters, amends, or otherwise changes the results of a criminal background check submitted to an appraisal management company or a lender or who knowingly submits a background check that has been altered shall be subject to discipline pursuant to G.S. 93E-1-12.

History

• Authority G.S. 93E-2-3; 93E-2-4(h)
• Eff. July 1, 2016.

Chapter 58 Real Estate Commission

Subchapter A

21 NCAC 58A .0101 Proof of Licensure

(a) The pocket card issued by the Commission annually to each broker shall be retained by the broker as evidence of licensure. Each broker shall produce a legible form of the card as proof of licensure whenever requested while engaging in real estate brokerage.

(b) Every licensed real estate business entity or firm shall prominently display its license certificate or a copy of its license certificate in each office maintained by the entity or firm. A broker-in-charge shall also display his or her license certificate in the office where he or she is broker-in-charge.

(c) A replacement real estate license or pocket card may be obtained by:

(1) submitting a written request to the Commission that includes the broker or firm's:

(A) legal name;

(B) license number;

(C) physical and mailing address;

(D) phone number;

(E) email address;

(F) proof of legal name change pursuant to Rule .0103 of this Section, if applicable; and

(G) signature; and

(2) paying a five dollar ($5.00) duplicate license fee.

History

• Authority G.S. 93A-3(c); 93A-4
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. July 1, 2017; July 1, 2005; April 1, 2004; October 1, 2000; September 1, 1998; August 1, 1998; April 1, 1997; February 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .0102 Branch Office

History

• Status: repealed
• Authority G.S. 93A-3(c)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. September 1, 1983
• Repealed Eff. May 1, 1984.

21 NCAC 58A .0103 broker NAME AND ADDRESS

(a) Upon initial licensure, every broker shall notify the Commission of the broker's current personal name, firm name, trade name, residence address, firm address, telephone number, and email address. All addresses provided to the Commission shall be sufficiently descriptive to enable the Commission to correspond with and locate the broker.

(b) Every broker shall notify the Commission in writing of each change of personal name, firm name, trade name, residence address, firm address, telephone number, and email address within 10 days of said change. A broker notifying the Commission of a change of legal name or firm name shall also provide evidence of a legal name change for either the individual or firm, such as a court order or name change amendment from the Secretary of State's Office.

(c) In the event that any broker shall advertise or operate in any manner using a name different from the name under which the broker is licensed, the broker shall first file an assumed name certificate in compliance with G.S. 66–71.4 and shall notify the Commission in writing of the use of such a firm name or assumed name. An individual broker shall not advertise or operate in any manner that would mislead a consumer as to the broker's actual identity or as to the identity of the firm with which he or she is affiliated.

(d) A broker shall not include the name of a provisional broker or an unlicensed person in the legal or assumed name of a sole proprietorship, partnership, or business entity other than a corporation or limited liability company. No broker shall use a business name that includes the name of any current or former broker without the permission of that broker or that broker's authorized representative.

History

• Authority G.S. 55B-5; 66-68; 93A-3(c); 93A-6(a)(1)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. July 1, 2017; July 1, 2016; April 1, 2013; August 1, 1998; February 1, 1989; May 1, 1984
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .0104 Agency Agreements and Disclosure

(a) Every agreement for brokerage services in a real estate transaction and every agreement for services connected with the management of a property owners association shall be in writing and signed by the parties thereto. Every agreement for brokerage services between a broker and an owner of the property to be the subject of a transaction shall be in writing and signed by the parties at the time of its formation. Every agreement for brokerage services between a broker and a buyer or tenant shall be express and shall be in writing and signed by the parties thereto not later than the time one of the parties makes an offer to purchase, sell, rent, lease, or exchange real estate to another. However, every agreement between a broker and a buyer or tenant that seeks to bind the buyer or tenant for a period of time or to restrict the buyer's or tenant's right to work with other agents or without an agent shall be in writing and signed by the parties thereto from its formation. A broker shall not continue to represent a buyer or tenant without a written, signed agreement when such agreement is required by this Rule. Every written agreement for brokerage services of any kind in a real estate transaction shall be for a definite period of time, shall include the broker's license number, and shall provide for its termination without prior notice at the expiration of that period, except that an agency agreement between a landlord and broker to procure tenants or receive rents for the landlord's property may allow for automatic renewal so long as the landlord may terminate with notice at the end of any contract period and any subsequent renewals. Every written agreement for brokerage services that includes a penalty for early termination shall set forth such a provision in a clear and conspicuous manner that shall distinguish it from other provisions of the agreement. For the purposes of this Rule, an agreement between brokers to cooperate or share compensation shall not be considered an agreement for brokerage services and, except as required by Rule .1807 of this Subchapter, need not be memorialized in writing.

(b) Every listing agreement, written buyer agency agreement, or other written agreement for brokerage services in a real estate transaction shall contain the following provision: "The broker shall conduct all brokerage activities in regard to this agreement without respect to the race, color, religion, sex, national origin, handicap, or familial status of any party or prospective party." The provision shall be set forth in a clear and conspicuous manner that shall distinguish it from other provisions of the agreement. For the purposes of this Rule, the term, "familial status" shall be defined as it is in G.S. 41A-3(1b).

(c) In every real estate sales transaction, a broker shall, at first substantial contact with a prospective buyer or seller, provide the prospective buyer or seller with a copy of the publication "Working with Real Estate Agents," set forth the broker's name and license number thereon, review the publication with the buyer or seller, and determine whether the agent will act as the agent of the buyer or seller in the transaction. If the first substantial contact with a prospective buyer or seller occurs by telephone or other electronic means of communication where it is not practical to provide the "Working with Real Estate Agents" publication, the broker shall at the earliest opportunity thereafter, but in no event later than three days from the date of first substantial contact, mail or otherwise transmit a copy of the publication to the prospective buyer or seller and review it with him or her at the earliest practicable opportunity thereafter. For the purposes of this Rule, "first substantial contact" shall include contacts between a broker and a consumer where the consumer or broker begins to act as though an agency relationship exists and the consumer begins to disclose to the broker personal or confidential information. The "Working with Real Estate Agents" publication may be obtained on the Commission's website at www.ncrec.gov or upon request to the Commission.

(d) A real estate broker representing one party in a transaction shall not undertake to represent another party in the transaction without the written authority of each party. The written authority shall be obtained upon the formation of the relationship except when a buyer or tenant is represented by a broker without a written agreement in conformity with the requirements of Paragraph (a) of this Rule. Under such circumstances, the written authority for dual agency shall be reduced to writing not later than the time that one of the parties represented by the broker makes an offer to purchase, sell, rent, lease, or exchange real estate to another party.

(e) In every real estate sales transaction, a broker working directly with a prospective buyer as a seller's agent or subagent shall disclose in writing to the prospective buyer at the first substantial contact with the prospective buyer that the broker represents the interests of the seller. The written disclosure shall include the broker's license number. If the first substantial contact occurs by telephone or by means of other electronic communication where it is not practical to provide written disclosure, the broker shall immediately disclose by similar means whom he or she represents and shall immediately mail or otherwise transmit a copy of the written disclosure to the buyer. In no event shall the broker mail or transmit a copy of the written disclosure to the buyer later than three days from the date of first substantial contact with the buyer.

(f) In every real estate sales transaction, a broker representing a buyer shall, at the initial contact with the seller or seller's agent, disclose to the seller or seller's agent that the broker represents the buyer's interests. In addition, in every real estate sales transaction other than auctions, the broker shall, no later than the time of delivery of an offer to the seller or seller's agent, provide the seller or seller's agent with a written confirmation disclosing that he or she represents the interests of the buyer. The written confirmation may be made in the buyer's offer to purchase and shall include the broker's license number.

(g) The provisions of Paragraphs (c), (d) and (e) of this Rule do not apply to real estate brokers representing sellers in auction sales transactions.

(h) A broker representing a buyer in an auction sale transaction shall, no later than the time of execution of a written agreement memorializing the buyer's contract to purchase, provide the seller or seller's agent with a written confirmation disclosing that he or she represents the interests of the buyer. The written confirmation may be made in the written agreement.

(i) A firm that represents more than one party in the same real estate transaction is a dual agent and, through the brokers associated with the firm, shall disclose its dual agency to the parties.

(j) When a firm represents both the buyer and seller in the same real estate transaction, the firm may, with the prior express approval of its buyer and seller clients, designate one or more individual brokers associated with the firm to represent only the interests of the seller and one or more other individual brokers associated with the firm to represent only the interests of the buyer in the transaction. The authority for designated agency shall be reduced to writing not later than the time that the parties are required to reduce their dual agency agreement to writing in accordance with Paragraph (d) of this Rule. An individual broker shall not be so designated and shall not undertake to represent only the interests of one party if the broker has actually received confidential information concerning the other party in connection with the transaction. A broker-in-charge shall not act as a designated broker for a party in a real estate sales transaction when a provisional broker under his or her supervision will act as a designated broker for another party with a competing interest.

(k) When a firm acting as a dual agent designates an individual broker to represent the seller, the broker so designated shall represent only the interest of the seller and shall not, without the seller's permission, disclose to the buyer or a broker designated to represent the buyer:

(1) that the seller may agree to a price, terms, or any conditions of sale other than those established by the seller;

(2) the seller's motivation for engaging in the transaction unless disclosure is otherwise required by statute or rule; and

(3) any information about the seller that the seller has identified as confidential unless disclosure of the information is otherwise required by statute or rule.

(l) When a firm acting as a dual agent designates an individual broker to represent the buyer, the broker so designated shall represent only the interest of the buyer and shall not, without the buyer's permission, disclose to the seller or a broker designated to represent the seller:

(1) that the buyer may agree to a price, terms, or any conditions of sale other than those established by the seller;

(2) the buyer's motivation for engaging in the transaction unless disclosure is otherwise required by statute or rule; and

(3) any information about the buyer that the buyer has identified as confidential unless disclosure of the information is otherwise required by statute or rule.

(m) A broker designated to represent a buyer or seller in accordance with Paragraph (j) of this Rule shall disclose the identity of all of the brokers so designated to both the buyer and the seller. The disclosure shall take place no later than the presentation of the first offer to purchase or sell.

(n) When an individual broker represents both the buyer and seller in the same real estate sales transaction pursuant to a written agreement authorizing dual agency, the parties may provide in the written agreement that the broker shall not disclose the following information about one party to the other without permission from the party about whom the information pertains:

(1) that a party may agree to a price, terms, or any conditions of sale other than those offered;

(2) the motivation of a party for engaging in the transaction, unless disclosure is otherwise required by statute or rule; and

(3) any information about a party that the party has identified as confidential, unless disclosure is otherwise required by statute or rule.

(o) A broker who is selling property in which the broker has an ownership interest shall not undertake to represent a buyer of that property except that a broker who is selling commercial real estate as defined in Rule .1802 of this Subchapter in which the broker has less than 25 percent ownership interest may represent a buyer of that property if the buyer consents to the representation after full written disclosure of the broker's ownership interest. A firm listing a property owned by a broker affiliated with the firm may represent a buyer of that property so long as any individual broker representing the buyer on behalf of the firm does not have an ownership interest in the property and the buyer consents to the representation after full written disclosure of the broker's ownership interest.

(p) A broker or firm with an existing listing agreement for a property shall not enter into a contract to purchase that property unless, prior to entering into the contract, the listing broker or firm first discloses in writing to their seller-client that the listing broker or firm may have a conflict of interest in the transaction and that the seller-client may want to seek independent counsel of an attorney or another licensed broker. Prior to the listing broker entering into a contract to purchase the listed property, the listing broker and firm shall either terminate the listing agreement or transfer the listing to another broker affiliated with the firm. Prior to the listing firm entering into a contract to purchase the listed property, the listing broker and firm shall disclose to the seller-client in writing that the seller-client has the right to terminate the listing and the listing broker and firm shall terminate the listing upon the request of the seller-client.

History

• Authority G.S. 41A-3(1b); 41A-4(a); 93A-3(c); 93A-6(a)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. July 1, 2015; July 1, 2014; July 1, 2009; July 1, 2008; April 1, 2006; July 1, 2005; July 1, 2004; April 1, 2004; September 1, 2002; July 1, 2001; October 1, 2000; August 1, 1998; July 1, 1997; August 1, 1996; July 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .0105 Advertising

(a) Authority to Advertise.

(1) A broker shall not advertise any brokerage service or the sale, purchase, exchange, rent, or lease of real estate for another or others without the consent of his or her broker-in-charge and without including in the advertisement the name of the firm or sole proprietorship with which the broker is affiliated.

(2) A broker shall not display a "for sale" or "for rent" sign on any real estate or otherwise advertise any real estate without the written consent of the owner or the owner's authorized agent.

(b) Blind Ads. A broker shall not advertise the sale, purchase, exchange, rent, or lease of real estate for others in a manner indicating the offer to sell, purchase, exchange, rent, or lease is being made by the broker's principal only. Every such advertisement shall indicate that it is the advertisement of a broker or firm and shall not be confined to publication of only contact information, such as a post office box number, telephone number, street address, internet web address, or e-mail address.

(c) A person licensed as a limited nonresident commercial broker shall comply with the provisions of Rule .1809 of this Subchapter in connection with all advertising concerning or relating to his or her status as a North Carolina broker.

History

• Authority G.S. 93A-2(a1); 93A-3(c)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. July 1, 2015; April 1, 2013; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2004; October 1, 2000; August 1, 1998; April 1, 1997; July 1, 1989; February 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2021; July 1, 2018.

21 NCAC 58A .0106 Delivery of Instruments

(a) Except as provided in Paragraph (b) of this Rule, every broker shall deliver a copy of any written agency agreement, contract, offer, lease, rental agreement, option, or other related transaction document to their customer or client within three days of the broker's receipt of the executed document. A broker shall also deliver a copy of said documents within three days of receipt of a request by the customer or client.

(b) A broker shall be relieved of the duty to deliver copies of leases or rental agreements to a property owner pursuant to Paragraph (a) of this Rule if the broker:

(1) obtains the prior written authority of the property owner to enter into and retain copies of leases or rental agreements on behalf of the property owner;

(2) executes the lease or rental agreement on a pre-printed form, the material terms of which may not be changed by the broker without prior approval by the property owner, except as may be required by law; and

(3) delivers to the property owner an accounting within 45 days following the date of execution of the lease or rental agreement that identifies:

(A) the leased property;

(B) the name, phone number, and home address of each tenant; and

(C) the rental rates and rents collected.

(c) Paragraph (b) of this Rule notwithstanding, upon the request of a property owner, a broker shall deliver a copy of any lease or rental agreement within five days.

History

• Authority G.S. 93A-3(c)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. July 1, 2017; July 1, 2005; July 1, 2001; October 1, 2000; May 1, 1990; July 1, 1989; February 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2025; July 1, 2018.

21 NCAC 58A .0107 Handling and Accounting of Funds

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-9
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. January 1, 2012; April 1, 2006; July 1, 2005; July 1, 2004; July 1, 2003; September 1, 2002; August 1, 2000; August 1, 1998; July 1, 1996; July 1, 1993; May 1, 1990.
• Repealed Eff. April 1, 2013.

21 NCAC 58A .0108 Retention of Records

(a) Brokers shall retain records of all sales, rental, and other transactions conducted in such capacity, whether the transaction is pending, completed, or terminated. The broker shall retain records for three years after all funds held by the broker in connection with the transaction have been disbursed to the proper party or parties or the conclusion of the transaction, whichever occurs later. If the broker's agency agreement is terminated prior to the conclusion of the transaction, the broker shall retain such records for three years after the termination of the agency agreement or the disbursement of all funds held by or paid to the broker in connection with the transaction, whichever occurs later.

(b) Records shall include copies of the following:

(1) contracts of sale;

(2) written leases;

(3) agency contracts;

(4) options;

(5) offers to purchase;

(6) trust or escrow records;

(7) earnest money receipts;

(8) disclosure documents;

(9) closing statements;

(10) brokerage cooperation agreements;

(11) declarations of affiliation;

(12) broker price opinions and comparative market analyses prepared pursuant to G.S. 93A, Article 6, including any notes and supporting documentation;

(13) sketches, calculations, photos, and other documentation used or relied upon to determine square footage;

(14) advertising used to market a property; and

(15) any other records pertaining to real estate transactions.

(c) All records shall be made available for inspection and reproduction by the Commission or its authorized representatives without prior notice.

(d) Brokers shall provide a copy of the written agency disclosure and acknowledgement thereof when applicable, written agency agreement, contract, offer, lease, rental agreement, option, or other related transaction document to the firm or sole proprietorship with which they are affiliated within three days of receipt.

History

• Authority G.S. 93A-3(c)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. July 1, 2004; September 1, 2002; August 1, 1998; February 1, 1989; February 1, 1998
• Temporary Amendment Eff. October 1, 2012
• Amended Eff. July 1, 2018; July 1, 2016; April 1, 2013
• Readopted Eff. July 1, 2019.

21 NCAC 58A .0109 Brokerage Fees and Compensation

(a) A licensee shall not receive, either directly or indirectly, any commission, rebate or other valuable consideration of more than nominal value from a vendor or a supplier of goods and services for an expenditure made on behalf of the licensee's principal in a real estate transaction without the written consent of the licensee's principal.

(b) A licensee shall not receive, either directly or indirectly, any commission, rebate, or other valuable consideration of more than nominal value for services which the licensee recommends, procures, or arranges relating to a real estate transaction for a party, without full and timely disclosure to such party.

(c) In a real estate sales transaction, a broker shall not receive any compensation, incentive, bonus, rebate, or other consideration of more than nominal value:

(1) from his principal unless the compensation, incentive, bonus, rebate, or other consideration is provided for in a written agency contract prepared in conformity with the requirements of 21 NCAC 58A .0104.

(2) from any other party or person unless the broker provides full and timely disclosure of the incentive, bonus, rebate, or other consideration, or the promise or expectation thereof to the broker's principal. The disclosure may be made orally, but must be confirmed in writing before the principal makes or accepts an offer to buy or sell.

(d) Full disclosure shall include a description of the compensation, incentive, bonus, rebate, or other consideration including its value and the identity of the person or party by whom it will or may be paid. A disclosure is timely when it is made in sufficient time to aid a reasonable person's decision-making.

(e) Nothing in this rule shall be construed to require a broker to disclose to a person not his principal the compensation the broker expects to receive from his principal or to disclose to his principal the compensation the broker expects to receive from the broker's employing broker. For the purpose of this Rule, nominal value means of insignificant, token, or merely symbolic worth.

(f) The Commission shall not act as a board of arbitration and shall not compel parties to settle disputes concerning such matters as the rate of commissions, the division of commissions, pay of brokers, and similar matters.

(g) Except as provided in (h) of this rule, a licensee shall not undertake in any manner, any arrangement, contract, plan or other course of conduct, to compensate or share compensation with unlicensed persons or entities for any acts performed in North Carolina for which licensure by the Commission is required.

(h) A broker may pay or promise to pay consideration to a travel agent in return for procuring a tenant for a vacation rental as defined by the Vacation Rental Act if:

(1) the travel agent only introduces the tenant to the broker, but does not otherwise engage in any activity which would require a real estate license;

(2) the introduction by the travel agent is made in the regular course of the travel agent's business; and

(3) the travel agent has not solicited, handled or received any monies in connection with the vacation rental.

For the purpose of this Rule, a travel agent is any person or entity who is primarily engaged in the business of acting as an intermediary between persons who purchase air, land, and ocean travel services and the providers of such services. A travel agent is also any other person or entity who is permitted to handle and sell tickets for air travel by the Airlines Reporting Corporation (ARC). Payments authorized hereunder shall be made only after the conclusion of the vacation rental tenancy. Prior to the creation of a binding vacation rental agreement, the broker shall provide a tenant introduced by a travel agent a written statement advising him or her to rely only upon the agreement and the broker's representations about the transaction. The broker shall keep for a period of three years records of a payment made to a travel agent including records identifying the tenant, the travel agent and their addresses, the property and dates of the tenancy, and the amount paid.

(i) Nothing in this Rule shall be construed to permit a licensee to accept any fee, kickback or other valuable consideration that is prohibited by the Real Estate Settlement Procedures Act (12 USC 2601 et. seq.) or any rules and regulations promulgated by the United States Department of Housing and Urban Development pursuant to said Act or to fail to make any disclosure required by said Act or rules.

History

• Authority G.S. 93A-3(c) ; 93A-6(a)(1); 93A-6(a)(4)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 1, 2008; April 1, 2006; July 1, 2005; September 1, 2002; August 1, 2000; August 1, 1998; April 1, 1997; July 1, 1989; November 1, 1987
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .0110 Broker-in-Charge

(a) Every real estate firm shall designate one BIC for its principal office and one BIC for each of its branch offices. No office of a firm shall have more than one designated BIC. A BIC shall not serve as BIC for more than one office unless each of those offices share the same physical office space and delivery address.

(b) Every sole proprietorship shall designate a BIC if the sole proprietorship:

(1) engages in any transaction where a broker is required to deposit and maintain monies belonging to others in a trust account;

(2) engages in advertising or promoting services as a broker in any manner; or

(3) has one or more other brokers affiliated with the sole proprietorship in the real estate business.

(c) A licensed real estate firm shall not be required to have a BIC if it:

(1) is organized for the sole purpose of receiving compensation for brokerage services furnished by its qualifying broker through another firm or broker;

(2) is treated for tax purposes as a pass-through business by the United States Internal Revenue Service;

(3) has no principal or branch office; and

(4) has no licensed person associated with it other than its qualifying broker.

(d) A broker who maintains a trust or escrow account for the sole purpose of holding residential tenant security deposits received by the broker on properties owned by the broker in compliance with G.S. 42-50 shall not be required to be a BIC.

(e) In order for a broker to designate as a BIC for a sole proprietor, real estate firm, or branch office, a broker shall apply for BIC Eligible status by submitting an application on a form available on the Commission's website. The BIC Eligible status form shall include the broker's:

(1) name;

(2) license number;

(3) telephone number;

(4) email address;

(5) criminal history and history of occupational license disciplinary actions;

(6) certification of compliance with G.S. 93A-4.2, including that:

(A) his or her broker license is on active status;

(B) the broker has obtained at least two years of real estate brokerage experience equivalent to 40 hours per week within the previous five years or shall be a North Carolina licensed attorney with a practice that consisted primarily of handling real estate closings and related matters in North Carolina for three years immediately preceding application; and

(C) the broker completed the 12-hour Broker-in-Charge Course no earlier than one year prior to application and no later than 120 days after application; and

(7) signature.

(f) A broker who holds BIC Eligible status shall submit a form to become the designated BIC for a sole proprietor, real estate firm, or branch office. The BIC designation form shall include:

(1) the broker's:

(A) name;

(B) license number;

(C) telephone number;

(D) email address; and

(E) criminal history and history of occupational license disciplinary actions; and

(2) the firm's:

(A) name; and

(B) license number, if applicable;

(g) A designated BIC shall:

(1) assure that each broker affiliated at the office has complied with Rules .0503, .0504, and .0506 of this Subchapter;

(2) notify the Commission of any change of firm's business address or trade name and the registration of any assumed business name adopted by the firm for its use;

(3) be responsible for the conduct of advertising by or in the name of the firm at such office;

(4) maintain the trust or escrow account of the firm and the records pertaining thereto;

(5) retain and maintain records relating to transactions conducted by or on behalf of the firm, including those required to be retained pursuant to Rule .0108 of this Section;

(6) supervise provisional brokers associated with or engaged on behalf of the firm at such office in accordance with the requirements of Rule .0506 of this Subchapter;

(7) supervise all brokers affiliated at the office with respect to adherence to agency agreement and disclosure requirements;

(8) notify the Commission in writing that he or she is no longer serving as BIC of a particular office within 10 days following any such change;

(9) complete the Commission's Basic Trust Account Procedures Course within 120 days of assuming responsibility for a trust account in accordance with G.S. 93A-6(g), however the BIC shall not be required to complete the course more than once in three years; and

(10) supervise all unlicensed individuals employed at the office and ensure that unlicensed individuals comply with G.S. 93A-2(c)(6).

(h) A broker holding BIC Eligible status shall take the Broker-in-Charge Update Course during the license year of designation, unless the broker has satisfied the requirements of Rule .1702 of this Subchapter prior to designation.

(i) A broker's BIC Eligible status shall terminate if the broker:

(1) made any false statements or presented any false, incomplete, or incorrect information in connection with an application;

(2) fails to complete the 12-hour Broker-in-Charge Course pursuant to Paragraph (e) of this Rule;

(3) fails to renew his or her broker license pursuant to Rule .0503 of this Subchapter, or the broker's license has been suspended, revoked, or surrendered; or

(4) fails to complete the Broker-in-Charge Update Course and a four credit hour elective course pursuant to Rules .1702 and .1711 of this Subchapter, if applicable.

(j) In order to regain BIC Eligible status after a broker's BIC Eligible status terminates, the broker shall complete the 12-hour Broker-in-Charge Course prior to application and then submit a BIC Eligible status form pursuant to Paragraph (e) of this Rule.

(k) A nonresident commercial real estate broker licensed under the provisions of Section .1800 of this Subchapter shall not act as or serve in the capacity of a broker-in-charge of a firm or office in North Carolina.

(l) A broker shall not be granted BIC Eligible status or designated as BIC of a firm if there is a pending Commission investigation against the broker.

History

• Authority G.S. 93A-2; 93A-3(c); 93A-4; 93A-4.2; 93A-9; 93A-38.5
• Eff. September 1, 1983
• Amended Eff. July 1, 2014; May 1, 2013; July 1, 2010; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2005; July 1, 2004; April 1, 2004; September 1, 2002; July 1, 2001; October 1, 2000; August 1, 1998; April 1, 1997; July 1, 1995; July 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2021; July 1, 2020; July 1, 2018.

21 NCAC 58A .0111 Drafting Legal Instruments

(a) A broker acting as an agent in a real estate transaction shall not draft offers, sales contracts, options, leases, promissory notes, deeds, deeds of trust or other legal instruments by which the rights of others are secured; however, a broker may complete preprinted offers, option contracts, sales contracts or lease forms in a real estate transaction when authorized or directed to do so by the parties.

(b) A broker may use electronic, computer, or word processing equipment to store preprinted offer and sales contract forms which comply with Rule .0112, as well as preprinted option and lease forms, and may use such equipment to complete and print offer, contract and lease documents. Provided, however, a broker shall not alter the preprinted form before it is presented to the parties. If the parties propose to delete or change any word or provision in the form, the form must be marked to indicate the change or deletion made. The language of the form shall not be modified, rewritten, or changed by the broker or their clerical employees unless directed to do so by the parties.

(c) Nothing contained in this Rule shall be construed to prohibit a broker from making written notes, memoranda or correspondence recording the negotiations of the parties to a real estate transaction when such notes, memoranda or correspondence do not themselves constitute binding agreements or other legal instruments.

History

• Authority G.S. 93A-3(c)
• Eff. July 1, 1988
• Amended Eff. April 1, 2013; April 1, 2006; October 1, 2000; February 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .0112 Offers and Sales Contracts

(a) A broker acting as an agent in a real estate transaction shall not use a preprinted offer or sales contract form unless the form describes or specifically requires the entry of the following information:

(1) the names of the buyer and seller;

(2) a legal description of the real property sufficient to identify and distinguish it from all other property;

(3) an itemization of any personal property to be included in the transaction;

(4) the purchase price and manner of payment;

(5) any portion of the purchase price that will be paid by a promissory note, including the amount, interest rate, payment terms, whether or not the note is to be secured, and any other terms contained in the promissory note deemed material by the parties;

(6) any portion of the purchase price that is to be paid by the assumption of an existing loan, including the amount of such loan, costs to be paid by the buyer or seller, the interest rate and number of discount points and a condition that the buyer must be able to qualify for the assumption of the loan and must make every reasonable effort to quality for the assumption of the loan;

(7) the amount of earnest money, if any, the method of payment, the name of the broker or firm that will serve as escrow agent, an acknowledgment of earnest money receipt by the escrow agent, and the criteria for determining disposition of the earnest money, including disputed earnest money, consistent with Commission Rule .0116 of this Subchapter;

(8) the amount and purpose of any special assessment to which the property is subject and the responsibility of the parties for any unpaid charges;

(9) the date for closing and transfer of possession;

(10) the signatures of the buyer and seller;

(11) the date of offer and acceptance;

(12) a provision that title to the property must be delivered at closing by general warranty deed and must be fee simple marketable title, free of all encumbrances except ad valorem taxes for the current year, utility easements, and any other encumbrances specifically approved by the buyer or a provision otherwise describing the estate to be conveyed with encumbrances, and the form of conveyance;

(13) the items to be prorated or adjusted at closing;

(14) who shall pay closing expenses;

(15) the buyer's right to inspect the property prior to closing and who shall pay for repairs and improvements, if any;

(16) a provision that the property shall at closing be in substantially the same condition as on the date of the offer (reasonable wear and tear excepted), or a description of the required property condition at closing;

(17) a provision setting forth the identity of each real estate agent and firm involved in the transaction and disclosing the party each agent and firm represents; and

(18) any other provisions or disclosures required by statute or rule.

(b) A broker acting as an agent in a real estate transaction:

(1) may use a preprinted offer or sales contract form containing provisions concerning the payment of a commission or compensation, including the forfeiture of earnest money, to any broker or firm; and

(2) shall not use a preprinted offer or sales contract form containing any provision that attempts to disclaim the liability of a broker for his or her representations in connection with the transaction.

A broker or anyone acting for or at the direction of the broker shall not insert or cause such provisions or terms to be inserted into any such preprinted form, even at the direction of the parties or their attorneys.

(c) The provisions of this Rule shall apply only to preprinted offer and sales contract forms which a broker acting as an agent in a real estate transaction proposes for use by the buyer and seller. Nothing contained in this Rule shall be construed to prohibit the buyer and seller in a real estate transaction from altering, amending or deleting any provision in a form offer to purchase or contract nor shall this Rule be construed to limit the rights of the buyer and seller to draft their own offers or contracts or to have the same drafted by an attorney at law.

History

• Authority G.S. 93A-3(c)
• Eff. July 1, 1988
• Amended Eff. July 1, 2014; July 1, 2010; July 1, 2009; April 1, 2006; October 1, 2000; July 1, 1995; July 1, 1989; February 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. Pending Legislative Review.

21 NCAC 58A .0113 Reporting Criminal Convictions and Disciplinary Actions

(a) A broker shall file with the Commission a Criminal Conviction Disciplinary Action Reporting Form within 60 days of:

(1) a final judgment, order, or disposition of any felony or misdemeanor conviction;

(2) a disciplinary action or entering into a conciliation agreement or consent order with a governmental agency or occupational licensing agency;

(3) a final judgment, order, or disposition of a military court-martial conviction; or

(4) a notarial commission sanction pursuant to G.S. 10B-60.

(b) The Criminal Conviction Disciplinary Action Reporting Form is available on the Commission's website at www.ncrec.gov or upon request to the Commission and shall set forth the broker's:

(1) full legal name;

(2) physical and mailing address;

(3) real estate license number;

(4) telephone number;

(5) email address;

(6) social security number;

(7) date of birth; and

(8) description of the criminal conviction, military court-martial conviction, notarial commission sanction, or professional license disciplinary action, including the jurisdiction and file number.

History

• Authority G.S. 93A-3(c); 93A-6(a); 93A-6(a)(10); 93A-6(b)(2)
• Eff. August 1, 1996
• Amended Eff. July 1, 2016; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2003; July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2023.

21 NCAC 58A .0114 Residential Property and Owners' Association Disclosure Statement

(a) Every owner of real property subject to a transfer of the type governed by Chapter 47E of the General Statutes shall complete a Residential Property and Owners' Association Disclosure Statement (hereinafter "Disclosure Statement") and furnish a copy of the complete statement to a purchaser in accordance with the requirements of G.S. 47E-4. The Disclosure Statement is a form prescribed by the Commission and available on the Commission's website at https://www.ncrec.gov/Forms/Consumer/rec422.pdf. The Disclosure Statement shall include the items set forth in G.S. 47E-4(b1)(1) and the following information pertaining to the property:

(1) property address;

(2) owner's name(s), signature(s), and date of Disclosure Statement completion;

(3) year the dwelling was constructed;

(4) any historic designation or registration status which places a restriction on the property;

(5) noise, odor, smoke, or other nuisance from commercial, industrial, or military sources impacting the property;

(6) existence of any private road(s) abutting or adjoining the property and the maintenance agreements, if applicable;

(7) type of heating, cooling, water heater fuel sources along with the year each system was manufactured;

(8) type of fuel source, and, if the fuel source is stored in a tank, whether the tank is above or below ground and leased or owned by the seller;

(9) type of water supply source and sewage disposal system, and if serviced by a septic system, identify the number of bedrooms allowed pursuant to permit;

(10) any violations impacting the property, such as local ordinances, restrictive covenants, building codes, or other land-use restrictions;

(11) whether any portion of the property is designated as within a Special Flood Hazard Area pursuant to Title 44, Chapter 1, Subchapter B, Part 65 of the Code of Federal Regulations, has a flood elevation certificate, is insured for flood damage, has experienced damage from natural events causing water seepage, or has had a claim filed for flood damage or received federal financial assistance for flood damage; and

(12) if there is any problem, malfunction, or defect with the property's:

(A) roof, fireplaces, or chimneys;

(B) foundation, basement, crawl space, or slab;

(C) windows, doors, patio, deck;

(D) garage or other structural component of the property;

(E) electrical, heating, cooling, or elevator systems;

(F) plumbing, water supply, sewer, or septic systems;

(G) fixtures or appliances to be conveyed with the purchase;

(H) drainage, grading or soil stability; and

(I) condition caused by wood destroying insects or organisms.

(b) A broker shall furnish a current Disclosure Statement published on the Commission's website to the property owner(s) for completion.

(c) A broker representing either an owner or a purchaser of any real property subject to Chapter 47E of the North Carolina General Statutes shall disclose to the purchaser any material facts the broker knows or reasonably should know about the property. A broker's duty to disclose is separate from that of the owner's, and the owner's Disclosure Statement does not obviate the broker's duty to disclose. A material fact is a fact that a reasonable person would recognize as relevant to a purchaser in deciding to purchase the property the suppression of which could reasonably result in a different decision.

History

• Authority G.S. 47E-4(b); 47E-4(b1); 93A-3(c); 93A-6
• Eff. October 1, 1998
• Amended Eff. July 1, 2014; January 1, 2013; January 1, 2012; July 1, 2010; July 1, 2009; January 1, 2008; July 1, 2006; September 1, 2002; July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2023; July 1, 2021; July 1, 2018.

21 NCAC 58A .0115 Disclosure of Offers Prohibited

A broker shall not disclose the price or other material terms contained in a party's offer to purchase, sell, lease, rent, or to option real property to a competing party without the express authority of the offering party.

History

• Authority G.S. 93A-3(c); 93A-6
• Eff. July 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .0116 Handling of Trust Money

(a) Except as provided in Paragraph (b) of this Rule, all monies received by a broker acting in his or her fiduciary capacity (hereinafter "trust money") shall be deposited in a trust or escrow account as defined in Rule .0117(b) of this Section no later than three banking days following the broker's receipt of such monies.

(b) Exceptions to the requirements of Paragraph (a):

(1) All monies received by a provisional broker shall be delivered upon receipt to the broker with whom he or she is affiliated.

(2) All monies received by a non-resident commercial broker shall be delivered as required by Rule .1808 of this Subchapter.

(3) Earnest money or tenant security deposits paid by means other than currency and received by a broker in connection with a pending offer to purchase or lease shall be deposited in a trust or escrow account no later than three days following acceptance of the offer to purchase or lease; the date of acceptance of the offer or lease shall be set forth in the purchase or lease agreement.

(4) A broker may accept custody of a check or other negotiable instrument made payable to the seller of real property as payment for an option or due diligence fee, or to the designated escrow agent in a sales transaction, but only for the purpose of delivering the instrument to the seller or designated escrow agent. While the instrument is in the custody of the broker, the broker shall, according to the instructions of the buyer, either deliver it to the named payee or return it to the buyer. The broker shall safeguard the instrument and be responsible to the parties on the instrument for its safe delivery as required by this Rule. A broker shall not retain an instrument for more than three business days after the acceptance of the option or other sales contract.

(c) Prior to depositing trust money into a trust or escrow account that bears interest, the broker having custody over the money shall first secure written authorization from all parties having an interest in the money. Such authorization shall specify and set forth in a conspicuous manner how and to whom the interest shall be disbursed.

(d) In the event of a dispute between buyer and seller or landlord and tenant over the return or forfeiture of any deposit other than a residential tenant security deposit held by the broker, the broker shall retain the deposit in a trust or escrow account until the broker has obtained a written release from the parties consenting to its disposition or until disbursement is ordered by a court of competent jurisdiction. Alternatively, the broker may deposit the disputed monies with the appropriate Clerk of Superior Court in accordance with the provisions of G.S. 93A-12. If it appears that one of the parties has abandoned his or her claim to the funds, the broker may disburse the money to the other claimant according to the written agreement. Before doing so, however, the broker must first make a reasonable effort to notify the absent party and provide that party with an opportunity to renew his or her claim to the funds. Tenant security deposits shall be disposed of in accordance with G.S. 42-50 through 56 and G.S. 42A-18.

(e) A broker may transfer an earnest money deposit from his or her trust or escrow account to the closing attorney or other settlement agent no more than 10 days prior to the anticipated settlement date. A broker shall not disburse prior to settlement any earnest money in his or her possession for any other purpose without the written consent of the parties.

(f) A broker shall not disburse trust money to or on behalf of a client in an amount exceeding the balance of trust money belonging to the client and held in the trust account.

(g) Every broker shall safeguard any money or property of others that comes into the broker's possession in a manner consistent with the Real Estate License Law and Commission rules. A broker shall not convert the money or property of others to his or her own use, apply such money or property to a purpose other than that it was intended for, or permit or assist any other person in the conversion or misapplication of such money or property.

History

• Authority G.S. 93A-3(c); 93A-6
• Eff. April 1, 2013
• Amended Eff. July 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .0117 Accounting for Trust Money

(a) A broker shall create, maintain and retain records sufficient to identify the ownership of all funds belonging to others. Such records shall be sufficient to show proper deposit and disbursement of such funds into and from a trust or escrow account and to verify the accuracy and proper use of the trust or escrow account.

(b) A trust or escrow account shall satisfy the requirements of G.S. 93A-6(g) and shall be designated as a "Trust Account" or "Escrow Account." All bank statements, deposit tickets and checks drawn on said account shall bear the words "Trust Account" or "Escrow Account." A trust account shall provide for the full withdrawal of funds on demand without prior notice and without penalty or deduction to the funds.

(c) A broker shall create, maintain or retain, as required by Rule .0108 of this Section, the following records:

(1) bank statements;

(2) canceled checks and other evidence or memoranda of payments from the trust or escrow account, whether by transfer between accounts, wire payments, or payments by electronic means, that shall be referenced to the corresponding journal entry or check stub entries and to the corresponding sales transaction ledgers or for rental transactions, the corresponding property or owner ledgers. Checks and other evidence or memoranda of payments from the account shall identify the payee by name and shall bear a notation identifying the purpose of the disbursement. When a payment is used to disburse funds for more than one sales transaction, owner, or property, the check or other evidence or memoranda of payment shall bear a notation identifying each sales transaction, owner, or property for which disbursement is made, including the amount disbursed for each, and the corresponding sales transaction, property, or owner ledger entries. When necessary, the check notation may refer to the required information recorded on a supplemental disbursement worksheet that shall be cross-referenced to the corresponding check or payment. In lieu of retaining canceled checks, a broker may retain digitally imaged copies of the canceled checks or substitute checks provided that such images are legible reproductions of the front and back of such instruments with no smaller images than 1.1875 x 3.0 inches and provided that the broker's bank retains for a period of at least five years the original checks, "substitute checks" as described in 12 C.F.R. 229.51 or the capacity to provide substitute checks as described in 12 C.F.R. 229.51 and makes the original or substitute checks available to the broker and the Commission upon request. The description of "substitute checks" contained in 12 C.F.R. 229.51 is incorporated by referencing, including subsequent amendments and additions. The regulation may be accessed at www.gpo.gov at no charge.

(3) deposit tickets or other evidence or memoranda of deposits or payments into the account, whether by transfer between accounts, wire payments, or payments by electronic means:

(A) for a sales transaction, the deposit ticket or other evidence or memoranda of deposits or payments into the account shall identify the purpose and remitter of the funds deposited, the property, the parties involved, and a reference to the corresponding sales transaction ledger;

(B) for a rental transaction, the deposit ticket or other evidence or memoranda of deposits or payments into the account shall identify the purpose and remitter of the funds deposited, the tenant, and the corresponding property or owner ledger;

(C) for deposits of funds belonging to or collected on behalf of a property owner association, the deposit ticket or other evidence or memoranda of deposits or payments into the account shall identify the property or property interest for which the payment is made, the property or interest owner, the remitter, and the purpose of the payment;

(D) when a single deposit ticket or payment is used to deposit funds collected for more than one sales transaction, property owner, or property, the required information may either be recorded on the ticket or other evidence or memoranda of deposits or payments into the account for each sales transaction, owner, or property, or it may refer to the same information recorded on a supplemental deposit worksheet that shall be cross-referenced to the corresponding deposit ticket;

(4) a separate ledger for each sales transaction, for each property or owner of property managed by the broker and for company funds held in the trust account:

(A) the ledger for a sales transaction shall identify the property, the parties to the transaction, the amount, date, and purpose of the deposits and from whom received, the amount, date, check number, and purpose of disbursements and to whom paid, and the running balance of funds on deposit for each deposit and disbursement entry;

(B) the ledger for a rental transaction shall identify the particular property or owner of property, the tenant, the amount, date, and purpose of the deposits and from whom received, the amount, date, check number, and purpose of disbursements and to whom paid, and the running balance of funds on deposit for each deposit and disbursement entry. Monies held as tenant security deposits in connection with rental transactions may be accounted for on a separate tenant security deposit ledger for each property or owner of property managed by the broker. For each security deposit, the tenant security deposit ledger shall identify the remitter, the date the deposit was paid, the amount, the tenant, landlord, and subject property as well as the check number, amount, date, payee, purpose and a running balance for each disbursement. When tenant security deposit monies are accounted for on a separate ledger as provided in this Rule, deposit tickets, canceled checks and supplemental worksheets shall reference the corresponding tenant security deposit ledger entries;

(C) a broker may maintain a maximum of one hundred dollars ($100.00) in company funds in a trust account for the purpose of paying service charges incurred by the account. In the event that the services charges exceed one hundred dollars ($100.00) monthly, the broker may deposit an amount each month sufficient to cover the service charges. A broker shall maintain a separate ledger for company funds held in the trust account identifying the date, amount and running balance for each deposit and disbursement;

(5) a general journal, check register or check stubs identifying in chronological order each bank deposit and disbursement of monies to and from the trust or escrow account, including the amount and date of each deposit and a reference to the corresponding deposit ticket and any supplemental deposit worksheet, and the amount, date, check number, and purpose of disbursements and to whom paid. The journal or check stubs shall also show a running balance for each entry into the account;

(6) a payment record for each property or interest for which funds are collected and deposited into a property owner association trust account as required by Rule .0118 of this Section. Payment record(s) shall identify the amount, date, remitter, and purpose of payments received, the amount and nature of the obligation for which payments are made, and the amount of any balance due or delinquency;

(7) copies of earnest money checks, due diligence fee checks, receipts for cash payments, contracts, and closing statements in sales transactions;

(8) copies of leases, security deposit checks, property management agreements, property management statements, and receipts for cash payments in leasing transactions;

(9) copies of covenants, bylaws, minutes, management agreements and periodic statements relating to the management of property owner associations;

(10) copies of invoices, bills, and contracts paid from the trust account; and

(11) copies of any documents not otherwise described in this Rule that are necessary to verify and explain record entries.

(d) Records of all receipts and disbursements of trust or escrow monies shall be maintained in such a manner as to create an audit trail from deposit tickets and canceled checks to check stubs or journals and to the ledger sheets.

(e) Brokers shall reconcile their trust or escrow accounts monthly. The trust account reconciliation shall be performed in the following manner as of a specific cutoff date selected by the broker:

(1) a trial balance shall be prepared showing a list of the property or owner ledgers, their balances, and the total of all of the property or owner ledger balances as of the cutoff date;

(2) a bank statement shall be reconciled by deducting from the statement's ending balance the amount of any outstanding checks and then adding to the balance the amount of any deposits-in-transit as of the cutoff date; and

(3) the trial balance, reconciled bank statement balance, and the journal balance shall be compared as of the cutoff date. If the amounts on the trial balance, journal balance and reconciled bank balance do not agree, the broker shall investigate the reason for any variation between the balances and make the necessary corrections to bring the balances into agreement.

A broker shall maintain and retain a worksheet for each monthly trust account reconciliation showing the balance of the journal or check stubs, the trial balance and the reconciled bank statement balance to be in agreement as of the cutoff date.

(f) In addition to the records required by Paragraph (c) of this Rule, a broker acting as agent for the landlord of a residential property used for vacation rentals shall create and maintain either a subsidiary ledger sheet for each property or owner of such properties on which all funds collected and disbursed are identified in categories by purpose or an accounts payable ledger for each owner or property and each vendor to whom trust monies are due. If a broker maintains a subsidiary ledger, the broker shall reconcile the subsidiary ledgers to the corresponding property or property owner ledger on a monthly basis. If a broker maintains an accounts payable ledger, the broker shall record on the ledger monies collected on behalf of the owner or property identifying the date of receipt of the trust monies, from whom the monies were received, rental dates, and the corresponding property or owner ledger entry including the amount to be disbursed for each and the purpose of the disbursement. The broker may also maintain an accounts payable ledger in the format described above for vacation rental tenant security deposit monies and vacation rental advance payments.

(g) Upon the written request of a client, a broker shall, no later than ten days after receipt of the request, furnish the client with copies of any records retained as required by Rule .0108 of this Section that pertain to the transaction to which the client was a party.

(h) All trust or escrow account records shall be made available for inspection by the Commission or its authorized representatives in accordance with Rule .0108 of this Section.

History

• Authority G.S. 93A-3(c); 93A-6
• Eff. April 1, 2013
• Amended Eff. July 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .0118 Trust Money Belonging to Property Owners' Associations

(a) The funds of a property owners' association, when collected, maintained, disbursed or otherwise controlled by a broker, are trust money and shall be treated as such in the manner required by Rules .0116 and .0117 of this Section. Such trust money shall be deposited into and maintained in a trust or escrow account dedicated exclusively for trust money belonging to a single property owners' association and shall not be commingled with funds belonging to other property owners' associations or other persons or parties. A broker who undertakes to act as manager of a property owners' association or as the custodian of trust money belonging to a property owners' association shall provide the association with periodic statements that report the balance of association trust money in the broker's possession or control and account for the trust money the broker has received and disbursed on behalf of the association. Such statements must be made in accordance with the broker's agreement with the association, but not less frequently than every 90 days.

(b) A broker who receives trust money belonging to a property owners' association in his or her capacity as an officer of the association in a residential development in which the broker is a property owner and for which the broker receives no compensation is exempt from the requirements of Rules .0116 and .0117 of this Section. However, the broker shall not convert trust money belonging to the association to his or her own use, apply such money or property to a purpose other than that for which it was intended or permit or assist any other person in the conversion or misapplication of such money or property.

History

• Authority G.S. 93A-3(c); 93A-6
• Eff. April 1, 2013
• Amended Eff. July 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .0119 Mineral and Oil and Gas Rights Mandatory Disclosure Statement

(a) Every owner of real property subject to a transfer of the type governed by G.S. 47E-1 and 47E-2(b) shall complete a disclosure statement form prescribed by the Commission and designated "Mineral and Oil and Gas Rights Mandatory Disclosure Statement," and shall furnish a copy of the completed form to a purchaser as required by G.S. 47E-4.1. The form shall bear the seal of the North Carolina Real Estate Commission and shall include the following:

(1) instructions to property owners regarding transactions when the disclosure statement is required;

(2) the text and format of the disclosure statement form as required by G.S. 47E-4.1(a);

(3) a note to purchasers regarding their rights under G.S. 47E-5 in the event they are not provided with a disclosure statement as required by G.S. 47E-4.1;

(4) the identification of the subject property and the parties to the transaction;

(5) an acknowledgment by the owner(s) that the disclosure statement is true and correct as of the date signed; and

(6) an acknowledgment by the buyer(s) of the receipt of a copy of the disclosure statement.

(b) The disclosure statement form described in Paragraph (a) of this Rule shall be available on the Commission's website at www.ncrec.gov or upon request to the Commission.

(c) The disclosure statement form described in Paragraph (a) of this Rule may be reproduced, but the text of the form shall not be altered or amended in any way.

(d) Every broker representing a party in a real estate transaction governed by G.S. 47E-1 and 47E-2(b) shall inform each client of the client's rights and obligations under G.S. Chapter 47E.

(e) The disclosure statement form described in Paragraph (a) of this Rule applies to all contracts executed on or after January 1, 2015.

History

• Authority G.S. 47E-4.1; 47E-4.1(b); 47E-5; 47E-8; 93A-3(c); 93A-6
• Temporary Adoption Eff. January 1, 2015
• Eff. July 1, 2015.

21 NCAC 58A .0120 prohibited acts

(a) A broker shall not require or demand of any escrow agent or attorney that a broker's commission be split with or paid to another person or entity.

(b) An affiliated broker shall not be paid a commission or referral fee directly by anyone other than their current BIC or the person who served as their BIC at the time of the transaction.

(c) A broker shall not coerce, extort, collude, instruct, induce, bribe, or intimidate a service provider in a real estate transaction in order to influence or attempt to influence their findings, report, or decision. Service providers include, but are not limited to, appraisers, attorneys, inspectors, financial lenders, and contractors.

(d) A broker shall not conduct brokerage activities or otherwise promote their status as a real estate broker in any manner that discriminates on the basis of race, color, religion, national origin, sex, familial status, or disability.

History

• Authority G.S. 93A-3(c); 93A-6
• Eff. July 1, 2021.

21 NCAC 58A .0201 Definitions

History

• Status: repealed
• Authority G.S. 93A-3(a),(c),(d)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. April 11, 1980; September 1, 1979
• Repealed Eff. June 1, 1981.

21 NCAC 58A .0202 Board: Description: Offices

History

• Status: repealed
• Authority G.S. 93A-3(a),(c),(d)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. April 11, 1980; September 1, 1979
• Repealed Eff. June 1, 1981.

21 NCAC 58A .0203 Mailing Address

History

• Status: repealed
• Authority G.S. 93A-3(a),(c),(d)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. April 11, 1980; September 1, 1979
• Repealed Eff. June 1, 1981.

21 NCAC 58A .0204 Purpose

History

• Status: repealed
• Authority G.S. 93A-3(a),(c),(d)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. April 11, 1980; September 1, 1979
• Repealed Eff. June 1, 1981.

21 NCAC 58A .0301 license application

(a) An individual seeking licensure as a real estate broker shall submit a license application that is available on the Commission's website and shall include the applicant's:

(1) legal name;

(2) mailing, physical, and email address;

(3) telephone number;

(4) social security number and date of birth;

(5) qualification for license application;

(6) real estate license history;

(7) places of residence for the past seven years;

(8) employment history for the past three years;

(9) criminal offenses, military courts-martial convictions, professional license disciplinary actions, including the jurisdiction, file number, and explanation of each offense;

(10) liens or unpaid judgments;

(11) certification the applicant has read the Real Estate Licensing in North Carolina brochure that is available on the Commission's website; and

(12) declaration and signature.

(b) In addition to the application required by Paragraph (a) of this Rule, the applicant shall submit:

(1) the license application fee pursuant to Rule .0302 of this Section; and

(2) a criminal records report from a Commission-designated criminal reporting service obtained within six months prior to application submission.

History

• Authority G.S. 93A-3(c); 93A-4
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. April 1, 2006; July 1, 2000; February 1, 1991; February 1, 1989; August 1, 1988; December 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2023.

21 NCAC 58A .0302 license application and fee

(a) The fee for an original application of a broker or firm license shall be one hundred five dollars ($105.00).

(b) An applicant shall update information provided in connection with a license application in writing to the Commission or submit a new application form that includes the updated information without request by the Commission to ensure that the information provided in the application is current and accurate. Upon the request of the Commission, an applicant shall submit updated information or provide additional information necessary to complete the application within 45 days of the request or the license application shall be canceled.

(c) The license application of an individual shall be canceled if the applicant fails to:

(1) pass a scheduled license examination within 180 days of filing a complete application pursuant to Rule .0301 of this Section; or

(2) appear for and take any scheduled examination without having the applicant's examination postponed or absence excused pursuant to Rule .0401 of this Subchapter.

(d) If an applicant seeks to withdraw their application for licensure after a Notice of Hearing is issued by Commission staff, an applicant shall file a Motion to Withdraw with the Commission that states the applicant's reason for withdrawal. The Commission shall issue an Order of Withdrawal and may prohibit the applicant from re-applying for licensure for a period of up to two years from the date of the Order if the applicant fails to show good cause for the withdrawal. For purposes of this Rule, good cause may include:

(1) an incapacitating illness of the applicant or applicant's attorney;

(2) a naturally occurring disaster; or

(3) an undue hardship on the applicant.

(e) If an applicant is denied licensure following a hearing, the Commission shall order that the applicant be prohibited from re-applying for licensure for a period of up to two years from the date of the application.

History

• Authority G.S. 93A-4; 93A-6(b)(1); 93A-9; 93B-8.1(b5)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. July 1, 2017; April 1, 2006; July 1, 2004; April 1, 2004; July 1, 2003; October 1, 2000; August 1, 1998; July 1, 1998; July 1, 1996; February 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. April 1, 2026; July 1, 2025; July 1, 2020.

21 NCAC 58A .0303 Payment of Application Fees

History

• Status: expired
• Authority G.S. 93A-3(c); 93A-4(a),(d)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. April 1, 2004; July 1, 2000; December 1, 1985
• Expired Eff. June 1, 2018 pursuant to G.S. 150B-21.3A.

21 NCAC 58A .0304 Waiver of 75-Hour Prelicensing Education Requirement

The Commission shall grant a waiver of the 75-hour education program pursuant to G.S. 93A-4(a) if an applicant submits:

(1) an application pursuant to Rule .0301 of this Section;

(2) a written request for a waiver of the 75-hour education program; and either

(3) a transcript and copy of a baccalaureate or higher degree in the field of real estate, real estate brokerage, real estate finance, real estate development, or a law degree conferred on the applicant from any college or university accredited by a college accrediting body recognized by the U. S. Department of Education; or

(4) a course completion certificate or transcript evidencing the completion of a prelicensing education program in another state that:

(a) consisted of at least 75-hours of instruction;

(b) was completed within one year prior to license application while the applicant was a resident of said state; and

(c) is parallel to the topics and timings described in the Commission's Prelicensing course syllabus.

History

• Authority G.S. 93A-4
• Eff. July 1, 1993
• Amended Eff. July 1, 2017; April 1, 2006; October 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .0305 Petition for Predetermination

(a) An individual who wishes to file a petition for a predetermination of whether the individual's criminal history will likely disqualify the individual from obtaining a real estate license shall submit a petition on the Commission's website.

(b) The petition shall include the petitioner's:

(1) legal name;

(2) mailing, physical, and email addresses;

(3) social security number;

(4) date of birth;

(5) telephone number;

(6) places of residence for the past seven years;

(7) employment history since the date the crime was committed;

(8) criminal record report prepared no more than 60 days prior to the date of petition;

(9) written statement describing the circumstances surrounding the commission of the crime(s);

(10) written statement of any rehabilitation efforts, if applicable;

(11) rehabilitative drug or alcohol treatments, if applicable;

(12) Certificate of Relief granted pursuant to G.S. 15A-173.2, if applicable;

(13) affidavits or other written documents, including character references, that the petitioner intends to submit for review;

(14) certification; and

(15) signature.

(c) The fee for a petition for predetermination shall be forty-five dollars ($45.00).

History

• Authority G.S. 93A-4; 93B-8.1
• Temporary Adoption Eff. December 3, 2019
• Eff. July 1, 2020.

21 NCAC 58A .0401 Scheduling Examinations

(a) An applicant who is required and qualified to take the licensing examination shall be provided a notice of examination eligibility that shall be valid for a period of 180 days and for a single administration of the licensing examination. Upon receipt of the notice of examination eligibility, the applicant shall contact the Commission's authorized testing service to pay for and schedule the examination in accordance with procedures established by the testing service. The testing service will schedule applicants for examination by computer at their choice of one of the testing locations and will notify applicants of the time and place of their examinations.

(b) An applicant may postpone a scheduled examination provided the applicant makes the request for postponement directly to the Commission's authorized testing service in accordance with procedures established by the testing service. An applicant's examination shall not be postponed beyond the 180 day period allowed for taking the examination without first refiling another complete application with the Commission. A request to postpone a scheduled licensing examination without complying with the procedures for re-applying for examination described in Rule .0403 of this Section shall be granted only once unless the applicant satisfies the requirements for obtaining an excused absence stated in Paragraph (c) of this Rule.

(c) An applicant may be granted an excused absence from a scheduled examination if the applicant provides evidence that the absence was the direct result of an emergency situation or condition which was beyond the applicant's control and which could not have been reasonably foreseen by the applicant. A request for an excused absence must be promptly made in writing and must be supported by documentation verifying the reason for the absence. The request must be submitted directly to the testing service in accordance with procedures established by the testing service. A request for an excused absence from an examination shall be denied if the applicant cannot be rescheduled and examined prior to expiration of the 180 day period allowed for taking the examination without first refiling another complete application with the Commission.

History

• Authority G.S. 93A-4(b),(d)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. April 1, 2004; October 1, 2000; July 1, 1996; July 1, 1989; February 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .0402 Examination SUBJECT MATTER, format, AND PASSING SCORES

(a) The real estate licensing examination shall test applicants on the following general subject areas:

(1) real estate law;

(2) real estate brokerage law and practices;

(3) the Real Estate License Law, rules of the Commission, and the Commission's trust account guidelines;

(4) real estate finance;

(5) real estate valuation (appraisal);

(6) real estate mathematics; and

(7) related subject areas.

(b) The real estate licensing examination shall consist of two sections, a "national" section on general real estate law, principles, and practices and a "state" section on North Carolina real estate law, principles, and practices. Unless the "national" section is waived by the Commission for an applicant based on its authority under G.S. 93A-9, an applicant shall pass both sections of the examination in order to pass the examination.

(c) In order to pass the real estate licensing examination, an applicant shall attain a score for each required section of the examination that is at least equal to the passing score established by the Commission for each section of the examination in compliance with psychometric standards for establishing passing scores for occupational licensing examinations as set forth in the "Standards for Educational and Psychological Testing" jointly promulgated by the American Educational Research Association, the American Psychological Association, and the National Council on Measurement in Education. The "Standards for Educational and Psychological Testing" are incorporated by referencing, including subsequent amendments and editions. A copy of the "Standards for Educational and Psychological Testing" is available for inspection at the North Carolina Real Estate Commission's office, whose address is posted on its website at www.ncrec.gov. Copies of the "Standards for Educational and Psychological Testing" may be ordered from the American Education Research Association through its website at www.aera.net at a charge of sixty-nine dollars and ninety-five cents ($69.95) per copy plus shipping.

(d) An applicant who passes one or both sections of the examination will receive only a score of "pass" for the section(s) passed; however, an applicant who fails one or both sections of the examination shall be informed of their actual score for the section(s) failed. An applicant who is required to pass both sections of the examination shall do so within his or her 180-day examination eligibility period, and if the applicant passes only one section during his or her 180-day examination eligibility period, then that passing score shall not be recognized if the applicant subsequently re-applies to the Commission for a license.

(e) A passing examination score obtained by a license applicant for both sections of the examination, or for the "state" section if that is the only section an applicant is required to pass, shall be recognized as valid for a period of one year from the date the examination was passed. During this time, the applicant shall satisfy any remaining requirements for licensure that were pending at the time of examination. The running of the one-year period shall be tolled upon mailing the applicant the letter set forth in 21 NCAC 58A .0616(c) informing the applicant that his or her moral character is in question, and shall resume running when the applicant's application is either approved for license issuance, denied, or withdrawn. The application of an applicant with a passing examination score who fails to satisfy all remaining requirements for licensure within one year shall be canceled and the applicant shall be required to reapply and satisfy all requirements for licensure, including retaking and passing the license examination, in order to be eligible for licensure.

History

• Authority G.S. 93A-3(c); 93A-4(b); 93A-4(d)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. July 1, 2015; January 1, 2012; April 1, 2006; July 1, 2000; July 1, 1996; July 1, 1989; December 1, 1985; May 1, 1982; April 11, 1980
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .0403 Re-Applying for Examination

(a) An individual whose license application has been canceled pursuant to Rule .0302(c) of this Subchapter and whose 180 day examination eligibility period has expired who wishes to be rescheduled for the real estate license examination must re-apply to the Commission by filing a complete license application as described in Rule .0301 of this Subchapter and paying the prescribed application fee. Subsequent examinations shall then be scheduled in accordance with Rule .0401 of this Section.

(b) An individual whose license application has been canceled pursuant to Rule .0302(c) of this Subchapter who wishes to be rescheduled for the license examination before the expiration of his or her 180 day examination eligibility period may utilize an abbreviated electronic license application and examination rescheduling procedure by directly contacting the Commission's authorized testing service, paying both the license application fee and the examination fee to the testing service, and following the testing service's established procedures.

(c) An applicant who fails one or both sections of the license examination shall not be allowed to retake the failed section(s) of the examination for at least 10 calendar days.

History

• Authority G.S. 93A-4(b),(d)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. February 1, 1988; December 1, 1985; April 11, 1980
• Temporary Amendment Eff. April 24, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Amended Eff. January 1, 2012; April 1, 2004; October 1, 2000; August 1, 1995.
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .0404 Examination Related Conduct

(a) When taking a license examination, an applicant shall not:

(1) cheat or attempt to cheat on the examination by any means, including giving or receiving assistance or using notes of any type;

(2) communicate with any person other than an examination supervisor for any purpose in any manner;

(3) have in his or her possession or utilize in any manner study materials or notes or any device that may be used to:

(A) communicate with others;

(B) access information; or

(C) record or store photographs, visual images, audio or other information about the examination;

(4) have in his or her possession or utilize a calculator that:

(A) permits the storage, entry or retrieval of alphabetic characters; or

(B) is not silent, hand-held and either battery-powered or solar-powered;

(5) have in his or her possession a wallet, pocketbook, bag or similar item that can be used to store materials prohibited by this Rule;

(6) refuse to demonstrate to the examination supervisor that pockets on any item of clothing do not contain materials prohibited by this Rule;

(7) leave or attempt to leave the testing area with any materials provided for the purpose of taking the examination or with any information, notes or other information about the content of the examination; or

(8) refuse to comply with the instructions of the Commission and the Commission's test provider for taking the examination; or

(9) disrupt in any manner the administration of the examination.

(b) Violation of this Rule shall result in dismissal from an examination, invalidation of examination scores, forfeiture of examination and application fees and denial of a real estate license, as well as for disciplinary action if the applicant has been issued a license.

History

• Authority G.S. 93A-4(d)
• Eff. December 1, 1985
• Amended Eff. July 1, 2014; April 1, 2006; July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .0405 Confidentiality of Examinations

Licensing examinations are confidential. No applicant or licensee shall obtain, attempt to obtain, receive, or communicate to other persons examination questions or answers. Violation of this Rule is grounds for denial of a real estate license if the violator is an applicant and disciplinary action if the violator is a licensee or becomes a licensee prior to the discovery of the violation by the Commission.

History

• Authority G.S. 93A-3(c); 93A-4(d); 93A-6
• Eff. December 1, 1985
• Amended Eff. January 1, 2012; July 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .0406 Examination Review

History

• Status: repealed
• Authority G.S. 93A-4(d)
• Eff. December 1, 1985
• Amended Eff. April 1, 2006; October 1, 2000; July 1, 1989; February 1, 1989
• Repealed Eff. January 1, 2012.

21 NCAC 58A .0501 Character

History

• Status: repealed
• Authority G.S. 93A-4(b),(d)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 1, 2000; July 1, 1989; February 1, 1989; May 1, 1984; September 1, 1979
• Repealed Eff. July 1, 2003.

21 NCAC 58A .0502 firm licensing

(a) Every business entity other than a sole proprietorship shall apply for and obtain from the Commission a firm license prior to engaging in business as a real estate broker. A business entity shall not be permitted to apply for or obtain a firm license when a principal of the firm has a pending disciplinary case where probable cause has been found by the Commission. For purposes of this Rule, the term "principal," when it refers to a person or entity, means any person or entity owning 10 percent or more of the business entity, or who is an officer, director, manager, member, partner, or who holds any other comparable position.

(b) An entity that changes its business form in a manner not described in G.S. 55 Article 11A shall submit a new firm license application upon making the change and obtain a new firm license. However, such converted entity shall provide the information required by this Rule in writing to the Commission within 10 days of the conversion and shall include the duplicate license fee pursuant to Rule .0101(c) of this Subchapter.

(c) Firm license application forms shall be available on the Commission's website or upon request to the Commission and shall require the applicant to set forth:

(1) the legal name of the entity;

(2) the name under which the entity will do business;

(3) the type of business entity;

(4) the address of its principal office;

(5) the entity's NC Secretary of State Identification Number if it is required to be registered with the Office of the NC Secretary of State;

(6) each federally insured depository institution lawfully doing business in this State where the entity's trust account(s) will be held, if applicable;

(7) the name, real estate license number, and signature of the proposed qualifying broker for the firm;

(8) the address of and name of the proposed broker-in-charge for each office as defined in Rule .0110(a) of this Subchapter, along with a completed broker-in-charge designation form described in Rule .0110(f) of this Subchapter for each proposed broker-in-charge;

(9) any past criminal conviction of and any pending criminal charge against any principal in the company or any proposed broker-in-charge;

(10) any past revocation, suspension, or denial of a business or professional license of any principal in the company or any proposed broker-in-charge;

(11) any pending or previous professional license disciplinary action against the firm, its principals, or any proposed broker-in-charge;

(12) if a general partnership, a description of the applicant entity, including a copy of its written partnership agreement or if no written agreement exists, a written description of the rights and duties of the partners, and the name of each partner. If a partner is an entity rather than a natural person, the name of each officer, partner, or manager of that entity, or any entity therein;

(13) if a limited liability company, a description of the applicant entity, including a copy of its written operating agreement or if no written agreement exists, a written description of the rights and duties of the managers, and the name of each manager. If a manager is an entity rather than a natural person, the name of each officer, partner, or manager of that entity, or any entity therein;

(14) if a business entity other than a corporation, limited liability company, or partnership, a description of the organization of the applicant entity, including a copy of its organizational documents evidencing its authority to engage in real estate brokerage;

(15) if a foreign business entity, a Certificate of Authority to transact business in North Carolina issued by the NC Secretary of State and an executed consent to service of process and pleadings; and

(16) any other information required by this Rule.

(d) When the authority of a business entity to engage in the real estate business is unclear in the application or in law, the Commission shall require the applicant to declare in the firm license application that the applicant's organizational documents authorize the firm to engage in the real estate business and to submit organizational documents, addresses of affiliated persons, and similar information.

(e) After filing a firm license application with the Commission, the entity shall be licensed provided that it:

(1) has one principal holding a broker license on active status in good standing who will serve as the qualifying as defined by this Rule; and

(2) employs and is directed by personnel licensed as a broker in accordance with this Chapter.

The qualifying broker of a partnership of any kind shall be a general partner of the partnership; the qualifying broker of a limited liability company shall be a manager of the company; and the qualifying broker of a corporation shall be an officer of the corporation. A licensed business entity may serve as the qualifying broker of another licensed business entity if the qualifying broker-entity has as its qualifying broker a natural person who is licensed as a broker. The natural person who is qualifying broker shall assure to the Commission the performance of the qualifying broker's duties with regard to both entities. A provisional broker may not serve as a qualifying broker.

(f) The licensing of a business entity shall not be construed to extend to the licensing of its partners, managers, members, directors, officers, employees or other persons acting for the entity in their individual capacities regardless of whether they are engaged in furthering the business of the licensed entity.

(g) The qualifying broker of a business entity shall assume responsibility for:

(1) designating and assuring that there is at all times a broker-in-charge for each office and branch office of the entity as "office" and "branch office" are defined in Rule .0110(a) of this Subchapter;

(2) renewing the real estate broker license of the entity;

(3) retaining the firm's current pocket card at the firm and producing it as proof of firm licensure upon request and maintaining a photocopy of the firm license certificate and pocket card at each branch office thereof;

(4) notifying the Commission of any change of business address or legal or trade name of the entity and the registration of any assumed business name adopted by the entity for its use;

(5) notifying the Commission in writing of any change of his or her status as qualifying broker within 10 days following the change;

(6) securing and preserving the transaction and trust account records of the firm whenever there is a change of broker-in-charge at the firm or any office thereof and notifying the Commission if the trust account records are out of balance or have not been reconciled as required by Rule .0117 of this Subchapter;

(7) retaining and preserving the transaction and trust account records of the firm upon termination of his or her status as qualifying broker until a new qualifying broker has been designated with the Commission or, if no new qualifying broker is designated, for the period of time records are required to be retained by Rule .0108 of this Subchapter;

(8) notifying the Commission if, upon the termination of his or her status as qualifying broker, the firm's transaction and trust account records cannot be retained or preserved or if the trust account records are out of balance or have not been reconciled as required by Rule .0117 of this Subchapter; and

(9) notifying the Commission regarding any revenue suspension, revocation of Certificate of Authority, or administrative dissolution of the entity by the NC Secretary of State within 10 days of the suspension, revocation, or dissolution.

(h) Every licensed business entity and every entity applying for licensure shall conform to all the requirements imposed upon it by the North Carolina General Statutes for its continued existence and authority to do business in North Carolina. Failure to conform to such requirements shall be grounds for disciplinary action or denial of the entity's application for licensure.

(i) Upon receipt of notice from an entity or agency of this State that a licensed entity has ceased to exist or that its authority to engage in business in this State has been terminated by operation of law, the Commission shall cancel the license of the entity.

History

• Authority G.S. 93A-3(c); 93A-4
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. July 1, 2017; July 1, 2015; July 1, 2014; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2005; April 1, 2004; July 1, 2003; October 1, 2000; August 1, 1998; January 1, 1997; July 1, 1994; May 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2025.

21 NCAC 58A .0503 LICENSE renewal

(a) All real estate licenses issued by the Commission under G.S. 93A, Article 1 shall expire on June 30 following issuance. Any broker desiring renewal of his or her license shall renew on the Commission's website within 45 days prior to license expiration and shall submit a renewal fee of fifty dollars ($50.00).

(b) During the renewal process, every individual broker shall provide an email address to be used by the Commission. The email address may be designated by the broker as private in order to be exempt from public records disclosures pursuant to G.S. 93A-4(b2).

(c) During the renewal process, every designated broker-in-charge shall disclose:

(1) each federally insured depository institution lawfully doing business in this State where the trust account(s) for the broker-in-charge or the entity for which the broker-in-charge is designated is held, if applicable; and

(2) any criminal conviction or occupational license disciplinary action that occurred within the previous year.

History

• Authority G.S. 93A-3(c); 93A-4; 93A-6; 93A-38.5
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. July 1, 1994; February 1, 1991; February 1, 1989
• Temporary Amendment Eff. April 24, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Amended Eff. July 1, 2017; July 1, 2014; April 1, 2013; April 1, 2006; January 1, 2006; July 1, 2004; December 4, 2002; April 1, 1997; July 1, 1996; August 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. April 1, 2026; July 1, 2021; July 1, 2018.

21 NCAC 58A .0504 Active and Inactive License Status

(a) Except for licenses that have expired or that have been revoked, suspended or surrendered, all licenses issued by the Commission shall be designated as being either on active status or inactive status. Subject to compliance with Rule .0110 of this Subchapter, the holder of a license on active status may engage in any activity requiring a real estate license and may be compensated for the provision of any lawful real estate brokerage service. The holder of a license on inactive status shall not engage in any activity requiring a real estate license, including the referral for compensation of a prospective seller, buyer, landlord or tenant to another real estate broker or any other party. A broker holding a license on inactive status must renew the license and pay the prescribed license renewal fee in order to continue to hold the license. The Commission may take disciplinary action against a broker holding a license on inactive status for any violation of G.S. 93A or any rule adopted by the Commission, including the offense of engaging in an activity for which a license is required.

(b) A license issued to a provisional broker shall, upon initial licensure, be assigned to inactive status. A license issued to a firm or a broker other than a provisional broker shall be assigned to active status. Except for persons licensed under the provisions of Section .1800 of this Subchapter, a broker may change the status of his or her license from active to inactive status by submitting a written request to the Commission. A provisional broker's license shall be assigned by the Commission to inactive status when the provisional broker is not under the active, direct supervision of a broker-in-charge. A firm's license shall be assigned by the Commission to inactive status when the firm does not have a qualifying broker with an active license. Except for persons licensed under the provisions of Section .1800 of this Subchapter, a broker shall also be assigned to inactive status if, upon the second renewal of his or her license following initial licensure, or upon any subsequent renewal, he or she has not satisfied the continuing education requirement described in Rule .1702 of this Subchapter.

(c) A provisional broker with an inactive license who desires to have the license placed on active status must comply with the procedures prescribed in Rule .0506 of this Section.

(d) A broker, other than a provisional broker, with an inactive license who desires to have the license placed on active status shall file with the Commission a request for license activation on a form provided by the Commission containing identifying information about the broker, a statement that the broker has satisfied the continuing education requirements prescribed by Rule .1703 of this Subchapter, the name and address of any broker-in-charge, the date of the request, and the signature of the broker. Upon the mailing or delivery of this form, the broker's status will be considered to be active. If the broker is eligible for license activation, the Commission shall send a written acknowledgement of the license activation to the broker and his or her affiliated broker-in-charge, if any. If neither the broker nor his or her affiliated broker-in-charge receive from the Commission a written acknowledgment of the license activation within 30 days of the date shown on the form, the broker shall immediately terminate his or her real estate brokerage activities pending receipt of the written acknowledgment from the Commission. If either the broker or his or her affiliated broker-in-charge, if any, is notified that he or she is not eligible for license activation due to a continuing education deficiency, the broker shall terminate all real estate brokerage activities until such time as the continuing education deficiency is satisfied and a new request for license activation is submitted to the Commission.

(e) Upon an active, non-provisional broker's affiliation with a firm and broker-in-charge, the broker-in-charge of the office where the broker will be engaged in the real estate business shall notify the Commission of the affiliation on a form provided by the Commission containing identifying information about the affiliating broker and the broker-in-charge, and the signature of the broker-in-charge. If neither the broker nor the broker-in-charge receive from the Commission a written acknowledgment of the license affiliation within 30 days of the date shown on the form, the broker and his or her broker-in-charge shall cease representing the broker as being affiliated with such broker-in-charge pending receipt of the written acknowledgment from the Commission.

(f) A firm with an inactive license which desires to have its license placed on active status shall file with the Commission a request for license activation containing identifying information about the firm and its qualifying broker and satisfy the requirements of Rule .0110 of this Subchapter. If the qualifying broker has an inactive license, he or she must satisfy the requirements of Paragraph (d) of this Rule. Upon the mailing or delivery of the completed form by the qualifying broker, the firm may engage in real estate brokerage activities requiring a license; however, if the firm's qualifying broker does not receive from the Commission a written acknowledgment of the license activation within 30 days of the date shown on the form, the firm shall immediately terminate its real estate brokerage activities pending receipt of the written acknowledgment from the Commission. If the qualifying broker is notified that the firm is not eligible for license activation due to a continuing education deficiency on the part of the qualifying broker, the firm must terminate all real estate brokerage activities until such time as the continuing education deficiency is satisfied and a new request for license activation is submitted to the Commission.

(g) A person licensed as a broker under Section .1800 of this Subchapter shall maintain his or her license on active status at all times as required by Rule .1804 of this Subchapter.

History

• Authority G.S. 93A-3(c); 93A-4(d); 93A-4.1; 93A-6; 93A-9
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. April 1, 2013; February 1, 2012; January 1, 2012; July 1, 2009; April 1, 2006; July 1, 2005; July 1, 2004; October 1, 2000; April 1, 1997; July 1, 1996; July 1, 1995; July 1, 1994; February 1, 1989; December 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .0505 REINSTATEMENT OF a LICENSE

(a) The fee for reinstatement of a license that has been expired, revoked, or surrendered for less than two years shall be an amount equal to two times the current renewal license fee pursuant to Rule .0503 of this Section.

(b) The reinstatement application form is available on the Commission's website and shall include the applicant's:

(1) legal name;

(2) mailing, physical, and email address;

(3) telephone number;

(4) previous license number;

(5) Secretary of State identification number, if applicable;

(6) social security number and date of birth, if applicable;

(7) qualifying broker and broker-in-charge's legal name and license number, if applicable;

(8) criminal record report from a designated criminal reporting service obtained within six months prior to application;

(9) certification; and

(10) signature.

(c) An individual seeking reinstatement of a license that has been expired for less than six months shall:

(1) submit the reinstatement fee pursuant to Paragraph (a) of this Rule;

(2) disclose any criminal conviction, court-martial conviction, notarial commission sanction, or disciplinary action pursuant to Rule .0113 of this Section, including any conviction or disciplinary action incurred while the individual's license was expired; and

(3) satisfy the license activation requirements of Rule .1703 of this Subchapter, if applicable.

(d) An individual seeking reinstatement of a license that has been expired for six months but no more than two years or revoked or surrendered for no more than two years shall:

(1) submit a complete reinstatement application pursuant to Paragraph (b) of this Rule;

(2) submit the reinstatement fee pursuant to Paragraph (a) of this Rule; and

(3) pass:

(A) one Postlicensing course within six months prior to submitting a reinstatement application;

(B) the "National" and "State" sections of the current license examination within 180 days after submitting a reinstatement application; or

(C) the "State" section of the current license examination within 180 days after submitting a reinstatement application if the individual possesses an active broker license in another state.

(e) An individual seeking reinstatement of a license that has been expired, revoked, or surrendered for more than two years shall submit a license application and application fee pursuant to G.S. 93A-4 and Rules .0301, .0302, and .0511 of this Subchapter.

(f) A reinstated license shall be effective as of the date of reinstatement, not the date of initial licensure. If a license is reinstated after three years from the expiration, revocation, or surrender, the license shall be on provisional broker status pursuant to G.S. 93A-4(a1).

(g) A business entity seeking reinstatement of a license shall submit:

(1) the reinstatement fee pursuant to Paragraph (a) of this Rule if the license has been expired for less than six months;

(2) the reinstatement fee and a complete reinstatement application pursuant to Paragraphs (a) and (b) of this Rule if the license has been expired for six months but no more than two years or revoked or surrendered for no more than two years; or

(3) a firm license application pursuant to G.S. 93A-4 and Rules .0301, .0302, and .0502 of this Subchapter if the license has been expired, revoked, or surrendered for more than two years.

(h) A broker seeking reinstatement of a license shall satisfy to the Commission that the broker possesses the character requisites pursuant to G.S. 93A-4(b).

History

• Authority G.S. 93A-3(c); 93A-4; 93A-38.5
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Temporary Amendment Eff. April 24, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Amended Eff. July 1, 2017; January 1, 2012; July 1, 2009; January 1, 2008; April 1, 2004; July 1, 2000; August 1, 1998; July 1, 1996; August 1, 1995; July 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2023; July 1, 2018.

21 NCAC 58A .0506 Provisional Broker to Be Supervised by Broker-in-Charge

(a) A provisional broker may engage in or hold himself or herself out as engaging in activities requiring a real estate license only while his or her license is on active status pursuant to Rule .0504 of this Section and he or she is supervised by the broker-in-charge of the real estate firm or office with which the provisional broker is affiliated. A provisional broker shall be supervised by only one broker-in-charge at a time except that a provisional broker may be supervised by no more than two brokers-in-charge of two licensed affiliated firms located in the same physical location and acting as co-listing or co-selling agents in real estate transactions. When a provisional broker is supervised by more than one broker-in-charge, both brokers-in-charge shall bear all supervision responsibility at all times.

(b) Upon a provisional broker's affiliation with a real estate broker or brokerage firm, the broker-in-charge of the office where the provisional broker will be engaged in the real estate business shall file with the Commission a License Activation and Broker Affiliation form that sets forth the:

(1) provisional broker's:

(A) name;

(B) license number, type of license, and current license status;

(C) physical, mailing, and emailing addresses;

(D) public and private phone numbers;

(E) completed Postlicensing courses, if necessary;

(F) completed continuing education courses, if necessary; and

(G) signature.

(2) broker-in-charge's:

(A) name;

(B) license number;

(C) firm's name and license number;

(D) physical, mailing, and emailing addresses;

(E) public and private phone numbers; and

(F) signature.

(c) Upon the submission of the License Activation and Broker Affiliation form, the provisional broker may engage in real estate brokerage activities requiring a license under the supervision of the broker-in-charge; however, if the provisional broker and broker-in-charge do not receive from the Commission a written acknowledgment of the provisional broker supervision notification and, if appropriate, the request for license activation, within 30 days of the date shown on the form, the provisional broker shall cease all real estate brokerage activities pending receipt of the written acknowledgment from the Commission.

(d) A broker-in-charge shall supervise the provisional broker in a manner that assures that the provisional broker performs all acts for which a real estate license is required in accordance with the Real Estate License Law and Commission rules. A supervising broker who fails to supervise a provisional broker as prescribed in this Rule may be subject to disciplinary action pursuant to Rule .0110 of this Subchapter.

(e) Upon the termination of the supervisory relationship between a provisional broker and his or her broker-in-charge, the provisional broker and the broker-in-charge shall provide written notification of the date of termination to the Commission not later than 10 days following the termination.

History

• Authority G.S. 93A-2(a1); 93A-2(a2); 93A-3; 93A-9
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. April 1, 2013; April 1, 2006; July 1, 2005; July 1, 2004; October 1, 2000; August 1, 1998; July 1, 1996; July 1, 1995; July 1, 1993
• Readopted Eff. July 1, 2019
• Amended Eff. July 1, 2020.

21 NCAC 58A .0507 Payment of Fees

Checks, credit cards, and other forms of payment given the Commission for fees due which are returned unpaid shall be considered cause for license denial, suspension, or revocation.

History

• Authority G.S. 93A-3(c); 93A-4(c),(d); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. September 1, 2002; May 1, 1984
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .0508 Duplicate License Fee

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4(c),(d); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1984.

21 NCAC 58A .0509 Duplicate License Fee

History

• Status: repealed
• Authority G.S. 93A-4(c),(d)
• Eff. December 1, 1985
• Amended Eff. February 1, 1989
• Repealed Eff. July 1, 2017.

21 NCAC 58A .0510 Cancellation of Salesperson License Upon Broker Licensure

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4(d)
• Eff. July 1, 1996
• Amended Eff, October 1, 2000
• Repealed Eff. April 1, 2006.

21 NCAC 58A .0511 Licensing of Persons Licensed in Another Jurisdiction

(a) For purposes of this Rule, "Jurisdiction" shall mean a state, territory, or possession of the United States or Canada.

(b) An individual seeking a real estate license who, at the time of application, holds a current real estate salesperson or broker license in another jurisdiction that has been on active status in good standing within the three years prior to application may satisfy the 75-hour prelicensing education program and examination requirements prescribed in G.S. 93A-4 by electing to either:

(1) pass the "State" section of that examination. A person qualifying for licensure under this provision shall be issued a North Carolina broker license on a status comparable to the category of license held by the person in the jurisdiction where the qualifying license is held; or

(2) be issued a North Carolina broker license on provisional status only and then comply with the provisions of G.S. 93A-4(a1).

(c) Brokers who were licensed in North Carolina by reciprocity shall be entitled to retain such license indefinitely, unless suspended, revoked, or surrendered pursuant to G.S. 93A-6, so long as the license is renewed or is reinstated pursuant to Rule .0505 of this Section.

(d) A military-trained or military spouse applicant seeking a temporary practice permit shall submit an application on a form available on the Commission's website. The military-trained or military spouse temporary permit application shall include applicant's:

(1) legal name;

(2) mailing, physical, and email address;

(3) telephone number;

(4) social security number;

(5) date of birth;

(6) criminal background report prepared within six months of application;

(7) occupational licensing history, including any disciplinary actions;

(8) pending liens or judgements;

(9) certification of equivalent training or experience, by submission of either a:

(A) military occupational specialty certificate that is substantially equivalent to or exceeds the requirements for licensure;

(B) certification that the applicant has engaged in the active practice of brokerage for at least two of the five years preceding the date of the application; or

(C) certification, issued within six months of application, of a current real estate salesperson or broker license in another jurisdiction that has been on active status within 3 years of application;

(10) certification; and

(11) signature.

(e) An applicant who is issued a temporary practice permit pursuant to Paragraph (d) of this Rule shall remain a provisional broker for the duration of the permit.

History

• Authority G.S. 93A-3(c); 93A-4; 93A-4.1; 93A-9(a); 93B-15.1
• Eff. January 1, 2012
• Amended Eff. April 1, 2013; February 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2018.

21 NCAC 58A .0512 Death or Incapacity of Sole Proprietor

(a) If a licensed real estate broker engaged in business as a sole proprietor pursuant to G.S. 93A-2(a) dies or becomes incapacitated, the Commission shall issue a temporary license to the executor or administrator of the estate of the deceased sole proprietor broker or to the court-appointed fiduciary of the incapacitated sole proprietor broker upon receipt of the following:

History

• Authority G.S. 93A-2
• Eff. July 1, 2018.

21 NCAC 58A .0513 License Cancellation

(a) A broker seeking to voluntarily cancel their real estate license shall file a license cancellation notice by logging into the broker's online portal located on the Commission's website.

(b) The license cancellation shall be granted if the broker's license does not have a pending complaint or disciplinary action with the Commission. If the license cancellation is granted, the broker's license shall be permanently cancelled effective as of the date the notice was filed pursuant to Paragraph (a) of this Rule.

(c) A license cancelled pursuant to this Rule shall be ineligible for reinstatement.

History

• Authority G.S. 93A-3(c)
• Eff. April 1, 2026.

21 NCAC 58A .0601 Complaints/Inquiries/Motions/Other Pleadings

(a) Any individual may file a complaint against a broker at any time. A complaint shall:

(1) be in writing;

(2) identify the respondent broker or firm; and

(3) apprise the Commission of the facts which form the basis of the complaint.

(b) A complaint may be amended by submitting the revised complaint in writing to the Commission.

(c) When investigating a complaint, the scope of the Commission's investigation shall not be limited only to matters alleged in the complaint.

(d) All answers, motions, or other pleadings relating to contested cases before the Commission shall be:

(1) in writing or made during the hearing as a matter of record; and

(2) apprise the Commission of the matters it alleges or answers.

(e) During the course of an investigation, any broker that receives a Letter of Inquiry from the Commission shall submit a written response within 14 days of receipt. The Commission, through its legal counsel or other staff, may send a broker a Letter of Inquiry requesting a response. The Letter of Inquiry, or attachments thereto, shall set forth the subject matter being investigated. The response shall include:

(1) a disclosure of all requested information; and

(2) copies of all requested documents.

(f) Persons who make complaints are not parties to contested cases, but may be witnesses.

History

• Authority G.S. 93A-3(c); 93A-6(a); 150B-38(h)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. July 1, 2000; August 1, 1998; May 1, 1992; February 1, 1989; November 1, 1987
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2019.

21 NCAC 58A .0602 Prima Facie Case

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-6(a); 150A-11
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. April 22, 1980
• Repealed Eff. September 1, 1983.

21 NCAC 58A .0603 Request for Hearing

History

• Status: repealed
• Authority G.S. 93A-3(c); 150A-11; 150A-25(a)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1984.

21 NCAC 58A .0604 Notice of Hearing

History

• Status: repealed
• Authority G.S. 93A-3(c); 150A-11; 150A-25(a)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1984.

21 NCAC 58A .0605 Who Shall Hear Contested Cases

History

• Status: repealed
• Authority G.S. 93A-3(c); 150A-11; 150A-25(a)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1984.

21 NCAC 58A .0606 Failure to Appear

History

• Status: repealed
• Authority G.S. 93A-3(c); 150A-11; 150A-25(a)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1984.

21 NCAC 58A .0607 Petition to Reopen Proceeding

(a) After a final decision has been reached by the Commission in a contested case, a party may petition the Commission to reconsider a case. Petitions will not be granted except when the petitioner can show that the reasons for reconsidering the case are to introduce newly discovered evidence which was not presented at the initial hearing because of some justifiable, excusable or unavoidable circumstance. Upon the running of the 30 day period for seeking judicial review, such petitions will have no effect.

(b) Decisions on petitions to reopen cases are within the discretion of the Commission.

History

• Authority G.S. 150B-38(h)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. February 1, 1989; May 1, 1984
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .0608 Answer

History

• Status: repealed
• Authority G.S. 93A-3(c); 150A-11; 150A-25(b)
• Eff. February 1, 1976
• Repealed Eff. May 1, 1984.

21 NCAC 58A .0609 Intervention

History

• Status: repealed
• Authority G.S. 93A-3(c); 150A-11; 150A-23(d)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1984
• Repealed Eff. February 1, 1989.

21 NCAC 58A .0610 Subpoenas

(a) Subpoenas issued in preparation for, or in the conduct of, a contested case pending before the Commission shall be issued in the name of the Commission and shall be signed by the Commission's legal counsel, chairman, vice chairman, the officer presiding at the hearing if a member of the Commission other than the chairman or vice chairman has been designated to preside.

(b) After a notice of hearing in a contested case has been issued and served upon a respondent or, in a case concerning an application for licensure, the applicant, the respondent, or the attorney for the respondent or applicant may request subpoenas for the attendance of witnesses and the production of evidence. The subpoenas may be signed by the respondent or applicant, or the respondent's or applicant's attorney.

(c) All subpoenas issued in connection with a contested case pending before the Commission shall be on a form approved by the Commission. Subpoena forms shall be provided by the Commission without charge upon request.

(d) Motions to quash a subpoena issued in preparation for, or in connection with, a contested case pending before the Commission shall be submitted to the Commission in writing and shall clearly state the grounds therefor. The disposition of any motion to quash a subpoena shall be made by the chairman of the Commission in his or her discretion. If the chairman is unavailable, then the vice chairman or other Commission member designated to preside over the hearing may dispose of such a motion in the chairman's place.

History

• Authority G.S. 93A-6(a); 150B-38(h); 150B-39(c); 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 1, 2000; August 1, 1996; May 1, 1992; February 1, 1989; May 1, 1984
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .0611 Answers and Other Pleadings

History

• Status: repealed
• Authority G.S. 93A-3(c); 150B-11
• Eff. July 1, 1988
• Repealed Eff. February 1, 1989.

21 NCAC 58A .0612 Presiding Officer

The Commission may designate any of its members to preside over the hearing in a contested case. When no designation is made, the Chairman of the Commission shall preside, or, in his or her absence, the Vice Chairman shall preside. The presiding officer shall rule on motions or other requests made in a contested case prior to the conduct of the hearing in that case except when the ruling on the motion would be dispositive of the case. When the ruling on a motion or request would be dispositive of the case, the presiding officer shall make no ruling and the motion or request shall be determined by a majority of the Commission.

History

• Authority G.S. 93A-3(c); 150B-40(b)
• Eff. May 1, 1992
• Amended Eff. October 1, 2000
• Readopted Eff. July 1, 2019.

21 NCAC 58A .0613 Scope

History

• Status: repealed
• Authority G.S. 93A-3(c)
• Eff. May 1, 1992
• Repealed Eff. August 1, 1998.

21 NCAC 58A .0614 Summary Suspension

(a) If the Commission finds that the public health, safety, or welfare requires emergency action, it may, pursuant to G.S. 150B-3(c), summarily suspend a license without a hearing or opportunity for the licensee to be heard. A motion for summary suspension shall be presented to the Chairman of the Commission by counsel for the State and may be presented ex parte. The motion shall be supported by an affidavit of a person with first-hand knowledge of the facts alleged which require emergency action.

(b) The Commission shall, when it summarily suspends a license, immediately schedule a hearing, to occur at the earliest practicable date, on the merits of the charges set out in a notice of hearing issued contemporaneously with the order of summary suspension. The motion, supporting affidavit, order for summary suspension and notice of hearing shall be served on the licensee as soon as possible and the summary suspension shall be effective no earlier than the date of service of the summary suspension order on the licensee. The order of summary suspension shall remain in effect until the Commission vacates it.

(c) A summarily suspended licensee may petition the Commission to vacate the summary suspension order. If the Chairman of the Commission finds that the summary suspension order was issued in error or on insufficient factual grounds to justify emergency action, the Chairman of the Commission may vacate the summary suspension order.

(d) Neither an order of summary suspension nor a denial of a motion to vacate an order of summary suspension is a final agency decision.

History

• Authority G.S. 93A-6(a); 150B-3(c)
• Eff. August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .0615 Settlements

The Commission may consider disposing of any contested matter before it by consent order or upon stipulation of the respondent and the Commission's legal counsel. The Commission may approve or reject any proposal to dispose of a contested matter by consent or stipulation, however, any matter to which a respondent and the Commission's legal counsel have stipulated which is rejected by the Commission shall not thereafter bind the parties or the Commission. Except as may be otherwise allowed by the presiding officer, all proposals to dispose of a contested matter must be in written form and signed by the respondent not later than two days prior to the date set for the hearing of the matter, excluding any days during which the Commission's offices are closed.

History

• Authority G.S. 93A-3(d); 93A-6(a); 150B-38(h)
• Eff. July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .0616 PROCEDURES FOR REQUESTING HEARINGS WHEN APPLICANT's CHARACTER IS IN QUESTION

(a) When the moral character of an applicant for licensure or approval is in question, the applicant shall not be licensed or approved until the applicant has affirmatively demonstrated that the applicant possesses the requisite honesty, truthfulness, integrity, good moral character, and general fitness, including mental and emotional fitness, necessary to protect the public interest and promote public confidence in the real estate brokerage business. For the purposes of this Rule, applicant means any person or entity making application for licensure as a real estate broker or for licensure or approval as an instructor.

(b) When the applicant is an entity, it shall be directed and controlled by persons who possess the requisite honesty, truthfulness, integrity, good moral character, and general fitness, including mental and emotional fitness, necessary to protect the public interest and promote public confidence in the real estate brokerage business.

(c) When the character of an applicant is in question, the Commission shall defer action upon the application until the applicant is notified by letter. The letter informing the applicant that his or her moral character is in question shall be sent by certified mail, return receipt requested, to the address shown upon the application. The applicant shall have 60 days from the date of receipt of this letter to request a hearing before the Commission. If the applicant fails to request a hearing within this time or if a properly addressed letter is returned to the Commission undelivered, applicant's right to a hearing shall be considered waived and the application shall be deemed denied. If the applicant makes a timely request for a hearing in accordance with the provisions of this Rule, the Commission shall provide the applicant with a Notice of Hearing and hearing as required by G.S. 150B, Article 3A.

(d) Nothing in this Rule shall be interpreted to prevent an unsuccessful applicant from reapplying for licensure or approval if such application is otherwise permitted by law.

History

• Authority G.S. 93A-4
• Eff. September 1, 2002
• Amended Eff. April 1, 2013; January 1, 2012; April 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2020.

21 NCAC 58A .0701 Petition for Rule-Making Hearings

(a) Any person wishing to file a petition requesting the adoption, amendment or repeal of a rule by the Commission shall file a written petition with the executive director.

(b) The petition shall include the following information:

(1) name, address and occupation of petitioner;

(2) a summary of the proposed action (adoption, amendment, or repeal of a rule or rules);

(3) a draft of the proposed rule or other action;

(4) a complete statement of the reason for the proposed action; and

(5) an identification of the persons or class of persons most likely to be affected by the proposed action.

(c) The Commission shall decide whether to allow or deny a rule-making petition.

History

• Authority G.S. 150B-16
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. February 1, 1989; May 1, 1984
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .0702 Disposition of Petitions

History

• Status: repealed
• Authority G.S. 93A-3(c); 150A-12; 150A-16
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1984.

21 NCAC 58A .0703 Additional Information

History

• Status: repealed
• Authority G.S. 93A-3(c); 150A-12; 150A-16
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1984.

21 NCAC 58A .0801 Request to Participate

History

• Status: repealed
• Authority G.S. 93A-3(c); 150A-11; 150A-12(e)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1984.

21 NCAC 58A .0802 Written Submissions

History

• Status: expired
• Authority G.S. 93A-3(c); 150B-12
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. February 1, 1989; May 1, 1984
• Expired Eff. June 1, 2018 pursuant to G.S. 150B-21.3A.

21 NCAC 58A .0803 Presiding Officer: Powers and Duties

History

• Status: expired
• Authority G.S. 93A-3(c); 150B-12
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. February 1, 1989; May 1, 1984
• Expired Eff. June 1, 2018 pursuant to G.S. 150B-21.3A.

21 NCAC 58A .0804 Statement of Reasons for Decision

History

• Status: repealed
• Authority G.S. 93A-3(c); 150A-11; 150A-12(e)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1984.

21 NCAC 58A .0805 Record of Proceedings

History

• Status: expired
• Authority G.S. 93A-3(c); 150B-12
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. February 1, 1989; November 1, 1987
• Expired Eff. June 1, 2018 pursuant to G.S. 150B-21.3A.

21 NCAC 58A .0901 Subjects of Declaratory Rulings

History

• Status: repealed
• Authority G.S. 93A-3(c); 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1984.

21 NCAC 58A .0902 Requests for Rulings: Disposition of Requests

(a) All requests for declaratory rulings shall be written and filed with the Commission. The request must contain the following information:

(1) the name, address and signature of petitioner;

(2) a concise statement of the manner in which petitioner is aggrieved by the rule or statute in question, or its potential application to him or her;

(3) a statement of the interpretation given the statute or rule in question by petitioner;

(4) a statement of the reasons, including any legal authorities, in support of the interpretation given the statute or rule by petitioner.

(b) The Commission shall either deny the request, stating the reasons therefore, or issue a declaratory ruling. The Commission may deny a request for a declaratory ruling when the Commission determines that:

(1) the petition does not comply with the requirements of Paragraph (a) of this Rule;

(2) the subject matter is one concerning which the Commission is without authority to make a decision binding the agency or the petitioner;

(3) the petitioner is not aggrieved by the rule or statute in question or otherwise has insufficient interest in the subject matter of the request;

(4) there is reason to believe that the petitioner or some other person or entity materially connected to the subject matter of the request is acting in violation of the real estate license law or the rules adopted by the Commission; or

(5) the subject matter of the request is the subject of litigation, legislation, or rulemaking.

(c) The Commission shall not issue a declaratory ruling when the petitioner or his or her request is the subject of, or materially related to, an investigation by the Real Estate Commission or contested case before the Commission.

History

• Authority G.S. 93A-3(c); 150B-4(a)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. April 1, 2006; October 1, 2000; May 1, 1992; February 1, 1989; May 1, 1984
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .0903 Disposition of Requests

History

• Status: repealed
• Authority G.S. 93A-3(c); 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1984.

21 NCAC 58A .0904 Applicability of Ruling

History

• Status: repealed
• Authority G.S. 93A-3(c); 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1984.

21 NCAC 58A .0905 Record of Ruling

History

• Status: expired
• Authority G.S. 93A-3(c); 150B-17
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. November 1, 1987
• Expired Eff. June 1, 2018 pursuant to G.S. 150B-21.3A.

21 NCAC 58A .1000 Schools

This Section .1000 of Title 21 Subchapter 58A of the North Carolina Administrative Code (T21.58A .1000); SCHOOLS; has been transferred and recodified to Section .0100 of Title 21 Subchapter 58C of the North Carolina Administrative Code (T21.58C .0100), effective November 27, 1989.

21 NCAC 58A .1101 Purpose and Applicability

History

• Authority G.S. 93A-4(a),(d)
• Eff. September 1, 1979
• Amended Eff. February 1, 1989; September 1, 1984
• Transferred and Recodified to 21 NCAC 58C .0301 Eff. November 27, 1989.

21 NCAC 58A .1102 Program Structuring

History

• Authority G.S. 93A-4(a),(d)
• Eff. September 1, 1979
• Amended Eff. February 1, 1989; September 1, 1984; September 1, 1983; January 1, 1981
• Transferred and Recodified to 21 NCAC 58C .0302 Eff. November 27, 1989.

21 NCAC 58A .1103 Course Duration

History

• Status: repealed
• Authority G.S. 93A-4(a),(d)
• Eff. September 1, 1979
• Amended Eff. September 1, 1984
• Repealed Eff. February 1, 1989.

21 NCAC 58A .1104 Course Content

History

• Authority G.S. 93A-4(a),(d)
• Eff. September 1, 1979
• Amended Eff. February 1, 1989; November 1, 1987; May 1, 1987; September 1, 1984
• Transferred and Recodified to 21 NCAC 58C .0303 Eff. November 27, 1989.

21 NCAC 58A .1105 Course Completion Standards

History

• Authority G.S. 93A-4(a),(d)
• Eff. September 1, 1979
• Amended Eff. April 1, 1987; September 1, 1984
• Recodified Paragraphs (d) and (e) to Rule 58A .1113 (a) and (b) Eff. January 6, 1989
• Amended Eff. February 1, 1989
• Transferred and Recodified to 21 NCAC 58C .0304 Eff. November 27, 1989.

21 NCAC 58A .1106 Examinations

History

• Status: repealed
• Authority G.S. 93A-4(a),(d)
• Eff. September 1, 1979
• Amended Eff. September 1, 1983
• Repealed Eff. September 1, 1984.

21 NCAC 58A .1107 Course Scheduling

History

• Authority G.S. 93A-4(a),(d)
• Eff. September 1, 1979
• Amended Eff. February 1, 1989; August 1, 1980
• Transferred and Recodified to 21 NCAC 58C .0305 Eff. November 27, 1989.

21 NCAC 58A .1108 Textbooks

History

• Authority G.S. 93A-4(a),(d)
• Eff. September 1, 1979
• Amended Eff. February 1, 1989; September 1, 1984; September 1, 1983
• Transferred and Recodified to 21 NCAC 58C .0306 Eff. November 27, 1989.

21 NCAC 58A .1109 Instructors

History

• Authority G.S. 93A-4(a),(d)
• Eff. September 1, 1979
• Amended Eff. February 1, 1989; September 1, 1984; January 1, 1981
• Transferred and Recodified to 21 NCAC 58C .0307 Eff. November 27, 1989.

21 NCAC 58A .1110 Changes in Course Duration: Textbooks: Primary Instructors

History

• Status: repealed
• Authority G.S. 93A-4(a),(d)
• Eff. September 1, 1979
• Repealed Eff. January 1, 1981.

21 NCAC 58A .1111 Certification of Course Completion

History

• Authority G.S. 93A-4(a),(d)
• Eff. September 1, 1979
• Amended Eff. February 1, 1989; September 1, 1984; January 1, 1981
• Transferred and Recodified to 21 NCAC 58C .0309 Eff. November 27, 1989.

21 NCAC 58A .1112 Courses Prior to September 1, 1979

History

• Status: repealed
• Authority G.S. 93A-4(a),(d)
• Eff. September 1, 1979
• Repealed Eff. January 1, 1981.

21 NCAC 58A .1113 Course Records

History

• Authority G.S. 93A-4(a),(d)
• Eff. September 1, 1984
• Recodified from Rule 58A .1105 (d) and (e) Eff. January 6, 1989
• Transferred and Recodified to 21 NCAC 58C .0310 Eff. November 27, 1989.

21 NCAC 58A .1201 Applicability: Requirement for Certification

History

• Status: repealed
• Authority G.S. 93A-4(a),(d)
• Eff. September 1, 1979
• Amended Eff. November 1, 1987; April 1, 1987; September 1, 1984; January 1, 1981
• Repealed Eff. February 1, 1989.

21 NCAC 58A .1202 Application for Instructor Certification

History

• Status: repealed
• Authority G.S. 93A-4(a),(d)
• Eff. September 1, 1979
• Amended Eff. November 1, 1987; April 1, 1987; September 1, 1984; January 1, 1981
• Repealed Eff. February 1, 1989.

21 NCAC 58A .1203 Criteria for Certification

History

• Status: repealed
• Authority G.S. 93A-4(a),(d)
• Eff. September 1, 1979
• Amended Eff. November 1, 1987; April 1, 1987; September 1, 1984; January 1, 1981
• Repealed Eff. February 1, 1989.

21 NCAC 58A .1204 Duration of Certification

History

• Status: repealed
• Authority G.S. 93A-4(a),(d)
• Eff. September 1, 1979
• Amended Eff. November 1, 1987; April 1, 1987; September 1, 1984; January 1, 1981
• Repealed Eff. February 1, 1989.

21 NCAC 58A .1205 Denial: Revocation: Suspension of Instructor Certification

History

• Status: repealed
• Authority G.S. 93A-4(a),(d)
• Eff. September 1, 1979
• Amended Eff. November 1, 1987; April 1, 1987; September 1, 1984; January 1, 1981
• Repealed Eff. February 1, 1989.

21 NCAC 58A .1206 Changes in School Affiliation or Address

History

• Status: repealed
• Authority G.S. 93A-4(a),(d)
• Eff. January 1, 1981
• Amended Eff. November 1, 1987
• Repealed Eff. February 1, 1989.

21 NCAC 58A .1301 Applicability

History

• Authority G.S. 93A-4(a),(d); 93A-33
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; December 1, 1987
• Transferred and Recodified to 21 NCAC 58C .0201 Eff. November 27, 1989.

21 NCAC 58A .1302 Application for Original License

History

• Status: repealed
• Authority G.S. 93A-4(a),(d); 93A-33
• Eff. October 1, 1980
• Repealed Eff. December 1, 1987.

21 NCAC 58A .1303 School Name

History

• Authority G.S. 93A-4(a),(d); 93A-33
• Eff. October 1, 1980
• Amended Eff. September 1, 1984
• Transferred and Recodified to 21 NCAC 58C .0203 Eff. November 27, 1989.

21 NCAC 58A .1304 Courses

History

• Authority G.S. 93A-4(a),(d); 93A-33
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; September 1, 1984
• Transferred and Recodified to 21 NCAC 58C .0204 Eff. November 27, 1989.

21 NCAC 58A .1305 Additional Course Offerings

History

• Authority G.S. 93A-4(a),(d); 93A-33
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; November 1, 1987
• Transferred and Recodified to 21 NCAC 58C .0205 Eff. November 27, 1989.

21 NCAC 58A .1306 Administration

History

• Authority G.S. 93A-4(a),(d); 93A-33
• Eff. October 1, 1980
• Amended Eff. April 1, 1987
• Transferred and Recodified to 21 NCAC 58C .0206 Eff. November 27, 1989.

21 NCAC 58A .1307 Facilities and Equipment

History

• Authority G.S. 93A-4(a),(d); 93A-33
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; November 1, 1987; September 1, 1984
• Transferred and Recodified to 21 NCAC 58C .0207 Eff. November 27, 1989.

21 NCAC 58A .1308 Bulletins

History

• Authority G.S. 93A-4(a),(d); 93A-33
• Eff. October 1, 1980
• Amended Eff. December 1, 1987
• Transferred and Recodified to 21 NCAC 58C .0208 Eff. November 27, 1989.

21 NCAC 58A .1309 Enrollment Contracts

History

• Authority G.S. 93A-4(a),(d); 93A-33
• Eff. October 1, 1980
• Transferred and Recodified to 21 NCAC 58C .0209 Eff. November 27, 1989.

21 NCAC 58A .1310 Admissions Policy and Practice

History

• Authority G.S. 93A-4(a),(d); 93A-33
• Eff. October 1, 1980
• Transferred and Recodified to 21 NCAC 58C .0210 Eff. November 27, 1989.

21 NCAC 58A .1311 Records

History

• Authority G.S. 93A-4(a),(d); 93A-33
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; September 1, 1984
• Transferred and Recodified to 21 NCAC 58C .0211 Eff. November 27, 1989.

21 NCAC 58A .1312 Enforcement of Institutional Standards

History

• Authority G.S. 93A-4(a),(d); 93A-33
• Eff. October 1, 1980
• Transferred and Recodified to 21 NCAC 58C .0212 Eff. November 27, 1989.

21 NCAC 58A .1313 Performance Bond

History

• Authority G.S. 93A-4(a),(d); 93A-33
• Eff. October 1, 1980
• Amended Eff. December 1, 1987
• Transferred and Recodified to 21 NCAC 58C .0213 Eff. November 27, 1989.

21 NCAC 58A .1314 Advertising and Recruitment Activities

History

• Authority G.S. 93A-4(a),(d); 93A-33
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; April 1, 1987; September 1, 1984
• Transferred and Recodified to 21 NCAC 58C .0214 Eff. November 27, 1989.

21 NCAC 58A .1315 Quarterly Reports

History

• Authority G.S. 93A-4(a),(d); 93A-33
• Eff. October 1, 1980
• Amended Eff. September 1, 1984
• Transferred and Recodified to 21 NCAC 58C .0215 Eff. November 27, 1989.

21 NCAC 58A .1316 Changes During the Licensing Period

History

• Authority G.S. 93A-4(a),(d); 93A-33
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; September 1, 1984
• Transferred and Recodified to 21 NCAC 58C .0216 Eff. November 27, 1989.

21 NCAC 58A .1317 Renewal of Licenses

History

• Authority G.S. 93A-4(a),(d); 93A-33
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; December 1, 1987
• Transferred and Recodified to 21 NCAC 58C .0217 Eff. November 27, 1989.

21 NCAC 58A .1318 Licensing Exam Confidentiality: School Perform./Licensing

History

• Authority G.S. 93A-4(a),(d); 93A-33
• Eff. October 1, 1980
• Amended Eff. April 1, 1987; September 1, 1984
• Transferred and Recodified to 21 NCAC 58C .0218 Eff. November 27, 1989.

21 NCAC 58A .1401 Application for Payment

(a) Any person or entity desiring to obtain payment from the Real Estate Education and Recovery Fund shall file an application with the Commission on a form provided by the Commission. The form shall require the following information concerning the applicant and the claim: the applicant's name and address, the amount of the claim, a description of the acts of the broker which constitute the grounds for the claim and a statement that all court proceedings are concluded. With the form, the applicant shall submit copies of the civil complaint, judgment, and the return of execution marked as unsatisfied. If the application is incomplete or not filed in correct form, or if the Commission is without jurisdiction over the claim or the parties, counsel for the Commission may file a motion to dismiss the application. The Commission shall conduct a hearing on the motion at which the only issues to be determined shall be whether the application is complete or in correct form or whether the Commission has jurisdiction over the claim or the parties.

(b) Forms for application for payment from the Real Estate Education and Recovery Fund shall be available from the Commission on request.

History

• Authority G.S. 93A-3(c); 93A-17
• Eff. February 1, 1988
• Amended Eff. April 1, 2013; September 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .1402 Multiple Claims

(a) If at any time the Commission has notice of more than one application or potential claim for payment from the Real Estate Education and Recovery Fund arising out of the conduct of a single broker, the Commission may, in its discretion, direct that all applications filed before a date determined by the Commission be consolidated for hearing and payment.

(b) Upon directing that claims be consolidated as provided in Paragraph (a) of this Rule, the Commission shall issue to the broker and the applicants and potential claimants an Order of Consolidation setting forth the deadline for filing all applications to be consolidated. Upon the passing of the deadline, the Commission may, in its discretion, either extend the deadline or issue to the broker and all applicants a notice of the time, date and place set for the hearing on the consolidated applications.

(c) In exercising its discretion as provided in Paragraphs (a) and (b) of this Rule, the Commission shall consider the following factors:

(1) the number of claim applications or potential claims of which it has notice;

(2) the amount of each claim;

(3) the status of the underlying civil action in each claim;

(4) the length of time each claim has been pending since the Commission first received notice of the claim; and

(5) whether consolidation of such claims or the extension of the deadline for filing applications to be consolidated will promote the fair and efficient administration and payment of monies from the Real Estate Education and Recovery Fund.

History

• Authority G.S. 93A-16(d); 93A-17; 93A-20
• Eff. February 1, 1988
• Amended Eff. May 1, 2013; July 1, 2000; February 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .1403 Notice of Hearing: Order/Payt from/Real Estate Education and Recovery Fund

(a) The Commission shall give notice of the time, place and date of a hearing on a claim for payment from the Real Estate Education and Recovery Fund to any applicant and the broker.

(b) After conducting a hearing, the Commission shall issue an order either authorizing payment or denying the claim, in whole or in part. This order shall be served upon the broker and any applicant.

(c) The existence of subsequent notices of potential claims or subsequent applications shall not be considered by the Commission in the issuance of an Order for Payment in those cases where the award is allowable but must be reduced pursuant to the provisions of G.S. 93A-21.

History

• Authority G.S. 93A-16(d); 93A-20
• Eff. February 1, 1988
• Amended Eff. April 1, 2013; February 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .1404 Exhausted Liability Limits

Applications for payment from the Real Estate Education and Recovery Fund received or considered by the Commission after the liability of the Real Estate Education and Recovery Fund as described in G.S. 93A-21 has been exhausted shall be dismissed.

History

• Authority G.S. 93A-3(c); 93A-21
• Eff. February 1, 1988
• Amended Eff. April 1, 2013; February 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .1501 Licensing and General Brokerage Forms

History

• Status: repealed
• Authority G.S. 93A-4(d); 150B-11(1)
• Eff. July 1, 1989
• Repealed Eff. July 1, 1998.

21 NCAC 58A .1502 Forms for School Approval or Licensure

History

• Status: repealed
• Authority G.S. 93A-4(d); 150B-11(1)
• Eff. July 1, 1989
• Amended Eff. May 1, 1990
• Repealed Eff. July 1, 1998.

21 NCAC 58A .1601 Fair Housing

Conduct by a licensee which violates the provisions of the State Fair Housing Act constitutes improper conduct in violation of G.S. 93A-6(a)(10).

History

• Authority G.S. 41A-4; 41A-5; 41A-6; 93A-3(c)
• Eff. July 1, 1989
• Amended Eff. April 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .1701 Purpose and Applicability

This Section describes the continuing education requirement for real estate brokers authorized by G.S. 93A-38.5, establishes the continuing education requirement to change a license from inactive status to active status, establishes attendance requirements for continuing education courses, establishes the criteria and procedures relating to obtaining an extension of time to complete the continuing education requirement, establishes the criteria for obtaining continuing education credit for an unapproved course or related educational activity, and addresses other similar matters.

History

• Authority G.S. 93A-3(c); 93A-38.5
• Eff. July 1, 1994
• Amended Eff. April 1, 2006; October 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. September 1, 2022.

21 NCAC 58A .1702 Continuing Education Requirement

(a) Except as provided in Rules .1708 and .1711 of this Section, a broker shall complete eight credit hours of real estate continuing education courses approved pursuant to 21 NCAC 58H within one year prior to the expiration of the license as follows:

(1) four credit hours of elective courses; and

(2) four hours of either:

(A) the "General Update Course;" or

(B) for a broker with BIC Eligible status, the "Broker-In-Charge Update Course" in lieu of the "General Update Course."

(b) A BIC or broker who takes the General Update Course rather than the Broker-In-Charge Update Course shall receive continuing education credit for taking such course only for the purpose of retaining his or her license on active status and shall not be considered to have satisfied the requirement to take the Broker-In-Charge Update Course in order to retain his or her BIC Eligible status.

(c) Continuing education courses shall be completed upon the second renewal following the initial licensure and upon each subsequent annual renewal.

(d) The broker shall provide the course completion certificate upon request of the Commission.

(e) No continuing education shall be required to renew a broker license on inactive status. In order to change a license from inactive status to active status, the broker shall satisfy the continuing education requirement described in Rule .1703 of this Section.

(f) No continuing education shall be required for a broker who is a member of the U.S. Congress or the North Carolina General Assembly in order to renew his or her license on active status.

(g) For purposes of this Rule, the terms "active status" and "inactive status" shall have the same definition as those in Rule .0504 of this Subchapter.

(h) For continuing education purposes, the term "initial licensure" shall include the first time that a license of a particular type is issued to a person, the reinstatement of a canceled, revoked or surrendered license, and any license expired for more than six months.

History

• Authority G.S. 93A-3(c); 93A-4.1
• Eff. July 1, 1994
• Amended Eff. July 1, 2017; July 1, 2014; April 1, 2006; July 1, 2005; April 1, 2004; October 1, 2000; August 1, 1998; July 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2018.

21 NCAC 58A .1703 Continuing Education for License Activation

(a) A broker requesting to change an inactive license to active status on or after the broker's second license renewal following his or her initial licensure shall have completed the continuing education as described in Paragraph (b) or (c) of this Rule, whichever is appropriate.

(b) If the inactive broker's license has not been on active status since the preceding July 1 and the broker has a deficiency in his or her continuing education record for the previous license period, the broker shall make up the deficiency and satisfy the continuing education requirement pursuant to Rule .1702 of this Section for the current license period in order to activate the license. Any deficiency may be made up by completing, during the current license period or previous license period, approved continuing education elective courses; however, such courses shall not be credited toward the continuing education requirement for the current license period. When crediting elective courses for purposes of making up a continuing education deficiency, the maximum number of credit hours that will be awarded for any course is four hours.

(c) If a broker's license has been on inactive status for more than two years and the broker has a deficiency in his or her continuing education record, the broker shall:

(1) cure the continuing education deficiency for the current license year; and

(2) complete two Postlicensing courses no more than six months prior to activation.

History

• Authority G.S. 93A-3(c); 93A-4.1
• Eff. July 1, 1994
• Amended Eff. July 1, 2017; April 1, 2006; July 1, 2000; July 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2018.

21 NCAC 58A .1704 No Credit for Prelicensing or Postlicensing Courses

No credit toward the continuing education requirement shall be awarded for completing a real estate prelicensing or postlicensing course.

History

• Authority G.S. 93A-3(c); 93A-4.1
• Eff. July 1, 1994
• Amended Eff. April 1, 2006.
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .1705 Attendance and Participation Requirements

(a) In order to receive credit for completing an approved continuing education course, a broker shall:

(1) attend at least 90 percent of the scheduled instructional hours for the course;

(2) provide the broker's legal name and license number to the education provider;

(3) present the broker's pocket card or photo identification card, if necessary; and

(4) personally perform all work required to complete the course.

(b) With the instructor or the education provider's permission, a 10 percent absence allowance may be permitted at any time during the course, except that it may not be used to skip the last 10 percent of the course unless the absence is:

(1) approved by the instructor; and

(2) for circumstances beyond the broker's control that could not have been reasonably foreseen by the broker, such as:

(A) an illness;

(B) a family emergency; or

(C) acts of God.

History

• Authority G.S. 93A-3(c); 93A-38.5
• Eff. July 1, 1994
• Amended Eff. July 1, 2017; July 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2023; January 1, 2020.

21 NCAC 58A .1706 Repetition of Courses

A continuing education course may be taken only once for continuing education credit within a single license period.

History

• Authority G.S. 93A-3(c); 93A-4A
• Eff. July 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .1707 Elective Course Carry-Over Credit

A maximum of four hours of continuing education credit for an approved elective course taken during the current license period may be carried over to satisfy the continuing education elective requirement for the next following license period if the licensee receives no continuing education elective credit for the course toward the elective requirement for the current license period or the previous license period. However, if a continuing education elective course is used to wholly or partially satisfy the elective requirement for the current or previous license period, then any excess hours completed in such course which are not needed to satisfy the four-hour elective requirement for that license period may not be carried forward and applied toward the elective requirement for the next following license period.

History

• Authority G.S. 93A-3(c); 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .1708 Equivalent Credit

(a) The Commission shall award an approved instructor continuing education credit for teaching a Commission Update Course. An approved instructor seeking continuing education credit for teaching a Commission Update Course shall submit a form, available on the Commission's website, that requires the approved instructor to set forth the:

(1) approved instructor's name, license number, instructor number, address, telephone number, and email address;

(2) Update Course number;

(3) education provider's name and number;

(4) education provider's address; and

(5) date the course was taught.

(b) The Commission shall award a broker continuing education elective credit the first time an approved continuing education elective course is taught by the broker. A broker seeking continuing education credit under this Paragraph shall submit a form, available on the Commission's website, that requires the broker to set forth the:

(1) broker's name, license number, address, telephone number, and email address;

(2) course title;

(3) course number;

(4) education provider's name and number;

(5) education provider's address; and

(6) date the course was taught.

(c) The Commission may award continuing education elective credit for developing a continuing education elective course the first time it is approved by the Commission pursuant to 21 NCAC 58H .0401. However, a broker shall only receive credit for the year in which the continuing education elective course is approved. A broker seeking continuing education credit under this Paragraph shall submit a form, available on the Commission's website, that requires the broker to set forth the broker's name, license number, address, telephone number, and email address. Along with the form, the broker shall submit the course title, the course number, the date of the course approval, and a fifty dollar ($50.00) fee for each course for which the broker seeks credit.

(d) In order for any application for equivalent credit to be considered and credits applied to the current licensing period, a complete application, the appropriate fee, and all supporting documents shall be received by the Commission no later than 5:00 p.m. Eastern Time on June 17.

History

• Authority G.S. 93A-3(c); 93A-38.5
• Eff. July 1, 1994
• Amended Eff. July 1, 2017; April 1, 2006; July 1, 2001; July 1, 2000; March 1, 1996; July 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2023; July 1, 2020.

21 NCAC 58A .1709 Extensions of Time to Complete Continuing Education

(a) A broker on active status may request an extension of time to satisfy the continuing education requirement for the current license period if the broker was unable to obtain the necessary education due to an incapacitating illness, military deployment, or other circumstance that existed for a portion of the license period and that constituted a severe hardship.

(b) Requests for an extension of time shall be submitted on a form available on the Commission's website that requires the broker to set out the broker's name, mailing address, license number, telephone number, email address, and a description of the incapacitating illness or other circumstance. The requesting broker shall submit, along with the form, supporting documentation, such as a written physician's statement, deployment orders, or other corroborative evidence, demonstrating that compliance with the continuing education requirement would have been impossible or burdensome.

(c) All requests for an extension of time shall be received by the Commission by 5:00 p.m. on June 10 of the licensing period for which the extension is sought.

(d) If an extension of time is granted, the broker shall be permitted to renew his or her license on active status. The broker's license shall automatically change to inactive status if the broker fails to satisfy the continuing education requirement prior to the end of the extension period.

(e) In no event shall an extension of time be granted that extends the continuing education requirement deadline beyond June 10 of the license year following the license year in which the request is made.

History

• Authority G.S. 93A-3(c); 93A-4.1
• Eff. July 1, 1994
• Amended Eff. July 1, 2017; August 1, 2014; October 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .1710 Denial or Withdrawal of Continuing Education Credit

(a) The Commission shall deny continuing education credit claimed by a broker or reported by an education provider for a broker, and shall withdraw continuing education credit previously awarded by the Commission to a broker upon finding that the broker:

(1) or education provider provided incorrect or incomplete information to the Commission concerning continuing education completed by the broker;

(2) failed to comply with the attendance requirement established by Rule .1705 of this Section; or

(3) was mistakenly awarded continuing education credit due to an administrative error.

(b) If an administrative error or an incorrect report by an education provider results in the denial or withdrawal of continuing education credit for a broker, the Commission shall, upon the written request of the broker, grant the broker an extension of time to satisfy the continuing education requirement.

(c) A broker who obtains or attempts to obtain continuing education credit through misrepresentation of fact, dishonesty, or other improper conduct shall be subject to disciplinary action pursuant to G.S. 93A-6.

History

• Authority G.S. 93A-3(c); 93A-38.5
• Eff. July 1, 1994
• Amended Eff. July 1, 2017; July 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2020.

21 NCAC 58A .1711 Continuing Education Required of Nonresident Brokers

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-38.5
• Eff. July 1, 1994
• Amended Eff. July 1, 2017; July 1, 2015; January 1, 2008; April 1, 2006; October 1, 2000; March 1, 1996; July 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2020; July 1, 2018
• Repealed Eff. July 1, 2023.

21 NCAC 58A .1712 Broker-in-Charge Course

(a) The Broker-in-Charge Course is a 12-hour educational course that is required for a broker to attain BIC Eligible status under Rule .0110 of this Subchapter.

(b) In order to receive credit for completing the Broker-in-Charge Course, a broker shall:

(1) personally perform all work required to complete the course; and

(2) complete the 12-hour Broker-in-Charge Course no later than 30 days after the broker registers for the course and no later than the following June 10, whichever comes first.

(c) Upon completion of the 12-hour Broker-in-Charge Course, a broker shall receive four credit hours of elective continuing education. The four credit hours will be awarded in the license year in which the broker completes the 12-hour Broker-in-Charge Course.

History

• Authority G.S. 93A-3(c); 93A-38.5; 93A-4.2
• Eff. January 1, 2020
• Amended Eff. July 1, 2022.

21 NCAC 58A .1801 General Provisions

(a) Any person resident in a state or territory of the United States other than North Carolina may perform the acts or services of a real estate broker in North Carolina in transactions involving commercial real estate if said person first applies for and obtains a limited nonresident commercial real estate broker license as provided in this Section.

(b) Corporations, business associations and entities shall be ineligible for licensure under this Section.

(c) Nothing in this Section shall be construed to limit the rights of any person duly licensed as a real estate broker in North Carolina under the provisions of G.S. 93A-4 or 93A-9(a).

History

• Authority G.S. 93A-4; 93A-9
• Eff. July 1, 2004
• Amended Eff. April 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .1802 Definitions

For the purposes of this Section:

(1) "Commercial Real Estate" means any real property or interest therein, whether freehold or non-freehold, which at the time the property or interest is made the subject of an agreement for brokerage services:

(a) is lawfully used primarily for sales, office, research, institutional, warehouse, manufacturing, industrial or mining purposes or for multifamily residential purposes involving five or more dwelling units;

(b) may lawfully be used for any of the purposes listed in Subitem (1)(a) of this Rule by a zoning ordinance adopted pursuant to the provisions of G.S. 153A, Article 18 or G.S. 160A, Article 19 or which is the subject of an official application or petition to amend the applicable zoning ordinance to permit any of the uses listed in Subitem (1)(a) of this Rule which is under consideration by the government agency with authority to approve the amendment; or

(c) is in good faith intended to be immediately used for any of the purposes listed in Subitem (1)(a) of this Rule by the parties to any contract, lease, option, or offer to make any contract, lease, or option.

(2) "Qualifying state" means the state or territory of the United States where an applicant for, and the holder of, a limited nonresident commercial license issued under this Section is licensed in good standing as a real estate broker or salesperson. The qualifying state must be the state or territory where the applicant or limited nonresident commercial licensee maintains his or her primary place of business as a real estate broker or salesperson. Under no circumstances may North Carolina be a qualifying state.

History

• Authority G.S. 93A-4; 93A-9
• Eff. July 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .1803 Requirements for Licensure; Application and Fee

(a) A person desiring to obtain a broker license under this Section shall demonstrate to the Commission that:

(1) he or she is a resident of a state or territory of the United States other than North Carolina;

(2) he or she is licensed as a real estate broker or salesperson in a qualifying state on active status and not in abeyance for any reason. If licensed as a salesperson, he or she shall also demonstrate that he or she is acting under the supervision of a broker in accordance with the applicable governing statutes or regulations in the qualifying state; and

(3) he or she possesses the requisite honesty, truthfulness, integrity, and moral character for licensure as a broker in North Carolina.

A person applying for licensure under this Section shall not be required to show that the state or territory where he or she is currently licensed offers reciprocal licensing privileges to North Carolina brokers.

(b) An applicant for licensure under this Section shall be required to update his or her application as required by Rule .0302(b) of this Subchapter.

(c) The fee for a limited commercial license shall be one hundred five dollars ($105.00).

(d) An individual seeking licensure as a limited commercial broker shall submit an application that is available on the Commission's website and shall include the applicant's:

(1) legal name;

(2) place of business name, mailing address, and phone number;

(3) residence mailing address and telephone number;

(4) email address;

(5) social security number and date of birth;

(6) qualification for license application;

(7) real estate license history;

(8) criminal offenses, military courts-martial convictions, professional license disciplinary actions, including the jurisdiction, file number, and explanation of each offense;

(9) liens or unpaid judgments;

(10) certification the applicant has read the Real Estate Licensing in North Carolina brochure that is available on the Commission's website; and

(11) declaration and signature.

(e) In addition to the application required by Paragraph (d) of this Rule, the applicant shall submit:

(1) the limited commercial license application fee pursuant to Paragraph (c) of this Rule; and

(2) a certification of license history from the qualifying state issued within the previous six months; and

(3) a criminal records report from a Commission-designated criminal reporting service obtained within six months prior to application submission.

History

• Authority G.S. 93A-4; 93A-9
• Eff. July 1, 2004
• Amended Eff. April 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. April 1, 2026.

21 NCAC 58A .1804 Active Status

Broker licenses issued under this Section shall be issued on active status and shall remain valid only so long as the licensee's license in the qualifying state remains valid and on active status. In addition, a license issued to a salesperson under this Section shall remain valid only while the salesperson is acting under the supervision of a real estate broker in accordance with the applicable laws and rules in the qualifying state. Individuals licensed under this Section shall immediately notify the Commission if his or her license in the qualifying state lapses or expires, is suspended or revoked, made inactive, or is placed in abeyance for any reason.

History

• Authority G.S. 93A-4; 93A-9
• Eff. July 1, 2004
• Amended Eff. April 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .1805 Renewal

(a) A license issued under this Section shall expire on June 30 following issuance unless it is renewed in accordance with the provisions of Rule .0503 and .1711 of this Subchapter.

(b) The Commission shall not renew a license issued under this Section unless the licensee has demonstrated that he or she has complied with the requirements of Paragraph (a) of this Rule and that his or her license in the qualifying state is on active status in good standing and is not lapsed, expired, suspended, revoked, or in abeyance for any reason.

History

• Authority G.S. 93A-4; 93A-9
• Eff. July 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .1806 Limitations

(a) A person licensed under this Section may act as a real estate broker in this state only if:

(1) he or she does not reside in North Carolina;

(2) the real property interest which is the subject of any transaction in connection with which he or she acts as a broker in this state is commercial real estate as that term is defined in Rule .1802 of this Section; and

(3) he or she is affiliated with a resident North Carolina real estate broker as required in Rule .1807 of this Section.

(b) A nonresident commercial real estate broker licensed under the provisions of Section .1800 of this Subchapter shall not act as or serve in the capacity of a broker-in-charge of a firm or office in North Carolina.

History

• Authority G.S. 93A-4; 93A-9
• Eff. July 1, 2004
• Amended Eff. April 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .1807 Affiliation with Resident Broker

(a) No person licensed under G.S. 93A-9(b) shall enter North Carolina to perform any act or service for which licensure as a real broker is required unless he or she has first entered into a brokerage cooperation agreement and declaration of affiliation with an individual who is a resident in North Carolina licensed as a North Carolina real estate broker.

(b) A brokerage cooperation agreement as contemplated by this Rule shall be in writing and signed by the resident North Carolina broker and the non-resident commercial licensee. It shall contain:

(1) the material terms of the agreement between the signatory licenses;

(2) a description of the agency relationships, if any, which are created by the agreement among the nonresident commercial licensee, the resident North Carolina broker, and the parties each represents;

(3) a description of the property or the identity of the parties and other information sufficient to identify the transaction which is the subject of the affiliation agreement; and

(4) a definite expiration date.

(c) A declaration of affiliation shall be written and on the form provided by the Commission and shall identify the nonresident commercial licensee and the affiliated resident North Carolina licensee. It shall also contain a description of the duties and obligations of each as required by the North Carolina Real Estate License Law and rules adopted by the Commission. The declaration of affiliation may be a part of the brokerage cooperation agreement or separate from it.

(d) A nonresident commercial licensee may affiliate with more than one resident North Carolina broker at any time. However, a nonresident commercial licensee may be affiliated with only one resident North Carolina broker in a single transaction.

(e) A resident North Carolina broker who enters into a brokerage cooperation agreement and declaration of affiliation with a nonresident commercial licensee shall:

(1) verify that the nonresident commercial licensee is licensed in North Carolina;

(2) actively and directly supervise the nonresident commercial licensee in a manner which reasonably insures that the nonresident commercial licensee complies with the North Carolina Real Estate License Law and rules adopted by the Commission;

(3) promptly notify the Commission if the nonresident commercial licensee violates the Real Estate License Law or rules adopted by the Commission;

(4) insure that records are retained in accordance with the requirements of the Real Estate License Law and rules adopted by the Commission; and

(5) maintain his or her license on active status continuously for the duration of the brokerage cooperation agreement and the declaration of affiliation.

(f) The nonresident commercial licensee and the affiliated resident North Carolina broker shall each retain in his or her records a copy of brokerage cooperation agreements and declarations of affiliation from the time of their creation and for at least three years following their expiration. Such records shall be made available for inspection and reproduction by the Commission or its authorized representatives without prior notice.

History

• Authority G.S. 93A-4; 93A-9
• Eff. July 1, 2004
• Amended Eff. April 1, 2006; July 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .1808 Trust Monies

A nonresident commercial broker acting as real estate broker in North Carolina shall deliver to the North Carolina resident broker with whom he or she is affiliated all money belonging to others received in connection with the nonresident commercial broker's acts or services as a broker. Upon receipt of the funds, the resident North Carolina broker shall cause the funds to be deposited in a trust account in accordance with the provisions of Rule .0116 of this Subchapter.

History

• Authority G.S. 93A-4; 93A-6(d); 93A-6(g); 93A-9
• Eff. July 1, 2004
• Amended Eff. July 1, 2014; April 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .1809 Advertising

In all advertising involving a nonresident commercial licensee's conduct as a North Carolina real estate broker and in any representation of such person's licensure in North Carolina, the advertising or representation shall conspicuously identify the nonresident commercial licensee as a "Limited Nonresident Commercial Real Estate Broker".

History

• Authority G.S. 93A-4; 93A-9
• Eff. July 1, 2004
• Amended Eff. April 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .1810 Payment of Fees

Commissions, fees, or other compensation earned by a nonresident commercial licensee shall not be paid directly to the licensee if said licensee is employed by or working for a real estate broker or firm. Instead, such fees or compensation shall be paid to the licensee's employing broker or firm.

History

• Authority G.S. 93A-4; 93A-9
• Eff. July 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .1901 Purpose and Applicability

This Section prescribes specific procedures relating to the postlicensing education requirement for real estate brokers as prescribed by G.S. 93A-4(a1).

History

• Authority G.S. 93A-4
• Eff. April 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .1902 postlicensing education requirement

(a) The 90-hour Postlicensing education program pursuant to G.S. 93A-4(a1) shall consist of the following three 30 instructional hour courses prescribed by the Commission:

(1) Postlicensing Course 301;

(2) Postlicensing Course 302; and

(3) Postlicensing Course 303.

(b) A provisional broker as described in G.S. 93A-4(a1) shall complete all Postlicensing courses pursuant to Paragraph (a) of this Rule within 18 months following the date of initial licensure.

(c) If a provisional broker fails to complete the required Postlicensing courses pursuant to Paragraph (b) of this Rule, the provisional broker's license shall be placed on inactive status.

(d) A provisional broker seeking to activate a license that was placed on inactive status pursuant to Paragraph (c) of this Rule shall:

(1) complete all three Postlicensing Courses described in Paragraph (a) of this Rule within the previous two years;

(2) satisfy the continuing education requirements for license activation described in Rule .1703 of this Subchapter; and

(3) file an activation form with the Commission pursuant to Rule .0504 of this Subchapter.

History

• Authority G.S. 93A-4; 93A-4(a1)
• Eff. April 1, 2006
• Amended Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2020.

21 NCAC 58A .1903 Extensions of Time to Complete Postlicensing Education

History

• Status: repealed
• Authority G.S. 93A-4
• Eff. April 1, 2006
• Amended Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Repealed Eff. July 1, 2020.

21 NCAC 58A .1904 Denial or Withdrawal of Postlicensing Education Credit

(a) The Commission may deny Postlicensing education credit claimed by a provisional broker or reported by an education provider for a provisional broker, and may withdraw Postlicensing education credit previously awarded by the Commission to a provisional broker and make appropriate license status changes for that broker upon finding that the provisional broker:

(1) or education provider provided incorrect or incomplete information to the Commission concerning Postlicensing education completed by the provisional broker;

(2) failed to comply with the attendance requirement pursuant to 21 NCAC 58H .0207; or

(3) was mistakenly awarded Postlicensing education credit due to an administrative error.

(b) When Postlicensing education credit is denied or withdrawn by the Commission under Paragraph (a) of this Rule, the provisional broker shall remain responsible for satisfying the Postlicensing education requirement in G.S. 93A-4(a1).

(c) A broker who obtains or attempts to obtain Postlicensing education credit through misrepresentation of fact, dishonesty or other improper conduct is subject to disciplinary action pursuant to G.S. 93A-6.

History

• Authority G.S. 93A-4
• Eff. April 1, 2006
• Amended Eff. July 1, 2017; July 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2020.

21 NCAC 58A .1905 WAIVER OF 90-hour Postlicensing Education requirement

(a) A provisional North Carolina real estate broker may apply for a waiver of one or more of the three 30-hour Postlicensing courses described in Rule .1902 of this Section in the following circumstances:

(1) the broker has obtained equivalent education to the Commission's Postlicensing course(s) pursuant to Rule .1902 of this Section. In this case, the waiver request shall include the course(s):

(A) jurisdiction of delivery;

(B) title;

(C) credit hours earned;

(D) beginning and end dates; and

(E) subject matter description.

(2) the broker has obtained experience equivalent to 40 hours per week as a licensed broker or salesperson in another state for at least five of the seven years immediately prior to application for waiver, which shall include the applicant's:

(A) employer;

(B) title at employer;

(C) dates of employment;

(D) hours per week devoted to brokerage;

(E) approximate number of transactions;

(F) areas of practice;

(G) approximate percentage of time devoted to each area of practice;

(H) description of applicant's role and duties;

(I) managing broker's name, telephone number, and email address; and

(J) official certification of licensure issued within the six months preceding application from a jurisdiction within a state, territory, or possession of the United States or Canada in which the applicant holds a current real estate license that has been active within the three years prior to application.

(3) the broker has obtained experience equivalent to 40 hours per week as a licensed North Carolina attorney practicing in real estate matters for the two years immediately preceding application, which shall include the applicant's:

(A) firm or practice name;

(B) law license number;

(C) dates of employment;

(D) hours per week devoted to real estate law practice;

(E) approximate number of closings conducted;

(F) description of practice; and

(G) manager or supervising attorney's name, telephone number, and email address, if applicable.

(b) The Commission shall not consider education or experience obtained in violation of any law or rule as fulfilling the requirements for waiver of the 90-hour postlicensing education requirement.

(c) A broker shall be ineligible for a waiver of the 90-hour postlicensing education requirement if the broker was issued a license pursuant to Rule .0511(b)(2) of this Section.

History

• Authority G.S. 93A-4(a1)
• Eff. July 1, 2017
• Amended Eff. July 1, 2019.

21 NCAC 58A .2001 filing

History

• Status: expired
• Authority G.S. 93B-2(d)
• Eff. July 1, 2010
• Expired Eff. June 1, 2018 pursuant to G.S. 150B-21.3A.

21 NCAC 58A .2002 escrow account

(a) The Commission shall establish an escrow account or accounts with a financial institution or institutions lawfully doing business in this State into which the Commission shall deposit and hold fees tendered during any period of time when, pursuant to G.S. 93B-2(d), the Commission's authority to expend funds has been suspended. The Commission shall keep funds deposited into its escrow account or accounts segregated from other assets, monies, and receipts for the duration of the suspension of the Commission's authority to expend funds.

(b) The Commission may deposit into and maintain in its escrow account such monies as may be required to avoid or eliminate costs associated with the account or accounts.

History

• Authority G.S. 93B-2(d)
• Eff. July 1, 2010
• Readopted Eff. July 1, 2019.

21 NCAC 58A .2101 applicability

This Section shall apply to every broker whose license is not revoked, suspended, or surrendered, or who is otherwise the subject of a disciplinary order, and who is eligible for an extension of time to file a tax return under the provisions of G.S. 105-249.2 and 26 U.S.C. 7508.

History

• Authority G.S. 93B-15(b)
• Eff. July 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2018.

21 NCAC 58A .2102 postponement of fees

(a) A Broker described in 21 NCAC 58A .2101 shall not be required to pay renewal fees accrued during the time to be disregarded described in 26 U.S.C. 7508 until the June 30 immediately following the end of such time. The provisions of 21 NCAC 58A .0504 notwithstanding, during such time and until the June 30 immediately thereafter, the license of a broker other than a provisional broker shall remain on active status. During such time, the license of a provisional broker shall not expire, but shall remain on active status only if the provisional broker remains under the supervision of a broker-in-charge.

(b) All fees postponed by operation of this subsection shall be due and payable on June 30 immediately following the time to be disregarded as described in 26 U.S.C. 7508.

History

• Authority G.S. 93A-3(c); 93B-15(b)
• Eff. July 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .2103 postponement of continuing education

(a) A broker described by 21 NCAC 58A .2101 shall not be required to complete the continuing education required as a condition of license renewal for any June 30 license expiration date if that date falls during the time to be disregarded described in 26 U.S.C. 7508 until the June 10 immediately following the end of such time to be disregarded. If such time ends on or after May 1, the broker shall have until September 1 of the same year to complete the required continuing education.

(b) If a broker entitled to a postponement of continuing education under this Rule accumulates a deficiency in his or her continuing education of 16 or more hours because of the length of the time to be disregarded under 26 U.S.C. 7508, the broker may satisfy the deficiency by satisfying the requirements of 21 NCAC 58A .1703(c) established for an inactive broker returning to active status.

(c) The license of a broker entitled to postponement of continuing education under this Rule shall not be placed on inactive status for failure to complete continuing education until the deadline for completion set out in Paragraph (a) of this Rule has passed.

History

• Authority G.S. 93A-3(c); 93B-15(b)
• Eff. July 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .2104 postponement of postlicensing education

A broker described by Rule .2101 of this Section who is a provisional broker shall not be required to complete any postlicensing education during the period to be disregarded under 26 U.S.C. 7508 until the 180th day following the ending of such period. The broker's license shall not be placed on inactive status or cancelled for his or her failure to complete the required postlicensing education prior to the deadline established in this Rule.

History

• Authority G.S. 93A-3(c); 93B-15(b)
• Eff. July 1, 2010
• Amended Eff. July 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .2105 proof of eligibility

It shall be the responsibility of every broker eligible for the postponement of fees and education requirements established by this Section to demonstrate his or her eligibility and the beginning and ending of the time to be disregarded as described in 26 U.S.C. 7508.

History

• Authority G.S. 93A-3(c); 93B-15(b)
• Eff. July 1, 2010
• Amended Eff. July 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .2201 Applicability

This Section applies to broker price opinions and comparative market analyses provided for a fee by a real estate broker whose license is not on provisional status pursuant to Article 6, Chapter 93A of the General Statutes.

History

• Authority G.S. 93A-83(d)
• Temporary Adoption Eff. October 1, 2012
• Eff. April 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58A .2202 Standards

(a) A broker performing a broker price opinion or comparative market analysis for a fee shall comply with all the requirements in G.S. 93A-83 and in this Rule.

(b) A broker shall only accept an assignment to provide a broker price opinion or comparative market analysis for a property if the broker has knowledge of the real estate market, direct access to real estate market sales or leasing data, and brokerage or appraisal experience in the subject property's geographic location.

(c) A broker shall not provide a broker price opinion or comparative market analysis for a property unless the broker can exercise objective, independent judgment free of any influence from any interested party in the performance of his or her analysis of the facts relevant to determination of a probable selling or leasing price.

(d) A broker shall not provide a broker price opinion or comparative market analysis for a property unless the broker has personally inspected the exterior and interior of that property, provided, however, that an inspection of the exterior or interior is not required if this is waived in writing by the party for whom the opinion or analysis is being performed.

(e) When developing a broker price opinion or comparative market analysis for a property or interest therein, a broker shall utilize methodology such as analysis of sales or income of sold or leased properties comparable to the subject property or capitalization as is appropriate for the assignment and type of subject property.

(f) When analyzing sales or income of properties comparable to the property that is the subject of a broker price opinion or comparative market analysis assignment, a broker shall comply with the following standards:

(1) The broker shall select from reliable information sources a minimum of three sold or leased comparable properties for use in his or her analysis that are similar to the subject property with regard to characteristics such as property type, use, location, age, size, design, physical features, amenities, utility, property condition and conditions of sale. The comparable properties selected shall reflect the prevailing factors or market conditions influencing the sale or lease prices of similar properties in the subject property's local market; and

(2) The broker shall make adjustments to the selling or leasing price of selected comparable properties for differences between the characteristics of the comparable properties and the subject property as necessary to produce a credible estimate of the probable selling or leasing price. Adjustments shall be considered for differences in property characteristics such as location, age, size, design, physical features, amenities, utility, condition, economic or functional obsolescence and conditions of sale. The amounts of adjustments shall reflect the values that the local real estate market places on the differences in the characteristics in question.

(g) A broker price opinion or comparative market analysis provided to the party for whom the opinion or analysis is being performed shall address, in addition to matters required to be addressed by G.S. 93A-83 and other provisions of this Rule, the following items:

(1) a description of the comparable properties used in the analysis (including any unsold properties listed for sale or rent that were used as comparable properties);

(2) the adjustments made to the selling or leasing prices of comparable properties;

(3) local real estate market conditions;

(4) if the date on which the sale or lease of a comparable property became final is more than six months prior to the effective date of the broker price opinion or comparative market analysis, an explanation of why the comparable property was used in the analysis and a description of the market conditions affecting the comparable property at the time the sale or lease became final; and

(5) each method used in deriving the estimate of probable selling or leasing price.

(h) In connection with a broker price opinion or comparative market analysis, an estimated probable leasing price may be reported by a broker as a lease rate and an estimated probable selling or leasing price may be reported by a broker either as a single figure or as a price range. When the estimated probable selling or leasing price is stated as a price range and the higher figure exceeds the lower figure by more than 10 percent, the broker shall include an explanation of why the higher figure exceeds the lower figure by more than 10 percent.

History

• Authority G.S. 93A-83(d)
• Temporary Adoption Eff. October 1, 2012
• Eff. April 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

Subchapter B

21 NCAC 58B .0101 Application for Registration

(a) A timeshare program seeking registration shall apply to the Commission on a form available on the Commission's website and shall, in addition to the requirements set forth in G.S. 93A-52, set forth:

(1) the timeshare program's physical and mailing address and telephone number;

(2) the developer's name, address, telephone number, email address, type of business structure with supporting documentation, and legal counsel's contact information, if any;

(3) information concerning the developer's title or right to use the real property on which the project is located, including a title opinion provided by an independent attorney performed within 30 days preceding the date of application;

(4) a description of the timeshare estate to be sold or conveyed to purchasers;

(5) the developer's past real estate development experience and any criminal, bankruptcy, and occupational licensing history;

(6) the developer's financial information including the following:

(A) an audited financial statement within the previous six months;

(B) loan commitments for completion of the timeshare program; and

(C) a projected budget for construction, marketing, and operations of the timeshare program;

(7) the Registrar, Program Broker, marketing entity, and managing entity's:

(A) name;

(B) business and email address;

(C) real estate license number, if applicable;

(D) telephone number; and

(E) executed Affidavit of Designation, if applicable, that includes:

(i) the timeshare program name, registration number, and address;

(ii) the name of the designated individual and license number, if applicable, or financial institute;

(iii) the designated individual's address, email address, and telephone number; and

(iv) a notarized signature of the designated individual.

(8) the names and real estate license number of brokers associated with the timeshare program; and

(9) a signed affidavit by the developer.

(b) An entity that owns time shares at a timeshare program where there are one or more existing registered developers may also apply to the Commission for registration of its timeshares, provided that the entity does not control a registered developer, is not controlled by a registered developer, and is not in common control of the program with a registered developer.

History

• Authority G.S. 93A-51; 93A-52
• Eff. March 1, 1984
• Amended Eff. July 1, 2000; August 2, 1993; February 1, 1989; April 1, 1987
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2022.

21 NCAC 58B .0102 Registration Fee

The timeshare program registration fee pursuant to Rule .0101 of this Subchapter shall be:

(1) one thousand dollars ($1,000) for programs with 16 or more units;

(2) seven hundred dollars ($700.00) for programs with 15 or fewer units; and

(3) four hundred fifty dollars ($450.00) for programs offering to resell 51 or more units through a homeowner association which has acquired the units in satisfaction of unpaid assessments by prior owners.

History

• Authority G.S. 93A-51; 93A-52
• Eff. March 1, 1984
• Amended Eff. July 1, 2016; April 1, 2013; July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2022.

21 NCAC 58B .0103 Renewal of Timeshare Program Registration

(a) A developer seeking renewal of a timeshare program registration shall submit a renewal application on a form available on the Commission's website that sets forth the:

(1) timeshare program's name, registration number, and mailing address;

(2) developer's name, telephone number, and email address;

(3) names and license numbers of brokers associated with the timeshare program;

(4) exchange programs associated with the timeshare program along with a current copy of the Exchange Disclosure Report pursuant to G.S. 93A-48;

(5) name, address, email address, telephone number, real estate broker license number if applicable, and the assignment date for the:

(A) managing entity;

(B) marketing entity;

(C) registrar pursuant to G.S. 93A-58(a);

(D) independent escrow agent pursuant to G.S. 93A-42(a); and

(E) program broker pursuant to 93A-58(c);

(6) certification that the information contained in the renewal registration is accurate and current on the date of the renewal application; and

(7) developer's attorney or program broker's signature.

(b) The developer shall submit a renewal registration fee of eight hundred dollars ($800.00) for timeshare programs not offered for resale by a homeowners association. A homeowners association shall submit a renewal registration fee of four hundred fifty dollars ($450.00).

(c) Making a false certification on a time share project registration renewal application shall be grounds for disciplinary action by the Commission pursuant to G.S. 93A-54(b)(13).

History

• Authority G.S. 93A-51; 93A-52(d)
• Eff. March 1, 1984
• Temporary Amendment Eff. May 23, 1985
• Amended Eff. July 1, 2016; April 1, 2013; February 1, 1989; September 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2022; July 1, 2018.

21 NCAC 58B .0104 Amendments to Timeshare Program Registration

(a) A developer shall notify the Commission within 30 days after any material change in the information contained in the timeshare program registration.

(b) A material change shall be any change which reflects a difference in the:

(1) nature, quality, or availability of the purchaser's ownership or right to use the timeshare;

(2) nature, quality, or availability of any amenity at the project;

(3) developer's title, control, or right to use the real property on which the project is located;

(4) information concerning the developer, managing or marketing entities, independent escrow agent, registrar, or program broker, previously filed with the Commission; or

(5) purchaser's right to exchange his or her unit; however, a change in the information required to be disclosed to a purchaser by G.S. 93A-48 shall not be a material change.

(c) A timeshare developer seeking to amend a program's registration shall submit each document to be amended with new or changed information underlined in red. Every amendment submitted shall be accompanied by a cover letter signed by the developer or the developer's attorney containing a summary of the amendment and a statement of reasons for which the amendment has been made. The cover letter shall also state:

(1) the name and address of the timeshare program and registration number;

(2) the name and address of the developer;

(3) the document or documents to which the amendment applies;

(4) whether or not the changes represented by the amendment required the assent of the timeshare owners and, if so, how the assent of the timeshare owners was obtained; and

(5) the recording reference in the office of the register of deeds for the changes, if applicable.

(d) If the ownership of a developer of a registered timeshare program changes, the new developer shall file a new timeshare program registration application pursuant to Rule .0101 of this Subchapter. Said refiling shall be without a fee.

History

• Authority G.S. 93A-51; 93A-52(a3)
• Eff. March 1, 1984
• Amended Eff. October 1, 2000; February 1, 1989; April 1, 1987
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2022.

21 NCAC 58B .0105 Notice of Termination

A developer seeking to terminate its interest in a timeshare program shall file a Notice of Termination form available on the Commission's website and shall set forth the timeshare program's:

(1) name;

(2) physical, mailing, and email address;

(3) telephone number;

(4) reason the developer is terminating its interest;

(5) date of termination;

(6) new owner, if the developer's interest will be sold or transferred; and

(7) the signature of the developer.

History

• Authority G.S. 93A-51; 93A-52
• Eff. April 1, 1987
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2022.

21 NCAC 58B .0201 General Provisions

(a) Information contained in a public offering statement pursuant to G.S. 93A-44(b) shall be accurate on the day it is supplied to a purchaser.

(b) The inclusion of false or misleading statements in a public offering statement shall be grounds for disciplinary action by the Commission.

History

• Authority G.S. 93A-44(b); 93A-51
• Eff. March 1, 1984
• Amended Eff. October 1, 2000; August 2, 1993; February 1, 1989; April 1, 1987
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2022.

21 NCAC 58B .0202 Public Offering Statement Summary

In addition to the requirements in G.S. 93A-44, a public offering statement shall contain a page prescribed by the Commission and completed by the developer entitled Public Offering Statement Summary in conspicuous type. The Public Offering Statement Summary shall read as follows:

PUBLIC OFFERING STATEMENT SUMMARY

NAME OF PROJECT:

NAME AND REAL ESTATE LICENSE NUMBER OF BROKER (IF ANY):

Please study this Public Offering Statement carefully. Satisfy yourself that any questions you may have are answered before you decide to purchase. If a salesperson or other representative of the developer has made a representation which concerns you, and you cannot find that representation in writing, ask that it be pointed out to you.

NOTICE

UNDER NORTH CAROLINA LAW, YOU MAY CANCEL YOUR TIMESHARE PURCHASE WITHOUT PENALTY WITHIN FIVE DAYS AFTER SIGNING YOUR CONTRACT. TO CANCEL YOUR TIMESHARE PURCHASE, YOU MUST MAIL, ELECTRONICALLY MAIL, OR HAND DELIVER WRITTEN NOTICE OF YOUR DESIRE TO CANCEL YOUR PURCHASE TO (name and address of project). IF YOU CHOOSE TO MAIL YOUR CANCELLATION NOTICE, THE NORTH CAROLINA REAL ESTATE COMMISSION RECOMMENDS THAT YOU USE REGISTERED OR CERTIFIED MAIL AND THAT YOU RETAIN YOUR POSTAL RECEIPT AS PROOF OF THE DATE YOUR NOTICE WAS MAILED. UPON CANCELLATION, ALL PAYMENTS WILL BE REFUNDED TO YOU.

History

• Authority G.S. 93A-44; 93A-51
• Eff. March 1, 1984
• Amended Eff. April 1, 2006; October 1, 2000; February 1, 1989; April 1, 1987
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2023; July 1, 2022.

21 NCAC 58B .0203 Receipt for Public Offering Statement

(a) Prior to the execution of any contract to purchase a timeshare, a developer or a timeshare salesperson shall obtain from the purchaser a written receipt for the public offering statement, which shall display, directly over the buyer signature line in type in all capital letters, no smaller than the largest type on the page on which it appears, the following statement: DO NOT SIGN THIS RECEIPT UNLESS YOU HAVE RECEIVED A COMPLETE COPY OF THE PUBLIC OFFERING STATEMENT.

(b) Receipts for public offering statements shall be maintained as part of the records of the sales transaction.

History

• Authority G.S. 93A-44(b); 93A-51
• Eff. February 1, 1988
• Amended Eff. October 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2022.

21 NCAC 58B .0301 Proof of Cancellation

(a) The postmark date affixed to any written notice of a purchaser's intent to cancel a timeshare purchase shall be presumed by the Commission to be the date the notice was mailed to the developer. Evidence tending to rebut this presumption shall be admissible at a hearing before the Commission.

(b) Upon receipt of a purchaser's written notice of intent to cancel a timeshare purchase, the developer, or the developer's agent or representative, shall retain the notice and any enclosure, envelope, or other cover in the developer's files, and shall produce the file upon the Commission's request.

(c) When there is more than one developer at a timeshare program and a purchaser gives written notice of intent to cancel a timeshare purchase that is received by a developer or sales staff other than the one from whom the timeshare was purchased, the developer or sales staff receiving such notice shall promptly deliver it to the proper developer who shall then honor the notice if it was timely sent by the purchaser.

History

• Authority G.S. 93A-45; 93A-51; 93A-54(f)
• Eff. September 1, 1984
• Amended Eff. October 1, 2000; August 2, 1993; February 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2022.

21 NCAC 58B .0401 Retention of Timeshare Records

(a) A developer shall maintain or cause to be maintained complete timeshare records for a period of not less than three years after the completion or termination of a timeshare sale, rental, or exchange.

(b) Timeshare records shall include, at a minimum, copies of the following:

(1) offers to purchase;

(2) applications and contracts to purchase;

(3) rent or exchange timeshares;

(4) records of deposits;

(5) maintenance and disbursement of funds required to be held in trust;

(6) receipts;

(7) notices of cancellations;

(8) compensation of timeshare salespersons;

(9) public offering statement and summary; and

(10) any other records pertaining to the timeshare transaction or termination.

(c) Timeshare records shall be made available for inspection and reproduction to the Commission or its authorized representatives without prior notice.

History

• Authority G.S. 93A-3(c); 93A-51; 93A-54
• Eff. September 1, 1984
• Amended Eff. October 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2022.

21 NCAC 58B .0402 Timeshare Agency Agreements and Disclosure

Timeshare sales transactions conducted by brokers on behalf of a developer are subject to 21 NCAC 58A .0104.

History

• Authority G.S. 93A-3(c); 93A-51
• Eff. August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2022.

21 NCAC 58B .0501 Timeshare Trust Funds

(a) Except as otherwise permitted by G.S. 93A-45(d), all monies received by a developer or a timeshare salesperson in connection with a timeshare sales transaction shall be deposited into a trust or escrow account immediately following receipt and shall remain in such account for ten days from the date of sale or cancellation by the purchaser, whichever first occurs.

(b) All monies received in connection with a timeshare transaction shall be delivered immediately to the program broker.

History

• Authority G.S. 93A-45; 93A-51
• Eff. September 1, 1984
• Amended Eff. April 1, 2006; October 1, 2000; February 1, 1989; July 1, 1988; February 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2022.

21 NCAC 58B .0601 Designation of Program Broker

(a) The developer shall designate a program broker for each registered timeshare program. The developer shall file with the Commission an Affidavit of Timeshare Program Broker available on the Commission's website and shall set forth the timeshare program's:

(1) name and registration number;

(2) program broker's name, business and email address, real estate license number, telephone number, and notarized signature.

(b) The developer shall file with the Commission a new Affidavit of Timeshare Program Broker within 10 days of any change in the program broker.

(c) Brokers licensed pursuant to 21 NCAC 58A .1800 and provisional brokers as defined in G.S. 93A-4(a1) shall not be designated as a program broker.

History

• Authority G.S. 93A-9; 93A-41(24); 93A-51; 93A-58(d)
• Eff. February 1, 1998
• Amended Eff. April 1, 2006; July 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2022.

21 NCAC 58B .0602 Duties of the Program Broker

(a) The program broker shall:

(1) display the timeshare program registration certificate at the project;

(2) ensure that each broker affiliated with the program has complied with Rules .0503 and .0504 of this Subchapter;

(3) notify the Commission of any change in the developer or material change pursuant to Rule .0104(b) of this Subchapter;

(4) deposit and maintain the trust or escrow account of the timeshare program and the records pertaining thereto;

(5) retain and maintain the timeshare program's records pursuant to Rule .0401 of this Subchapter.

(b) The program broker shall review all contracts, public offering statements and other documents distributed to the timeshare program's purchasers to ensure that the documents comport with the requirements of the Article 4 of Chapter 93 of the North Carolina Statutes and the rules adopted by the Commission, and to ensure that true and accurate documents have been given to the purchasers.

(c) The program broker shall notify the Commission in writing of any change in his or her status as program broker within 10 days.

History

• Authority G.S. 93A-51; 93A-58(c)
• Eff. February 1, 1988
• Amended Eff. April 1, 2006; October 1, 2000; February 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2022.

21 NCAC 58B .0701 Forms for Time Share Projects

History

• Status: expired
• Authority G.S. 93A-51; 150B-11(1)
• Eff. July 1, 1989
• Expired Eff. June 1, 2018 pursuant to G.S. 150B-21.3A.

Subchapter C

21 NCAC 58C .0101 Applicability: Requirement for Approval

This Section .0100 of Title 21 Subchapter 58C of the North Carolina Administrative Code (T21.58C .0101 - .0107); SCHOOLS; has been transferred and recodified from Section .1000 of Title 21 Subchapter 58A of the North Carolina Administrative Code (T21.58A .1001 - .1007), effective November 27, 1989.

History

• Status: repealed
• Authority G.S. 93A-4
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. July 1, 2010; April 1, 2006; July 1, 1996; July 1, 1994; May 1, 1990; February 1, 1989; November 1, 1987; September 1, 1984
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0102 application for approval

History

• Status: repealed
• Authority G.S. 93A-4
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. July 1, 2010; April 1, 2006; July 1, 1996; July 1, 1994; May 1, 1990; February 1, 1989; November 1, 1987; September 1, 1984
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0103 Criteria for Approval

History

• Status: repealed
• Authority G.S. 93A-4
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. July 1, 2010; April 1, 2006; July 1, 1996; July 1, 1994; May 1, 1990; February 1, 1989; November 1, 1987; September 1, 1984
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0104 Scope, Duration and Renewal of Approval

History

• Status: repealed
• Authority G.S. 93A-4
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. July 1, 2010; April 1, 2006; July 1, 1996; July 1, 1994; May 1, 1990; February 1, 1989; November 1, 1987; September 1, 1984
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0105 Withdrawal or Denial of Approval

History

• Status: repealed
• Authority G.S. 93A-4; 93A-6
• Eff. September 1, 1979
• Amended Eff. July 1, 2009; April 1, 2006; July 1, 2000; July 1, 1994; May 1, 1990; February 1, 1989; November 1, 1987
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0106 Program Changes

History

• Status: repealed
• Authority G.S. 93A-4(a),(d)
• Eff. January 1, 1981
• Amended Eff. July 1, 2000; February 1, 1989; November 1, 1987
• Repealed Eff. September 1, 2002.

21 NCAC 58C .0107 Use of Examination Performance Data

History

• Status: repealed
• Authority G.S. 93A-4(a),(d)
• Eff. September 1, 1984
• Amended Eff. July 1, 2000; July 1, 1994; May 1, 1990
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0108 Student Evaluations of Instructor Performance

History

• Status: repealed
• Authority G.S. 93A-4(a),(d)
• Amended Eff. July 1, 2000
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0201 Applicability

History

• Status: repealed
• Authority G.S. 93A-4(a),(d); 93A-33
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; December 1, 1987
• Transferred and Recodified from 21 NCAC 58A .1301 Eff. November 27, 1989
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0202 Original Application Fee

History

• Status: repealed
• Authority G.S. 93A-33; 93A-34(b)
• Eff. July 1, 1990
• Amended Eff. April 1, 2006; July 1, 1994
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0203 School Name

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a),(d); 93A-33; 93A-34
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; December 1, 1987; November 1, 1987; April 1, 1987; September 1, 1984
• Transferred and Recodified from 21 NCAC 58A .1303 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1304 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1305 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1306 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1307 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1308 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1309 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1310 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1311 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1312 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1313 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1314 Eff. November 27, 1989
• Amended Eff. July 1, 2014; January 1, 2012; July 1, 2010; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2005; July 1, 2001; July 1, 2000; July 1, 1994; July 1, 1993; July 1, 1990
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0204 Courses

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a),(d); 93A-33; 93A-34
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; December 1, 1987; November 1, 1987; April 1, 1987; September 1, 1984
• Transferred and Recodified from 21 NCAC 58A .1303 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1304 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1305 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1306 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1307 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1308 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1309 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1310 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1311 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1312 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1313 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1314 Eff. November 27, 1989
• Amended Eff. July 1, 2014; January 1, 2012; July 1, 2010; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2005; July 1, 2001; July 1, 2000; July 1, 1994; July 1, 1993; July 1, 1990
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0205 Additional Course Offerings

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a),(d); 93A-33; 93A-34
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; December 1, 1987; November 1, 1987; April 1, 1987; September 1, 1984
• Transferred and Recodified from 21 NCAC 58A .1303 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1304 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1305 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1306 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1307 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1308 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1309 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1310 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1311 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1312 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1313 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1314 Eff. November 27, 1989
• Amended Eff. July 1, 2014; January 1, 2012; July 1, 2010; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2005; July 1, 2001; July 1, 2000; July 1, 1994; July 1, 1993; July 1, 1990
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0206 Administration

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a),(d); 93A-33; 93A-34
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; December 1, 1987; November 1, 1987; April 1, 1987; September 1, 1984
• Transferred and Recodified from 21 NCAC 58A .1303 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1304 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1305 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1306 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1307 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1308 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1309 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1310 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1311 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1312 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1313 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1314 Eff. November 27, 1989
• Amended Eff. July 1, 2014; January 1, 2012; July 1, 2010; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2005; July 1, 2001; July 1, 2000; July 1, 1994; July 1, 1993; July 1, 1990
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0207 Facilities and Equipment

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a),(d); 93A-33; 93A-34
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; December 1, 1987; November 1, 1987; April 1, 1987; September 1, 1984
• Transferred and Recodified from 21 NCAC 58A .1303 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1304 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1305 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1306 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1307 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1308 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1309 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1310 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1311 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1312 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1313 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1314 Eff. November 27, 1989
• Amended Eff. July 1, 2014; January 1, 2012; July 1, 2010; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2005; July 1, 2001; July 1, 2000; July 1, 1994; July 1, 1993; July 1, 1990
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0208 Bulletins

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a),(d); 93A-33; 93A-34
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; December 1, 1987; November 1, 1987; April 1, 1987; September 1, 1984
• Transferred and Recodified from 21 NCAC 58A .1303 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1304 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1305 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1306 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1307 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1308 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1309 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1310 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1311 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1312 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1313 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1314 Eff. November 27, 1989
• Amended Eff. July 1, 2014; January 1, 2012; July 1, 2010; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2005; July 1, 2001; July 1, 2000; July 1, 1994; July 1, 1993; July 1, 1990
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0209 ENROLLMENT procedures and CONTRACTS

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a),(d); 93A-33; 93A-34
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; December 1, 1987; November 1, 1987; April 1, 1987; September 1, 1984
• Transferred and Recodified from 21 NCAC 58A .1303 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1304 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1305 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1306 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1307 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1308 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1309 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1310 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1311 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1312 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1313 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1314 Eff. November 27, 1989
• Amended Eff. July 1, 2014; January 1, 2012; July 1, 2010; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2005; July 1, 2001; July 1, 2000; July 1, 1994; July 1, 1993; July 1, 1990
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0210 Admissions Policy and Practice

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a),(d); 93A-33; 93A-34
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; December 1, 1987; November 1, 1987; April 1, 1987; September 1, 1984
• Transferred and Recodified from 21 NCAC 58A .1303 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1304 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1305 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1306 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1307 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1308 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1309 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1310 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1311 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1312 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1313 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1314 Eff. November 27, 1989
• Amended Eff. July 1, 2014; January 1, 2012; July 1, 2010; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2005; July 1, 2001; July 1, 2000; July 1, 1994; July 1, 1993; July 1, 1990
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0211 Records

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a),(d); 93A-33; 93A-34
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; December 1, 1987; November 1, 1987; April 1, 1987; September 1, 1984
• Transferred and Recodified from 21 NCAC 58A .1303 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1304 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1305 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1306 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1307 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1308 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1309 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1310 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1311 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1312 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1313 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1314 Eff. November 27, 1989
• Amended Eff. July 1, 2014; January 1, 2012; July 1, 2010; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2005; July 1, 2001; July 1, 2000; July 1, 1994; July 1, 1993; July 1, 1990
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0212 Enforcement of Institutional Standards

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a),(d); 93A-33; 93A-34
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; December 1, 1987; November 1, 1987; April 1, 1987; September 1, 1984
• Transferred and Recodified from 21 NCAC 58A .1303 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1304 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1305 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1306 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1307 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1308 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1309 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1310 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1311 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1312 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1313 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1314 Eff. November 27, 1989
• Amended Eff. July 1, 2014; January 1, 2012; July 1, 2010; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2005; July 1, 2001; July 1, 2000; July 1, 1994; July 1, 1993; July 1, 1990
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0213 Performance Bond

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a),(d); 93A-33; 93A-34
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; December 1, 1987; November 1, 1987; April 1, 1987; September 1, 1984
• Transferred and Recodified from 21 NCAC 58A .1303 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1304 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1305 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1306 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1307 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1308 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1309 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1310 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1311 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1312 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1313 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1314 Eff. November 27, 1989
• Amended Eff. July 1, 2014; January 1, 2012; July 1, 2010; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2005; July 1, 2001; July 1, 2000; July 1, 1994; July 1, 1993; July 1, 1990
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0214 Advertising and Recruitment Activities

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a),(d); 93A-33; 93A-34
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; December 1, 1987; November 1, 1987; April 1, 1987; September 1, 1984
• Transferred and Recodified from 21 NCAC 58A .1303 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1304 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1305 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1306 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1307 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1308 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1309 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1310 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1311 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1312 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1313 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1314 Eff. November 27, 1989
• Amended Eff. July 1, 2014; January 1, 2012; July 1, 2010; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2005; July 1, 2001; July 1, 2000; July 1, 1994; July 1, 1993; July 1, 1990
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0215 Quarterly Reports

History

• Status: repealed
• Authority G.S. 93A-4(a),(d); 93A-33
• Eff. October 1, 1980
• Amended Eff. September 1, 1984
• Transferred and Recodified from 21 NCAC 58A .1315 Eff. November 27, 1989
• Repealed Eff. September 1, 2002.

21 NCAC 58C .0216 Changes During the Licensing Period

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a),(d); 93A-33; 93A-34(b); 93A-35(b)
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; April 1, 1987; December 1, 1987; September 1, 1984
• Transferred and Recodified from 21 NCAC 58A .1316 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1317 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1318 Eff. November 27, 1989
• Amended Eff. July 1, 2009; April 1, 2006, September 1, 2002; July 1, 2000; July 1, 1994; July 1, 1990
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0217 License Renewal and Fees

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a),(d); 93A-33; 93A-34(b); 93A-35(b)
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; April 1, 1987; December 1, 1987; September 1, 1984
• Transferred and Recodified from 21 NCAC 58A .1316 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1317 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1318 Eff. November 27, 1989
• Amended Eff. July 1, 2009; April 1, 2006, September 1, 2002; July 1, 2000; July 1, 1994; July 1, 1990
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0218 Licensing Exam Confidentiality: School Perform./Licensing

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a),(d); 93A-33; 93A-34(b); 93A-35(b)
• Eff. October 1, 1980
• Amended Eff. February 1, 1989; April 1, 1987; December 1, 1987; September 1, 1984
• Transferred and Recodified from 21 NCAC 58A .1316 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1317 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1318 Eff. November 27, 1989
• Amended Eff. July 1, 2009; April 1, 2006, September 1, 2002; July 1, 2000; July 1, 1994; July 1, 1990
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0219 Violations of the Americans with Disablities Act

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-33
• Eff. July 1, 1993
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0220 Student Evaluations of Instructor Performance

History

• Status: repealed
• Authority G.S. 93A-4(a),(d); 93A-33
• Eff. July 1, 2000
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0221 Transfer of School Ownership

History

• Status: repealed
• Authority G.S. 93A-33; 93A-34; 93A-35
• Eff. July 1, 2014
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0301 Purpose and Applicability

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a1); 93A-4(a),(d); 93A-33; 93A-34; 93A-75(a)
• Eff. September 1, 1979
• Amended Eff. November 1, 1987; May 1, 1987; April 1, 1987; September 1, 1984; September 1, 1983; January 1, 1981; August 1, 1980
• Recodified Paragraphs (d) and (e) to Rule 58A .1113 (a) and (b) Eff. January 6, 1989
• Amended Eff. February 1, 1989
• Transferred and Recodified from 21 NCAC 58A .1101 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1102 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1104 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1105 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1107 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1108 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1109 Eff. November 27, 1989
• Amended Eff. May 1, 1990
• Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on January 1, 1991
• Amended Eff. January 1, 1991; February 1, 1991
• Temporary Amendment Eff. April 5, 1991, For a Period of 180 Days to Expire on October 2, 1991
• Temporary Amendment Eff. May 9, 1991, For a Period of 146 Days to Expire on October 2, 1991
• Amended Eff. July 1, 2010; July 1, 2009; January 1, 2008; April 1, 2006; September 1, 2002; October 1, 2000; July 1, 2000; July 1, 1996; July 1, 1994; July 1, 1993; October 1, 1991
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0302 PROGRAM STRUCTURING and admission requirements

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a1); 93A-4(a),(d); 93A-33; 93A-34; 93A-75(a)
• Eff. September 1, 1979
• Amended Eff. November 1, 1987; May 1, 1987; April 1, 1987; September 1, 1984; September 1, 1983; January 1, 1981; August 1, 1980
• Recodified Paragraphs (d) and (e) to Rule 58A .1113 (a) and (b) Eff. January 6, 1989
• Amended Eff. February 1, 1989
• Transferred and Recodified from 21 NCAC 58A .1101 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1102 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1104 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1105 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1107 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1108 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1109 Eff. November 27, 1989
• Amended Eff. May 1, 1990
• Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on January 1, 1991
• Amended Eff. January 1, 1991; February 1, 1991
• Temporary Amendment Eff. April 5, 1991, For a Period of 180 Days to Expire on October 2, 1991
• Temporary Amendment Eff. May 9, 1991, For a Period of 146 Days to Expire on October 2, 1991
• Amended Eff. July 1, 2010; July 1, 2009; January 1, 2008; April 1, 2006; September 1, 2002; October 1, 2000; July 1, 2000; July 1, 1996; July 1, 1994; July 1, 1993; October 1, 1991
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0303 Course Content

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a1); 93A-4(a),(d); 93A-33; 93A-34; 93A-75(a)
• Eff. September 1, 1979
• Amended Eff. November 1, 1987; May 1, 1987; April 1, 1987; September 1, 1984; September 1, 1983; January 1, 1981; August 1, 1980
• Recodified Paragraphs (d) and (e) to Rule 58A .1113 (a) and (b) Eff. January 6, 1989
• Amended Eff. February 1, 1989
• Transferred and Recodified from 21 NCAC 58A .1101 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1102 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1104 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1105 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1107 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1108 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1109 Eff. November 27, 1989
• Amended Eff. May 1, 1990
• Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on January 1, 1991
• Amended Eff. January 1, 1991; February 1, 1991
• Temporary Amendment Eff. April 5, 1991, For a Period of 180 Days to Expire on October 2, 1991
• Temporary Amendment Eff. May 9, 1991, For a Period of 146 Days to Expire on October 2, 1991
• Amended Eff. July 1, 2010; July 1, 2009; January 1, 2008; April 1, 2006; September 1, 2002; October 1, 2000; July 1, 2000; July 1, 1996; July 1, 1994; July 1, 1993; October 1, 1991
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0304 Course Completion Standards

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a1); 93A-4(a),(d); 93A-33; 93A-34; 93A-75(a)
• Eff. September 1, 1979
• Amended Eff. November 1, 1987; May 1, 1987; April 1, 1987; September 1, 1984; September 1, 1983; January 1, 1981; August 1, 1980
• Recodified Paragraphs (d) and (e) to Rule 58A .1113 (a) and (b) Eff. January 6, 1989
• Amended Eff. February 1, 1989
• Transferred and Recodified from 21 NCAC 58A .1101 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1102 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1104 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1105 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1107 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1108 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1109 Eff. November 27, 1989
• Amended Eff. May 1, 1990
• Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on January 1, 1991
• Amended Eff. January 1, 1991; February 1, 1991
• Temporary Amendment Eff. April 5, 1991, For a Period of 180 Days to Expire on October 2, 1991
• Temporary Amendment Eff. May 9, 1991, For a Period of 146 Days to Expire on October 2, 1991
• Amended Eff. July 1, 2010; July 1, 2009; January 1, 2008; April 1, 2006; September 1, 2002; October 1, 2000; July 1, 2000; July 1, 1996; July 1, 1994; July 1, 1993; October 1, 1991
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0305 Course Scheduling

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a1); 93A-4(a),(d); 93A-33; 93A-34; 93A-75(a)
• Eff. September 1, 1979
• Amended Eff. November 1, 1987; May 1, 1987; April 1, 1987; September 1, 1984; September 1, 1983; January 1, 1981; August 1, 1980
• Recodified Paragraphs (d) and (e) to Rule 58A .1113 (a) and (b) Eff. January 6, 1989
• Amended Eff. February 1, 1989
• Transferred and Recodified from 21 NCAC 58A .1101 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1102 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1104 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1105 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1107 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1108 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1109 Eff. November 27, 1989
• Amended Eff. May 1, 1990
• Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on January 1, 1991
• Amended Eff. January 1, 1991; February 1, 1991
• Temporary Amendment Eff. April 5, 1991, For a Period of 180 Days to Expire on October 2, 1991
• Temporary Amendment Eff. May 9, 1991, For a Period of 146 Days to Expire on October 2, 1991
• Amended Eff. July 1, 2010; July 1, 2009; January 1, 2008; April 1, 2006; September 1, 2002; October 1, 2000; July 1, 2000; July 1, 1996; July 1, 1994; July 1, 1993; October 1, 1991
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0306 Textbooks

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a1); 93A-4(a),(d); 93A-33; 93A-34; 93A-75(a)
• Eff. September 1, 1979
• Amended Eff. November 1, 1987; May 1, 1987; April 1, 1987; September 1, 1984; September 1, 1983; January 1, 1981; August 1, 1980
• Recodified Paragraphs (d) and (e) to Rule 58A .1113 (a) and (b) Eff. January 6, 1989
• Amended Eff. February 1, 1989
• Transferred and Recodified from 21 NCAC 58A .1101 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1102 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1104 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1105 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1107 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1108 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1109 Eff. November 27, 1989
• Amended Eff. May 1, 1990
• Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on January 1, 1991
• Amended Eff. January 1, 1991; February 1, 1991
• Temporary Amendment Eff. April 5, 1991, For a Period of 180 Days to Expire on October 2, 1991
• Temporary Amendment Eff. May 9, 1991, For a Period of 146 Days to Expire on October 2, 1991
• Amended Eff. July 1, 2010; July 1, 2009; January 1, 2008; April 1, 2006; September 1, 2002; October 1, 2000; July 1, 2000; July 1, 1996; July 1, 1994; July 1, 1993; October 1, 1991
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0307 Instructors

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a1); 93A-4(a),(d); 93A-33; 93A-34; 93A-75(a)
• Eff. September 1, 1979
• Amended Eff. November 1, 1987; May 1, 1987; April 1, 1987; September 1, 1984; September 1, 1983; January 1, 1981; August 1, 1980
• Recodified Paragraphs (d) and (e) to Rule 58A .1113 (a) and (b) Eff. January 6, 1989
• Amended Eff. February 1, 1989
• Transferred and Recodified from 21 NCAC 58A .1101 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1102 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1104 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1105 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1107 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1108 Eff. November 27, 1989
• Transferred and Recodified from 21 NCAC 58A .1109 Eff. November 27, 1989
• Amended Eff. May 1, 1990
• Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on January 1, 1991
• Amended Eff. January 1, 1991; February 1, 1991
• Temporary Amendment Eff. April 5, 1991, For a Period of 180 Days to Expire on October 2, 1991
• Temporary Amendment Eff. May 9, 1991, For a Period of 146 Days to Expire on October 2, 1991
• Amended Eff. July 1, 2010; July 1, 2009; January 1, 2008; April 1, 2006; September 1, 2002; October 1, 2000; July 1, 2000; July 1, 1996; July 1, 1994; July 1, 1993; October 1, 1991
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0308 Appraisal Instructors

History

• Status: repealed
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on
• January 1, 1991
• Authority G.S. 93A-33; 93A-75(a)
• Eff. May 1, 1990
• Amended Eff. February 1, 1991; January 1, 1991
• Repealed Eff. July 1, 1994.

21 NCAC 58C .0309 Course Completion Reporting

History

• Status: repealed
• Authority G.S. 93A-4(a); 93A-4(a2); 93A-4(d); 93A-33
• Eff. September 1, 1979
• Amended Eff. February 1, 1989; September 1, 1984; January 1, 1981
• Transferred and Recodified from 21 NCAC 58A .1111 Eff. November 27, 1989
• Amended Eff. July 1, 2014; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 1994; May 1, 1990
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0310 Course Records

History

• Status: repealed
• Authority G.S. 93A-4(a),(d); 93A-33
• Eff. September 1, 1984
• Recodified from Rule 58A .1105 (d) and (e) Eff. January 6, 1989
• Transferred and Recodified from 21 NCAC 58A .1113 Eff. November 27, 1989
• Amended Eff. July 1, 2014; October 1, 2000; May 1, 1990
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0311 Instructional Delivery Methods

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4(a); 93A-34
• Eff. July 1, 1996
• Amended Eff. April 1, 2006; April 1, 2004; July 1, 2000
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0312 Exception for Persons with Disabilities

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4(a); 93A-34
• Eff. July 1, 1996
• Amended Eff. April 1, 2006; April 1, 2004; July 1, 2000
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0311 Instructional Delivery Methods

The principal instructional delivery method utilized in real estate prelicensing and postlicensing courses must provide for the instructor to interact with students either in person in a traditional classroom setting or through an interactive television system or comparable system which permits continuous mutual audio and visual communication between the instructor and all students and which provides for monitoring and technical support at each site where the instructor or students are located. The use of media-based instructional delivery systems such as videotape or digital video disc (DVD), remote non-interactive television, computer-based instructional programs or similar systems not involving continuous mutual audio and visual communication between instructor and students may be employed only to enhance or supplement personal teaching by the instructor. Such delivery systems may not be used to substitute for personal teaching by the instructor. No portion of a course may consist of correspondence instruction.

History

• Authority G.S. 93A-3(c); 93A-4(a); 93A-34
• Eff. July 1, 1996
• Amended Eff. April 1, 2006; April 1, 2004.

21 NCAC 58C .0312 Exception for Persons with Disabilities

Schools may deviate from Commission rules concerning student attendance, course scheduling, instructional methods, instructional materials, facilities or similar matters as may be necessary in order for a school to comply with the Americans With Disabilities Act or other laws requiring such schools to accommodate persons with disabilities; provided that no deviations from Commission rules are permitted by this Rule with regard to program structuring, course content, academic course completion standards, or instructors. When considering a request for special accommodation under the Americans With Disabilities Act or other similar laws, a school shall make a reasonable inquiry to determine that the person making the request is a qualified individual with a disability and that the requested accommodation is appropriate for the particular disability. A school providing a special accommodation for a student with a disability that requires the school to deviate from Commission rules shall notify the Commission in writing of the accommodation within ten days of the start of the course in which the student is enrolled or, if the accommodation is requested after the start of the course, within ten days of the date the accommodation is first provided.

History

• Authority G.S. 93A-3(c); 93A-34
• Eff. July 1, 1996
• Amended Eff. July 1, 2000.

21 NCAC 58C .0313 Notice of Scheduled Courses

History

• Status: repealed
• Authority G.S. 93A-4(a1),(d); 93A-33
• Eff. January 1, 2008
• Amended Eff. July 1, 2009
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0401 Purpose and Applicability

History

• Status: repealed
• Authority G.S. 93A-75(a) and (b)
• Eff. May 1, 1990
• Amended Eff. July 1, 1993
• Repealed Eff. July 1, 1994.

21 NCAC 58C .0402 Application and Fee

History

• Status: repealed
• Authority G.S. 93A-75(a) and (b)
• Eff. May 1, 1990
• Amended Eff. July 1, 1993
• Repealed Eff. July 1, 1994.

21 NCAC 58C .0403 Criteria for Course Recognition

History

• Status: repealed
• Authority G.S. 93A-75(a) and (b)
• Eff. May 1, 1990
• Amended Eff. July 1, 1993
• Repealed Eff. July 1, 1994.

21 NCAC 58C .0404 Changes During the Recognition Period

History

• Status: repealed
• Authority G.S. 93A-75(a) and (b)
• Eff. May 1, 1990
• Amended Eff. July 1, 1993
• Repealed Eff. July 1, 1994.

21 NCAC 58C .0405 Advertising of Recognition and Examination Performance

History

• Status: repealed
• Authority G.S. 93A-75(a) and (b)
• Eff. May 1, 1990
• Amended Eff. July 1, 1993
• Repealed Eff. July 1, 1994.

21 NCAC 58C .0406 Renewal of Commission Recognition: Fee

History

• Status: repealed
• Authority G.S. 93A-75(a) and (b)
• Eff. May 1, 1990
• Amended Eff. July 1, 1993
• Repealed Eff. July 1, 1994.

21 NCAC 58C .0407 Withdrawal or Denial of Commission Recognition

History

• Status: repealed
• Authority G.S. 93A-75(a) and (b)
• Eff. May 1, 1990
• Amended Eff. July 1, 1993
• Repealed Eff. July 1, 1994.

21 NCAC 58C .0501 Purpose and Applicability

History

• Status: repealed
• Authority G.S. 93A-75(c), (d); 93A-77
• Eff. July 1, 1991
• Amended Eff. May 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58C .0502 Application and Fee

History

• Status: repealed
• Authority G.S. 93A-75(c), (d); 93A-77
• Eff. July 1, 1991
• Amended Eff. May 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58C .0503 Criteria for Course Approval

History

• Status: repealed
• Authority G.S. 93A-75(c), (d); 93A-77
• Eff. July 1, 1991
• Amended Eff. May 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58C .0504 Pre-Licensing and Pre-Certification Courses

History

• Status: repealed
• Authority G.S. 93A-75(c), (d); 93A-77
• Eff. July 1, 1991
• Amended Eff. May 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58C .0505 Continuing Education Credit Hours

History

• Status: repealed
• Authority G.S. 93A-75(c), (d); 93A-77
• Eff. July 1, 1991
• Amended Eff. May 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58C .0506 Course Operational Requirements

History

• Status: repealed
• Authority G.S. 93A-75(c), (d); 93A-77
• Eff. July 1, 1991
• Amended Eff. May 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58C .0507 Certification of Course Completion

History

• Status: repealed
• Authority G.S. 93A-75(c), (d); 93A-77
• Eff. July 1, 1991
• Amended Eff. May 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58C .0508 Submission of Course Roster

History

• Status: repealed
• Authority G.S. 93A-75(c), (d); 93A-77
• Eff. July 1, 1991
• Amended Eff. May 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58C .0509 Changes During the Approval Period

History

• Status: repealed
• Authority G.S. 93A-75(c), (d); 93A-77
• Eff. July 1, 1991
• Amended Eff. May 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58C .0510 Course Records

History

• Status: repealed
• Authority G.S. 93A-75(c), (d); 93A-77
• Eff. July 1, 1991
• Amended Eff. May 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58C .0511 Renewal of Approval and Fees

History

• Status: repealed
• Authority G.S. 93A-75(c), (d); 93A-77
• Eff. July 1, 1991
• Amended Eff. May 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58C .0512 Withdrawal or Denial of Approval

History

• Status: repealed
• Authority G.S. 93A-75(c), (d); 93A-77
• Eff. July 1, 1991
• Amended Eff. May 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58C .0601 Purpose and Applicability

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a),(d); 93A-33; 93A-34
• Eff. October 1, 2000
• Amended Eff. July 1, 2015; January 1, 2012; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2005; April 1, 2004; September 1, 2002
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0602 Nature and Scope of Instructor Approval

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a),(d); 93A-33; 93A-34
• Eff. October 1, 2000
• Amended Eff. July 1, 2015; January 1, 2012; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2005; April 1, 2004; September 1, 2002
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0603 Application and Criteria for Original Approval

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a),(d); 93A-33; 93A-34
• Eff. October 1, 2000
• Amended Eff. July 1, 2015; January 1, 2012; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2005; April 1, 2004; September 1, 2002
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0604 Instructor Performance

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a),(d); 93A-33; 93A-34
• Eff. October 1, 2000
• Amended Eff. July 1, 2015; January 1, 2012; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2005; April 1, 2004; September 1, 2002
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0605 REQUEST FOR EXAMINATIONS AND video recordings

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a),(d); 93A-33; 93A-34
• Eff. October 1, 2000
• Amended Eff. July 1, 2015; January 1, 2012; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2005; April 1, 2004; September 1, 2002
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0606 Postlicensing Course Reports

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a),(d); 93A-33; 93A-34
• Eff. October 1, 2000
• Amended Eff. July 1, 2015; January 1, 2012; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2005; April 1, 2004; September 1, 2002
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0607 Expiration, Renewal, and Reinstatement of Approval

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a),(d); 93A-33; 93A-34
• Eff. October 1, 2000
• Amended Eff. July 1, 2015; January 1, 2012; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2005; April 1, 2004; September 1, 2002
• Repealed Eff. July 1, 2017.

21 NCAC 58C .0608 Denial or Withdrawal of Approval

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4(a),(d); 93A-33; 93A-34
• Eff. October 1, 2000
• Amended Eff. July 1, 2015; January 1, 2012; July 1, 2009; January 1, 2008; April 1, 2006; July 1, 2005; April 1, 2004; September 1, 2002
• Repealed Eff. July 1, 2017.

Subchapter D

21 NCAC 58D .0101 Form

History

• Status: repealed
• Filed as a Temporary Amendment Eff. July 5, 1990, for a Period of 180 Days to Expire on
• January 1, 1991
• Statutory Authority G.S. 93A-73(a),(b); 93A-77
• Eff. May 1, 1990
• Amended Eff. January 1, 1992; January 1, 1991
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0102 Filing and Fees

History

• Status: repealed
• Filed as a Temporary Amendment Eff. July 5, 1990, for a Period of 180 Days to Expire on
• January 1, 1991
• Statutory Authority G.S. 93A-73(a),(b); 93A-77
• Eff. May 1, 1990
• Amended Eff. January 1, 1992; January 1, 1991
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0201 Qualifications for Appraiser Licensure and Certification

History

• Status: repealed
• Filed as a Temporary Amendment Eff. May 9, 1991, For a Period of 146 Days to Expire on
• October 2, 1991
• Filed as a Temporary Amendment Eff. April 5, 1991, For a Period of 180 Days to Expire on
• October 2, 1991
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on
• January 1, 1991
• Authority G.S. 93A-73(c); 93A-74(a),(b),(c),(d); 93A-75(d); 93A-77; 93A-79(e)
• 12 U.S.C. 3332, 3345, and 3347; 12 C.F.R. 34.42
• Eff. May 1, 1990
• Amended Eff. April 1, 1994; July 1, 1993; May 1, 1992; January 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0202 Character

History

• Status: repealed
• Filed as a Temporary Amendment Eff. May 9, 1991, For a Period of 146 Days to Expire on
• October 2, 1991
• Filed as a Temporary Amendment Eff. April 5, 1991, For a Period of 180 Days to Expire on
• October 2, 1991
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on
• January 1, 1991
• Authority G.S. 93A-73(c); 93A-74(a),(b),(c),(d); 93A-75(d); 93A-77; 93A-79(e)
• 12 U.S.C. 3332, 3345, and 3347; 12 C.F.R. 34.42
• Eff. May 1, 1990
• Amended Eff. April 1, 1994; July 1, 1993; May 1, 1992; January 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0203 License and Certificate Renewal

History

• Status: repealed
• Filed as a Temporary Amendment Eff. May 9, 1991, For a Period of 146 Days to Expire on
• October 2, 1991
• Filed as a Temporary Amendment Eff. April 5, 1991, For a Period of 180 Days to Expire on
• October 2, 1991
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on
• January 1, 1991
• Authority G.S. 93A-73(c); 93A-74(a),(b),(c),(d); 93A-75(d); 93A-77; 93A-79(e)
• 12 U.S.C. 3332, 3345, and 3347; 12 C.F.R. 34.42
• Eff. May 1, 1990
• Amended Eff. April 1, 1994; July 1, 1993; May 1, 1992; January 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0204 Continuing Education

History

• Status: repealed
• Filed as a Temporary Amendment Eff. May 9, 1991, For a Period of 146 Days to Expire on
• October 2, 1991
• Filed as a Temporary Amendment Eff. April 5, 1991, For a Period of 180 Days to Expire on
• October 2, 1991
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on
• January 1, 1991
• Authority G.S. 93A-73(c); 93A-74(a),(b),(c),(d); 93A-75(d); 93A-77; 93A-79(e)
• 12 U.S.C. 3332, 3345, and 3347; 12 C.F.R. 34.42
• Eff. May 1, 1990
• Amended Eff. April 1, 1994; July 1, 1993; May 1, 1992; January 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0205 Inactive Status

History

• Status: repealed
• Filed as a Temporary Amendment Eff. May 9, 1991, For a Period of 146 Days to Expire on
• October 2, 1991
• Filed as a Temporary Amendment Eff. April 5, 1991, For a Period of 180 Days to Expire on
• October 2, 1991
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on
• January 1, 1991
• Authority G.S. 93A-73(c); 93A-74(a),(b),(c),(d); 93A-75(d); 93A-77; 93A-79(e)
• 12 U.S.C. 3332, 3345, and 3347; 12 C.F.R. 34.42
• Eff. May 1, 1990
• Amended Eff. April 1, 1994; July 1, 1993; May 1, 1992; January 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0206 Expired License or Certificate

History

• Status: repealed
• Filed as a Temporary Amendment Eff. May 9, 1991, For a Period of 146 Days to Expire on
• October 2, 1991
• Filed as a Temporary Amendment Eff. April 5, 1991, For a Period of 180 Days to Expire on
• October 2, 1991
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on
• January 1, 1991
• Authority G.S. 93A-73(c); 93A-74(a),(b),(c),(d); 93A-75(d); 93A-77; 93A-79(e)
• 12 U.S.C. 3332, 3345, and 3347; 12 C.F.R. 34.42
• Eff. May 1, 1990
• Amended Eff. April 1, 1994; July 1, 1993; May 1, 1992; January 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0207 Payment of License and Certificate Fees

History

• Status: repealed
• Filed as a Temporary Amendment Eff. May 9, 1991, For a Period of 146 Days to Expire on
• October 2, 1991
• Filed as a Temporary Amendment Eff. April 5, 1991, For a Period of 180 Days to Expire on
• October 2, 1991
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on
• January 1, 1991
• Authority G.S. 93A-73(c); 93A-74(a),(b),(c),(d); 93A-75(d); 93A-77; 93A-79(e)
• 12 U.S.C. 3332, 3345, and 3347; 12 C.F.R. 34.42
• Eff. May 1, 1990
• Amended Eff. April 1, 1994; July 1, 1993; May 1, 1992; January 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0208 Replacement License or Certificate Fee

History

• Status: repealed
• Filed as a Temporary Amendment Eff. May 9, 1991, For a Period of 146 Days to Expire on
• October 2, 1991
• Filed as a Temporary Amendment Eff. April 5, 1991, For a Period of 180 Days to Expire on
• October 2, 1991
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on
• January 1, 1991
• Authority G.S. 93A-73(c); 93A-74(a),(b),(c),(d); 93A-75(d); 93A-77; 93A-79(e)
• 12 U.S.C. 3332, 3345, and 3347; 12 C.F.R. 34.42
• Eff. May 1, 1990
• Amended Eff. April 1, 1994; July 1, 1993; May 1, 1992; January 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0209 Federal Appraiser Registry

History

• Status: repealed
• Filed as a Temporary Amendment Eff. May 9, 1991, For a Period of 146 Days to Expire on
• October 2, 1991
• Filed as a Temporary Amendment Eff. April 5, 1991, For a Period of 180 Days to Expire on
• October 2, 1991
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on
• January 1, 1991
• Authority G.S. 93A-73(c); 93A-74(a),(b),(c),(d); 93A-75(d); 93A-77; 93A-79(e)
• 12 U.S.C. 3332, 3345, and 3347; 12 C.F.R. 34.42
• Eff. May 1, 1990
• Amended Eff. April 1, 1994; July 1, 1993; May 1, 1992; January 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0210 Temporary Practice

History

• Status: repealed
• Authority G.S. 93A-77; Title XI, Section 1122 (a); 12 U.S.C. 3351(a)
• Eff. January 1, 1992
• Amended Eff. July 1, 1993
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0301 Time and Place

History

• Status: repealed
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on January 1, 1991
• Authority G.S. 93A-73(c); 93A-77
• Eff. May 1, 1990
• Amended Eff. February 1, 1991; January 1, 1991
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0302 Subject Matter and Passing Scores

History

• Status: repealed
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on January 1, 1991
• Authority G.S. 93A-73(c); 93A-77
• Eff. May 1, 1990
• Amended Eff. February 1, 1991; January 1, 1991
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0303 Re-Examination

History

• Status: repealed
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on January 1, 1991
• Authority G.S. 93A-73(c); 93A-77
• Eff. May 1, 1990
• Amended Eff. February 1, 1991; January 1, 1991
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0304 Cheating and Related Misconduct

History

• Status: repealed
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on January 1, 1991
• Authority G.S. 93A-73(c); 93A-77
• Eff. May 1, 1990
• Amended Eff. February 1, 1991; January 1, 1991
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0305 Confidentiality of Examinations

History

• Status: repealed
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on January 1, 1991
• Authority G.S. 93A-73(c); 93A-77
• Eff. May 1, 1990
• Amended Eff. February 1, 1991; January 1, 1991
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0306 Examination Review

History

• Status: repealed
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on January 1, 1991
• Authority G.S. 93A-73(c); 93A-77
• Eff. May 1, 1990
• Amended Eff. February 1, 1991; January 1, 1991
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0401 Use of Titles

History

• Status: repealed
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on January 1, 1991
• Authority G.S. 93A-71(d),(f),(g); 93A-77
• Eff. May 1, 1990
• Amended Eff. February 1, 1991; January 1, 1991
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0402 Display of Licenses and Certificates

History

• Status: repealed
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on January 1, 1991
• Authority G.S. 93A-71(d),(f),(g); 93A-77
• Eff. May 1, 1990
• Amended Eff. February 1, 1991; January 1, 1991
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0403 Advertising

History

• Status: repealed
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on January 1, 1991
• Authority G.S. 93A-71(d),(f),(g); 93A-77
• Eff. May 1, 1990
• Amended Eff. February 1, 1991; January 1, 1991
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0404 Change of Name or Address

History

• Status: repealed
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on January 1, 1991
• Authority G.S. 93A-71(d),(f),(g); 93A-77
• Eff. May 1, 1990
• Amended Eff. February 1, 1991; January 1, 1991
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0405 Certified Appraisals

History

• Status: repealed
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on January 1, 1991
• Authority G.S. 93A-71(d),(f),(g); 93A-77
• Eff. May 1, 1990
• Amended Eff. February 1, 1991; January 1, 1991
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0406 Appraisal Reports

History

• Status: repealed
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on January 1, 1991
• Authority G.S. 93A-71(d),(f),(g); 93A-77
• Eff. May 1, 1990
• Amended Eff. February 1, 1991; January 1, 1991
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0407 Managing Appraiser

History

• Status: repealed
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on January 1, 1991
• Authority G.S. 93A-71(d),(f),(g); 93A-77
• Eff. May 1, 1990
• Amended Eff. February 1, 1991; January 1, 1991
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0408 Supervision of Unlicensed and Uncertified Assistants

History

• Status: repealed
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on January 1, 1991
• Authority G.S. 93A-71(d),(f),(g); 93A-77
• Eff. May 1, 1990
• Amended Eff. February 1, 1991; January 1, 1991
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0409 Supervision of Licensed and Certified Residential Appraisers

History

• Status: repealed
• Filed as a Temporary Amendment Eff. July 5, 1990, For a Period of 180 Days to Expire on January 1, 1991
• Authority G.S. 93A-71(d),(f),(g); 93A-77
• Eff. May 1, 1990
• Amended Eff. February 1, 1991; January 1, 1991
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0501 Appraisal Standards

History

• Status: repealed
• Authority G.S. 93A-77
• Eff. May 1, 1990
• Amended Eff. July 1, 1991
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0601 Scope

History

• Status: repealed
• Authority G.S. 93A-77; 150B-38(h)
• Eff. May 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0602 Form of Complaints and Other Pleadings

History

• Status: repealed
• Authority G.S. 93A-77; 150B-38(h)
• Eff. May 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0603 Presiding Officer

History

• Status: repealed
• Authority G.S. 93A-77; 150B-38(h)
• Eff. May 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0604 Subpoenas

History

• Status: repealed
• Authority G.S. 93A-77; 150B-38(h)
• Eff. May 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0605 Final Decisions

History

• Status: repealed
• Authority G.S. 93A-77; 150B-38(h)
• Eff. May 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0606 Petition to Reopen Proceeding

History

• Status: repealed
• Authority G.S. 93A-77; 150B-38(h)
• Eff. May 1, 1992
• Repealed Eff. July 1, 1994.

21 NCAC 58D .0701 Requests for Rulings: Disposition of Requests

History

• Status: repealed
• Authority G.S. 93A-77; 150B-4
• Eff. May 1, 1992
• Repealed Eff. July 1, 1994.

Subchapter E

21 NCAC 58E .0101 Purpose and Applicability

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; April 1, 2006; July 1, 2000; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0102 Update Course Component

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; April 1, 2006; July 1, 2000; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0103 Application for Original Approval

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; April 1, 2006; July 1, 2000; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0104 Criteria for Approval of Update Course Sponsor

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; April 1, 2006; July 1, 2000; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0105 Student Fee for Update Courses

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; April 1, 2006; July 1, 2000; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0201 Purpose and Applicability

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; July 1, 2014; January 1, 2012; January 1, 2008; April 1, 2004; July 1, 2003; September 1, 2002; July 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0202 Nature and Scope of Approval

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; July 1, 2014; January 1, 2012; January 1, 2008; April 1, 2004; July 1, 2003; September 1, 2002; July 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0203 Application and Criteria for Original Approval

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; July 1, 2014; January 1, 2012; January 1, 2008; April 1, 2004; July 1, 2003; September 1, 2002; July 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0204 active and inactive status; RENEWAL OF APPROVAL

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; July 1, 2014; January 1, 2012; January 1, 2008; April 1, 2004; July 1, 2003; September 1, 2002; July 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0205 Denial or Withdrawal of Approval

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; July 1, 2014; January 1, 2012; January 1, 2008; April 1, 2004; July 1, 2003; September 1, 2002; July 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0206 Request for a Video Recording

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; July 1, 2014; January 1, 2012; January 1, 2008; April 1, 2004; July 1, 2003; September 1, 2002; July 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0301 Purpose and Applicability

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; July 1, 2014; July 1, 2010; April 1, 2006; July 1, 2005; April 1, 2004; September 1, 2002; October 1, 2000; July 1, 2000; July 1, 1996; September 1, 1996; March 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0302 Elective Course Component

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; July 1, 2014; July 1, 2010; April 1, 2006; July 1, 2005; April 1, 2004; September 1, 2002; October 1, 2000; July 1, 2000; July 1, 1996; September 1, 1996; March 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0303 Application for Original Approval

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; July 1, 2014; July 1, 2010; April 1, 2006; July 1, 2005; April 1, 2004; September 1, 2002; October 1, 2000; July 1, 2000; July 1, 1996; September 1, 1996; March 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0304 Criteria for Elective Course Approval

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; July 1, 2014; July 1, 2010; April 1, 2006; July 1, 2005; April 1, 2004; September 1, 2002; October 1, 2000; July 1, 2000; July 1, 1996; September 1, 1996; March 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0305 Elective Course Subject Matter

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; July 1, 2014; July 1, 2010; April 1, 2006; July 1, 2005; April 1, 2004; September 1, 2002; October 1, 2000; July 1, 2000; July 1, 1996; September 1, 1996; March 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0306 Elective Course Instructors

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; July 1, 2014; July 1, 2010; April 1, 2006; July 1, 2005; April 1, 2004; September 1, 2002; October 1, 2000; July 1, 2000; July 1, 1996; September 1, 1996; March 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0307 Elective Course Credit Hours

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; July 1, 2014; July 1, 2010; April 1, 2006; July 1, 2005; April 1, 2004; September 1, 2002; October 1, 2000; July 1, 2000; July 1, 1996; September 1, 1996; March 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0308 REQUEST FOR a video recording

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; July 1, 2014; July 1, 2010; April 1, 2006; July 1, 2005; April 1, 2004; September 1, 2002; October 1, 2000; July 1, 2000; July 1, 1996; September 1, 1996; March 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0309 Student Fees for Elective Courses

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; July 1, 2014; July 1, 2010; April 1, 2006; July 1, 2005; April 1, 2004; September 1, 2002; October 1, 2000; July 1, 2000; July 1, 1996; September 1, 1996; March 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0310 Distance Education Courses

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1
• Eff. July 1, 1996
• Amended Eff. July 1, 2009; July 1, 2005; July 1, 2000
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0401 Purpose and Applicability

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. April 1, 2006; July 1, 2005; September 1, 2002; October 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0402 Sponsor Eligibility

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. April 1, 2006; July 1, 2005; September 1, 2002; October 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0403 Sponsor Name

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. April 1, 2006; July 1, 2005; September 1, 2002; October 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0404 Advance Approval Required

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. April 1, 2006; July 1, 2005; September 1, 2002; October 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0405 Continuing Education Coordinator

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. April 1, 2006; July 1, 2005; September 1, 2002; October 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0406 Course Completion Reporting

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. April 1, 2006; July 1, 2005; September 1, 2002; October 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0401 Purpose and Applicability

This Section contains miscellaneous general provisions relating to the approval of sponsors to conduct either the update course or elective courses and to the responsibilities of approved sponsors. Matters addressed include: Sponsor names and eligibility; designation of a continuing education coordinator; renewal of course and sponsor approval; records and reports; grounds for denial or withdrawal of approval, and other related matters.

History

• Authority G.S. 93A-3(c); 93A-4A
• Eff. July 1, 1994.

21 NCAC 58E .0402 Sponsor Eligibility

Any legal entity is eligible to seek approval as a sponsor of continuing education courses, provided that the entity seeking approval of a course as a continuing education elective course is either the owner of the proprietary rights to the course or has lawfully acquired from the course owner the right to seek course approval from the Commission and to conduct such course.

History

• Authority G.S. 93A-3(c); 93A-4A
• Eff. July 1, 1994.

21 NCAC 58E .0403 Sponsor Name

(a) The official name to be used by any course sponsor in connection with the offering of an approved continuing education course must clearly distinguish the sponsor from any other previously approved continuing education course sponsor. Unless the sponsor is a licensed private real estate school proposing to operate continuing education courses in its own name, the official name also must clearly distinguish the sponsor from any licensed private real estate school. Sponsor applicants proposing to use a sponsor name which does not comply with this standard may be required to adopt a different name as a condition of approval.

(b) Any advertisement or promotional material utilized by an approved course sponsor must include the course sponsor's official name and shall not include any other name for the sponsor.

History

• Authority G.S. 93A-3(c); 93A-4A
• Eff. July 1, 1994.

21 NCAC 58E .0404 Advance Approval Required

Prospective sponsors of an update course or elective course must obtain written approval from the Commission to conduct such course prior to conducting the course and prior to advertising or otherwise representing that the course is or may be approved for continuing education credit in North Carolina. No retroactive approval to conduct an update course will be granted for any reason. Retroactive approval of an elective course may be granted by the Commission if the course sponsor can provide evidence satisfactory to the Commission that the course was not offered for purposes of satisfying the real estate continuing education requirement and that the sponsor could not reasonably have been expected to anticipate in advance that students would want to receive continuing education elective credit for the course.

History

• Authority G.S. 93A-3(c); 93A-4A
• Eff. July 1, 1994.

21 NCAC 58E .0405 Continuing Education Coordinator

A sponsor of an update course or elective course must designate one person to serve as the continuing education coordinator for all Commission-approved continuing education courses offered by the sponsor. The designated coordinator shall serve as the official contact person for the sponsor and shall be responsible for the following:

(1) Supervising the conduct of all the sponsor's Commission-approved continuing education courses;

(2) Signing the course completion certificates provided by the sponsor to licensees completing courses; and

(3) Submitting to the Commission all required fees, rosters, reports and other information.

History

• Authority G.S. 93A-3(c); 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 1995.

21 NCAC 58E .0406 Course Completion Reporting

(a) Course sponsors must prepare and submit to the Commission, along with the per student fee required by G.S. 93A-4.1(d), reports verifying completion of a continuing education course for each licensee who satisfactorily completes the course according to the criteria in 21 NCAC 58A .1705 and who desires continuing education credit for the course. Such reports shall include students' names, students' license numbers, course date, sponsor and course codes and course information presented in the format prescribed by the Commission, and sponsors shall be held accountable for the completeness and accuracy of all information in such reports. Such reports shall be transmitted electronically via the Internet. Sponsors must submit these reports to the Commission in a manner that will assure receipt by the Commission within seven calendar days following the course, but in no case later than June 15 of any approval period for courses conducted during that approval period.

(b) At the request of the Commission, course sponsors must provide licensees enrolled in each continuing education course an opportunity to complete an evaluation of each approved continuing education course on a form provided by the Commission. Sponsors must submit the completed evaluation forms to the Commission with the reports verifying completion of a continuing education course.

(c) Course sponsors shall provide each licensee who satisfactorily completes an approved continuing education course according to the criteria in 21 NCAC 58A .1705 a course completion certificate on a form provided by the Commission. Sponsors must provide the certificates to licensees within fifteen calendar days following the course, but in no case later than June 15 for any course completed prior to that date. The certificate shall be retained by the licensee as his or her proof of having completed the course.

(d) When a licensee in attendance at a continuing education course does not comply with the student participation standards, the course sponsor shall advise the Commission of this matter in writing at the time reports verifying completion of continuing education for the course are submitted. A sponsor who determines that a licensee failed to comply with either the Commission's attendance or student participation standards shall not provide the licensee with a course completion certificate nor shall the sponsor include the licensee's name on the reports verifying completion of continuing education.

(e) Notwithstanding the provisions of Paragraphs (a) and (c) of this Rule, approved course sponsors who are national professional trade organizations and who conduct Commission-approved continuing education elective courses out of state shall not be obligated to submit reports verifying completion of continuing education courses by electronic means, provided that such sponsors submit to the Commission a roster which includes the names and license numbers of North Carolina licensees who completed the course in compliance with the criteria in 21 NCAC 58A .1705 and who desire continuing education credit for the course. A separate roster must be submitted for each class session and must be accompanied by a per student fee required by G.S. 93A-4.1(d), payable to the North Carolina Real Estate Commission. Rosters must be submitted in a manner which assures receipt by the Commission within 15 calendar days following the course, but not later than the last course reporting dates for an approval period specified in Paragraph (a) of this Rule. Such sponsors may also provide each licensee who completes an approved course in compliance with the criteria in 21 NCAC 58A .1705 a sponsor-developed course completion certificate in place of a certificate on a form provided by the Commission. Sponsors must provide the certificates to licensees within fifteen calendar days following the course.

History

• Authority G.S. 93A-3(c); 93A-4.1
• Eff. July 1, 1994
• Amended Eff. April 1, 2006; July 1, 2005; September 1, 2002; October 1, 2000; July 1, 1996; July 1, 1995.

21 NCAC 58E .0407 Per Student Fee

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2005; August 1, 1998; July 1, 1996; July 1, 1995
• Repealed Eff. April 1, 2006.

21 NCAC 58E .0408 Change in Sponsor Ownership

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A; 93A-6(a)(15)
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; July 1, 2014; July 1, 2010; April 1, 2004; July 1, 2000; July 1, 1996
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0409 Changes During Approval Period

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A; 93A-6(a)(15)
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; July 1, 2014; July 1, 2010; April 1, 2004; July 1, 2000; July 1, 1996
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0410 Course Records

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A; 93A-6(a)(15)
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; July 1, 2014; July 1, 2010; April 1, 2004; July 1, 2000; July 1, 1996
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0411 Renewal of Course and Sponsor Approval

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A; 93A-6(a)(15)
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; July 1, 2014; July 1, 2010; April 1, 2004; July 1, 2000; July 1, 1996
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0412 Denial or Withdrawal of Approval

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A; 93A-6(a)(15)
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; July 1, 2014; July 1, 2010; April 1, 2004; July 1, 2000; July 1, 1996
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0501 Purpose and Applicability

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; January 1, 2012; July 1, 2010; July 1, 2009; April 1, 2004; July 1, 2001; October 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0502 Scheduling

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; January 1, 2012; July 1, 2010; July 1, 2009; April 1, 2004; July 1, 2001; October 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0503 Minimum Class Size

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; January 1, 2012; July 1, 2010; July 1, 2009; April 1, 2004; July 1, 2001; October 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0504 Notice of Scheduled Courses

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; January 1, 2012; July 1, 2010; July 1, 2009; April 1, 2004; July 1, 2001; October 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0505 Advertising; Providing Course Information

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; January 1, 2012; July 1, 2010; July 1, 2009; April 1, 2004; July 1, 2001; October 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0506 Classes Open to All Licensees

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; January 1, 2012; July 1, 2010; July 1, 2009; April 1, 2004; July 1, 2001; October 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0507 Classroom Facilities

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; January 1, 2012; July 1, 2010; July 1, 2009; April 1, 2004; July 1, 2001; October 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0508 Student Check-in

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; January 1, 2012; July 1, 2010; July 1, 2009; April 1, 2004; July 1, 2001; October 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0509 Instructor Conduct and Performance

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; January 1, 2012; July 1, 2010; July 1, 2009; April 1, 2004; July 1, 2001; October 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0510 Monitoring Attendance

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; January 1, 2012; July 1, 2010; July 1, 2009; April 1, 2004; July 1, 2001; October 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0511 Student Participation Standards

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; January 1, 2012; July 1, 2010; July 1, 2009; April 1, 2004; July 1, 2001; October 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0512 Solicitation of Students

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; January 1, 2012; July 1, 2010; July 1, 2009; April 1, 2004; July 1, 2001; October 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0513 Cancellation and Refund Policies

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; January 1, 2012; July 1, 2010; July 1, 2009; April 1, 2004; July 1, 2001; October 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0514 Course Inspections by Commission Representative

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4.1; 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 2015; January 1, 2012; July 1, 2010; July 1, 2009; April 1, 2004; July 1, 2001; October 1, 2000; July 1, 1996; July 1, 1995
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0515 Accommodations for Persons with Disabilities

History

• Status: repealed
• Authority G.S. 93A-3(c); 93A-4A
• Eff. July 1, 1995
• Amended Eff. July 1, 2000
• Repealed Eff. July 1, 2017.

21 NCAC 58E .0601 Purpose and Applicability

History

• Status: repealed
• Authority G.S. 93A-2; 93A-3; 93A-3(c); 93A-4.1; 93A-4.2
• Eff. July 1, 2010
• Repealed Eff. July 1, 2014.

21 NCAC 58E .0602 Course Description

History

• Status: repealed
• Authority G.S. 93A-2; 93A-3; 93A-3(c); 93A-4.1; 93A-4.2
• Eff. July 1, 2010
• Repealed Eff. July 1, 2014.

21 NCAC 58E .0603 Authority to Conduct Course

History

• Status: repealed
• Authority G.S. 93A-2; 93A-3; 93A-3(c); 93A-4.1; 93A-4.2
• Eff. July 1, 2010
• Repealed Eff. July 1, 2014.

21 NCAC 58E .0604 Course Operational Requirements

History

• Status: repealed
• Authority G.S. 93A-2; 93A-3; 93A-3(c); 93A-4.1; 93A-4.2
• Eff. July 1, 2010
• Repealed Eff. July 1, 2014.

Subchapter F

21 NCAC 58F .0101 Basic Requirement

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4.3
• Eff. April 1, 2006
• Repealed Eff. July 1, 2009.

21 NCAC 58F .0102 course content

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4.3
• Eff. April 1, 2006
• Repealed Eff. July 1, 2009.

21 NCAC 58F .0103 course sponsors and instructors

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4.3
• Eff. April 1, 2006
• Repealed Eff. July 1, 2009.

21 NCAC 58F .0104 course operational requirements

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4.3
• Eff. April 1, 2006
• Repealed Eff. July 1, 2009.

21 NCAC 58F .0105 course completion reporting and per student fee

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4.3
• Eff. April 1, 2006
• Repealed Eff. July 1, 2009.

21 NCAC 58F .0106 withdrawal of sponsor and instructor approval

History

• Status: repealed
• Authority G.S. 93A-4; 93A-4.3
• Eff. April 1, 2006
• Repealed Eff. July 1, 2009.

Subchapter G

21 NCAC 58G .0101 per diem

A member of the Real Estate Commission shall receive a per diem payment of two hundred dollars ($200.00) for each day during which the member is engaged in business for or on behalf of the Real Estate Commission.

History

• Authority G.S. 93A-3(b) and (c)
• Eff. April 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

21 NCAC 58G .0102 Location

(a) The office of the North Carolina Real Estate Commission is located at 1313 Navaho Drive, Raleigh, North Carolina. The mailing address is Post Office Box 17100, Raleigh, North Carolina 27619-7100.

(b) Forms and information about the office may be obtained from the Commission's website at www.ncrec.gov.

History

• Authority G.S. 93A–3(c)
• Eff. July 1, 2017.

21 NCAC 58G .0103 Definitions

The following definitions apply throughout this Chapter and to all forms prescribed pursuant to this Chapter:

(1) "Branch Office" means any office in addition to the principal office of a broker that is operated in connection with the broker's real estate business.

(2) "BIC" means a broker-in-charge pursuant to G.S. 93A-2(a1).

(3) "BIC Eligible" means a broker's license status who has satisfied the broker-in-charge qualification requirements and filed application pursuant to G.S. 93A-4.2 and 21 NCAC 58A .0110.

(4) "Commission" means the North Carolina Real Estate Commission.

(5) "Commission's website" means www.ncrec.gov.

(6) "Day" means calendar day unless the rule expressly states otherwise. The first day counted is the day following the act, event, or transaction that triggered the tolling of the designated time period.

(7) "Fee" means a payment made to the Commission by a bank check, certified check, money order, debit card, credit card, or other electronic means and is nonrefundable once the payment has been processed.

(8) "Firm" means a partnership, corporation, limited liability company, association, or other business entity, except for a sole proprietorship.

(9) "Form" means an original form template provided by the Commission and completed by the submitting party.

(10) "Office" means any place of business where acts are performed for which a real estate license is required or where monies received by a broker acting in a fiduciary capacity are handled or records for such trust monies are maintained.

(11) "Principal Office" means the physical address designated in the Commission's records by the qualifying broker of a licensed firm or the broker-in-charge of a sole proprietorship.

History

• Authority G.S. 93A–3(c)
• Eff. July 1, 2017
• Amended Eff. July 1, 2026; July 1, 2018.

21 NCAC 58G .0104 Limited Education Requirements for Public Health Emergency

History

• Status: expired
• Authority G.S. 93A-3(c); 93A-4.1(c); 93A-38.5
• Emergency Adoption Eff. March 26, 2020
• Temporary Adoption Eff June 26, 2020
• Temporary Adoption Expired Eff. April 11, 2021.

21 NCAC 58G .0105 Limited Instructor Education Requirements for Public Health Emergency

History

• Status: expired
• Authority G.S. 93A-3(c); 93A-4.1(c); 93A-38.5
• Emergency Adoption Eff. March 26, 2020
• Temporary Adoption Eff June 26, 2020
• Temporary Adoption Expired Eff. April 11, 2021.

21 NCAC 58G .0106 Synchronous Distance-Learning for Public Health Emergency

History

• Status: expired
• Authority G.S. 93A-3(c); 93A-4.1(c)
• Emergency Adoption Eff. May 1, 2020
• Emergency Adoption Expired Eff. July 14, 2020.

Subchapter H

21 NCAC 58H .0101 definitions

The following definitions apply throughout this Subchapter and to all forms prescribed pursuant to this Chapter:

(1) "Assessment" means a quiz or evaluation that tests a student's mastery of the learning objective.

(2) "Blended learning" means any combination of distance education, synchronous distance learning, and in-person methods of instruction.

(3) "Branch location" means any location in addition to the principal address of an education provider that offers Prelicensing or Postlicensing Courses.

(4) "Continuing education" means a continuing education elective or Update Course.

(5) "Distance education" means a method of instruction accomplished through the use of media whereby teacher and student are separated by distance and time.

(6) "End-of-course examination" means an examination administered at the conclusion of a course that tests students' knowledge and mastery of all course subjects mandated by the Commission prescribed course syllabus.

(7) "Instructional hour" means 50 minutes of instruction and 10 minutes of break time.

(8) "Instructor development program" means courses of instruction designed to assist real estate instructors in the performance of Prelicensing, Postlicensing, or continuing education instructor duties or in the development of teaching skills.

(9) "Learning objective" means a statement of what a student will be able to do after completing a unit or course. A learning objective shall be structured in accordance with Bloom's Taxonomy.

(10) "License Examination Performance Record" means the percentage of an instructor's or education provider's students who, within 30 days of completing a Prelicensing course pursuant to 21 NCAC 58H .0207(a), take and pass the license examination, as defined in 21 NCAC 58A .0402, on their first attempt.

(11) "Postlicensing course" means any one of the courses comprising the 90 hour Postlicensing education program pursuant to G.S. 93A-4(a1) and 21 NCAC 58A .1902.

(12) "Prelicensing course" means a single course consisting of at least 75 hours of instruction on subjects prescribed by the Commission pursuant to G.S. 93A-4(a).

(13) "Public education provider" means any proprietary business or trade school licensed by the State Board of Community Colleges under G.S. 115D-90 or approved by the Board of Governors of the University of North Carolina that conducts approved real estate courses.

(14) "Syllabus" means a document that includes each topic and subtopic addressed during the course and for each topic and subtopic describes the scope and depth of coverage, timing, and references to course materials, and also demonstrates opportunities for student interactions throughout the course, such as discussion boards, chat areas, group activities, and quizzes.

(15) "Synchronous distance learning" means the instructor and students are separated only by distance and not time, allowing for real-time monitoring of student attendance and participation. For purposes of this Subchapter, a student shall be visible on camera in order to meet the attendance requirements set forth in Rule .0207 of this Section or 21 NCAC 58A .1705.

(16) "Update Courses" means the General Update Course and the Broker-in-Charge Update Course.

(17) "Unit" means a segment of distance education that is based upon a topic or subtopic in the course syllabus that lasts no longer than one hour.

History

• Authority G.S. 93A-4; 93A-32; 93A-33; 93A-38.5
• Eff. July 1, 2017
• Amended Eff. July 1, 2026; January 1, 2021; July 1, 2020.

21 NCAC 58H .0201 Applicability

This Section applies to all real estate education providers offering approved real estate courses. Public education providers shall be exempt from the rules in this Section unless the rule specifically requires compliance.

History

• Authority G.S. 93A-4; 93A-33
• Eff. July 1, 2017
• Amended Eff. July 1, 2020.

21 NCAC 58H .0202 ApPLICATION For education provider certification

(a) Any community college, junior college, or university located in this State and accredited by the Southern Association of Colleges and Schools seeking education provider certification shall apply to the Commission on a form available on the Commission's website and shall set forth the:

(1) education provider's name;

(2) education director's name and contact information;

(3) education director's email address;

(4) education provider's address;

(5) education provider's telephone number;

(6) education provider's website address;

(7) type of public institution;

(8) Prelicensing, Postlicensing, and Continuing Education courses to be offered by the applicant; and

(9) a signed certification by the education director that courses shall be conducted in compliance with the rules of this Subchapter.

(b) Any other person or entity seeking education provider certification shall apply to the Commission on a form available on the Commission's website and shall set forth the following criteria in addition to the requirements in G.S. 93A-34(b1):

(1) the website, physical and mailing address, and telephone number of the principal office of the education provider;

(2) the education director's license number, if applicable, email and mailing address, and telephone number;

(3) the North Carolina Secretary of State Identification Number, if applicable;

(4) the physical address of each proposed branch location, if applicable;

(5) the type of ownership entity;

(6) a signed Consent to Service of Process and Pleadings form available on the Commission's website, if a foreign entity;

(7) the Prelicensing, Postlicensing, and Continuing Education courses to be offered by the applicant; and

(8) a signed certification by the education director that courses shall be conducted in compliance with the rules of this Subchapter.

(c) The certification application fee for an education provider applying under Paragraph (b) of this Rule shall be two hundred dollars ($200.00) for each proposed education provider location. Provided however, education providers shall not be required to obtain a certification for every location a Continuing Education course is offered.

(d) If any education provider relocates any location or opens additional branch locations during any licensing period, the education director shall submit an original application for certification of that location pursuant to this Rule.

(e) In the event that any education provider advertises or operates in any manner using a name different from the name under which the education provider is certified, the education provider shall first file an assumed name certificate in compliance with G.S. 66-71.4 and shall notify the Commission in writing of the use of such an assumed name. An education provider shall not advertise or operate in any manner that would mislead a consumer as to the education provider's actual identity.

(f) An application from an individual or entity with an ownership interest of 10 percent or greater in a certified education provider that has been limited, denied, withdrawn, or terminated pursuant to Rule .0210 of this Section shall be denied if filed within one year from the effective date of the limitation, denial, withdrawal, or termination.

History

• Authority G.S. 93A-4; 93A-34; 93A-35
• Eff. July 1, 2017
• Amended Eff. July 1, 2023; July 1, 2020.

21 NCAC 58H .0203 Education DIRECTOR

(a) All education providers shall designate an education director, who shall:

(1) supervise all education provider operations related to the conduct of offering Prelicensing, Postlicensing, and Continuing Education courses;

(2) ensure that each approved instructor meets the requirements of Rule .0302 of this Subchapter;

(3) ensure that each continuing education elective course instructor meets the requirements of Rule .0402(a)(5) of this Subchapter;

(4) ensure each course utilizes course materials pursuant to Rule .0205 of this Section;

(5) sign course completion certificates;

(6) submit to the Commission all required fees, rosters, reports, and other information;

(7) submit to the Commission the name and the instructor number of each course instructor within 10 days of employment;

(8) ensure compliance with all statutory and rule requirements governing the certification and operation of the education provider;

(9) take steps to protect the security and integrity of course examinations at all times; and

(10) act as the education provider's liaison to the Commission.

(b) Public education providers shall designate one permanent employee to serve as the education director.

(c) The education director shall approve a guest lecturer prior to the guest lecturer teaching a course session. Education directors shall ensure that all guest lecturers possess experience related to the particular subject area the guest lecturer is teaching. Guest lecturers may be utilized to teach collectively up to one-fourth of any Prelicensing or Postlicensing course.

(d) The education director shall ensure all instructors that teach Prelicensing or Postlicensing courses by methods other than distance education are observed at least once annually for a minimum of one hour of live uninterrupted instruction by either the education director or a Commission-approved Prelicensing or Postlicensing instructor present in the classroom. Education directors who are also instructors may, upon written request to the Commission, be evaluated by a Commission monitor. The evaluation shall be based on the instructor's teaching abilities pursuant to Rule .0304 of this Subchapter. The instructor shall receive the written evaluation of his or her instructional performance within 30 days of observation.

(e) The education director for any education provider shall view the Commission's Education Director video electronically within 30 days of initial designation and annually within 45 days immediately preceding expiration of education provider certification.

(f) Education providers shall notify the Commission within 10 days of any change in education director during the certification period.

(g) The education director shall admit any Commission authorized representative to monitor any class or provide access to a distance education course without prior notice. Such representatives shall not be required to register or pay any fee and shall not be reported as having completed the course.

(h) An education director shall dismiss a student from the course who is found to have cheated in any manner on a course examination and shall not award a passing grade or any partial completion of the course. The education director shall report the cheating incident in writing to the Commission within 10 days.

History

• Authority G.S. 93A-4; 93A-33; 93A-34
• Eff. July 1, 2017
• Amended Eff. July 1, 2020; July 1, 2019.

21 NCAC 58H .0204 Policies and PRocedures Disclosure

(a) An education provider shall publish a Policies and Procedures Disclosure for prospective students.

(b) In addition to the information required by G.S. 93A-34(c)(5), an education provider's Policies and Procedures Disclosure shall include:

(1) the name and address of the Commission, along with a statement that any complaints concerning the education provider or its instructors should be directed to the Commission;

(2) a statement that the education provider shall not discriminate in its admissions policy or practice against any person on the basis of age, sex, race, color, national origin, familial status, handicap status, or religion;

(3) the education provider's most recent annual License Examination Performance Record and the Annual Summary Report data as published by the Commission;

(4) the all-inclusive tuition and fees for each particular course;

(5) a written course cancellation and refund policy;

(6) a list of all course and reference materials required;

(7) the course completion requirements pursuant to Rule .0207 of this Section and 21 NCAC 58A .1705;

(8) a statement referring the student to the Commission's website for the education provider's pass rate; and

(9) a signed certification acknowledging the student's receipt of the Policies and Procedures Disclosure prior to payment of any portion of tuition or registration fee.

(c) In addition to the information required in Paragraph (b) of this Rule and G.S. 93A-34(c)(5), an education provider offering distance education, synchronous distance learning, or blended learning courses shall include:

(1) a list of hardware and software or other equipment necessary to offer and complete the course;

(2) the contact information for technical support; and

(3) a description of how the end-of-course examination shall be administered to the student.

History

• Authority G.S. 93A-4; 93A-33; 93A-34
• Eff. July 1, 2017
• Amended Eff. July 1, 2025; January 1, 2021; July 1, 2020.

21 NCAC 58H .0205 course materials

(a) All courses shall have course materials that cover current North Carolina real estate related laws, rules, and practices. The nature and depth of subject matter coverage shall be consistent with the competency and instructional levels prescribed by the syllabus for the course for which approval is sought.

(b) Postlicensing courses shall utilize the current edition of the North Carolina Real Estate Manual. The North Carolina Real Estate Manual may be purchased on the Commission's website in electronic format for twenty five dollars ($25.00) per license year and as a print publication for fifty dollars ($50.00).

(c) Education providers shall verify each student has the course materials no later than the first class session.

History

• Authority G.S. 93A-4(d); 93A-33; 93A-34
• Eff. July 1, 2017
• Amended Eff. January 1, 2021; July 1, 2020.

21 NCAC 58H .0206 ADVERTISING and RECRUITMENT ACTIVITIES

(a) An education provider or instructor shall not advertise or otherwise make available any License Examination Performance Record or license examination pass rates or completion rates, nor reference or publish the pass rates of other education providers or instructors except as published on the Commission's website or as provided by this Subchapter.

(b) Education providers shall not make or publish, by way of advertising or otherwise, any false or misleading statement regarding employment opportunities that may be available as a result of completion of a course offered by that education provider or acquisition of a real estate license.

(c) Education providers shall not use endorsements or recommendations of any person or organization for advertising or otherwise unless such person or organization has consented in writing to the use of the endorsement or recommendation. In no case shall any person or organization be compensated for an endorsement or recommendation.

(d) Education providers shall not offer Postlicensing courses only for brokers affiliated with a particular real estate broker, firm, franchise, or association.

(e) Education providers may offer and advertise courses in addition to those approved by the Commission pursuant to this Subchapter provided that references to such courses are not made or published in a manner that implies approval by the Commission.

(f) Education providers shall utilize instructional hours and materials for instructional purposes only. For purposes of this Rule, instructional purpose means any combination of distance education, synchronous distance learning, and in-person methods of real estate instruction on course topics or materials.

(g) All Continuing Education course advertisements and promotional materials shall specify the number of Continuing Education credit hours to be awarded by the Commission for the course.

(h) The education provider's name shall be used in all publications and advertising.

History

• Authority G.S. 93A-4; 93A-33
• Eff. July 1, 2017
• Amended Eff. July 1, 2025; July 1, 2020.

21 NCAC 58H .0207 course completion certificates and reports

(a) For each Prelicensing course taught, an education provider shall provide a course completion certificate within 180 days of enrollment that is signed by the education director to each student that:

(1) in synchronous distance learning and in-person courses attend at least 80 percent of all scheduled instructional hours or in distance education completes all units and assessments; and

(2) obtains a grade of at least a 75 percent on the end-of-course examination.

(b) For each Postlicensing course taught, an education provider shall provide a course completion certificate within 180 days of enrollment that is signed by the education director to each student that:

(1) in synchronous distance learning and in-person courses attend at least 90 percent of all scheduled instructional hours or in distance education completes all units and assessments; and

(2) obtains a grade of at least a 75 percent on the end-of-course examination.

(c) The end-of-course examination shall be proctored and students shall not use textbooks or other materials on the end-of-course examination. End-of-course examinations administered in a distance education, blended learning, or synchronous distance learning course shall include proctoring or other security measures designed to verify the identity of the student taking the examination and ensure that students are not using textbooks or other materials on the end-of-course examination.

(d) For each continuing education course taught, an education provider shall provide a course completion certificate signed by the education director to each student that meets the requirements of 21 NCAC 58A .1705.

(e) The course completion certificate shall identify the course, date of completion, student, and instructor.

(f) An education director shall submit a Course Completion Report within seven calendar days of any student completing any real estate course pursuant to the education provider's Policies and Procedures Disclosure. The Course Completion Report shall include:

(1) each student's legal name;

(2) each student's email address and telephone number;

(3) each student's unique identification number, if reporting a Prelicensing course;

(4) each student's real estate broker license number, if applicable;

(5) the course completion date;

(6) the education provider's name and number;

(7) the course number; and

(8) the instructor's name and number.

(g) For each Prelicensing or Postlicensing course taught, an education director shall submit a Summary Report no later than the fifth day of the month. The Summary Report shall contain the previous month's data. The Summary Report shall include the:

(1) name of the instructor(s);

(2) title of course(s);

(3) number of students who paid tuition in each course and did not receive a refund;

(4) number of students who met all course requirements pursuant to Paragraph (a) and (b) of this Rule; and

(5) number of students who satisfied Subparagraphs (a)(1) and (b)(1) of this Rule but did not satisfy Subparagraphs (a)(2) and (b)(2) of this Rule.

(h) Education providers shall electronically submit the per student fee prescribed by G.S. 93A-4(a2) and G.S. 93A-38.5(d). No fee shall be required for public education providers or an agency of federal, state, or local government.

History

• Authority G.S. 93A-4(d); 93A-33; 93A-34
• Eff. July 1, 2017
• Amended Eff. January 1, 2021; July 1, 2020.

21 NCAC 58H .0208 Education provider RECORDS

All education provider records shall be retained for three years by the education provider and be made available to the Commission during an investigation or application process. Education provider records shall include:

(1) enrollment and attendance records;

(2) each student's end-of-course examination with grade and graded answer sheet;

(3) a master copy of each end-of-course examination with its answer key, course title, course dates and name of instructor;

(4) all instructor evaluations pursuant to Rule .0203(d) of this Section;

(5) advertisements;

(6) ARELLO or IDECC certifications;

(7) bulletins, catalogues, Policies and Procedures Disclosure, and other official publications;

(8) course schedules;

(9) student course materials;

(10) signed certifications pursuant to Rule .0204(b)(6) of this Section; and

(11) statements of consent pursuant to Rule .0206(c) of this Section.

History

• Authority G.S. 93A-4
• Eff. July 1, 2017
• Amended Eff. July 1, 2020.

21 NCAC 58H .0209 RENEWAL AND EXPIRATION of education provider certification

(a) All education provider and public education provider certifications shall expire annually on June 30 following certification.

(b) An education provider or public education provider seeking renewal of its certification shall submit an electronic application which shall include the following information:

(1) the education provider or public education provider's:

(A) name;

(B) number;

(C) mailing address;

(D) telephone number; and

(E) website address, if applicable; and

(2) the education director's name and signature;

(3) all approved real estate courses offered;

(4) a copy of the education provider's Policies and Procedures Disclosure, if applicable; and

(5) a statement that all courses meet the requirements of this Subchapter.

(c) Public education providers shall not be charged any fees to renew the education provider certification or course renewal.

(d) The education provider certification renewal fee shall be one hundred dollars ($100.00) for each education provider location.

(e) If an education provider or public education provider certification has expired, the education provider or public education provider shall submit an application for original certification pursuant to Rule .0202 of this Subchapter.

(f) Commission approval of all continuing education courses shall expire on June 30. In order to obtain approval for an expired continuing education course, an education provider shall submit an original application pursuant to Rule .0401 of this Subchapter.

(g) If an education provider transfers an aggregate of 50 percent or more of the ownership interest, the education provider shall notify the Commission in writing within 10 days of the transfer.

History

• Authority G.S. 93A-3(f); 93A-4; 93A-33; 93A-34(b); 93A-35(b); 93A-36; 93A-38.5(d)
• Eff. July 1, 2017
• Amended Eff. July 1, 2025; January 1, 2022; January 1, 2021; July 1, 2020; July 1, 2019.

21 NCAC 58H .0210 LIMITatation, DENIAL, WITHDRAWAL, or termination OF education provider certification

(a) The Commission may limit, deny, or withdraw certification of an education provider or suspend, revoke, or deny renewal of the certification of an education provider upon finding that an education provider:

(1) was found by a court or government agency of competent jurisdiction to have violated any state or federal law;

(2) made any false statements or presented any false, incomplete, or incorrect information in connection with an application;

(3) failed to provide or provided false, incomplete, or incorrect information in connection with any report the education provider is required to submit to the Commission;

(4) presented to its students or prospective students false or misleading information relating to its instructional program, to the instructional programs of other institutions, or related to employment opportunities;

(5) collected money from students but refused or failed to provide the promised instruction;

(6) failed to submit the per student fee as required by G.S. 93A-4(a2) or 93A-38.5(e).

(7) refused at any time to permit authorized representatives of the Commission to inspect the education provider's facilities or audit its courses;

(8) or education director violated the rules of this Subchapter or was disciplined by the Commission under G.S. 93A-6;

(9) obtained or used, or attempted to obtain or use, in any manner or form, North Carolina real estate license examination questions;

(10) failed to provide to the Commission, within 30 days of the Commission's request during an investigation or application process, a written plan describing the changes the education provider made or intends to make in its instructional program including instructors, course materials, methods of student evaluation, and completion standards to improve the performance of the education provider's students on the license examination;

(11) provided the Commission a fee that was dishonored by a bank or returned for insufficient funds;

(12) has had its Certificate of Authority revoked by the NC Secretary of State pursuant to G.S. 55-15-30;

(13) has been suspended by the NC Secretary of State for failure to report, return, or to pay any tax or fee pursuant to G.S. 105-230;

(14) has been administratively dissolved by the NC Secretary of State pursuant to G.S. 57D-6-06;

(15) failed to utilize course materials pursuant to Rule .0205 of this Section;

(16) failed to submit reports pursuant to Rule .0207 of this Section;

(17) provided false, incomplete, or misleading information relating to real estate licensing, education matters, or the broker's education needs or license status;

(18) discriminated in its admissions policy or practice against any person on the basis of age, sex, race, color, national origin, familial status, handicap status, or religion;

(19) failed to ensure that synchronous distance learning students were visible on camera pursuant to Rule .0101 of this Section; or

(20) refused or failed to comply with the provisions of this Subchapter.

(b) A broker shall be subject to discipline pursuant to G.S. 93A-6 if the broker engages in dishonest, fraudulent, or improper conduct in connection with the operations of an education provider if that broker:

(1) has an ownership interest in the education provider;

(2) is the education director; or

(3) is an instructor for an education provider.

(c) If an education provider's annual License Examination Performance Record fails to exceed 40 percent in each of the previous two license years and the education provider was certified by the Commission during the entire two years, the Commission shall limit the education provider's certification such that the education provider shall not offer prelicensing or postlicensing courses. Said limitation shall be effective July 1st of the calendar year following the Commission's determination.

The education provider shall be eligible to have the limitation removed one year after the limitation is imposed provided that the education provider has:

(1) provided a written plan describing the changes the education provider has made or intends to make in its instructional program to improve the performance of the students on the license examination;

(2) consulted with a designated Commission staff member to review the written plan and needs for improvement; and

(3) employed an instructor with no limitations to teach prelicensing and postlicensing courses.

(d) A limited education provider is eligible to renew its certification; however, a renewal shall not remove the limitations provided under Paragraph (c) of this Rule.

(e) When ownership of a certified education provider is transferred and the education provider ceases to operate as the certified entity, the certification is not transferable and shall terminate on the effective date of the transfer. All courses shall be completed by the effective date of the transfer. The transferring owner shall report course completion(s) to the Commission. The new entity shall obtain an original certification for each location where the education provider will conduct courses as required by G.S. 93A-34 and Rule .0202 of this Section prior to advertising courses, registering students, accepting tuition, conducting courses, or otherwise engaging in any education provider operations.

History

• Authority G.S. 93A-4(d); 93A-34(c); 93A-35(c); 93A-38
• Eff. July 1, 2017
• Amended Eff. July 1, 2026; July 1, 2022; July 1, 2021; July 1, 2020.

21 NCAC 58H .0211 Prelicensing and Postlicensing ROSTER REPORTING

History

• Status: repealed
• Authority G.S. 93A-4; 93A-33; 93A-34; 93A-35; 93A-36; 93A-38
• Eff. July 1, 2017
• Amended Eff. July 1, 2019; July 1, 2018
• Repealed Eff. July 1, 2020.

21 NCAC 58H .0212 School Records

History

• Status: repealed
• Authority G.S. 93A-4; 93A-33; 93A-34; 93A-35; 93A-36; 93A-38
• Eff. July 1, 2017
• Amended Eff. July 1, 2019; July 1, 2018
• Repealed Eff. July 1, 2020.

21 NCAC 58H .0213 Evaluations of Instructor Performance

History

• Status: repealed
• Authority G.S. 93A-4; 93A-33; 93A-34; 93A-35; 93A-36; 93A-38
• Eff. July 1, 2017
• Amended Eff. July 1, 2019; July 1, 2018
• Repealed Eff. July 1, 2020.

21 NCAC 58H .0214 EXPIRATION AND RENEWAL of A School APPROVAL or LicensE

History

• Status: repealed
• Authority G.S. 93A-4; 93A-33; 93A-34; 93A-35; 93A-36; 93A-38
• Eff. July 1, 2017
• Amended Eff. July 1, 2019; July 1, 2018
• Repealed Eff. July 1, 2020.

21 NCAC 58H .0215 DENIAL, WITHDRAWAL, or termination OF SCHOOL APPROVAL or License

History

• Status: repealed
• Authority G.S. 93A-4; 93A-33; 93A-34; 93A-35; 93A-36; 93A-38
• Eff. July 1, 2017
• Amended Eff. July 1, 2019; July 1, 2018
• Repealed Eff. July 1, 2020.

21 NCAC 58H .0216 Limited Education Provider Petition for Reconsideration

(a) An education provider may submit a written petition to reconsider the determination made pursuant to Rule .0210(c) of this Section. The petition shall be accompanied by any documentary evidence that contradicts the Commission's determination pursuant to Rule .0210(c) of this Section.

(b) The petition pursuant to Paragraph (a) of this Rule shall be submitted to the Commission within 60 days from the date of receipt of notification of the certification limitation or the Commission's determination shall be final.

(c) The Commission shall review a petition pursuant to Paragraph (b) of this Rule and any response submitted in writing by Commission staff and enter a final determination within 90 days from the date of receipt of such petition.

History

• Authority G.S. 93A-3(c); 93A-4(d); 93A-38
• Eff. July 1, 2023.

21 NCAC 58H .0301 Prelicensing, Postlicensing, and update course INSTRUCTOR APPROVAL

(a) Approval of an instructor to teach Prelicensing and Postlicensing courses shall authorize the instructor to teach courses only in conjunction with and at certified education providers pursuant to Rule .0202 of this Subchapter.

(b) An instructor approved to teach Prelicensing and Postlicensing courses may elect to also teach Update courses upon initial approval, renewal, or any time while holding such approval.

(c) Approved instructors may teach Update courses for any certified education provider pursuant to Rule .0202 of this Subchapter. An approved instructor may not independently conduct an Update course unless the instructor has also obtained certification as an education provider.

History

• Authority G.S. 93A-4(d); 93A-33; 93A-34
• Eff. July 1, 2017
• Amended Eff. July 1, 2020.

21 NCAC 58H .0302 APPLICATION AND CRITERIA FOR instrucTor APPROVAL

(a) An individual seeking original instructor approval shall submit an application on a form available on the Commission's website that shall require the instructor applicant to indicate the course(s) for which approval is being sought and set forth the instructor applicant's:

(1) legal name, address, email address, and telephone number;

(2) real estate license number and instructor number, if any, assigned by Commission;

(3) criminal and occupational licensing history, including any disciplinary actions;

(4) education background, including specific real estate education;

(5) experience in the real estate business;

(6) real estate teaching experience, if any;

(7) signed Consent to Service of Process and Pleadings for nonresident applicants; and

(8) signature.

(b) An instructor applicant shall have:

(1) a North Carolina real estate broker license that is not on provisional status;

(2) completed continuing education sufficient to activate a license under 21 NCAC 58A .1703;

(3) completed 60 semester hours of college-level education at an institution accredited by any college accrediting body recognized by the U.S. Department of Education;

(4) completed the Commission's New Instructor Seminar within the previous six months; and

(5) within the previous seven years has either:

(A) two years full-time experience in real estate brokerage with at least one year in North Carolina;

(B) three years of instructor experience at a secondary or post-secondary level;

(C) real estate Prelicensing or Postlicensing instructor approval in another jurisdiction; or

(D) qualifications found to be equivalent by the Commission, including a current North Carolina law license and three years' full time experience in commercial or residential real estate transactions or representation of real estate brokers or firms.

(6) passed an instructor approval examination created by the Commission and based on the North Carolina License Law and Commission Rules prior to registering for the New Instructor Seminar.

(c) In order to complete the New Instructor Seminar, a broker shall:

(1) attend at least ninety percent of all scheduled hours; and

(2) teach a 15-minute block of a single Prelicensing topic in a manner consistent with the course materials.

(d) Prior to teaching any Update course, an approved instructor shall complete the Commission's annual Update Instructor Seminar pursuant to Paragraph (c) of this Rule for the current license period. The Update Instructor Seminar shall not be used to meet the requirement in Rule .0306(b)(4) of this Section.

History

• Authority G.S. 93A-3(f); 93A-4; 93A-10; 93A-33; 93A-34
• Eff. July 1, 2017
• Amended Eff. July 1, 2025; July 1, 2023; July 1, 2020; July 1, 2019.

21 NCAC 58H .0303 LIMITation, denial, or WITHDRAWAL OF instructor APPROVAL

(a) The Commission may limit, deny, or withdraw approval of any instructor applicant or approved instructor upon finding that the instructor or instructor applicant:

(1) has failed to meet the criteria for approval described in Rule .0302 of this Section or the criteria for renewal of approval described in Rule .0306 of this Section at the time of application or at any time during an approval period;

(2) made any false statements or presented any false, incomplete, or incorrect information in connection with an application for approval or renewal of approval or any report that is required to be submitted to the Commission;

(3) has failed to submit to the Commission any report, course examination, or video recording required by these Rules;

(4) has failed to demonstrate the ability to teach a Prelicensing, Postlicensing, or Update course in a manner consistent with the course materials;

(5) taught a Prelicensing course and failed to provide to the Commission, within 30 days of the Commission's request during an investigation or application process, a written plan describing the changes the instructor has made or intends to make in his or her instructional program to improve the performance of the instructor's students on the license examination;

(6) has been convicted of, pleaded guilty to, or pleaded no contest to, a misdemeanor or felony violation of state or federal law by a court of competent jurisdiction;

(7) has been found by a court or government agency of competent jurisdiction to have violated any state or federal regulation prohibiting discrimination;

(8) has obtained, used, or attempted to obtain or use, in any manner or form, North Carolina real estate license examination questions except that the instructor or instructor applicant may sit for their own initial examination for licensure;

(9) has failed to take steps to protect the security of end-of-course examinations;

(10) failed to take any corrective action set out in the plan described in Subparagraph (a)(5) of this Rule or as otherwise requested by the Commission;

(11) engaged in any other improper, fraudulent, or dishonest conduct;

(12) failed to utilize course materials pursuant to Rule .0205 of this Subchapter;

(13) has taught or conducted a course in any manner that discriminated against any person on the basis of age, sex, race, color, national origin, familial status, handicap status, or religion; or

(14) failed to comply with any other provisions of this Subchapter.

(b) If an instructor's annual License Examination Performance Record fails to exceed 40 percent in each of the previous two license years and the instructor was approved by the Commission during the entire previous two years, the Commission shall limit the instructor's approval such that the instructor shall not teach prelicensing or postlicensing courses. Said limitation shall be effective July 1st of the calendar year following the Commission's determination.

The instructor shall be eligible to have the limitation removed one year after the limitation is imposed provided that the instructor has:

(1) provided a written plan describing the changes the instructor has made or intends to make in his or her instructional program to improve the performance of the students on the license examination;

(2) consulted with a designated Commission staff member to review the written plan and needs for improvement; and

(3) attended the Commission's New Instructor Seminar.

(c) A limited instructor is eligible to renew an instructor approval; however, a renewal shall not remove the limitations provided under Paragraph (b) of this Rule.

History

• Authority G.S. 93A-4; 93A-33; 93A-34
• Eff. July 1, 2017
• Amended Eff. July 1, 2022; July 1, 2021; July 1, 2020.

21 NCAC 58H .0304 Instructor Conduct and Performance

(a) All instructors shall ensure that class sessions are conducted at the scheduled time and for the full amount of time that is scheduled or required. Instructors shall conduct courses in accordance with the Commission's rules, and any applicable course syllabi, instructor guide, or course plan. Instructors shall conduct classes demonstrating the ability to:

(1) state student learning objectives at the beginning of the course and present accurate and relevant information;

(2) communicate correct grammar and vocabulary;

(3) utilize a variety of instructional techniques that require students to analyze and apply course content, including teacher-centered approaches, such as lecture and demonstration, and student-centered approaches, such as lecture discussion, reading, group problem solving, case studies, and scenarios;

(4) utilize instructional aids, such as:

(A) whiteboards;

(B) sample forms and contracts;

(C) pictures;

(D) charts; and

(E) videos.

(5) utilize assessment tools, such as:

(A) in-class or homework assignments, and

(B) quizzes and midterm examinations for Prelicensing and Postlicensing courses.

(6) avoid criticism of any other person, agency, or organization;

(7) identify key concepts and correct student misconceptions; and

(8) maintain control of the class.

(b) Instructors shall not obtain, use, or attempt to obtain or use, in any manner or form, North Carolina real estate license examination questions.

History

• Authority G.S. 93A-4; 93A-33; 93A-34
• Eff. July 1, 2017
• Amended Eff. July 1, 2020.

21 NCAC 58H .0305 digital video recordings

(a) Upon request of the Commission during an investigation, an education provider or approved instructor shall submit a digital video recording depicting an instructor teaching a specified course topic.

(b) Any digital video recording submitted to the Commission shall:

(1) have been made within 12 months of the date of submission;

(2) be recorded either on a digital video disc (DVD), USB drive, or similar medium;

(3) be unedited;

(4) display a visible date and time stamp during the entire video recording;

(5) include a label identifying the instructor, the course title, subject being taught, and dates of the video instruction;

(6) include student materials used in the production of the video recording;

(7) have visual and sound quality to allow reviewers to see and hear the instructor; and

(8) show at least a portion of the students present in a live audience.

(c) The deadline for any digital video recording requested during an investigation shall be 30 days after the date of the next scheduled course, but no later than 120 days after the Commission's request.

History

• Authority G.S. 93A-4; 93A-33; 93A-34
• Eff. July 1, 2017
• Amended Eff. July 1, 2020.

21 NCAC 58H .0306 renewal and expiration OF INSTRUCTOR APPROVAL

(a) Commission approval of instructors shall expire annually on June 30 following issuance of approval.

(b) Any approved instructor shall file an electronic application for renewal of approval within the 45 days immediately preceding expiration of approval. The instructor renewal application shall set forth the instructor's:

(1) legal name, address, email address, and telephone number;

(2) real estate license number and instructor number assigned by Commission;

(3) any criminal convictions and occupational license disciplinary actions within the past year;

(4) proof of attendance since approval or last renewal of a real estate instructor educational program of at least six hours, such as the:

(A) Commission's Spring Educators Conference or New Instructor Seminar;

(B) NC Real Estate Educators Association's conference or instructor development workshop; or

(C) Real Estate Educators Association's conference or instructor development workshop.

(5) courses for which he or she is seeking approval as an instructor; and

(6) signature.

(c) In order to reinstate an instructor approval that has been expired for less than six months, the former instructor shall meet the requirements set forth in Paragraph (b) of this Rule.

(d) If an instructor approval has been expired for more than six months, the former instructor shall file an application for original approval pursuant to Rule .0302 of this Section.

History

• Authority G.S. 93A-4; 93A-33; 93A-34
• Eff. July 1, 2017.

21 NCAC 58H .0307 Limited Instructor Petition for Reconsideration

(a) An instructor may submit a written petition to reconsider the determination made pursuant to Rule .0303(b) of this Section. The petition shall be accompanied by any documentary evidence that contradicts the Commission's determination pursuant to Rule .0303(b) of this Section.

(b) The petition pursuant to Paragraph (a) of this Rule shall be submitted to the Commission within 60 days from the date of receipt of notification of the approval limitation or the Commission's determination shall be final.

(c) The Commission shall review a petition pursuant to Paragraph (b) of this Rule and any response submitted in writing by Commission staff and enter a final determination within 90 days from the date of receipt of such petition.

History

• Authority G.S. 93A-3(c); 93A-4(d)
• Eff. July 1, 2023.

21 NCAC 58H .0401 APPROVAL of A REal Estate EDucation course

(a) Prior to obtaining the Commission's written approval of a real estate education course, education providers shall not offer, advertise, or otherwise represent that any real estate education course is, or may be, approved for credit in North Carolina.

(b) An education provider seeking original approval of a proposed course shall complete an application on a form available on the Commission's website that requires the applicant to set forth:

(1) the title of the proposed course;

(2) the education provider's legal name, address, and telephone number;

(3) the education director's legal name and signature;

(4) the education provider's number;

(5) the credit hours awarded for completing the course;

(6) the subject matter of the course;

(7) the identity of the course owner;

(8) the written permission of the course owner, if other than the applicant;

(9) the identity of prospective instructors;

(10) a description of the method by which the education provider will proctor the end-of-course examination for Prelicensing and Postlicensing courses;

(11) a description of the mechanism used for verification of possession of required course materials; and

(12) a copy of the course guide, which shall include:

(A) course objectives;

(B) learning objectives for each topic;

(C) a course syllabus;

(D) instructional methods and aids to be employed; and

(E) all course materials that will be provided to students.

(c) An applicant seeking approval to offer a distance education course shall submit an application for original approval pursuant to Paragraph (b) of this Rule as well as:

(1) a full copy of the course on the medium to be utilized for instruction;

(2) a description of the method by which the education provider will verify and record student attendance;

(3) a list of hardware and software or other equipment necessary to both offer and complete the course;

(4) the contact information for the technical support service for the course;

(5) all hardware and software necessary to review the submitted course at the expense of the applicant; and

(6) an outline demonstrating the course meets the minimum course hours measured by a reading speed of 225 words per minute and the actual duration of audio and video files.

(d) An applicant seeking approval to offer a synchronous distance learning course shall submit an application for original approval pursuant to Paragraph (b) of this Rule as well as:

(1) a description of the method by which the education provider will verify and record student attendance;

(2) a list of hardware and software or other equipment necessary to both offer and complete the course; and

(3) the contact information for the technical support service for the course.

(e) An applicant seeking approval to offer a blended learning course shall submit an application for original approval pursuant to Paragraph (b) of this Rule as well as the additional information pursuant to Paragraphs (c) and (d) of this Rule, as applicable, for each instructional method.

(f) An application pursuant to Paragraph (c) of this Rule shall not be approved by the Commission if:

(1) the course cannot be reviewed in its entirety; or

(2) the course does not meet the minimum course hours pursuant to G.S. 93A-4 and 21 NCAC 58A .1702 measured by a reading speed of 225 words per minute and the actual duration of audio and video files.

(g) An education provider seeking approval to offer a currently approved course shall complete an application on a form available on the Commission's website that requires the applicant to set forth the:

(1) title of the course;

(2) applicant's legal name, address, and telephone number;

(3) applicant's education director's legal name;

(4) applicant's education provider number;

(5) identity of the course owner;

(6) written permission of the course owner, if other than the applicant;

(7) identity of prospective instructors;

(8) certification that the originally approved course will not be altered;

(9) a description of the mechanism used for verification of possession of required course materials;

(10) a description of the method by which the education provider will proctor the end-of-course examination for Prelicensing and Postlicensing courses;

(11) a description of the method by which the education provider will verify and record student attendance;

(12) education director's signature; and

(13) for synchronous distance learning courses:

(A) a list of hardware and software or other equipment necessary to both offer and complete the course; and

(B) the contact information for the technical support service for the course.

(h) An education provider shall submit a one hundred dollar ($100.00) fee for each application submitted pursuant to Paragraph (g) of this Rule for any continuing education course. The application shall be deemed approved ten business days after the Commission has received the application and fee, unless the Commission notifies the applicant otherwise.

(i) An education provider shall submit a forty dollar ($40.00) fee per Prelicensing or Postlicensing course offered at any of its branch locations. No fee shall be required for public education providers or an agency of federal, state, or local government.

(j) An education provider shall submit a one hundred dollar ($100.00) fee per elective course. No fee shall be required for public education providers or an agency of federal, state, or local government.

History

• Authority G.S. 93A-3(c); 93A-4; 93A-33; 93A-34; 93A-38.5
• Eff. July 1, 2017
• Amended Eff. August 1, 2021; January 1, 2021; July 1, 2020.

21 NCAC 58H .0402 CONtinuing education elective course requirements

(a) Continuing education elective courses shall:

(1) cover subject matter related to real estate brokerage practice and offer knowledge or skills that will enable brokers to better serve real estate consumers and the public interest;

(2) consist of at least four hours of instruction;

(3) offer four continuing education credit hours;

(4) include handout materials for students that provide the information to be presented in the course; and

(5) be taught only by an instructor who possesses at least one of the following:

(A) a baccalaureate or higher degree in a field related to the subject matter of the course;

(B) three years' full-time work experience within the previous 10 years that is related to the subject matter of the course;

(C) three years' full-time experience within the previous 10 years teaching the subject matter of the course; or

(D) education or experience or both found by the education director to be equivalent to one of the above standards.

(b) Education providers shall notify the Commission in writing before making any changes in the content of an elective course. However, changes in course content that are technical in nature do not require written notification during the approval period, but shall be reported at the time the education provider requests renewal of course approval.

History

• Authority G.S. 93A-3(c); 93A-38.5
• Eff. July 1, 2017
• Amended Eff. July 1, 2020.

21 NCAC 58H .0403 Commission created Update courses

(a) The Commission shall annually develop Update courses and shall produce instructor and student materials for use by education providers.

(b) An education provider shall submit a one hundred dollar ($100.00) materials fee to offer the Update course.

(c) An education provider seeking approval to offer a modified Update course pursuant to Paragraph (f) of this Rule shall also submit the written permission of each of the course owners, if other than the applicant.

(d) Education providers shall use the Commission-developed course materials to conduct Update courses. Education providers shall provide a copy of the course materials to each broker taking an Update course.

(e) All Update course materials developed by the Commission are the sole property of the Commission and are subject to the protection of copyright laws. Violation of the Commission's copyright with regard to these materials shall be grounds for disciplinary action or other action as permissible by law.

(f) With advance approval from the Commission, education providers and approved instructors may make modifications to the Update course when the Update course is being promoted to and conducted for a group of brokers that specialize in a particular area of real estate brokerage. Such modifications shall relate to the same general subject matter addressed in the prescribed Update course and the Update course as modified shall achieve the same educational objectives as the unmodified Update course. Where certain subject matter addressed in the prescribed Update course is not directly applicable to the group of brokers who specialize in the particular area of real estate brokerage being targeted, different subject matter and education objectives may be substituted with the prior written consent of the Commission. All modified Update course materials shall be the joint property of the Commission and the education provider or approved instructor approved to make such modifications, or as otherwise determined by written agreement. Violation of the Commission's copyright with regard to these materials shall be grounds for disciplinary action or other action as permitted by law.

(g) The Update Course shall be offered by education providers only as an in-person and synchronous distance-learning course.

History

• Authority G.S. 93A-3; 93A-38.5
• Eff. July 1, 2017
• Amended Eff. July 1, 2020.

21 NCAC 58H .0404 Course Scheduling

(a) Continuing Education courses shall be scheduled and conducted in a manner that limits class sessions to a maximum of eight instructional hours in any given day. The maximum permissible class session without a break shall be 90 minutes. Courses scheduled for more than four instructional hours in any given day shall include a meal break of at least one hour.

(b) An education provider shall not offer, conduct, or allow a student to complete any continuing education course between June 11 and June 30, inclusive.

(c) An education provider offering a distance education Continuing Education course shall require students to complete the course within 30 days of the date of registration or the date the student is provided the course materials and permitted to begin work, whichever is the later date.

(d) Education providers shall not utilize a scheduling system that allows students to enroll late for a course and then complete their course work in a subsequently scheduled course. Late enrollment shall be permitted only if the enrolling student can satisfy the minimum attendance requirement set forth in Rule .0207 of this Subchapter.

(e) Education providers shall notify the Commission of all scheduled course offerings no later than 10 days prior to a scheduled course beginning date.

(f) The notice required by Paragraph (e) of this Rule shall include:

(1) the education provider name;

(2) the education provider number; and

(3) for each scheduled course:

(A) the name and course number;

(B) the scheduled beginning and ending dates, if applicable;

(C) the course meeting days and times, including any scheduled lunch breaks; and

(D) the name of the instructor and instructor number.

(g) If there is a change or cancellation within five days of the scheduled course date, then the education director shall provide notice to the Commission within 24 hours of the change or cancellation.

History

• Authority G.S. 93A-3; 93A-38.5
• Eff. July 1, 2017
• Amended Eff. July 1, 2020; July 1, 2018.

21 NCAC 58H .0405 DENIAL OR WITHDRAWAL OF sponsor APPROVAL

21 NCAC 58H .0406 APPROVAL AND RENEWAL OF ELECTIVE COURSE

21 NCAC 58H .0407 Continuing Education Elective Course Requirements

21 NCAC 58H .0408 COMMISSION CREATED UPDATE COURSES

21 NCAC 58H .0409 Records and Commission Review

21 NCAC 58H .0410 CONTINUING EDUCATION COURSE SCHEDULING AND NOTIFICATION

21 NCAC 58H .0411 Continuing Education Course Attendance

21 NCAC 58H .0412 CONTINUING EDUCATION ROSTER REPORTS AND CERTIFICATES

21 NCAC 58H .0413 Continuing Education Course Cost, Cancellation, and Refunds

21 NCAC 58H .0414 ADVERTISING

History

• Authority G.S. 93A-3(c); 93A-4.1; 93A-6(a)(15)
• Eff. July 1, 2017
• Repealed Eff. July 1, 2020.

21 NCAC 58H .0415 distance education courses

(a) At the beginning of a course, distance education courses shall include an orientation that:

(1) explains the course syllabus;

(2) identifies all required materials and resources, if any;

(3) states the maximum time a student is allowed to complete the course; and

(4) instructs students on how to navigate within the course.

(b) Distance education courses shall include a navigation menu within the course platform that allows students to access the:

(1) instructor's name and contact information;

(2) course syllabus and schedule;

(3) course materials, if any;

(4) Policies and Procedures Disclosure pursuant to Rule .0204 of this Section; and

(5) contact information for the course's technical support.

(c) Distance education courses shall be divided into units and students shall complete an assessment for each unit prior to beginning the subsequent unit.

History

• Authority G.S. 93A-3(c); 93A-4; 93A-33; 93A-34; 93A-38.5
• Eff. January 1, 2021.

21 NCAC 58H .0416 Renewal and Expiration of Course Approval

(a) Approval of real estate education courses shall expire annually on June 30 following initial course approval.

(b) An education provider or public education provider seeking to renew a course approval shall be the owner of the course material or, if not the course owner, submit written authorization from the course owner to use the course materials. Written authorization shall be signed and dated by the course owner no earlier than six months prior to the submission of the course renewal.

(c) The fee for an education provider to renew a course approval shall be:

(1) twenty-five dollars ($25.00) per Prelicensing or Postlicensing Course;

(2) fifty dollars ($50.00) per continuing education elective course; and

(3) one hundred dollars ($100.00) materials fee to offer the Update Course.

(d) An education provider or public education provider shall submit an application for original course approval pursuant to Rule .0401 of this Subchapter if the course approval:

(1) fails to renew pursuant to this Rule; or

(2) has renewed twice since the initial course approval.

History

• Authority G.S. 93A-3(f); 93A-4; 93A-33; 93A-35; 93A-38.5(d)
• Eff. July 1, 2025.

Chapter 60 Refrigeration Contractors

21 NCAC 60 .0101 Structure of Board

History

• Status: repealed
• Authority G.S. 87-52; 87-54
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Amended Eff. April 1, 1989; December 1, 1987
• Repealed Eff. December 1, 1993.

21 NCAC 60 .0102 Office of Board

(a) The Board's office and mailing address is 1027 US 70 Highway West, Suite 221, Garner, North Carolina 27529.

(b) The Board's website is http://www.refrigerationboard.org.

History

• Authority G.S. 87 54
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Amended Eff. June 1, 2015; April 1, 2015; September 1, 2011; August 1, 2004; July 1, 2000; August 1, 1995; December 1, 1993; October 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. January 1, 2018.

21 NCAC 60 .0103 Rule-Making and Administrative Hearing Procedures

History

• Status: repealed
• Authority G.S. 87-54; 150B-21.6; 150B-38(h)
• Eff. February 1, 1981
• Amended Eff. October 1, 1995; April 1, 1989; May 1, 1988; October 1, 1984
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Repealed Eff. January 1, 2018.

21 NCAC 60 .0105 Refrigeration Law Plug-in Devices

History

• Status: repealed
• Authority G.S. 87-54; 87-58
• Recodified from 21 NCAC 60 .0303 Eff. January 13, 1989
• Repealed Eff. November 1, 1995.

21 NCAC 60 .0201 Dates of Board Meetings

History

• Status: repealed
• Authority G.S. 87-54; 87-58
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Amended Eff. April 1, 1989; October 1, 1984; February 1, 1981
• Repealed Eff. August 1, 2004.

21 NCAC 60 .0202 Application for Examination

History

• Status: repealed
• Authority G.S. 87-54; 87-64; 150A-11(1)
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Amended Eff. February 1, 1981
• Repealed Eff. October 1, 1984.

21 NCAC 60 .0203 Form

History

• Status: repealed
• Authority G.S. 87-54; 87-64; 150A-11(1)
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Amended Eff. February 1, 1981
• Repealed Eff. October 1, 1984.

21 NCAC 60 .0204 Scoring Examinations

History

• Status: repealed
• Authority G.S. 87-54; 87-58
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Amended Eff. April 1, 1997; August 1, 1995; October 1, 1984
• Repealed Eff. August 1, 2004.

21 NCAC 60 .0205 Renewal and Reinstatement Fees

History

• Status: repealed
• Authority G.S. 87-54; 87-64
• Eff. October 1, 1984
• Repealed Eff. May 1, 1988.

21 NCAC 60 .0206 Examination Application Duly Filed

History

• Status: repealed
• Authority G.S. 87-54; 87-58
• Eff. October 1, 1984
• Repealed Eff. January 1, 2018

21 NCAC 60 .0207 Requirements for Examination Applicants

(a) Applicants requesting to take a refrigeration examination in accordance with Rule .0213 of this Chapter shall:

(1) Obtain 4,000 hours of refrigeration experience relevant to the classification of licensure desired prior to filing the application. Up to one-half of the experience may be in technical training related to the field of refrigeration contracting; and

(2) File with the Board an application on a form provided by the Board together with the non-refundable examination fee as set forth in Rule .0209 of this Section. The form may be obtained on the Board's website (www.refrigerationboard.org) or by requesting a copy from the Board office. The application shall require the following:

(A) The Social Security Number of the applicant;

(B) The applicant's contact information;

(C) The name of the business under which licensee will be operating, if any;

(D) The license classification desired;

(E) Information indication whether the applicant has any disciplinary history with any other occupational licensing board or agency;

(F) Record of refrigeration experience and education; and

(G) Supervisor(s) statement verifying experience.

(b) Applicants who pass the examination shall receive a certificate issued by the Board bearing his or her license number. The license shall not be assigned or transferred to another individual.

(c) An individual holding a valid transport or service contractor refrigeration license shall be eligible to sit for the commercial refrigeration examination upon filing with the Board an application as required in Paragraph (a) of this Rule.

(d) An applicant may be licensed in more than one classification of refrigerating contracting provided the applicant meets the qualifications for the classifications as set forth in this Rule, including passing the examinations for the classifications desired.

History

• Authority G.S. 93B-14; 87-54; 87-58
• Eff. October 1, 1984
• Amended Eff. August 1, 2004, July 1, 2000; April 1, 1997; December 1, 1993; April 1, 1989; September 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. January 1, 2018.

21 NCAC 60 .0208 Examination Review

History

• Status: expired
• Authority G.S. 87-54; 87-58(d); 93B-8(c)
• Eff. May 1, 1988
• Amended Eff. August 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Expired Eff. October 1, 2025 pursuant to G.S. 150B-21.3A.

21 NCAC 60 .0209 Fees

Fees shall be set as follows:

(1) Examination application -- $100.00;

(2) License renewal -- $80.00; and

(3) License reinstatement -- $120.00.

History

• Authority G.S. 54; 87-58(d); 87-64
• Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. January 1, 2018.

21 NCAC 60 .0210 Special Examination

History

• Status: repealed
• Authority G.S. 87-54; 87-58(d); 93B-8(c)
• Eff. December 1, 1993
• Repealed Eff. August 1, 2004.

21 NCAC 60 .0211 Cert Requirements of Epa: Issuance of Cert Licenses by Board

(a) All licensed refrigeration contractors and technicians as defined in 40 CFR 82.161 who handle refrigerants as stated in the Act and regulations must be certified by an EPA-Approved Technician's Certification Program effective November 14, 1994.

(b) The State Board of Refrigeration Examiners shall issue a license or certification to contractors and technicians who can document successful completion of an EPA-Approved Course and Examination.

History

• Authority G.S. 87-52; 87-54; 87-58; 42 U.S.C. 7671g(a); 40 C.F.R. 82.161
• Eff. February 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015.

21 NCAC 60 .0212 Qualifying Examinations

History

• Status: repealed
• Authority G.S. 87-54; 87-58
• Eff. August 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Repealed Eff. January 1, 2018.

21 NCAC 60 .0213 Examinations

(a) Upon approval to take an examination in accordance with Rule .0207 of this Chapter, the Board shall schedule and notify the approved applicant of the date, time, and place of the examination.

(b) Refrigeration Contractors Examinations shall be divided as follows:

(1) Commercial and Industrial shall be divided into four parts; and

(2) Service and Transport refrigeration shall be divided into three parts.

(c) All examinations shall be written or computer based.

(d) In order to pass the examination, an applicant shall obtain a grade of at least 70 percent of each part. An applicant shall pass all parts of the examination within the same one year period and within no more than three consecutive attempts. Each time an applicant takes the examination, the applicant shall take all parts for which he or she does not have passing grades. If the applicant fails to pass all parts within one year or within three consecutive attempts (whichever period is shorter), any passing grades for individual parts shall no longer be valid and the applicant shall retake all parts of the examination.

(e) An applicant who fails an examination must wait a period of five business days from the date he or she last failed an examination before he or she will be eligible to take another examination.

(f) Each applicant who fails an examination shall be notified of his or her scores and the parts of the examination he or she failed.

(g) An applicant who fails to appear at a scheduled examination shall have the no show count toward the three attempts described in Paragraph (d) of this Rule unless notice is given five business days prior to the scheduled examination.

(h) If an applicant files an application for examination that is approved, and takes and fails the examination, his or her verification of refrigeration experience shall be kept and shall be sufficient for taking any future examination, provided he or she files another application accompanied by the required fee as set forth in these Rules.

History

• Authority G.S. 87-54; 87-58
• Eff. August 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. January 1, 2018.

21 NCAC 60 .0214 Licensure for Military-Trained Applicant; Licensure for Military Spouse

(a) Licensure for a military-trained applicant. Upon receipt of a request for licensure pursuant to G.S. 93B-15.1 from a military-trained applicant, the Board shall issue a license to the applicant who satisfies the following conditions:

(1) submits an Application for License to Practice Refrigeration Contracting, as set forth in Rule .0206 of this Section. The application is available on the website at http://www.refrigerationboard.org/applytotakeexam/application;

(2) submits a license fee in accordance with G.S. 87-64 and Rule .0209 of this Section;

(3) provides documentation to satisfy conditions set out in G.S. 93B-15.1(a)(1) and (2), as set forth on http://refrigerationboard.org/applytotakeexam/military.html; and

(4) provides documentation that the applicant has not committed any act in any jurisdiction that would constitute grounds for refusal, suspension, or revocation of a license in North Carolina at the time the act was committed.

(b) Licensure for a military spouse. Upon receipt of a request for licensure pursuant to G.S. 93B-15.1 from a military spouse, the Board shall issue a license to the applicant who satisfies the following conditions:

(1) submits an Application for License to Practice Refrigeration Contracting, as set forth in Rule .0206 of this Section. The application is available on the website at http://www.refrigerationboard.org/applytotakeexam/application;

(2) submits a license fee in accordance with G.S. 87-64 and Rule .0209 of this Section;

(3) submits written documentation demonstrating that the applicant is married to an active member of the U.S. military;

(4) provides documentation to satisfy conditions set out in G.S. 93B-15.1(b)(1) and (2), as set forth on http://refrigerationboard.org/applytotakeexam/military.html;

(5) provides documentation that the applicant has not committed any act in any jurisdiction that would constitute grounds for refusal, suspension, or revocation of a license in North Carolina at the time the act was committed; and

(6) is in good standing and has not been disciplined by the agency that had jurisdiction to issue the license, certification, or permit.

History

• Authority G.S. 93B-15.1
• Eff. February 1, 2015.

21 NCAC 60 .0301 Register of Licensees

History

• Status: repealed
• Authority G.S. 87-54; 150B-11(1)
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Amended Eff. October 1, 1984; February 1, 1981
• Repealed Eff. May 1, 1988.

21 NCAC 60 .0302 Description of Forms

History

• Status: repealed
• Authority G.S. 87-54; 150B-11(1)
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Amended Eff. October 1, 1984; February 1, 1981
• Repealed Eff. May 1, 1988.

21 NCAC 60 .0303 Refrigeration Law Plug-in Devices

History

• Authority G.S. 87-54; 87-58
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Amended Eff. May 1, 1988; October 1, 1984
• Recodified to Rule .0105 Eff. January 13, 1989.

21 NCAC 60 .0304 Renewals and Reinstatements

Refrigeration license/reinstatement notices are sent out to all licensees on or about October 31 of each year. On or about January 15, each person who has not applied for the renewal of his license is notified that his license has lapsed and is sent a letter instructing him to apply for the reinstatement of his license. On or about February 1, those lapsed licensees who have not replied to the above letter are sent another letter by certified mail notifying them that their license has lapsed and that it is unlawful to engage further in the business of refrigeration contracting.

History

• Authority G.S. 87-54; 87-64
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Amended Eff. April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015.

21 NCAC 60 .0305 Form: Renewal Application

History

• Status: repealed
• Authority G.S. 87-54; 150B-11
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. May 1, 1988.

21 NCAC 60 .0306 Form: Reinstatement Application

History

• Status: repealed
• Authority G.S. 87-54; 87-59; 87-64
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0307 Problems and Compliance

History

• Status: repealed
• Authority G.S. 87-54; 87-59; 87-64
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0308 Reinstatement After Suspension

History

• Status: repealed
• Authority G.S. 87-54; 87-59; 87-64
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0309 Form: Reinstatement Application

History

• Status: repealed
• Authority G.S. 87-54; 87-64; 150B-11(1)
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Amended Eff. February 1, 1981
• Repealed Eff. May 1, 1988.

21 NCAC 60 .0310 Lost or Destroyed Certificates

History

• Status: expired
• Authority G.S. 87-54; 87-60
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Expired Eff. October 1, 2025 pursuant to G.S. 150B-21.3A.

21 NCAC 60 .0311 Permits

(a) The refrigeration license number of the licensee shall appear on all applications for permits.

(b) A licensee shall assure that a permit is obtained from the local Building Code enforcement official before commencing any installation work for which a license is required by the Board. The licensee shall also assure that a request for final inspection is made within 10 days of subsequent completion of the work for which a license is required, absent agreement with the owner and the local Building Code enforcement official.

(c) A licensee shall obtain permits and allow his number to appear on permits only for work over which he will provide general supervision until the completion of the work, for which he holds the contract and for which he receives all contractual payments.

(1) General supervision is that degree of supervision which is necessary and sufficient to ensure that the work is performed in a competent manner and with the requisite skill and that the work is done timely, safely and in accordance with applicable codes and rules. General supervision requires that the review of the work be performed in person by the licensee while the work is in progress.

(2) Each business office for which a licensee is responsible shall be actively and locally supervised by that licensee who shall have primary responsibility and a corresponding amount of time personally involved in the work contracted for or performed by that office.

History

• Authority G.S. 87-54; 87-58(g)
• Eff. May 1, 1988
• Amended Eff. August 1, 2004; July 1, 2000; April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015.

21 NCAC 60 .0312 Change of Trade Name

The trade name under which a license is issued may be changed upon request to and approval by the Board. The last license issued to the licensee must be returned to the Executive Director along with the form provided by the Board.

History

• Authority G.S. 87-54; 87-60
• Eff. December 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015.

21 NCAC 60 .0313 Processing Fee for Submittal of Bad Check

Any person or firm submitting to the Board a check which is subsequently returned to the Board because of insufficient funds in or no account at a bank will be charged the maximum processing fee allowed by G.S. 25-3-512. Until such time as the payer of such a bad check has made the check good and paid the prescribed processing fee, the payer will not be eligible to take an examination, obtain a license or have a license renewed.

History

• Authority G.S. 87-54; 87-63
• Eff. December 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015.

21 NCAC 60 .0314 Use of License

(a) The licensed contractor shall not permit the use of his license by any other person.

(b) All refrigeration contracting business, including all business advertising and the submission of all documents and papers by a licensee of the Board shall be conducted in the exact name in which the refrigeration contracting license is issued.

(c) Should a licensee terminate his relationship from a company in which his license is issued, work begun prior to such termination may be completed under such conditions as the Board shall direct subject to the following conditions deemed applicable by the Board under the unique facts and circumstances of each instance:

(1) the percentage of the project completed;

(2) the time that may elapse before another licensee can be employed for the project;

(3) the size and complexity of the project;

(4) the experience and qualifications of remaining personnel;

(5) any prior disciplinary record the company involved licensees has with the Board;

(6) the financial accountability of the firm;

(7) whether or not the remaining firm has any other occupational licenses.

However, no work for which a license is required under G.S. 87-58 may be bid for, contracted for or initiated prior to said company obtaining a license.

History

• Authority G.S. 87-54; 87-57
• Eff. December 1, 1993
• Amended Eff. April 1, 1997; August 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015.

21 NCAC 60 .0316 Change of Address

All licensees shall notify the Board in writing within 30 days of any change of address or business location.

History

• Authority G.S. 87-58
• Eff. July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015.

21 NCAC 60 .0401 Supervision of Staff

History

• Status: repealed
• Authority G.S. 87-54; 150B-11(1)
• Eff. February 1, 1976
• Readopted April 17, 1978
• Amended Eff. February 1, 1981
• Repealed Eff. May 1, 1988.

21 NCAC 60 .0402 Qualifications for Employment

History

• Status: repealed
• Authority G.S. 87-54; 150B-11(1)
• Eff. February 1, 1976
• Readopted April 17, 1978
• Amended Eff. February 1, 1981
• Repealed Eff. May 1, 1988.

21 NCAC 60 .0403 Salary Review Committee

History

• Status: repealed
• Authority G.S. 87-54; 150B-11(1)
• Eff. February 1, 1981
• Amended Eff. October 1, 1984
• Repealed Eff. May 1, 1988.

21 NCAC 60 .0404 Salaries and Fringe Benefits

History

• Status: repealed
• Authority G.S. 87-54; 150B-11(1)
• Eff. February 1, 1981
• Amended Eff. October 1, 1984
• Repealed Eff. May 1, 1988.

21 NCAC 60 .0501 Petition for Rulemaking Hearings

History

• Status: repealed
• Authority G.S. 87-54; 150A-16
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0502 Contents of Petition

History

• Status: repealed
• Authority G.S. 87-54; 150A-16
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0503 Disposition of Petitions

History

• Status: repealed
• Authority G.S. 87-54; 150A-16
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0601 Timing of Notice

History

• Status: repealed
• Authority G.S. 87-54; 150A-12(a)(2); 150A-12(b); 150A-12
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0602 Notice Mailing List

History

• Status: repealed
• Authority G.S. 87-54; 150A-12(a)(2); 150A-12(b); 150A-12
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0603 Additional Information

History

• Status: repealed
• Authority G.S. 87-54; 150A-12(a)(2); 150A-12(b); 150A-12
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0701 Request to Participate

History

• Status: repealed
• Authority G.S. 87-54; 150A-11; 150A-12(a),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0702 Contents of Request: General Time Limitations

History

• Status: repealed
• Authority G.S. 87-54; 150A-11; 150A-12(a),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0703 Receipt of Request: Specification Limits

History

• Status: repealed
• Authority G.S. 87-54; 150A-11; 150A-12(a),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0704 Written Submissions

History

• Status: repealed
• Authority G.S. 87-54; 150A-11; 150A-12(a),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0705 Presiding Officer: Powers and Duties

History

• Status: repealed
• Authority G.S. 87-54; 150A-11; 150A-12(a),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0706 Statement of Reasons for Decision

History

• Status: repealed
• Authority G.S. 87-54; 150A-11; 150A-12(a),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0707 Record of Proceedings

History

• Status: repealed
• Authority G.S. 87-54; 150A-11; 150A-12(a),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0708 Emergency Rules

History

• Status: repealed
• Authority G.S. 87-54; 150A-11; 150A-12(a),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0801 Subjects of Declaratory Rulings

History

• Status: repealed
• Authority G.S. 87-54; 150A-11; 150A-17
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0802 Submission of Request for Ruling

History

• Status: repealed
• Authority G.S. 87-54; 150A-11; 150A-17
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0803 Disposition of Requests

History

• Status: repealed
• Authority G.S. 87-54; 150A-11; 150A-17
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0804 Record of Decision

History

• Status: repealed
• Authority G.S. 87-54; 150A-11; 150A-17
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0805 Definition

History

• Status: repealed
• Authority G.S. 87-54; 150A-11; 150A-17
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0901 Right to Hearing

History

• Status: repealed
• Authority G.S. 87-54; 150A-2(2); 150A-23(a) through 150A-23(d); 150A-32
• 1A-1, Rule 24
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0902 Request for Hearing

History

• Status: repealed
• Authority G.S. 87-54; 150A-2(2); 150A-23(a) through 150A-23(d); 150A-32
• 1A-1, Rule 24
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0903 Granting or Delaying Hearing Requests

History

• Status: repealed
• Authority G.S. 87-54; 150A-2(2); 150A-23(a) through 150A-23(d); 150A-32
• 1A-1, Rule 24
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0904 Notice of Hearing

History

• Status: repealed
• Authority G.S. 87-54; 150A-2(2); 150A-23(a) through 150A-23(d); 150A-32
• 1A-1, Rule 24
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0905 Who Shall Hear Consent Cases

History

• Status: repealed
• Authority G.S. 87-54; 150A-2(2); 150A-23(a) through 150A-23(d); 150A-32
• 1A-1, Rule 24
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0906 Petition for Intervention

History

• Status: repealed
• Authority G.S. 87-54; 150A-2(2); 150A-23(a) through 150A-23(d); 150A-32
• 1A-1, Rule 24
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0907 Types of Intervention

History

• Status: repealed
• Authority G.S. 87-54; 150A-2(2); 150A-23(a) through 150A-23(d); 150A-32
• 1A-1, Rule 24
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .0908 Disqualification of Hearing Officers

History

• Status: repealed
• Authority G.S. 87-54; 150A-2(2); 150A-23(a) through 150A-23(d); 150A-32
• 1A-1, Rule 24
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .1001 Failure to Appear

History

• Status: repealed
• Authority G.S. 87-54; 150A-25(a); 150A-27; 150A-31; 150A-33; 150A-34(a)
• 150A-43
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .1002 Simplification of Issues

History

• Status: repealed
• Authority G.S. 87-54; 150A-25(a); 150A-27; 150A-31; 150A-33; 150A-34(a)
• 150A-43
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .1003 Subpoenas

History

• Status: repealed
• Authority G.S. 87-54; 150A-25(a); 150A-27; 150A-31; 150A-33; 150A-34(a)
• 150A-43
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .1004 Final Decision of Administrative Hearings

History

• Status: repealed
• Authority G.S. 87-54; 150A-25(a); 150A-27; 150A-31; 150A-33; 150A-34(a)
• 150A-43
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .1005 Proposals for Decisions

History

• Status: repealed
• Authority G.S. 87-54; 150A-25(a); 150A-27; 150A-31; 150A-33; 150A-34(a)
• 150A-43
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Repealed Eff. February 1, 1981.

21 NCAC 60 .1101 General

History

• Status: repealed
• Authority G.S. 87-59; 87-63; 150B-11(1)
• Eff. February 1, 1981
• Repealed Eff. April 1, 1989.

21 NCAC 60 .1102 Preferring Charges

(a) Any person who believes that any refrigeration contractor is in violation of the provisions of G.S. 87-59 may prefer charges against such contractor by setting forth the charges in writing with particularity including, but not limited to, the date and place of the alleged violation. Such charges shall be signed and sworn to by the party preferring such charges and filed with the Executive Director of the State Board of Refrigeration Examiners at the office of the Board, Suite 208, 893 Highway 70 West, Garner, North Carolina 27529.

(b) A licensee who prefers charges against a refrigeration contractor shall cooperate with the Board in its investigation of the complaint including the execution of an affidavit covering their knowledge of the facts and circumstances concerning the complaint, if required, and participate in any legal action authorized by the Board if requested by the Board or its representative.

(c) A licensee shall fully cooperate with the Board in connection with any inquiry it shall make. Full cooperation includes responding in a timely manner to all inquiries of the Board or representative of the Board and claiming Board correspondence from the U.S. Postal Service.

History

• Authority G.S. 87-59
• Eff. February 1, 1981
• Amended Eff. August 1, 2004; July 1, 2000; August 1, 1995; December 1, 1993; April 1, 1989; December 1, 1987
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015.

21 NCAC 60 .1103 Preliminary Determination

(a) A charge, filed under Rule .1102 of this Section, shall be referred initially to a review committee.

(b) The review committee shall be made up of the following individuals:

(1) one officer, other than the Chairman, of the State Board of Refrigeration Examiners,

(2) the legal counsel of the Board,

(3) the Executive Director of the State Board of Refrigeration Examiners.

(c) The review committee shall have the authority to determine prior to a full Board hearing whether or not charges filed against a refrigeration contractor are unfounded, frivolous or trivial. The determination of the review committee shall be final in this respect.

(d) Once a charge is referred to the review committee a written notice of said charge shall be forwarded to the licensee against whom the charge is made. Notice of the charge and of the alleged facts and circumstances surrounding the charge shall be given personally or by registered or certified mail, return receipt requested. A response to said charges shall be requested of the licensee so charged and shall be made within twenty days from the date shown on the return mail certificate or date of personal notice.

(e) If the licensee denies the charges brought against him, then in the sole discretion of the review committee, additional investigative personnel may be retained by the Board for the purpose of obtaining evidence relating to such charges. The reasonable expenses of any such additional personnel shall be borne by the Board.

(f) After all preliminary evidence has been received by the review committee it shall make a preliminary determination of the charges filed against the refrigeration contractor. From the evidence it may recommend to the Board that:

(1) the charges be dismissed as unfounded, frivolous, trivial; or

(2) when the charge is admitted by the licensee or the evidence warrants, the Board be presented with the charge for its decision. If the charge is of such gravity as to make the imposition of punitive sanctions likely, the Board may administer one or more of the following penalties if the licensee is found to have violated the provisions of Article 5 of Chapter 87 of the General Statutes;

(A) Reprimand;

(B) Suspension from practice for a period not to exceed 12 months;

(C) Probationary revocation of license upon conditions set by the Board as the case shall warrant with revocation upon failure to comply with the conditions; or

(D) Revocation of license; or

(E) An acceptance of an offer in compromise of the charge, as provided by G.S. 87-59(d).

(3) if the charge is denied and evidence warrants, or if the charge, while admitted, is of such gravity as to make the imposition of punitive sanctions likely, the charge be presented to the Board for its decision on the merits of the charge in accordance with G.S. 150B. In connection with any such reprimand and subsequent order the Board may also provide that in the event the licensee is determined to have violated in the future any of the provisions of G.S. 87, Article 5, the Board may suspend or revoke his license as prescribed by law.

History

• Authority G.S. 87-57; 87-59; 150B-38
• Eff. February 1, 1981
• Amended Eff. November 1, 1995; December 1, 1993; April 1, 1989; May 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015.

21 NCAC 60 .1104 Judicial Review

History

• Status: repealed
• Authority G.S. 87-59; 87-63; 150B-11(1);150B-43
• Eff. February 1, 1981
• Amended Eff. May 1, 1988
• Repealed Eff. April 1, 1989.

Chapter 61 Respiratory Care Board

21 NCAC 61 .0101 purpose

It is the responsibility of the Board to license respiratory care practitioners and to see that the qualifications and activities of those engaged in respiratory care are in accord with law and in the best interest of the public. The Board shall issue and enforce standards for the licensure of respiratory care practitioners but the Board is not a Board of arbitration and has no jurisdiction to settle disputes between private parties.

History

• Authority G.S. 90-652(2)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 61 .0102 Board Office

History

• Status: expired
• Authority G.S. 90-652(2)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Amended Eff. October 1, 2014
• Expired Eff. September 1, 2015 pursuant to G.S. 150B-21.3A.

21 NCAC 61 .0103 Definitions

The definitions of terms contained in G.S. 90-648 shall apply to the rules in this Chapter. In addition, the following definitions shall apply to the rules in this Chapter:

(1) "Assessment" means a clinical evaluation of an individual patient by a Respiratory Care Practitioner (RCP) or other licensed health care provider within their scope of practice to determine the ability and efficacy of a respiratory care procedure, protocol, or treatment, including an assessment of the suitability and efficacy of equipment for an individual patient if equipment is to be used in the procedure or treatment.

(2) "Respiratory care" means the health care discipline that specializes in the promotion of optimum cardiopulmonary function and health and wellness using scientific principles to identify, treat and prevent acute or chronic dysfunction of the cardiopulmonary system, pursuant to G.S. 90-648(11), that is taught in accredited educational programs pursuant to G.S. 90-653(3) or in approved continuing education programs pursuant to the rules of this Chapter within the guidelines established by the American Association for Respiratory Care, which are incorporated by reference including subsequent amendments and editions, pursuant to G.S. 90-648(10)(f). Copies of the guidelines may be found at https://www.aarc.org/resource/clinical-practice-guidelines/ at no cost.

(3) "The practice of respiratory care" means the performance of assessments and diagnostic tests, and implementation of treatment procedures and protocols related to the cardiopulmonary system pursuant to G.S. 90-648(10), and the activities defined by the American Association of Respiratory Care clinical guidelines, incorporated by reference including subsequent amendments and editions, pursuant to G.S. 90-648(10)(f). Copies of the guidelines may be found at https://www.aarc.org/resources/clinical-resources/clinical-practice-guidelines/ at no cost.

(4) "Medical gases" mean those inhaled gases used in the treatment of cardiopulmonary disease.

(5) "Humidity" means adding heat or moisture to an inhaled medical gas.

(6) "Aerosols" mean the suspension of particles dispersed in air or gas to deliver medication or humidity to the airways.

(7) "Pharmacologic agent" means a medication or medical gas delivered during a respiratory care procedure for the treatment of cardiopulmonary disease.

(8) "Hyperbaric oxygen therapy" means inhalation of high concentrations of oxygen at increased levels of atmospheric pressures within a total body chamber for the treatment of cardiopulmonary disorders or wounds.

(9) "Mechanical or physiological ventilatory support" means the provision of an apparatus to support gas exchange associated with cardiopulmonary dysfunction.

(10) "Hemodynamic monitoring" means a procedure required to monitor blood pressure invasively or noninvasively.

(11) "Diagnostic testing" means a procedure for assessing the function of the cardiopulmonary system and diagnosing cardiopulmonary disease or sleep related disorders.

(12) "Therapeutic application" means utilizing evidenced-based protocols, procedures, treatments, or modalities defined in this Chapter to maintain cardiopulmonary health or treat cardiopulmonary disease.

(13) "Active status" means a license issued to an individual after meeting the requirements of G.S. 90-653.

(14) "Inactive status" means an active license declared inactive by the licensee under G.S. 90-658 (g).

(15) "Provisional status" means an active twelve month non-renewable license issued to an individual after meeting the requirements of G.S. 90-656.

(16) "Reciprocity status" means an active license issued to an individual after meeting the requirements of G.S. 90-655.

(17) "Endorsement" means a license issued by the Board recognizing the person named on the certificate as having met the requirements to perform respiratory care procedures pursuant to the rules of this Chapter.

(18) "Entry-level examination" means a standardized outcomes assessment given by the National Board for Respiratory Care, Inc., used to evaluate the knowledge, skills, and abilities of individuals applying for a license.

(19) "Equipment Setup" means the process of preparing, configuring, verifying, connecting, calibrating, positioning, and initiating a respiratory care apparatus for use by a patient, including delivery of the apparatus, its placement, and safe operational readiness, and providing instruction to the patient or caregiver in its correct use or fitting. This term does not mean the independent performance of patient-specific therapeutic selection, evaluation of treatment efficacy, or the formulation of a care plan, which constitutes the practice of respiratory care under G.S. 90-648(10) and 21 NCAC 61 .0103(3).

History

• Authority G.S. 90-652; 90-648(2),(10), and (11); 90-660
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Amended Eff. September 1, 2010; January 1, 2007; March 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. September 1, 2026; July 1, 2018.

21 NCAC 61 .0104 Code of Ethics

(a) The American Association of Respiratory Care (AARC) Code of Ethics are incorporated by reference, including subsequent amendments and editions. A free copy may be obtained from the American Association of Respiratory Care online at www.aarc.org.

History

• Authority G.S. 90-652(3)
• Eff. July 1, 2018.

21 NCAC 61 .0201 Application Process

(a) Each applicant for a respiratory care practitioner license shall complete an electronic application form provided by the Board. This form shall be submitted to the Board using the website licensee portal at www.ncrcb.org and shall be accompanied by:

(1) a photo or scanned digital copy of the applicants state ID, Drivers license, or passport of acceptable quality for identification;

(2) the fees established in Rule .0204 of this Chapter;

(3) evidence, verified by oath, that the applicant completed the minimum requirements of an accredited respiratory care education program in accordance with G.S. 90-653 (a)(3);

(4) evidence, verified by oath, that the applicant completed the requirements for certification in Basic Life Support in accordance with G.S. 90-653 (a)(4);

(5) evidence from the National Board for Respiratory Care (NBRC) that the applicant passed the entry-level examination administered by it; and

(6) The electronic application for licensure shall contain the following information about the applicant:

(A) Full Name including middle name if applicable;

(B) Maiden names, and aliases if applicable;

(C) Race;

(D) Gender;

(E) Birth date;

(F) City, state, and country of birth;

(G) Social security number or taxpayer identification number;

(H) Primary address of residence;

(I) Telephone number;

(J) Email address;

(K) Educational degree earned with the program name, location and completion date;

(L) Work history for the last ten years if applicable;

(M) Professional or occupational licenses held by the applicant with the licensure number and jurisdiction in which the license was issued, if applicable;

(N) NBRC credentials earned, and dates passed;

(O) Disclosure regarding their personal background to include adverse actions taken by any court, other professional boards, or health care organizations in accordance with 21 NCAC 61 .0205 (a)(1)(2)(3)(4) and (5);

(P) Disclosure regarding any complaint or investigation related to their conduct or professional competence in accordance with 21 NCAC 61 .0205 (a)(4); and

(Q) Declaration affirming the accuracy of information submitted on the application including the acknowledgement of the requirements in Article 38 and rules of Chapter 90.

(b) Applicants for initial licensure in North Carolina, who have been inactive and who have not practiced respiratory care for a period of time greater than one year, must complete the following requirements in addition to the requirements in Paragraph (a) of this Rule:

(1) for applicants who have not practiced respiratory care for a period of time greater than one year, but less than five years, the applicant must provide evidence of twelve hours of continuing education, that meet the requirements of 21 NCAC 61 .0401, for each full year of inactivity; and

(2) for applicants who have not practiced respiratory care for a period of time greater than five years, the applicant must provide evidence of either:

(A) sixty hours of continuing education that meet the requirements of 21 NCAC 61 .0401 and evidence from the National Board for Respiratory Care (NBRC) of successful completion of the entry-level examination taken as an assessment examination before issuance of a license; or

(B) completion of a Respiratory Care refresher course approved by the Board.

(c) Upon receipt of a request for licensure pursuant to G.S. 93B-15.1 from a military-trained applicant, the Board shall issue a license to the applicant who satisfies the following conditions:

(1) applies for License to practice respiratory care, as set forth in Rule .0201 of this Section;

(2) submits a license fee in accordance with Rule .0204 of this Section and in accordance with G.S. 93B-15.1;

(3) provides documentation to satisfy conditions set out in G.S. 93B-15.1(a)(1) and (2);

(4) provides documentation that the applicant has not committed any act in any jurisdiction that would constitute grounds for refusal, suspension, or revocation of a license in North Carolina at the time the act was committed; and

(5) is in good standing and has not been disciplined by the agency that had jurisdiction to issue the license, certification, or permit.

(d) Upon receipt of a request for licensure pursuant to G.S. 93B-15.1 from a military spouse, the Board shall issue a license to the applicant who satisfies the following conditions:

(1) applies to practice respiratory care, as set forth in Rule .0201 of this Section;

(2) submits a license fee in accordance with Rule .0201 of this Section and in accordance with G.S. 93B-15.1;

(3) submits written documentation demonstrating that the applicant is married to an active member of the U.S. military;

(4) provides documentation to satisfy conditions set out in G.S. 93B-15.1(b)(1) and (2);

(5) provides documentation that the applicant has not committed any act in any jurisdiction that would constitute grounds for refusal, suspension, or revocation of a license in North Carolina at the time the act was committed; and

(6) is in good standing and has not been disciplined by the agency that had jurisdiction to issue the license, certification, or permit.

History

• Authority G.S. 90-652 (1),(2) and (13); 90-653(a); G.S. 93B-15.1
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Amended Eff. April 1, 2008; November 1, 2004; March 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. September 1, 2026.

21 NCAC 61 .0202 Exemptions

The Board shall exempt the following persons meeting the requirements of G.S. 90-664 from the requirement of obtaining a license. For the purposes of this Rule:

(1) For purposes of interpreting G.S. 90-664(2), direct supervision shall mean that a respiratory care practitioner licensed by the Board is present in the same facility to supervise a respiratory care student at any time while the student is engaged in the practice of respiratory care. The supervising respiratory care practitioner shall be specifically assigned to the particular student, but more than one practitioner may be assigned to a particular student. A respiratory care student shall not engage in the performance of respiratory care activities without direct supervision by a respiratory care practitioner licensed by the Board.

(2) For purposes of interpreting G.S. 90-664(4), support activities shall include instructions on the use, fitting,and application of the apparatus, including demonstrating its mechanical operation for the patient or caregiver, by unlicensed individuals who deliver, set up, and calibrate prescribed respiratory care equipment; but shall not include teaching, administration, or performance of respiratory care. Instructions to the patient or caregiver regarding the clinical use of the equipment and any patient monitoring, patient assessment, or other activities or procedures that are undertaken to assess the clinical effectiveness of an apparatus or to evaluate the effectiveness of the treatment shall be performed by a respiratory care practitioner licensed by the Board or other licensed practitioner operating within their scope of practice.

History

• Authority G.S. 90-648(13); 90-652(2); 90-664
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Readopted Eff. July 1, 2016.

21 NCAC 61 .0203 Interviews

If the Board has questions about the qualifications of an applicant, it may conduct interviews of the applicant, or of others with knowledge of an applicant's qualifications.

History

• Authority G.S. 90-652(2)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 61 .0204 Fees

(a) Fees are as follows:

(1) For an initial application, a fee of fifty dollars ($50.00);

(2) For issuance of an active license, a fee of one hundred fifty dollars ($150.00);

(3) For the renewal of an active license, a fee of seventy-five dollars ($75.00);

(4) For the late renewal of any license, an additional late fee of seventy-five dollars ($75.00);

(5) For a license with a provisional or temporary endorsement, a fee of fifty dollars ($50.00);

(6) For official verification of license status, a fee of twenty dollars ($20.00); and

(7) For approval of continuing education credit, twenty dollars ($20.00) per hour with a maximum of one hundred and fifty dollars ($150.00) per application for providers of continuing education programs applying for Board approval.

(b) Fees shall be nonrefundable and shall be paid in the form of a credit card or debit card, cashier's check, certified check, or money order made payable to the North Carolina Respiratory Care Board. The Board shall also accept personal checks and debit or credit cards for payment of the fees set forth in Subparagraphs (a)(3), (a)(4), and (a)(6) of this Rule.

(c) In the event the Board's authority to expend funds is suspended pursuant to G.S. 93B-2(d), the Board shall continue to issue and renew licenses and all fees tendered shall be placed in an escrow account maintained by the Board for this purpose. Once the Board's authority is restored, the funds shall be moved from the escrow account into the general operating account.

History

• Authority G.S. 90-652(2); 90-652(9); 90-660; 93B-2(d)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Amended Eff. December 1, 2010: March 1, 2008; March 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. September 1, 2026; June 1, 2019.

21 NCAC 61 .0205 Background Investigation

(a) Every applicant for licensure shall submit to the Board a signed release form, completed Fingerprint Record Card, and an applicant information form as required by Rule 21 NCAC 61 .0205(g) of this Chapter to perform a criminal history check by the North Carolina State Bureau of Investigation and the Federal Bureau of Investigation as authorized by G.S. 90-652(1). In all instances the applicant must make full and accurate disclosure of all of the following events:

(1) Any guilty plea or conviction of the applicant, in this State or any other jurisdiction, on any felony or misdemeanor (except for misdemeanor traffic violations);

(2) Any entry of a plea of Nolo Contendre (No Contest), or entry of a Prayer for Judgment continued or similar arrangement, in this State or any other jurisdiction, on a felony or misdemeanor charge against the applicant (except for misdemeanor traffic violations);

(3) Any other arrangement in which a verdict or judgment has been deferred or withheld, in this State or any other jurisdiction, on a felony or misdemeanor charge against the applicant, (except for misdemeanor traffic violations);

(4) Any disciplinary action pending or ever taken against any health care provider license or certificate held by the applicant currently, or in the past, in this State or any other jurisdiction; and

(5) The existence of any civil suit, in this State or any other jurisdiction, which arises out of or is related to the applicant's practice of respiratory care, or any other health care profession.

(b) The applicant shall provide any additional information regarding any event reported as requested by the Board.

(c) Failure to make full and accurate disclosure shall be grounds for immediate application denial, or other disciplinary action pursuant to G.S. 90-659.

(d) The Board shall determine if any conviction is related to the duties and responsibilities of a respiratory care practitioner. The Board shall consider the following factors:

(1) The nature and seriousness of the crime;

(2) The extent to which a license might offer an opportunity to engage in further criminal activity of the same type; and

(3) The relationship of the crime to the ability, capacity, or fitness required to perform the duties and discharge the responsibilities of a respiratory care practitioner.

(e) If the person's criminal activity is related to a history of chemical dependency, the Board shall also consider the person's efforts and success in achieving and maintaining recovery. Applicants with a history of chemical dependency shall demonstrate evidence of treatment or rehabilitation and at least two years of continuous recovery.

(f) An individual whose application is denied or whose license is suspended or revoked may request a hearing under the procedure established in Article 3A of Chapter 150B of the North Carolina General Statutes.

(g) All applicants pursuant to G.S. 90-652 shall sign a release form consenting to the criminal history record check and to the use of the applicant's fingerprints and other identifying information required by the North Carolina State Bureau of Investigation and the Federal Bureau of Investigation and shall provide the following information:

(1) the applicant's full legal name and any other names previously used;

(2) the applicant's sex and race;

(3) the applicant's date of birth, place of birth, and citizenship;

(4) the applicant's height and weight;

(5) the applicant's hair color and eye color;

(6) the applicant's current residential address;

(7) the applicant's Social Security number, if required to conduct the criminal history record check;

(8) a complete set of fingerprints submitted in a format approved by the North Carolina State Bureau of Investigation; and

(9) payment of the required criminal history record check fees.

History

• Authority G.S. 90-652(1)
• Eff. April 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. September 1, 2026.

21 NCAC 61 .0206 reinstatement of A respiratory care license

(a) This Rule establishes the requirements and procedures for reinstatement of a license that was held by a respiratory care practitioner which was revoked or summarily suspended as a result of disciplinary action taken by the Board, or which was surrendered voluntarily by the respiratory care practitioner while being investigated by the Board for a violation of the Respiratory Care Practice Act , of the Board's Rules or its Code of Ethics, or other alleged misconduct by the respiratory care practitioner.

(b) For purposes of this Rule, a "petitioner" is a person seeking reinstatement of a license that was previously revoked, suspended, or surrendered under circumstances involving alleged or proven misconduct. The Board will not consider a petition for reinstatement unless at least a full calendar year has elapsed since the license was revoked, summarily suspended, or surrendered.

(c) Each petitioner for reinstatement shall:

(1) submit a complete notarized petition on a form provided by the Board, attesting under oath or affirmation that information on the petition is true and complete, and authorizing the release to the Board of all information pertaining to the petition;

(2) submit a digital copy of an unexpired state issued driver's license, state identification card, military identification card, or United States passport;

(3) submit documentation of any legal name change, if applicable;

(4) submit a credential verification letter from the National Board for Respiratory Care meeting the requirement of 21 NCAC 61 .0201(5);

(5) submit documentation of continuing education activities completed since the license was revoked, summarily suspended, or surrendered, in accordance with 21 NCAC 61 .0401 (f);

(6) submit a fingerprint card on a form approved by the Board;

(7) submit a signed consent allowing the disclosure of all local, state, and national criminal records for the petitioner;

(8) arrange for submission of three original references from persons with no family or marital relationship to the petitioner. Each of these references shall:

(A) be submitted from a respiratory care practitioner who has observed the petitioner's work in a clinical environment;

(B) be submitted on forms supplied by the Board, with all required and pertinent fields completed;

(C) be dated no more than three months prior to the date of submission of the petition for reinstatement; and

(D) be submitted directly to the Board from the source and bear an original notarized signature of the author;

(9) pay to the Board a non-refundable fee pursuant to G.S. 90-660 (b)(1) and (3), and 21 NCAC 61 .0204 (a)(1) and (2), and pay the cost of a criminal background check pursuant to G.S. 90-652(1); and

(10) upon request, provide any additional information the Board deems necessary to evaluate the petitioner's qualifications.

(d) The petitioner shall appear in person for an interview with the Board or its designee to evaluate the petitioner's competence and character in person.

(e) Upon the completion of all the requirements stated in Paragraphs (c) and (d) of this Rule, the Board will decide whether to reinstate a license, and whether any conditions or limitations should be imposed on a reinstated license, by considering the following factors:

(1) The gravity of the misconduct that caused the summary suspension or revocation, or which preceded the surrender of the license, including any related criminal history, consistent with the factors set forth in G.S. 93B-8.1 (b1)(1), (2), (3)(4), (5), (6), (7), and (8);

(2) Other aspects of the petitioner's conduct prior to the summary suspension or revocation including the petitioner's compliance with the Respiratory Care Practice Act, with the Board's Rules and Code of Ethics, the petitioner's prior compliance with any Consent Orders or other requirements issued by the Board, and the petitioner's compliance with professional standards adopted by other regulatory boards or organizations which are pertinent to the petitioner's conduct prior to the summary suspension, revocation, or surrender of the license;

(3) the petitioner's current ability to practice respiratory care with the necessary skill, competence, and safety to the public, based upon the petitioner's conduct, work experience, and recent continuing education;

(4) Any pertinent aspects of the petitioner's conduct since the summary suspension, revocation, or surrender of the license, including any criminal history, consistent with the factors set forth in G.S. 93B-8.1 (b1)(1), (2), (3)(4), (5), (6), (7), and (8);

(f) If the Board decides to reinstate a license under this Rule, the Board may:

(1) require the petitioner to complete additional continuing education before the reinstatement is effective, and to complete additional continuing education within a defined time period after reinstatement as a condition of maintaining the reinstated license;

(2) attach scope of practice limitations, or supervisory requirements to the reinstated license; and

(3) attach other probationary conditions to the reinstated license, including substance abuse testing.

(g) If the Board grants reinstatement, the petitioner must then complete and submit a licensure application in accordance with 21 NCAC 61 .0201.

(h) If the petitioner fails to complete a submitted application pursuant to G.S. 90-653 and 21 NCAC 61 .0201 within one year of submission, the petitioner also shall be charged for the cost of an additional criminal background check.

History

• Authority G.S. 90-652 (1), G.S. 90-652 (2) and G.S. 90-652 (13); 90-653(a); 90-659(a) 90-659 (b)
• Eff. January 1, 2026.

21 NCAC 61 .0301 LICENSE NUMBER: DISPLAY OF lICENSE

(a) Each license issued by the Board shall be valid for a period of one year, except as otherwise provided in G.S. 90-654 and G.S. 93B-15.1.

(b) Each individual who is issued a license shall be issued a license number that shall be displayed on the Board's website located at https://ncrcb.org/licensee-look-up/. Should a license number be retired for any reason, such as death, failure to renew the license, or any other reason, that number shall not be reissued. A web-based license verification displaying the status, credentials, degree level, dates for registration, renewal, and expiration shall be accessible by the licensee in their principal place of business so as to be available for inspection in a printed or electronic format.

(c) In accordance with the provisions of G.S. 90-640, whenever a licensee is providing respiratory care to a patient, the licensee shall wear identification that displays, in readily visible type, the licensee's name and the designation Respiratory Care Practitioner by using the acronym, "RCP". Provisional license holders shall wear identification that displays, in readily visible type, the licensee's name and the designation "RCP-Provisional." A licensee shall ensure any person working under his or her supervision who is exempted by G.S. 90-664(2) and (4) is properly identified by wearing identification that designates the person's affiliation and position in readily visible type.

(d) Exceptions to Paragraph (c) of this Rule include:

(1) The respiratory care practitioner or respiratory care student is not required to wear a readily visible badge or other form of identification in the following direct patient care situations:

(A) procedures requiring full sterile dress; or

(B) procedures requiring other protective clothing or covering.

(2) Identification of the respiratory care practitioner or respiratory care student may be limited to first name only and level of licensure or listing status when the full name identification may:

(A) place the personal safety of the respiratory care practitioner or respiratory care student in jeopardy; or

(B) interfere with the therapeutic relationship between the respiratory care practitioner or respiratory care student and patient(s).

(3) In all other situations involving the direct provision of health care to clients, the respiratory care practitioner or respiratory care student shall wear or display a readily visible form of identification to include:

(A) the individual's first and last name; and

(B) the license, approval to practice title or listing title as required by law, or standard abbreviations for such title.

History

• Authority G.S. 90-652(2),(4); 90-658(b); 90-640(d)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Amended Eff. April 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. September 1, 2026; July 1, 2018.

21 NCAC 61 .0302 License Renewal

(a) Any licensee desiring the renewal of a license shall apply for renewal and shall submit the fee established in this Chapter.

(b) Any person whose license is lapsed or expired and who engages in the practice of respiratory care as defined in G.S. 90-648(10) is subject to the penalties prescribed in G.S. 90-659.

(c) Each applicant for renewal shall provide proof of completion of continuing education requirements as established in this Chapter.

(d) The licensee shall maintain current respiratory care credentials as issued by the National Board for Respiratory Care and shall provide proof of the credentials to the Board upon renewal and upon request.

(e) Each applicant for renewal shall provide a copy of current certification in Basic Life Support (BLS) which includes Adult, Child and Infant Cardiopulmonary Resuscitation (CPR); the Heimlich Maneuver; and Automatic External Defibrillator (AED) use by the American Heart Association, the American Red Cross or the American Safety and Health Institute. The board shall accept a copy of the applicant's BLS Instructor certificate or Advanced Cardiac Life Support (ACLS) certificate in lieu of the BLS certificate.

(f) Licenses lapsed in excess of 24 months shall not be renewable. Persons whose licenses have been lapsed in excess of 24 months and who desire to be licensed shall apply for a new license and shall meet all the requirements then existing.

(g) Members of the armed forces whose licenses are in good standing and to whom G.S. 105-249.2 grants an extension of time to file a tax return are granted that same extension of time to pay the license renewal fee and to complete the continuing education requirements prescribed in 21 NCAC 61 .0401. A copy of military orders or the extension approval by the Internal Revenue Service must be furnished to the Board. If approved, continuing education credits acquired during this extended time period shall not be utilized for future renewal purposes, but may be used for the current renewal.

History

• Authority G.S. 90-652(1),(2),(4) and (13)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Amended Eff. June 1, 2011, September 1, 2010; November 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 61 .0303 License with Provisional Endorsement

An applicant for a provisional license must have completed the educational requirements set out in G.S. 90-563(a)(3) and must have made application to take the certification exam administered by the NBRC and must have filed his application with the Board in accordance with G.S. 90-656 and the rules in this Chapter. The supervising licensed respiratory care practitioner shall be in the same facility and readily available for supervision of and consultation with the provisional licensee at all times the provisional licensee is engaging in the practice of respiratory care.

History

• Authority G.S 90-652(2),(4); 90-656
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Amended Eff. March 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 61 .0304 License with Temporary Endorsement

History

• Status: expired
• Authority G.S 90-652(1),(2),(4); 90-654
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Amended Eff. March 1, 2004
• Expired Eff. September 1, 2015 pursuant to G.S. 150B-21.3A.

21 NCAC 61 .0305 inactive status

(a) A licensee who wishes to retain a license but who will not be practicing respiratory care may obtain inactive status by indicating this intention on the annual renewal and payment of a fee of twenty dollars ($20.00). An individual licensed on inactive status may not practice respiratory care during the period in which he or she remains on inactive status.

(b) An individual licensed on inactive status may convert his or her license to active status by submission of a renewal application and payment of the renewal fee and late fee. The renewal application must contain evidence of the completion of a minimum of 12 hours of continuing education that meets the requirements of 21 NCAC 61 .0401 for each full year of inactivity.

(c) In no case may an individual remain on inactive status for more than 60 months.

History

• Authority G.S. 90-652(1),(2),(4)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Amended Eff. March 1, 2008; June 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 61 .0306 License by Reciprocity

When the Board determines that a license, certificate or registration issued by another state, political territory, or jurisdiction to a respiratory care practitioner was issued upon satisfaction of substantially the same requirements for licensure required by the North Carolina Respiratory Care Practice Act, the Board may issue a license to that respiratory care practitioner upon receipt of the online application in accordance with 21 NCAC 61 .0201 and the fees in accordance with 21 NCAC 61 .0204 if that issued license has been active for at least one year. A license issued under this rule is exempt from the requirements of 21 NCAC 61 .0401 provided the individual remains licensed in their home state of record.

History

• Authority G.S. 90-652(1),(2),(4); 90-655
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. September 1, 2026.

21 NCAC 61 .0307 Grounds for License Denial or Discipline

The following behaviors and conduct that shall constitute unprofessional conduct by persons licensed pursuant to G.S. 90-647 and shall be grounds for license denial or disciplinary action by the Board pursuant to G.S. 90-659(a) and (b), G.S. 90-652(4);

(1) failing to meet minimum licensure requirements set by Article 38 of G.S. 90 or rules of this Chapter;

(2) attempting to obtain or renew a license as provided by this Chapter by bribery, by fraudulent misrepresentation, or by knowingly perpetuating an error of the Board;

(3) violating a rule adopted by the Board or of a lawful order of the Board, including violations of the Code of Ethics pursuant to 21 NCAC 61 .0104;

(4) engaging in the delivery of respiratory care with a revoked, suspended, or inactive license;

(5) failing to perform a statutory or legal obligation placed upon a respiratory care practitioner licensed pursuant to this Chapter;

(6) failing to make the disclosures required by 21 NCAC 61 .0308;

(7) permitting, aiding, assisting, procuring, or advising a person to violate a rule of the Board or provision of the Respiratory Care Practice Act, including engaging in the practice of respiratory care without a license;

(8) having licensure, certification, registration, or other authority, by whatever name known, to deliver respiratory care revoked, suspended, or otherwise acted against, including the denial of licensure, certification, registration, or other authority to deliver respiratory care by the licensing authority of another state, territory, or country;

(9) willfully failing to report a violation of these Rules;

(10) engaging in unprofessional conduct related to the delivery of respiratory care, including an act or practice that is hazardous to public health, safety, or welfare;

(11) performing professional services that have not been duly ordered by a physician licensed pursuant to G.S. 90, Article 1 and that are not in accordance with protocols established by the hospital, other health care provider, or the Board;

(12) accepting and performing professional responsibilities that the licensee knows, or has reason to know, he or she is not competent to perform;

(13) delegating professional responsibilities to a person if the licensee delegating such responsibilities knows, or has reason to know, that such person is not qualified by training, experience, or licensure to perform;

(14) being unable to deliver respiratory care services with reasonable skill and safety to patients by reason of incapacitating illness or use of alcohol, drugs, narcotics, chemicals, or other material;

(15) failing to create and maintain respiratory care records documenting the assessment and treatment provided to each patient;

(16) discontinuing professional services unless services have been completed, the client requests the discontinuation, alternative or replacement services are arranged, or the client is given reasonable opportunity to arrange alternative or replacement services;

(17) engaging or attempting to engage a patient in a sexual relationship;

(18) promoting or selling services, goods, appliances, or drugs that are not medically indicated or necessary to a patient;

(19) making deceptive, untrue, or fraudulent representations in the delivery of respiratory care;

(20) intentionally communicating deceptive information to a patient;

(21) paying or receiving any commission, bonus, kickback, or rebate to or from, or engaging in any fee-splitting arrangement in any form whatsoever with, a person, organization, or agency, either directly or indirectly, for goods or services rendered to patients referred by or to providers of health care goods and services, including hospitals, nursing homes, clinical laboratories, ambulatory surgical centers, and pharmacies. The provisions of this paragraph shall not be construed to prevent the licensee from receiving a fee for professional consultation services;

(22) soliciting patients, either personally or through an agent, through by means of intimidation or undue influence;

(23) willfully making or filing a false report or record or willfully impeding or obstructing such filing or inducing another person to do so. Such reports or records shall include only those reports or records that require the signature of a licensee;

(24) being convicted or found guilty of, or entering a plea of nolo contendere to, regardless of adjudication, a crime in any jurisdiction that relates to a licensee's competence or ability to provide respiratory care; or

(25) failing to comply with a court order for child support or failing to comply with a subpoena issued pursuant to child support or paternity establishment proceedings as defined in G.S. 110-142.1. In revoking or reinstating a license under this provision, the Board shall follow the procedures outlined in G.S. 93B-13.

History

• Authority G.S. 90-652(2),(4); 90-647; 90-659(a),(b); 90-652(1),(2),(4); 150B-3
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. July 1, 2018.

21 NCAC 61 .0308 Continuing Duty to Report

(a) All licensed respiratory care practitioners and provisional licensees are under a continuing duty to make a full and accurate disclosure of all of the following events to the Board:

(1) Any guilty plea or conviction of the applicant in this State or in any other jurisdiction, on any felony or misdemeanor (except for misdemeanor traffic violations);

(2) Any entry of a plea of Nolo Contendre (No Contest), or entry of a Prayer for Judgment continued, or similar arrangement, in this State or in any other jurisdiction, on a felony or misdemeanor charge against the applicant, (except for misdemeanor traffic violations);

(3) Any other arrangement in which a verdict or judgment has been deferred or withheld, in this State or in any other jurisdiction, on a felony or misdemeanor charge against the applicant (except for misdemeanor traffic violations);

(4) Any disciplinary action pending or ever taken against any health care provider license or certificate held by the applicant currently, or in the past, in this State or in any other jurisdiction; and

(5) The existence of any civil suit, in this State or in any other jurisdiction, which arises out of or is related to the applicant's practice of respiratory care, or any other health care profession.

(b) All supervising respiratory care practitioners are under a continuing duty to report to the Board any and all:

(1) terminations of any respiratory care practitioner for violations of the North Carolina Respiratory Care Practice Act or Board rules; and

(2) violations of the practice act or Board rules by any respiratory care practitioner under his or her supervision.

(c) The reports required by this Rule must be made within 15 calendar days of the occurrence of an event triggering the duty to disclose, but a failure to make a report within 15 calendar days does not bar the Board from investigating or taking action on the matter when it is reported.

History

• Authority G.S. 90-652(2); 90-652(5); G.S. 90-659 (a)(2); and G.S. 90-647
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Amended Eff. September 1, 2010; July 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. September 1, 2026.

21 NCAC 61 .0309 Schedule of Civil Penalties

(a) The rules in this Subchapter establish the schedule of civil penalties set out in G.S. 90-666(a). The amounts stated are the presumptive amounts that may be modified in the discretion of the Board based upon factors set forth in G.S. 90-666(b).

(b) The presumptive civil penalty for the following violations is: 1st offense fifty dollars ($50.00) (Warning), 2nd offense one hundred dollars ($100.00), 3rd offense two hundred fifty dollars ($250.00). Those violations that are first offense correctable are identified with the word "warning" appended to them. If the offense is not corrected within the 30 day time allotted, the presumptive civil penalty in parenthesis shall apply.

(1) Failure to display an individual license upon request.

(2) Failure to notify the Board in writing of each change of name, including any change in the name under which the licensee is providing respiratory care, or any change in the licensee's residence or business address, including mailing address, within 30 days of such change.

(c) The presumptive civil penalty for the following violations is: 1st offense one hundred dollars ($100.00), 2nd offense two hundred fifty dollars ($250.00), 3rd offense five hundred dollars ($500.00).

(1) Knowingly perpetuating an error of the Board.

(2) Accepting and performing professional responsibilities which the licensee knows, or has reason to know, he/she is not competent to perform or delegating professional responsibilities to a person when the licensee delegating such responsibilities knows, or has reason to know, that such person is not qualified by training, experience, or licensure to perform.

(3) Failing to create and maintain respiratory care records documenting the assessment and treatment provided to each patient.

(4) Using the title "Respiratory Care Practitioner", the letters "RCP, RTT, RT" or any facsimile or combination in any words, letters, abbreviations, or insignia or implying orally or in writing or indicating in any way that the person is a Respiratory Care Practitioner unless licensed by the Board.

(d) The presumptive civil penalty for the following violations is: 1st offense two hundred fifty dollars ($250.00), 2nd offense five hundred dollars ($500.00), 3rd offense one thousand dollars ($1000.00).

(1) Practicing respiratory care without a license.

(2) Allowing unlicensed individuals under the person's supervision to practice respiratory care. Employ or solicit for employment unlicensed persons to practice respiratory care.

(3) Altering a license, permit or authorization issued by the Board.

(4) Procuring, attempting to procure, or renewing a license as provided by this part by bribery, by fraudulent misrepresentation.

(5) Engaging in the delivery of respiratory care with a revoked, suspended, or inactive license.

(6) Performing services which the practitioner is not licensed to perform or performing professional services which have not been duly ordered by a physician licensed pursuant to G.S. 90, Article 1 and which are not in accordance with protocols established by the hospital, other health care provider, or the Board.

(7) Failing to properly make the disclosures required by 21 NCAC 61 .0308.

(8) Engaging in any act or practice that is hazardous to public health, safety or welfare.

(9) Committing an act of malpractice, gross negligence, or incompetence in the practice of respiratory care.

(10) Discontinuing professional services unless services have been completed, the client requests the discontinuation, alternative or replacement services are arranged, or the client is given reasonable opportunity to arrange alternative or replacement services.

(11) Circulating false, misleading, or deceptive advertising.

(12) Willfully making or filing a false report or record, or willfully failing to file a report or record required by state or federal law, or willfully impeding or obstructing such filing or inducing another person to do so. Such reports or records include only those reports or records which require the signature of a respiratory care practitioner.

(13) Filing a false continuing education documentation report or record.

(14) Violating a lawful order of the board or aiding, abetting or assisting any person in a violation of a lawful order of the Board.

(e) The presumptive civil penalty for the following violations is: 1st offense one thousand dollars ($1000.00), 2nd offense one thousand dollars ($1000.00), 3rd offense one thousand dollars ($1000.00).

(1) Exercising influence on the patient for the financial gain of the licensee or a third party by promoting or selling services, goods, appliances, or drugs that are not medically indicated or necessary.

(2) Making deceptive, untrue, or fraudulent representations in the delivery of respiratory care or employing a trick or scheme in the delivery of respiratory care.

(3) Paying or receiving any commission or bonus, or any kickback, or rebate to or from, or engaging in any fee-splitting arrangement in any form whatsoever with, a person, organization, or agency, either directly or indirectly, for goods or services rendered to patients referred by or to providers of health care goods and services, including hospitals, nursing homes, clinical laboratories, ambulatory surgical centers, or pharmacies.

(4) Soliciting patients, either personally or through an agent, through the use of fraud, deception, or otherwise misleading statements or through the exercise of intimidation.

(5) Exercising influence within a respiratory care relationship for the purpose of engaging a patient in sexual activity. A patient is presumed to be incapable of giving free, full, and informed consent to sexual activity with the patient's respiratory care practitioner.

History

• Authority G.S. 90-666
• Eff. April 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 61 .0310 Civil Penalty Procedures

(a) Citations. The Board, through its duly authorized representatives, shall issue a citation with respect to any violation for which a civil penalty may be assessed. Each citation shall be in writing and shall describe the nature of the violation, including a reference to the specific provision alleged to have been violated. The civil penalty, if any, shall attach at the time the citation is written. The citation shall include an order to correct any condition or violation which lends itself to corrections, as determined by the Board.

(b) Correction of Violation. Any licensee who has been issued a warning citation must present written proof satisfactory to the Board, or its executive director, that the violation has been corrected. This provision applies only to a licensee's first violation in any one year period for a violation with a first offense warning penalty. Proof of correction shall be presented to the Board, through its executive director, within 30 days of the date the warning citation was issued. The Board may extend for a reasonable period, the time within which to correct the warning citation in case of an illness or hospitalization or other exigent circumstances. Notices of correction filed after the prescribed date shall not be acceptable and the civil penalty shall be paid.

(c) Contested Case. Persons to whom a notice of violation or a citation is issued and a civil penalty assessed, may contest the civil penalty by filing written notice with the Board within 60 days of the receipt of the notice of violation or citation. The Board shall institute a contested case by sending a notice of hearing pursuant to G.S. 150B, Article 3A. The Board shall conduct a contested case hearing pursuant to G.S. 150B, Article 3A. The licensee's filing written notice with the Board shall stay the civil penalty until the Board renders a final agency decision in the contested case.

(d) Final Agency Decision. The Board, after the hearing has been concluded, may affirm, reduce, or dismiss the charges filed in the notice of hearing or any penalties assessed. In no event shall the civil penalty be increased.

(e) Cost of disciplinary action(s).The Board shall assess the costs of disciplinary actions against a person found to be in violation of the Respiratory Care Practice Act or rules adopted by the Board.

(f) Failure to File. If no written notice contesting the civil penalty is filed as set forth in Paragraph (c) of this Rule, the civil penalty becomes a final agency decision.

History

• Authority G.S. 90-666
• Eff. March 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 61 .0401 Continuing Education Requirements

(a) Upon application for license renewal, a licensee shall attest to having completed one or more of the following learning activity options during the preceding renewal cycle and be prepared to submit evidence of completion if requested by the Board in accordance with Rule 21 NCAC 61 .0402:

(1) The licensee shall complete twelve credit hours to include a minimum of six hours of traditional and a maximum of six non-traditional Category I Continuing Education (CE) activities related to the licensee's practice of respiratory care or complete the requirements in Paragraph (b) of this rule during any renewal cycle:

(A) Traditional Continuing Education – an organized learning experience presented before an audience either in person or through synchronous virtual workshops, panels, seminars, lectures, or symposiums that provide for direct interaction between the speakers and the participants; and

(B) Non-Traditional Continuing Education - an organized learning experience provided by any print medium or presented through the internet or other electronic asynchronous formats.

(2) All continuing education courses shall:

(A) Be approved by the Board, the American Association for Respiratory Care (AARC), the Accreditation Council for Continuing Medical Education (ACCME), or organizations accredited by the ACCME;

(B) Include relevant subject matter and course materials that are scientifically accurate, relevant, and professionally appropriate;

(C) Contribute to the advancement, extension, and enhancement of professional clinical skills, scientific knowledge in the practice of respiratory care, and provide experiences;

(D) Advance, extend, or enhance clinical skills and scientific knowledge related to the practice of respiratory care; and

(E) Be developed and presented by persons with education and experience in the subject matter of the program.

(b) The completion of any of the following activities satisfies all twelve continuing education credits established in Paragraph (a) of this Rule provided the licensee provides evidence of successful completion when requested by the Board in accordance with Rule 21 NCAC 61 .0402:

(1) Achieving a passing score on any examination administered by the National Board for Respiratory Care (NBRC), including passing the:

(A) Therapist Multiple-Choice Examination at the high cut score;

(B) Neonatal/Pediatric Respiratory Care Specialty Examination (NPS);

(C) Certification Examination for Entry Level Pulmonary Function Technologists (CPFT);

(D) Registry Examination for Advanced Pulmonary Function Technologist (RPFT) exam;

(E) Sleep Disorders Specialty (SDS) Examination;

(F) Adult Critical Care Specialty (ACCS) Examination;

(G) Asthma Educators Certification Examination (AE-C); and

(H) Advanced Practice Respiratory Therapist Outcome Assessment Examination.

(2) Achieving a passing score on the Registry Examination for Polysomnographic Technologist (RPSGT), administered by the Board of Registered Polysomnographic Technologists (BRPT);

(3) Completing a Respiratory Care refresher course approved by the Board;

(4) Completing a three semester hour course from an accredited post-licensure respiratory care program leading to a baccalaureate, masters or doctorate degree in Respiratory Care, Cardiopulmonary Science, or Advance Practice Respiratory Therapy;

(5) Presenting a Respiratory Care Research study at a continuing education conference; or

(6) Authoring a published Respiratory Care book or Respiratory Care article published in a medical peer review journal.

(c) The following activities may be used to satisfy the continuing education requirements in Paragraph (a) of this Rule, provided the licensee submits documentation of completion upon request by the Board, in accordance with Rule 21 NCAC 61 .0402:

(1) Professional Certifications-completion or renewal of the following certifications shall be awarded five of the six direct continuing education hours when provided in accordance with Paragraph (a) of this rule per renewal period. No more than five total hours may be credited per renewal period under this Subparagraph:

(A) Advanced Cardiac Life Support (ACLS) by the American Heart Association;

(B) Pediatric Advanced Life Support (PALS) by the American Heart Association; and

(C) Neonatal Resuscitation Program (NRP) by the American Academy of Pediatrics.

(2) Clinical Precepting-a licensee who serves as a clinical preceptor for respiratory therapy students in a clinical setting may receive up to three direct interaction credit hours per renewal period.

(3) NBRC Credential Assessments- quarterly assessments through the NBRC credential maintenance program that earn a maximum of six non-traditional credit hours for each renewal cycle for any credential held by a licensee.

(d) A license issued under 21 NCAC 61 .0306 is exempt from this Rule provided they maintain an active license in their home state of record.

History

• Authority G.S. 90-652(2)(13); 90-658; 90-660(b)(9); 90-655
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Amended Eff. January 1, 2015; September 1, 2010; July 1, 2007; April 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. September 1, 2026.

21 NCAC 61 .0402 documentation and audit Requirements

(a) A licensee shall retain supporting documentation to provide proof of completion of the option chosen in 21 NCAC 61 .0401 for a period of no less than three years.

(1) A licensee shall maintain a file at his or her practice facility that contains a copy of the Respiratory Care Practitioner license, a copy of a current Basic Cardiac Life Support (BCLS) certification, a copy of advanced life support certifications, if applicable, and a copy of all credentials issued by the National Board for Respiratory Care;

(2) A licensee is subject to random audit for proof of compliance with the Board's requirements for continuing education;

(3) The Board shall inform licensees of their selection for audit upon notice of license renewal or request for reinstatement;

(4) Evidence of completion of the requirements of 21 NCAC 61 .0401 shall be submitted to the Board no later than 30 calendar days after receipt of the audit notice; and

(5) Failure of a licensee to meet the requirements of this Rule shall result in disciplinary action pursuant to G.S. 90-666, including an additional audit prior to renewal.

(b) The Board authorizes the Executive Director to grant extensions of the continuing education requirement due to personal circumstances. The Board shall require documentation of the following circumstances surrounding the licensee's request for extension:

(1) Having served in the regular armed services of the United States for at least six months of the 12 months immediately preceding the license renewal date; or

(2) Having suffered a serious or disabling illness or physical disability that prevented completion of the required number of continuing education hours during the 12 months preceding the license renewal date.

History

• Authority G.S. 90-652(2)(13); 90-658; 90-660(b)(9)
• Adopted September 1, 2026.

21 NCAC 61 .0501 Change of Address or Business Name

(a) In the event of a change in a licensee's home or work address, email address, or telephone number, the licensee shall submit the change online using the Board's website located at www.ncrcb.org within 30 calendar days of the change and submit the evidence outlined 21 NCAC 61 .0501(d) of this Rule;

(b) In the event of a name change, the licensee shall submit a request using their online licensee account located at www.ncrcb.org and provide two forms of documentation for the name change outlined in Paragraphs (c) and (d) of this Rule.

(c) A licensee shall provide one of the following documents:

(1) marriage certificate;

(2) social security card;

(3) divorce decree;

(4) a court-issued name change document; or

(5) immigration document.

(d) A licensee shall provide one of the following documents that reflects the legal name change:

(1) passport;

(2) visa;

(3) state-issued identification; or

(4) driver's license.

(e) In the event of a name change, the licensee shall update their name on their National Board for Respiratory Care credentials within 30 calendar days to reflect the name change established under this Rule.

History

• Authority G.S. 90-652(2); G.S. 150B-3; and G.S. 150B-38
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. September 1, 2026.

21 NCAC 61 .0502 Advertising

A licensee may not advertise under a name that is different from the licensee's surname unless written notice has been filed with the Board. For all advertisements relating to respiratory care, the company or respiratory care practitioner sponsoring any advertisement must be able to furnish on request the name and license number of each respiratory care practitioner who will be providing services. Failure by a sponsoring respiratory care practitioner to provide this information shall constitute unprofessional conduct under 21 NCAC 61 .0307. The Board shall report any failure of a company to provide this information to any agency or board that issues a license for its operation as a health care provider.

History

• Authority G.S. 90-652(2)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 61 .0601 Petitions for Adoption, Amendment or Repeal of Rules

(a) General. The procedure for petitioning the Board to adopt, amend, or repeal a rule is governed by G.S. 150B-20.

(b) Submission. Rule-making petitions shall be sent to the Board. No special form is required, but the petitioner shall state his name and address. There are no minimum mandatory contents of a petition, but the Board considers the following information to be pertinent:

(1) a draft of any proposed rule or amendment to a rule;

(2) the reason for the proposal;

(3) the effect of the proposal on existing rules or decisions;

(4) data supporting the proposed rule change;

(5) practices likely to be affected by the proposed rule change;

(6) persons likely to be affected by the proposed rule change.

(c) Disposition. The Board shall render its decision to either deny the petition or initiate rulemaking, and shall notify the petitioner of its decision in writing, within the 120-day period set by G.S. 150B-20.

History

• Authority G.S. 90-652(2)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 61 .0602 Procedure for Adoption of Rules

(a) General. The procedure for the adoption, amendment or repeal of a rule is governed by G.S. 150B, Article 2A.

(b) Notice of Rule-Making. In addition to the mandatory publication of notice in the North Carolina Register, the Board, in its discretion, may also publish notice to licensees through its newsletter or by separate mailing. Any person who wishes to receive individual notice shall file a written request with the Board and shall be responsible for the cost of mailing said notice.

(c) Public Hearing. Any public rule-making hearing required by G.S. 150B, Article 2A shall be conducted by the Chairman of the Board or by any person he may designate. The presiding officer shall have complete control of the hearing and shall conduct the hearing so as to provide a reasonable opportunity for any interested person to present views, data and comments.

(1) Oral presentations shall not exceed 15 minutes unless the presiding officer, in his discretion, prescribes a greater time limit.

(2) Written presentations shall be acknowledged by the presiding officer and shall be given the same consideration as oral presentations.

History

• Authority G.S. 90-652(2)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 61 .0603 Temporary Rules

History

• Status: expired
• Authority G.S. 90-652(2)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Expired Eff. September 1, 2015 pursuant to G.S. 150B-21.3A.

21 NCAC 61 .0604 Declaratory Rulings

(a) General. The issuance of declaratory rulings by the Board is governed by G.S. 150B-4.

(b) Contents of Request. A request for a declaratory ruling shall be in writing and addressed to the Board. The request shall contain the following information:

(1) The name and address of the person making the request;

(2) The statute or rule to which the request relates;

(3) A concise statement of the manner in which the person has been aggrieved by the statute or rule; and

(4) A statement as to whether a hearing is desired, and if desired, the reason therefor.

(c) Refusal to Issue Ruling. The Board shall ordinarily refuse to issue a declaratory ruling under the following circumstances:

(1) When the Board has already made a controlling decision on substantially similar facts in a contested case or when the matter at issue is properly the subject of a contested case;

(2) When the facts underlying the request for a ruling on a rule were specifically considered at the time of the adoption of the rule in question; and

(3) When the subject matter of the request is involved in pending litigation in North Carolina.

History

• Authority G.S. 90-652(1),(2)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 61 .0701 Applicable Hearing Rules

When the Board elects to have the Office of Administrative Hearings hear a contested case, the rules of the Office of Administrative Hearings governing contested cases, as set forth in 26 NCAC 03, shall apply.

History

• Authority G.S. 90-652(2),(5),(8)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. September 1, 2026.

21 NCAC 61 .0702 Right to Hearing

When the Board acts or proposes to act, other than in rule-making or declaratory ruling proceedings, in a manner which will affect the rights, duties, or privileges of a specific, identifiable licensee or applicant for a license, such person has the right to an administrative hearing. When the Board proposes to act in such a manner, it shall give any such affected person notice of the right to a hearing by mailing to the person, by certified mail at the person's last known address, a notice of the proposed action and a notice of a right to a hearing.

History

• Authority G.S. 90-652(2),(5),(8)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 61 .0703 Request for Hearing

(a) An individual who believes that individual's rights, duties, or privileges have been affected by the Board's administrative action, and who has not received notice of a right to an administrative hearing, may file a formal request for a hearing.

(b) Before an individual may file a request, that individual is encouraged to exhaust all reasonable efforts to resolve the issue informally with the Board. Upon the request of an individual, the Board may designate one or more of its members, but in all cases less than a majority of the currently serving members of the Board, to meet informally with the individual, and attempt to reach an informal resolution of all matters at issue. Each Board member who is designated to serve in this capacity with regard to an individual's matter, whether the Board member actually meets with the individual or not, shall be disqualified from hearing any contested case when the matter designated for informal resolution is any part of the subject matter of the contested case.

(c) Subsequent to such informal action, if still dissatisfied, the individual may submit a request to the Board's office, with the request bearing the notation: "REQUEST FOR ADMINISTRATIVE HEARING". The request shall contain the following information:

(1) name and address of the petitioner;

(2) a concise statement of the action taken by the Board which is challenged;

(3) a concise statement of the way in which the petitioner has been aggrieved; and

(4) clear and specific statement of request for a hearing.

(d) The request shall be acknowledged promptly and, if deemed appropriate by the Board in accordance with 21 NCAC 61 .0704, a hearing will be scheduled.

History

• Authority G.S. 90-652(2),(5),(8)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 61 .0704 Granting or Denying Hearing Request

(a) The Board shall grant a request for a hearing if it determines that the party requesting the hearing is a "person aggrieved" within the meaning of G.S. 150B-2(6). Whenever the Board proposes to deny, suspend, or revoke a license, or issue a letter of reprimand to a licensee, the licensee shall be deemed to be a person aggrieved.

(b) The denial of a request for a hearing shall be issued immediately upon decision, and in no case later than 60 days after the submission of the reasons leading the Board to deny the request.

(c) Approval of a request for a hearing shall be signified by issuing a notice as required by G.S. 150B-38(b) and explained in Rule .0705 of this Section.

History

• Authority G.S. 90-652(2),(5),(8)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 61 .0705 Notice of Hearing

(a) The Board shall give the party or parties in a contested case a notice of hearing not less than 15 days before the hearing. Said notice shall contain the following information, in addition to the items specified in G.S. 150B-38(b):

(1) the name, position, address, and telephone number of a person at the offices of the Board to contact for further information or discussion;

(2) the date, time and place for a pre-hearing conference, if any; and

(3) any other information deemed relevant to informing the parties as to the procedure of the hearing.

(b) If the Board determines that the public health, safety or welfare requires such action, it may issue an order summarily suspending a license pursuant to G.S. 150B-3. Upon service of the order, the licensee to whom the order is directed shall immediately cease the practice of respiratory care in North Carolina.

History

• Authority G.S. 90-652(2),(5),(8)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 61 .0706 Contested Cases

(a) All administrative hearings shall be conducted by the Board, a panel consisting of a majority of the members of the Board then serving, or an administrative law judge designated to hear the case pursuant to G.S. 150B-40(e).

(b) The hearing of a contested case shall commence no later than 120 days from the date the Board grants a request for a hearing, unless the licensee and the Board together shall jointly agree to extend this deadline.

History

• Authority G.S. 90-652(2),(5),(8)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. September 1, 2026.

21 NCAC 61 .0707 Prehearing Procedures

The Board and the other party or parties may agree in advance to simplify the hearing by decreasing the number of issues to be contested at the hearing, accepting the validity of certain proposed evidence, accepting the findings in some other case with relevance to the case at hand, or agreeing to such other matters as may expedite the hearing.

History

• Authority G.S. 90-652(2),(5),(8)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 61 .0708 Petition for Intervention

(a) A person desiring to intervene in a contested case must file a written petition with the Board's office. The request shall bear the notation: "PETITION TO INTERVENE IN THE CASE OF (name of case)".

(b) The petition must include the following information:

(1) the name and address of petitioner;

(2) the business or occupation of petitioner, where relevant;

(3) a full identification of the hearing in which petitioner is seeking to intervene;

(4) the statutory or non-statutory grounds for intervention;

(5) any claim or defense in respect of which intervention is sought; and

(6) a summary of the arguments or evidence petitioner seeks to present.

(c) If the Board determines to allow intervention, notice of that decision will be issued promptly to all parties, and to the petitioner. In cases of discretionary intervention, such notification will include a statement of any limitations of time, subject matter, evidence or whatever else is deemed necessary which are imposed on the intervenor.

(d) If the Board's decision is to deny intervention, the petitioner will be notified promptly. Such notice will be in writing, identifying the reasons for the denial, and will be issued to the petitioner and all parties.

History

• Authority G.S. 90-652(2),(5),(8)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 61 .0709 Types of Intervention

(a) Intervention of Right. A petition to intervene as of right, as provided in the North Carolina Rules of Civil Procedure, Rule 24, will be granted if the petitioner meets the criteria of that rule and the petition is timely.

(b) Permissive Intervention. A petition to intervene permissively, as provided in the North Carolina Rules of Civil Procedure, Rule 24, will be granted if the petitioner meets the criteria of that rule and the Board determines that:

(1) There is sufficient legal or factual similarity between the petitioner's claimed rights, privileges, or duties and those of the parties to the hearings; and

(2) Permitting intervention by the petitioner as a party would aid the purpose of the hearing.

(c) Discretionary Intervention. The Board may allow discretionary intervention, with whatever limits and restrictions are deemed appropriate.

History

• Authority G.S. 90-652(2) (5),(8)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 61 .0710 Disqualification of Board Members

(a) Self-disqualification. If for any reason a Board member determines that personal bias or other factors render that member unable to hear a contested case and perform all duties in an impartial manner, that Board member shall voluntarily decline to participate in the hearing or decision.

(b) Petition for Disqualification. If for any reason any party in a contested case believes that a Board member is personally biased or otherwise unable to hear a contested case and perform all duties in an impartial manner, the party may file a sworn, notarized affidavit with the Board. The title of such affidavit shall bear the notation: "AFFIDAVIT OF DISQUALIFICATION OF BOARD MEMBER IN THE CASE OF (name of case)".

(c) Contents of Affidavit. The affidavit must state all facts the party deems to be relevant to the disqualification of the Board member.

(d) Timeliness and Effect of Affidavit. An affidavit of disqualification shall be considered timely if filed 10 days before commencement of the hearing. Any other affidavit shall be considered timely provided it is filed at the first opportunity after the party becomes aware of facts which give rise to a reasonable belief that a Board member may be disqualified under this Rule. Where a petition for disqualification is filed less than 10 days before a hearing or during the course of a hearing, the Board may continue the hearing with the challenged Board member sitting. Petitioner shall have the opportunity to present evidence supporting his petition, and the petition and any evidence relative thereto presented at the hearing shall be made a part of the record. The Board, before rendering its decision, shall decide whether the evidence justifies disqualification. In the event of disqualification, the disqualified member shall not participate in further deliberation or decision of the case.

(e) Procedure for Determining Disqualification when a timely Affidavit of Disqualification is filed:

(1) The Board will appoint a Board member to investigate the allegations of the affidavit.

(2) The investigator will report to the Board the findings of the investigation.

(3) The Board shall decide whether to disqualify the challenged individual.

(4) The person whose disqualification is to be determined shall not participate in the decision but may be called upon to furnish information to the other members of the Board.

(5) When a Board member is disqualified prior to the commencement of the hearing or after the hearing has begun, such hearing shall continue with the remaining members sitting provided that the remaining members still constitute a majority of the Board.

(6) If four or more members of the Board are disqualified pursuant to this Rule, the Board shall petition the Office of Administrative Hearings to appoint an administrative law judge to hear the contested case pursuant to G.S. 150B-40(e).

History

• Authority G.S. 90-652(2),(5),(8)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 61 .0711 Subpoenas

(a) Requests for subpoenas for the attendance and testimony of witnesses or for the production of documents, either at a hearing or for the purposes of discovery, shall be made in writing and delivered to the Board at least 10 days before the date of a contested case hearing and at least twenty days before a date given to provide discovery, shall identify any document sought with specificity, and shall include the full name and home or business address of all persons to be subpoenaed and, if known, the date, time, and place for responding to the subpoena. The Board shall issue the requested subpoenas within three days of receipt of the request.

(b) Subpoenas shall contain: the caption of the case; the name and address of the person subpoenaed; the date, hour and location of the hearing in which the witness is commanded to appear; a particularized description of the books, papers, records or objects the witness is directed to bring with him to the hearing, if any; the identity of the party on whose application the subpoena was issued; the date of issue; the signature of the presiding officer or his designee; and a "return of service". The "return of service" form, as filled out, shows the name and capacity of the person serving the subpoena, the date on which the subpoena was delivered to the person directed to make service, the date on which service was made, the person on whom service was made, the manner in which service was made, and the signature of the person making service.

(c) Subpoenas shall be served by the sheriff of the county in which the person subpoenaed resides, when the party requesting such subpoena prepays the sheriff's service fee. The subpoena shall be issued in duplicate, with a "return of service" form attached to each copy. A person serving the subpoena shall fill out the "return of service" form for each copy and properly return one copy of the subpoena, with the attached "return of service" form completed, to the Board.

(d) Any person receiving a subpoena from the Board may object thereto by filing a written objection to the subpoena with the Board's office. Such objection shall include a concise, but complete, statement of reasons why the subpoena should be revoked or modified. These reasons may include lack of relevancy of the evidence sought, or any other reason sufficient in law for holding the subpoena invalid, such as that the evidence is privileged, that appearance or production would be so disruptive as to be unreasonable in light of the significance of the evidence sought, or other undue hardship.

(e) Any objection to a subpoena must be served on the party who requested the subpoena simultaneously with the filing of the objection with the Board.

(f) The party who requested the subpoena, in such time as may be granted by the Board, may file a written response to the objection. The written response shall be served by the requesting party on the objecting witness simultaneously with filing the response with the Board.

(g) After receipt of the objection and response thereto, if any, the Board shall issue a notice to the party who requested the subpoena and the party challenging the subpoena, and may notify any other party or parties of an open hearing, to be scheduled as soon as practicable, at which evidence and testimony may be presented, limited to the narrow questions raised by the objection and response.

(h) Promptly after the close of such hearing, the majority of the Board members hearing the contested case shall rule on the challenge and issue a written decision. A copy of the decision shall be issued to all parties and made a part of the record.

History

• Authority G.S. 90-652(2),(5),(8)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 61 .0712 Witnesses

Any party may be a witness and may present witnesses on the party's behalf at the hearing. All oral testimony at the hearing shall be under oath or affirmation and shall be recorded. At the request of a party or upon the Board's own motion, the presiding officer may exclude witnesses other than the Licensee from the hearing room until the time they are called to testify, so that they cannot hear the testimony of other witnesses before testifying themselves.

History

• Authority G.S. 90-652(2),(5),(8)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 61 .0713 Final Decision

In all cases heard by the Board, the Board shall issue its decision within 120 days after its next regularly scheduled meeting following the close of the hearing. The decision will be the "final agency decision" for the right to judicial review. To obtain judicial review, the person seeking review must file a petition with the court in accordance with the provisions of G.S. 150B-45.

History

• Authority G.S. 90-652(2),(5),(8)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 61 .0714 Proposals for Decision

(a) When an administrative law judge conducts a hearing pursuant to G.S. 150B-40(e), a "proposal for decision" shall be rendered pursuant to the Rules of the Office of Administrative Hearings, 26 NCAC 03 .0126. The parties may file written exceptions to this "proposal for decision" and submit their own proposed findings of fact and conclusions of law. The exceptions and alternative proposals must be filed within 10 days after the party has received the "proposal for decision" as drafted by the administrative law judge.

(b) Any exceptions to the procedure during the hearing, the handling of the hearing by the administrative law judge, rulings on evidence, or any other matter must be written and refer specifically to pages of the record or otherwise precisely identify the occurrence to which exception is taken. The exceptions must be filed with the Board within 10 days of the receipt of the proposal for decision. The written exceptions shall bear the notation: "EXCEPTIONS TO THE PROCEEDINGS IN THE CASE OF (name of case)".

(c) Any party may present oral argument to the Board upon request. The request must be included with the written exceptions.

(d) Upon receipt of request for further oral argument, notice shall be issued promptly to all parties designating the time and place for such oral argument.

(e) Giving due consideration to the proposal for decision and the exceptions and arguments of the parties, the Board may adopt the proposal for decision or may modify it as the Board deems necessary. The decision rendered shall be a part of the record and a copy thereof given to all parties. The decision as adopted or modified becomes the "final agency decision" for the right to judicial review. Said decision shall be rendered by the Board within 60 days of the next regularly scheduled meeting following the oral arguments, if any. If there are no oral arguments presented, the decision shall be rendered within 60 days of the next regularly scheduled Board meeting following receipt of the written exceptions.

History

• Authority G.S. 90-652(2),(5),(8)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

21 NCAC 61 .0801 Receiving and Processing Complaints

(a) Any person who has a concern or adverse information about the conduct or competence of a person licensed by the Board or of a person who has applied to the Board for a license may present a complaint to the Board.

(b) Complaints may be delivered to the Board by transmitting a paper copy of the completed complaint by mail, hand-delivery, or other means to the Board's office; by sending the completed complaint form to the email account identified on the Board's website; or by completing the complaint form online on the Board's website at www.ncrcb.org.

(c) Each complaint shall identify the sender of the complaint, provide the sender's contact information, and set forth specific facts known to the sender relating to the conduct or competence of each person who is the subject of the complaint.

(d) Upon receipt of a complaint, the Board's staff shall confirm receipt of the complaint to the sender and shall send each person who is a subject of the complaint, using the mail or electronic mail address of record in the Board's records for each person, a summary of the complaint.

(e) Investigations may be conducted by the Board staff or by other persons authorized by the Board.

(f) The Board staff shall assign a case number to the initial complaint, review the contents of the complaint, and conduct a preliminary review of information to determine whether an individual's conduct or competence relates to the Respiratory Care Practice Act or the Board's rules.

(g) If preliminary information in the complaint does not relate to an individual's conduct or competence related to the Respiratory Care Practice Act or the Board's rules, the Board staff shall close the case and send a notice to the sender and to each person who was the subject of the complaint and no further action shall be taken by the Board.

(h) If the information about an individual's conduct or competence is related to the Respiratory Care Practice Act or the Board's rules, Board staff shall open an investigative file and begin an investigation of the matters described in the complaint.

(i) If the Board staff concludes from the information received that it is possible that there has been a violation of the Respiratory Care Practice Act or the Board's rules, the Board staff shall place the matter on the quarterly schedule of the Board's investigative committee and issue notice to each person who is the subject of the investigation, requesting that each person attend the committee meeting to be interviewed.

(j) When a matter comes before the investigative committee, the committee shall conduct an interview with each person whose conduct or competence is the subject of the investigation if he or she is willing to be interviewed.

(k) The Board shall authorize the Investigative Committee to make a recommendation at the next quarterly Board meeting if the complaint is not resolved by the Investigative Committee.

(l) The Board shall consider the investigative committee recommendation on unresolved complaints at the next regularly scheduled meeting and shall determine whether to:

(1) conduct further investigation of particular aspects of the matter;

(2) close the case;

(3) issue a consent order to a subject of an investigation, specifying disciplinary sanctions to be applied and, if the consent order is not accepted, issue a notice of hearing;

(4) issue a notice of hearing to a subject, specifying disciplinary sanctions; or

(5) apply to the courts for injunctive relief, refer a matter to a district attorney for prosecution, or take other actions, including reporting matter to appropriate state or federal agencies.

(m) A copy notice of hearing shall be sent to the complainant.

(n) Notification of the Board's final decision shall be sent to the complainant.

History

• Authority G.S. 90-652(2)(5)
• Eff. July 1, 2018.

21 NCAC 61 .0901 Rule Waivers

(a) If the Governor declares a state of emergency issued under G.S. 166A-19.3(19), the Board may waive the following provisions in its rules:

(1) The requirement for licensure set forth in 21 NCAC 61 .0201(a)(4) that requires each applicant for an initial license to provide a copy of current certification in Basic Life Support (BLS);

(2) The requirement for licensure set forth in 21 NCAC 61 .0201(b)(1) that states that for applicants who have not practiced respiratory care for a period of time greater than one year, but less than five years, the applicant must provide evidence of 12 hours of continuing education, that meet the requirements of 21 NCAC 61 .0401, for each full year of inactivity;

(3) The requirement for licensure set forth in 21 NCAC 61 .0204(a)(4) that requires following the late renewal of any license, an additional late fee of seventy-five dollars ($75.00);

(4) The requirement for licensure set forth in 21 NCAC 61 .0302(c) that requires each applicant for renewal to provide proof of completion of continuing education requirements as established in this Chapter;

(5) The requirement for licensure set forth in 21 NCAC 61 .0302(e) that requires each applicant for renewal to provide a copy of current certification in Basic Life Support (BLS);

(6) The requirement for licensure set forth in 21 NCAC 61 .0302(f) that requires licenses lapsed in excess of 24 months shall not be renewable;

(7) The requirement for licensure set forth in 21 NCAC 61 .0302(e) that requires an individual licensed on inactive status to convert his or her license to active status by payment of the renewal fee and late fee and provide evidence of the completion of a minimum of 12 hours of continuing education that meets the requirements of 21 NCAC 61 .0401 for each full year of inactivity;

(8) The requirement for licensure set forth in 21 NCAC 61 .0401(a) for continuing education requirements;

(9) The requirement for licensure set forth in 21 NCAC 61 .0401(e) that requires a licensee to be subjected to a random audit for proof of compliance with the Board's requirements for continuing education; and

(10) The requirement for licensure set forth in 21 NCAC 61 .0401(f) that requires continuing education audits be submitted to the Board no later than 30 days of receipt of the audit notice.

(b) The waivers granted pursuant to this Rule shall only apply during the effective period of the state of emergency.

(c) Waivers granted pursuant to this Rule will be posted on the Board's website at www.ncrcb.org.

History

• Authority G.S. 90-652(1); 90-652(2); 90-652(9); 90-652(11); 90-652(13)
• Emergency Adoption Eff. March 30, 2020
• Temporary Adoption Eff. June 1, 2020.
• Temporary Adoption Expired March 12, 2021
• Eff. June 1, 2021.

Chapter 62 Environmental Health Specialist Examiners

21 NCAC 62 .0101 Purpose

History

• Status: repealed
• Authority G.S. 90A-1; 90A-2
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. February 1, 1983
• Repealed Eff. April 1, 1989.

21 NCAC 62 .0102 Meetings

In addition to a required annual meeting in the City of Raleigh, additional meetings of the Board may be called by the Chairman at any time and place he may designate.

History

• Authority G.S. 90A-57
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015.

21 NCAC 62 .0103 Chair and Vice-Chair

The Chair of the Board shall carry out the following duties and responsibilities:

(1) call all meetings;

(2) be authorized to act as the sole official representative for the Board to communications media and may direct the secretary-treasurer or another member to impart specific information concerning official actions or policies of the Board.

History

• Authority G.S. 90A-57
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. November 1, 1994; April 1, 1989; February 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015.

21 NCAC 62 .0104 Secretary-Treasurer

History

• Status: repealed
• Authority G.S. 90A-57
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. November 1, 1994; April 1, 1989; February 1, 1983
• Repealed Eff. July 1, 2010.

21 NCAC 62 .0201 petition for rulemaking

(a) Any person wishing to submit a petition requesting the adoption, amendment or repeal of a rule by the Board shall submit the petition in writing to: Chair, State Board of Environmental Health Specialist Examiners, c/o Division of Environmental Health, 1630 Mail Service Center, Raleigh, North Carolina 27699-1630.

(b) The petition shall be filed in accordance with G.S. 150B-20 and shall also contain the following:

(1) reason for proposal;

(2) any data supporting the proposal;

(3) effect of the proposed rule on existing practices in the area involved, including cost factors;

(4) names and addresses of those individual and groups most likely to be affected by the proposed rule change; and

(5) name and address of each petitioner.

(c) The Board shall determine, based on the information contained in the petition, or any other information obtained regarding the petition whether the public interest will be served by granting the petition. All contents of the submitted petition, and any additional information deemed relevant, shall be considered.

History

• Authority G.S. 90A-57; 150B-20
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. July 1, 2010; November 1, 1994; April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015.

21 NCAC 62 .0202 Notice

History

• Status: repealed
• Authority G.S. 12-3.1; 90A-57
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. November 1, 1994; April 1, 1989
• Repealed Eff. July 1, 2010.

21 NCAC 62 .0203 Hearings

History

• Status: repealed
• Authority G.S. 12-3.1; 90A-57
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. November 1, 1994; April 1, 1989
• Repealed Eff. July 1, 2010.

21 NCAC 62 .0204 Justification of Rulemaking Decision

History

• Status: repealed
• Authority G.S. 12-3.1; 90A-57
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. November 1, 1994; April 1, 1989
• Repealed Eff. July 1, 2010.

21 NCAC 62 .0205 Record of Rulemaking Proceedings

History

• Status: repealed
• Authority G.S. 12-3.1; 90A-57
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. November 1, 1994; April 1, 1989
• Repealed Eff. July 1, 2010.

21 NCAC 62 .0206 Fees

History

• Status: repealed
• Authority G.S. 12-3.1; 90A-57
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. November 1, 1994; April 1, 1989
• Repealed Eff. July 1, 2010.

21 NCAC 62 .0207 Emergency Rules

History

• Status: repealed
• Authority G.S. 90A-4; 150A-13
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Repealed Eff. April 1, 1989.

21 NCAC 62 .0208 Declaratory Rulings

History

• Status: repealed
• Authority G.S. 90A-57; 150B-4
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. November 1, 1994; April 1, 1989
• Repealed Eff. July 1, 2010.

21 NCAC 62 .0301 Opportunity for an Administrative Hearing

History

• Status: repealed
• Authority G.S. 90A-57
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. November 1, 1994; April 1, 1989
• Repealed Eff. July 1, 2010.

21 NCAC 62 .0302 Request for a Hearing

History

• Status: repealed
• Authority G.S. 90A-57
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. November 1, 1994; April 1, 1989
• Repealed Eff. July 1, 2010.

21 NCAC 62 .0303 Granting a Hearing Request

History

• Status: repealed
• Authority G.S. 90A-4; 150A-31; 150A-12; 150A-2; 150A-23
• Eff. February 1, 1976
• Repealed Eff. December 22, 1978.

21 NCAC 62 .0304 Waiver

History

• Status: repealed
• Authority G.S. 90A-4; 150A-31; 150A-12; 150A-2; 150A-23
• Eff. February 1, 1976
• Repealed Eff. December 22, 1978.

21 NCAC 62 .0305 Notice

History

• Status: repealed
• Authority G.S. 90A-4; 90A-57; 150B-38; 150B-40(a)
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. November 1, 1994; April 1, 1989
• Repealed Eff. July 1, 2010.

21 NCAC 62 .0306 Intervention

History

• Status: repealed
• Authority G.S. 90A-4; 90A-57; 150B-38; 150B-40(a)
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. November 1, 1994; April 1, 1989
• Repealed Eff. July 1, 2010.

21 NCAC 62 .0307 Change of Venue

History

• Status: repealed
• Authority G.S. 90A-4; 90A-57; 150B-38; 150B-40(a)
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. November 1, 1994; April 1, 1989
• Repealed Eff. July 1, 2010.

21 NCAC 62 .0308 Disqualification of Board Members

History

• Status: repealed
• Authority G.S. 90A-4; 90A-57; 150B-38; 150B-40(a)
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. November 1, 1994; April 1, 1989
• Repealed Eff. July 1, 2010.

21 NCAC 62 .0309 Failure to Appear

History

• Status: repealed
• Authority G.S. 90A-4; 90A-57; 150B-38; 150B-40(a)
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. November 1, 1994; April 1, 1989
• Repealed Eff. July 1, 2010.

21 NCAC 62 .0310 Continuances

History

• Status: repealed
• Authority G.S. 90A-4; 90A-57; 150B-38; 150B-40(a)
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. November 1, 1994; April 1, 1989
• Repealed Eff. July 1, 2010.

21 NCAC 62 .0311 Written Answers to Notice

History

• Status: repealed
• Authority G.S. 90A-4; 150A-25; 150B-28
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Repealed Eff. April 1, 1989.

21 NCAC 62 .0312 Availability of Board Records

History

• Status: repealed
• Authority G.S. 90A-4; 150A-25; 150B-28
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Repealed Eff. April 1, 1989.

21 NCAC 62 .0313 Depositions and Discovery

History

• Status: repealed
• Authority G.S. 90A-4; 150A-25; 150B-28
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Repealed Eff. April 1, 1989.

21 NCAC 62 .0314 Pre-Hearing Conference

History

• Status: repealed
• Authority G.S. 90A-57
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. November 1, 1994; January 1, 1990; April 1, 1989
• Repealed Eff. July 1, 2010.

21 NCAC 62 .0315 Simplification of Issues

History

• Status: repealed
• Authority G.S. 90A-57
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. November 1, 1994; January 1, 1990; April 1, 1989
• Repealed Eff. July 1, 2010.

21 NCAC 62 .0316 Subpoenas

History

• Status: repealed
• Authority G.S. 90A-57
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. November 1, 1994; January 1, 1990; April 1, 1989
• Repealed Eff. July 1, 2010.

21 NCAC 62 .0317 Transcripts

History

• Status: repealed
• Authority G.S. 90A-57
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. November 1, 1994; January 1, 1990; April 1, 1989
• Repealed Eff. July 1, 2010.

21 NCAC 62 .0318 Proposal for Decision

History

• Status: repealed
• Authority G.S. 150A-34; 90A-4
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Repealed Eff. April 1, 1989.

21 NCAC 62 .0319 Record of Contested Cases

History

• Status: repealed
• Authority G.S. 90A-57
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. November 1, 1994; January 1, 1990; April 1, 1989
• Repealed Eff. July 1, 2010.

21 NCAC 62 .0401 Statutory Authority and Definitions

The definitions in G.S. 90A-51 apply to rules in this Chapter.

History

• Authority G.S. 90A-51; 90A-57
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. July 1, 2010; April 1, 1989; February 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015.

21 NCAC 62 .0402 Applications

(a) Applications for registration as an environmental health specialist or environmental health specialist intern shall be filed with the Board on a form provided by the Board and available on the Board website at: www.rsboard.com or from the Division of Environmental Health, 1630 Mail Service Center, Raleigh, NC 27699-1630.

(b) The application form shall be signed by the applicant and shall contain biographical data on the applicant including education, experience, duties, and prior registration necessary to determine the applicant's qualifications for registration. The application shall also be accompanied by the following:

(1) a certified transcript sent directly to the Board from the educational institution from which the applicant has received a degree;

(2) certified transcripts from all other educational institutions from which the applicant has earned science credits used to comply with G.S. 90A-53;

(3) the job description signed by the applicant's supervisor;

(4) statement from the applicant’s employer verifying dates of employment, and

(5) a signed Code of Ethics.

History

• Authority G.S. 90A-53; 90A-57; 90A-59; 90A-62
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. July 1, 2010; November 1, 1994; April 1, 1989; February 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015.

21 NCAC 62 .0403 Examination

(a) The Board shall schedule an examination at least two times annually. An applicant for a certificate as a registered environmental health specialist shall pass the examination which consists of the following:

(1) an objective written examination, designed to test the applicant's competence in the subject of environmental health;

(2) an oral examination prepared, administered and evaluated by the Board; and

(3) a written question prepared, administered and evaluated by the Board.

(b) Applicants taking or retaking the examination shall submit a written application to the Board. The request shall indicate which portions of the exam the applicant intends to take. The exam application shall be postmarked no later than 30 days prior to the advertised date of the examination.

(c) Every applicant shall pass the examination with a grade of at least 70 percent, with the objective written examination to count 50 percent of the total score, the oral examination to count 25 percent of the total score, and the written question to count 25 percent of the total score. An applicant shall score a minimum of 60 percent on each individual portion of the examination. All scores of any portion of the exam shall be retained by the Board and the highest score for each portion shall be applied in meeting the requirements of this Section.

(d) Applicants shall not cheat or attempt to cheat on the examination by any means, including giving or receiving assistance, and shall not communicate in any manner with any person during the examination, other than the person(s) administering the examination. Violation of this Paragraph is cause for dismissal from the examination, invalidation of the examination score, and revocation or denial of registration.

History

• Authority G.S. 90A-53; 90A-57; 90A-59; 90A-64
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. July 1, 2010; November 1, 1994; January 1, 1990; April 1, 1989; February 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015.

21 NCAC 62 .0404 INVESTIGATION OF COMPLAINTS disCiplinary action

A complaint filed with the Board shall be handled as follows:

(1) A complaint made to the Board shall be in writing.

(2) The Chair shall appoint two board members to investigate a complaint which may lead to disciplinary action regarding a registered environmental health specialist or registered environmental health specialist intern. An investigation may also be performed by a person hired by the Board to conduct the investigation.

(3) Disciplinary action taken by the Board may include:

(a) Suspension

(b) Revocation

(4) A hearing conducted by the Board shall meet the provisions in Article 3A, G.S. 150B.

History

• Authority G.S. 90A-57; 90A-64
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. August 1, 2010; April 1, 1989; February 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015.

21 NCAC 62 .0405 Authorized Expenditures and Fees

(a) The following fees apply:

(1) application for registration of environmental health specialist--$50.00;

(2) examination--actual cost of the environmental health specialist exam purchased by the Board. The cost of the examination on July 1, 2010 is one hundred fifteen dollars ($115.00) or one hundred twenty-five dollars ($125.00) depending on the number of applicants for the examination;

(3) an administration fee of fifty dollars ($50.00) for each examination application received:

(4) issuance of a certificate as provided in G.S. 90A-62--$50.00; and

(5) annual renewal postmarked prior to January 1 of the year--$50.00; postmarked January 1 or later--$75.00.

(b) Applications for registration, renewal, and examinations shall be accompanied by the payment of the appropriate fees.

(c) An additional fee of twenty dollars ($20.00) plus the actual cost charged by the bank shall be charged for all returned checks.

(d) Fees for copies shall be in accordance with G.S. 12-3.1 and G.S. 132-6.2(b).

History

• Authority G.S. 12-3.1; 25-3-506; 90A-53; 90A-62; 90A-63; 132-6.2(b)
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. July 1, 2010; November 1, 1994; January 1, 1990; April 1, 1989; February 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015.

21 NCAC 62 .0406 Out-of-State Applicants

An out-of-state applicant shall include an official statement by the Board of registration in the applicant's state testifying to the applicant's registration status.

History

• Authority G.S. 90A-57; 90A-62
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. April 1, 1989; February 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015.

21 NCAC 62 .0407 Renewal

(a) Applications for renewal shall be filed with the Board on a form provided by the Board and available from the Board website at: www.rsboard.com or from the Division of Public Health, 1931 Mail Service Center, Raleigh, NC 27699- 1931. The renewal application shall be available by October 1 of each year. The renewal form may also be generated by the Registered Sanitarian Training and Authorization (RSTAS) computer system at: https://rstas.dhhs.state.nc.us/. The renewal application shall include the following information:

(1) registrant's name, REHS/REHSI number, home address, telephone, email;

(2) registrant's employer name, address, telephone, email, position title;

(3) continuing education completed by registrant in current year by course number, date, contact hours attended; and

(4) information regarding their completion of NC Public Health Law in accordance with Paragraph (e) of this Rule.

(b) The renewal application shall be completed and signed by the applicant.

(c) Renewal fees shall be paid in accordance with Rule .0405(a)(5) of this Section.

(d) Registered environmental health specialists or registered environmental health specialists interns who fail to renew by December 31 shall be notified by the Board that their registration has expired and that they shall not practice as a registered environmental health specialist or a registered environmental health specialists intern until they have met the requirements for renewal.

(e) Environmental health specialist interns and other persons applying for new registrations with the board shall take an environmental health law course based on North Carolina laws and rules with at least 15 contact hours approved by the Board. This course shall be completed within the first four years of the date of most recent registration by the Board. This timeframe shall be extended by one additional year for anyone whose fourth year occurs in 2020.

(f) Registered environmental health specialists and registered environmental health specialists interns shall complete a minimum of 15 contact hours of continuing education acceptable to the Board each year, except the 15 hours shall not be required for the year ending December 31, 2020. Continuing education acceptable to the Board includes:

(1) the specialized training course required in Rule .0411 of this Section;

(2) District Environmental Health Section Educational meetings;

(3) professional association courses and educational meetings;

(4) seminars or courses offered by the North Carolina State of Practice Committee;

(5) completion of a job-related course offered by a college or university accredited by the Council of Higher Education Accreditation with the hours credited for the year that the course is completed;

(6) completion of a job-related course offered by the Centers for Disease Control and Prevention, the Food and Drug Administration, or the Environmental Protection Agency;

(7) other practice-related training that:

(A) is technical in nature, related to the environment, environmental health or improving the practice of environmental health;

(B) is relevant to the actual job being performed by the participants or applicant;

(C) includes a method for determining the number of hours spent;

(D) includes a method of documentation for verification of completion;

(E) is available to all registered environmental health specialists and environmental health specialist interns; and

(F) has been granted approval by the Board based upon this Subparagraph.

(g) Registrations that have expired may be renewed within 12 months after expiration upon submittal of application and payment of the renewal fee. The applicant shall provide verification to the Board that continuing education contact hours were obtained during the year since the expiration to comply with the requirements of this Section. Registrations that have expired for more than 12 months may not be renewed.

(h) Interns that are no longer employed in the field of environmental health in North Carolina shall not be eligible to renew.

(i) A registered environmental health specialist or a registered environmental health specialist intern in good standing whose active military service has impaired their ability to obtain the continuing education requirements in Paragraph (f) of this Rule are exempt from the continuing education requirement if written orders from their military unit are provided to the Board. In addition, the renewal fee is waived for each calendar year the environmental health specialist is on active duty.

(j) A registered environmental health specialist or registered environmental health specialist intern who is disabled may request a variance in continuing education hours during the period of the disability. The Board may grant or deny requests for variance in continuing education hours based on a disabling condition on a case by case basis, taking into consideration the particular disabling condition involved and its effect on the registered environmental health specialist or registered environmental health specialist intern's ability to complete the required hours. In considering the request, the Board may require additional documentation substantiating any specified disability.

(k) A maximum of five contact hours of approved continuing education, that is in excess of the required 15 contact hours, may be applied toward the continuing education requirements for the following year. For 2020, registrants who completed contact hours, even though continuing education was not required for that year, may carry forward a maximum of five hours.

History

• Authority G.S. 90A-57; 90A-63; 93B-15
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. July 1, 2010; November 1, 1994; May 1, 1990; April 1, 1989; February 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Emergency Amendment Eff. April 28, 2020
• Temporary Amendment Eff. June 26, 2020
• Amended Eff. July 1, 2021.

21 NCAC 62 .0408 Public Inspection

History

• Status: repealed
• Authority G.S. 90A-57
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. November 1, 1994; April 1, 1989
• Repealed Eff. July 1, 2010.

21 NCAC 62 .0409 Character

History

• Status: repealed
• Authority G.S. 90A-53; 90A-57
• Eff. February 1, 1983
• Repealed Eff. April 1, 1989.

21 NCAC 62 .0410 Education

History

• Status: repealed
• Authority G.S. 90A-53; 90A-57
• Eff. February 1, 1983
• Repealed Eff. April 1, 1989.

21 NCAC 62 .0411 Specialized Training

Every applicant for registration as a registered environmental health specialist intern shall complete the course entitled "Orientation and Initial Internship Training for Environmental Health Interns" offered by the Division of Public Health at the centralized training site within 18 months of registration as a registered environmental health specialist intern.

History

• Authority G.S. 90A-50; 90A-51; 90A-53; 90A-57
• Eff. February 1, 1983
• Amended Eff. July 1, 2010; November 1, 1994; May 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Emergency Amendment Eff. April 28, 2020
• Temporary Amendment Eff. June 26, 2020
• Amended Eff. July 1, 2021.

21 NCAC 62 .0412 Experience

History

• Status: repealed
• Authority G.S. 90A-53; 90A-57
• Eff. February 1, 1983
• Repealed Eff. November 1, 1994.

21 NCAC 62 .0413 Sanitarian Intern

History

• Status: repealed
• Authority G.S. 90A-54; 90A-63
• Eff. February 1, 1983
• Repealed Eff. April 1, 1989.

21 NCAC 62 .0414 ENVIRONMENTAL HEALTH SPECIALIST intern EXPERIENCE

Every applicant for registration as an environmental health specialist intern shall be under the direction of a registered environmental health specialist in order to obtain acceptable environmental health field experience required to be a registered environmental health specialist.

History

• Authority G.S. 90A-50; 90A-51; 90A-52; 90A-53; 90A-63
• Eff. November 1, 1994
• Amended Eff. July 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015.

21 NCAC 62 .0415 Code of Ethics

The Board hereby incorporates by reference the code of ethics adopted by the Environmental Health Section of the North Carolina Public Health Association on September 30, 2009 as the professional code to be followed by registered environmental health specialists and environmental health specialist interns. This incorporation does include subsequent amendments and editions. Copies may be obtained from the Board at no charge. The canons in the code of ethics are part of the registration application.

History

• Authority G.S. 90A-53; 90A-67
• Eff. July 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015.

Chapter 63 Social Work Certification

21 NCAC 63 .0101 Purpose

History

• Status: repealed
• Authority G.S. 90B-2; 90B-6
• Eff. August 1, 1987
• Temporary Amendment Eff. October 1, 1999
• Repealed Eff. April 1, 2001.

21 NCAC 63 .0102 Definitions

Whenever used in this Chapter, the definitions set forth in G.S. 90B-3 are herein incorporated by reference. The following definitions apply in this Chapter:

(1) CMSW - this designation represents the certified master social worker level of certification.

(2) CSW - this designation represents the certified social worker level of certification.

(3) CSWM - this designation represents the certified social work manager level of certification.

(4) LCSW - this designation represents the licensed clinical social worker level of certification.

(5) LCSWA - this designation represents the licensed clinical social worker associate level of certification.

(6) NCSWCLB - this designation represents the North Carolina Social Work Certification and Licensure Board.

(7) Censure. Censure is an act involving severe condemnation and a sanction by the Board for practice misconduct. Censuring is typically for severe offenses and may require specific follow-up actions by the social worker.

(8) Client. Client means the individual, couple, family, group, organization, or community that seeks or receives social work services. Client status is not dependent on billing or payment of fees for such services. A power of attorney, legal guardian or person who is responsible for making decisions relative to the provision of social work services for a minor or adult is also deemed a recipient of social work services as part of the client system.

(9) Client system. Client system means the client and those in the client's environment who are potentially influential in contributing to a resolution of the client's issues.

(10) Clinical Case Management. A comprehensive approach to care integrating a broad array of interventions to include planning, implementation and management of care for clients with one or more of the following: mental, emotional, addictive, behavioral, or developmental disorders and conditions. Interventions by the clinical case manager shall involve face-to-face contact with the client on a regular basis, shall be grounded in clinical social work theory, and shall be guided by the client's treatment plan or personal care plan.

(11) Clinical Social Work Experience. As it relates to the work experience required for LCSW licensure, two years of clinical social work experience in direct practice means the professional application of master or doctoral social work theory, knowledge, methods, ethics, and the professional use of self to restore or enhance social, psychosocial, or biopsychosocial function. Clinical social work experience requires the application of specialized clinical knowledge and advanced clinical skills in the areas of assessment, diagnosis, and treatment, including the use of psychotherapy, to treat one or more of the following disorders or conditions: mental, emotional, addictive, behavioral, or developmental disorders and conditions. In addition, the clinical social work experience may also include clinical case management, information and referral, mediation, client education, clinical supervision and clinical consultation that is directly related to the treatment plan or personal care plan of a client or consumer.

(12) Diagnosis. In the context of licensed clinical social work practice diagnosis is the process of distinguishing, beyond the general social work assessment, among one or more of the following: mental, emotional, addictive, behavioral, or developmental disorders and conditions within a psychosocial framework on the basis of their similar and unique characteristics consistent with American Psychiatric Association or World Health Organization classification systems.

(13) Probation. Probation is a period of time in which a license or certification is subject to specific practice conditions determined by the Board. The individual is permitted to continue practice subject to compliance with the conditions set forth in the order determining the probation status. A violation of the conditions of probation can result in additional disciplinary action taken by the Board.

(14) Reprimand. Reprimand is a public rebuke and sanction by the Board for practice misconduct. A reprimand typically is given for less severe offenses and may require specific follow-up actions by the social worker.

(15) Revocation. Revocation is the withdrawal of privilege to practice as a certified or licensed social worker in the State of North Carolina.

(16) Surrender. Surrender is the voluntary relinquishment of a certification or license by its holder. The surrender of a certification or license shall be accepted only by Consent Order with the Board.

(17) Suspension. Suspension is the withdrawal of privilege to practice for a specific period of time.

(18) Treatment. Clinical social work intervention, including individual, couples, family, or group psychotherapy, that is empirically grounded and used to help resolve symptoms of one or more of the following: mental, emotional, addictive, behavioral, or developmental disorders and conditions.

History

• Authority G.S. 90B-3; 90B-6
• Eff. August 1, 1987
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. October 1, 2012; July 1, 2011; January 1, 2009; July 1, 2000
• Readopted Eff. February 1, 2017.

21 NCAC 63 .0103 Prohibitions

History

• Status: repealed
• Authority G.S. 90B-4; 90B-6
• Eff. August 1, 1987
• Temporary Repeal Eff. October 1, 1999
• Repealed Eff. July 1, 2000.

21 NCAC 63 .0104 Organization of the Board

History

• Status: repealed
• Authority G.S. 90B-5; 90B-6
• Eff. August 1, 1987
• Temporary Amendment Eff. October 1, 1999
• Repealed Eff. April 1, 2001.

21 NCAC 63 .0105 meetings

History

• Status: repealed
• Authority G.S. 90B-5; 90B-6
• Eff. August 1, 1987
• Temporary Amendment Eff. October 1, 1999
• Repealed Eff. April 1, 2001.

21 NCAC 63 .0106 Annual Reports

(a) Not later than October 31 of each year, the Board shall file the reports required by G.S. 93B-2.

(b) In the event the reports required by G.S. 93B-2 are not timely filed, and the Board's authority to expend any funds is suspended, the Board shall continue to issue and renew licenses and deposit any fees or funds received during the period of suspension into an escrow account established by the Board solely for this purpose.

(c) The Board shall not expend the fees or funds until the Board has filed the required reports in accordance with G.S. 93B-2.

History

• Authority G.S. 93B-2
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015.

21 NCAC 63 .0201 Definitions

History

• Status: repealed
• Authority G.S. 90B-3; 90B-5; 90B-6
• Eff. August 1, 1987
• Amended Eff. September 1, 1993
• Temporary Repeal Eff. October 1, 1999
• Repealed Eff. July 1, 2000.

21 NCAC 63 .0202 Application Process

(a) Pursuant to G.S. 90B-7, any person desiring to obtain a certificate or license from the Board shall make application to the Board. Applications not completed within two years of submission to the Board shall be denied. Application forms and instructions may be found on the Board's website at https://www.ncswboard.gov.

(b) All applications for certification or licensure shall contain the following:

(1) the applicant's contact information;

(2) the social security number of the applicant;

(3) the requested designation of licensure or certification type;

(4) educational history and degree attainment;

(5) the names and contact information of three persons supplying professional reference forms in support of the applicant's application, as well as the length of time that the persons have known the applicant;

(6) employment history;

(7) whether the applicant has ever been certified, licensed, or registered to practice social work by the Board, by another occupational Board, or in another state/jurisdiction and, if so:

(A) what credential was held;

(B) in what state/jurisdiction;

(C) the issuance date and expiration date; and

(D) what examinations were taken to obtain said certification, licensure, or registration;

(8) whether the applicant has ever had a credential denied, limited, reprimanded, suspended, or revoked;

(9) whether the applicant has ever been convicted of a felony or misdemeanor under any laws;

(10) whether any criminal charges are pending against the applicant;

(11) whether any court, board, agency, or professional organization has found the applicant guilty of misconduct, unprofessional conduct, dishonest or fraudulent practice, or incompetent practice;

(12) whether any charges are pending against the applicant before any court, board, agency, or professional organization for unprofessional conduct, dishonest or fraudulent practice, or incompetent practice;

(13) three professional references, as prescribed in 21 NCAC 63 .0204, provided in a sealed envelope with the signature of the reference over the sealed closure;

(14) official score reports showing passage of the required examination, as prescribed herein and in 21 NCAC 63 .0301, provided from the examination testing provider;

(15) official transcripts, as prescribed in 21 NCAC 63 .0203, provided either from the institution directly to the Board or from the applicant to the Board in an envelope that is sealed by the institution;

(16) the applicant's affirmation that:

(A) the applicant has read the North Carolina General Statute 90B Social Work Certification and Licensure Act, including the Board's rules, ethical guidelines, and disciplinary procedures, which are available on the Board's website at https://www.ncswboard.gov;

(B) the information provided by the applicant in the application is true;

(C) the applicant consents to a criminal history record check; and

(D) the applicant has read and understands the public notice statement on employee misclassification that is set forth in the application and has disclosed any investigations for employee misclassification, and its results, over the preceding 12-month period, as prescribed by G.S. 143-789; and

(17) the application fee, as prescribed in 21 NCAC 63 .0208.

(c) In addition to the items set forth in Paragraph (b) of this Rule, applicants for certification as a certified social work manager shall provide a completed CSWM Administrative Supervision Form, as prescribed in Paragraph (e) of this Rule, and an Employment Verification Form, as prescribed in Paragraph (f) of this Rule, to demonstrate supervised administrative experience attained in the preceding six years.

(d) Applicants for licensure as a licensed clinical social worker who are licensed by the Board as licensed clinical social worker associates at the time of application shall provide to the Board the LCSW Short-Form Application, which contains the following:

(1) the applicant's name, the number of the applicant's licensed clinical social worker associate license, and contact information;

(2) the signature of the applicant and the applicant's LCSW supervisor;

(3) whether the LCSW supervisor recommends that the applicant continue supervised clinical practice at the LCSWA level or recommends the applicant for LCSW licensure;

(4) the applicant's certification that:

(A) the applicant has completed the requirements to obtain licensure in North Carolina as a LCSW as set forth in G.S. 90B-7(d);

(B) the applicant has read the North Carolina General Statute 90B Social Work Certification and Licensure Act, and the Board's rules, ethical guidelines, and disciplinary procedures, which are available on the Board's website at https://www.ncswboard.gov, and agrees to comply with them;

(C) the information provided by the applicant in the application is true;

(D) the applicant has not violated any of the Board's governing statutes or rules; and

(E) the applicant has not been convicted of a misdemeanor or felony crime since submitting his or her initial application for associate licensure;

(5) the application fee, as prescribed in 21 NCAC 63 .0208; and

(6) a list of all continuing education hours taken since the applicant was licensed as a LCSWA or since renewal of LCSWA licensure that provides the name of the course taken, the date on which the course was taken, the length of the course taken, and whether the course taken was distance learning or for ethics.

(e) A CSWM Administrative Supervision Form shall contain the following:

(1) the name of the applicant and his or her supervisor;

(2) the applicant's position;

(3) a description of the applicant's administrative duties and responsibilities for the employer;

(4) where the applicant worked during the time that supervision was provided to the applicant;

(5) dates during which the applicant was employed;

(6) total number of hours during which the applicant was employed;

(7) dates during which the supervisor provided administrative supervision;

(8) total number of hours during which the supervisor provided individual administrative supervision to the applicant;

(9) total number of hours during which the supervisor provided group administrative supervision to the applicant;

(10) total combined hours of individual and group hours provided to the applicant; and

(11) the supervisor's certification that the information set forth in the CSWM Administrative Supervision Form is correct and that the supervisor is certified with the Board on at least one level and has a minimum of two years of administrative experience in a social work or mental health setting.

(f) An Employment Verification Form shall be completed for each place of employment where the applicant has worked over the preceding six years and shall contain the following:

(1) the applicant's name and contact information;

(2) the applicant's license number, if a license is held;

(3) the name and contact information of the applicant's place of employment;

(4) the title of the applicant's position;

(5) whether the applicant is authorized to provide clinical services on behalf of the employer;

(6) the applicant's duties for the employer, as documented in a job description on the employer's letterhead;

(7) the name and license number of the applicant's clinical supervisor;

(8) whether the applicant's supervisor provided supervision to the applicant in person or remotely;

(9) the date of the applicant's employment;

(10) whether the applicant was employed full-time, part-time, or pro re nata;

(11) whether the applicant is paid a fee or salary for services performed; and

(12) the employer's signature, contact information, and the date completed.

On the Employment Verification Form, the applicant shall provide the information requested in Subparagraphs (f)(1)-(2) of this Rule and the applicant's employer shall provide the information requested in Subparagraphs (f)(3)-(12) of this Rule.

History

• Authority G.S. 90B-6; 90B-7; 93B-8.1(c)
• Eff. August 1, 1987
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. September 1, 2026; October 1, 2021.

21 NCAC 63 .0203 Transcripts

Applicants must have official transcripts sent from institutions where their highest social work degrees have been conferred. If transcript course titles do not convey the content of the courses, the applicant shall provide clarifying documentation from the institution.

History

• Authority G.S. 90B-7
• Eff. August 1, 1987
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. October 1, 2021.

21 NCAC 63 .0204 References

(a) Applicants for all classifications shall have a minimum of three references related to the applicant's social work experience. The Board shall not accept references by relatives, clients, or subordinates of applicants. A current Board member shall not submit a reference for an applicant unless the Board member is the applicant's current or only social work supervisor. In such a case the Board member may submit a reference, but the Board member shall recuse from review of that applicant.

(b) All references shall come from individuals who have or had a professional association with the applicant and have knowledge of the applicant's professional experience in the practice of social work.

(c) For applicants for LCSWA licensure, at least one reference shall be from a person who has been or is currently supervising the applicant in a social work setting.

(d) For applicants from other jurisdictions seeking certification or licensure in accordance with G.S. 90B-8, at least one reference shall be from a registered, certified, or licensed social worker who has been or is currently practicing in a social work setting.

(e) All references shall be on a form prescribed by the Board, which is available on the Board's website at https://www.ncswboard.gov, and shall contain the following:

(1) the name of the applicant and the classification for which the applicant is applying;

(2) the name of the person completing the reference;

(3) the applicant's signature and applicant's indication as to whether or not the applicant waives the right to access the information provided by the person completing the reference;

(4) the profession of the person completing the reference;

(5) the position of the person completing the reference;

(6) the relationship between the applicant and the person completing the reference;

(7) how long the person completing the reference has known the applicant;

(8) whether the person completing the reference believes that he or she has limited, moderate, or thorough knowledge of the applicant's professional qualifications;

(9) whether the applicant has ever been guilty of unprofessional conduct, dishonest practice, incompetence, or fraud, if known by the person completing the reference;

(10) if the person completing the reference is aware of any issues such as substance abuse or emotional disorders that would impair the applicant's ability to practice;

(11) if the person completing the reference has any concerns about the applicant that he or she would like to bring to the Board's attention and if so, a description;

(12) a rating of poor, good, superior, or unknown for the applicant's professional judgement, ethical conduct, competence and skill, ability to convey concern and empathy, record keeping, client relationships, written communication, verbal communication, and social work knowledge base;

(13) whether the person completing the reference, in his or her discretion, would recommend the applicant highly without reservation; recommend the applicant as qualified and competent; recommend the applicant with some reservation and if so, to explain accordingly; or would not recommend the applicant and if not, to explain accordingly;

(14) a narrative of the applicant's strengths, weaknesses, special skills, reservations, or other information related to the applicant's suitability for certification or licensure, including any reservations held by the person completing the reference regarding the applicant; and

(15) the signature and contact information of the person completing the reference.

History

• Authority G.S. 90B-6; 90B-7; 90B-8
• Eff. August 1, 1987
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. January 1, 2009; April 1, 2001
• Readopted Eff. February 1, 2017
• Amended Eff. September 1, 2026; October 1, 2021.

21 NCAC 63 .0205 Academic Qualifications

History

• Status: repealed
• Authority G.S. 90B-6; 90B-7; 90B-8; 90B-10
• Eff. August 1, 1987
• Temporary Repeal Eff. October 1, 1999
• Repealed Eff. July 1, 2000.

21 NCAC 63 .0206 academic exemptions

History

• Status: repealed
• Authority G.S. 90B-6; 90B-7; 90B-8; 90B-10
• Eff. August 1, 1987
• Temporary Repeal Eff. October 1, 1999
• Repealed Eff. July 1, 2000.

21 NCAC 63 .0207 Substantial Equivalency

(a) In addition to the items set forth in 21 NCAC 63 .0202(b), applicants for certification as a certified social worker pursuant to G.S. 90B-8 shall provide verification of current certification, license, or registration in good standing to practice social work in another jurisdiction and certified proof of having passed the ASWB Bachelors Level Examination.

(b) In addition to the items set in 21 NCAC 63 .0202(b), applicants for certification as a certified master social worker pursuant to G.S. 90B-8 shall provide verification of current certification, license, or registration and certified proof of having passed the ASWB Masters Level Examination or ACSW exam.

(c) In addition to the items set forth in 21 NCAC 63 .0202(b), applicants for certification as a certified social work manager pursuant to G.S. 90B-8 shall provide:

(1) verification of current licensure in good standing to practice social work in another jurisdiction;

(2) a copy of the state or jurisdiction law determining the qualifications under which the applicant was certified in the other state or jurisdiction; and

(3) certified proof that the applicant has passed the ASWB Advanced Generalist Exam.

(d) In addition to the items set forth in 21 NCAC 63 .0202(b), applicants for licensure as a licensed clinical social worker pursuant to G.S. 90B-8 shall provide verification of a current and active license in good standing to practice social work in another jurisdiction and certified proof of having passed the ASWB Clinical Level Examination. If the applicant has not passed the ASWB Clinical Level Examination at the time of application, the applicant must provide a copy of the state/jurisdiction law determining the qualifications under which the applicant was licensed to practice social work in the other state or jurisdiction so that the Board can determine the applicant's eligibility to take the ASWB Clinical Examination.

(e) In addition to the items set forth in 21 NCAC 63 .0202(b), applicants for licensure as a licensed clinical social worker associate pursuant to G.S. 90B-8 shall provide:

(1) verification of current and active licensure in good standing to practice social work in another jurisdiction;

(2) an Employment Verification Form, as prescribed in 21 NCAC 63 .0202(f), that sets forth the total number of hours and dates of paid supervised post-MSW practice in a clinical setting from each employer for which the applicant has practiced clinical social work in the preceding six years, provided in a sealed envelope with the employer's signature on the envelope's sealed closure; and

(3) a Clinical Social Work Supervision Form, as described in Paragraph (f) of this Rule, from each person who previously has provided clinical supervision to the applicant during the four years preceding the application, provided in a sealed envelope with the signature of the applicant's clinical supervisor on the envelope's sealed closure.

(f) A Clinical Social Work Supervision Form shall be on a form prescribed by the Board, which is available on the Board's website at https://www.ncswboard.gov, and shall contain the following:

(1) the name of the applicant and his or her clinical supervisor;

(2) the applicant's position;

(3) a description of the applicant's clinical social work duties and responsibilities with information about the population served by applicant, problems addressed, assessment, and treatment modalities used for treatment and diagnosis of mental and emotional disorders;

(4) where the applicant worked;

(5) dates during which the applicant was employed;

(6) total number of hours during which the applicant was employed;

(7) dates during which the clinical supervisor provided supervision to the applicant;

(8) total number of hours during which the clinical supervisor provided individual supervision to the applicant;

(9) total number of hours during which the clinical supervisor provided group supervision to the applicant;

(10) total combined hours of individual and group supervision that clinical supervisor provided to the applicant; and

(11) the clinical supervisor's certification that the information set forth in the Clinical Social Work Supervision Form is correct; that the clinical supervisor is certified, licensed, or registered as a clinical social worker with a graduate degree in social work from a program accredited by the Council on Social Work Education and has at least two years of clinical social work experience post-licensure.

History

• Authority G.S. 90B-6; 90B-7; 90B-8
• Eff. August 1, 1987
• Temporary Repeal Eff. October 1, 1999
• Repealed Eff. July 1, 2000
• Eff. October 1, 2021 (Codifier approved agency request to reuse rule number)
• Amended Eff. September 1, 2026.

21 NCAC 63 .0208 Application Fee

Each applicant for certification or licensure by the Board shall submit an initial application fee of one hundred and forty-five dollars ($145.00) with the application, unless otherwise exempt under G.S. 93B-15.1. An applicant applying for multiple levels of certification or licensure within one application must submit an application fee of one hundred and forty-five dollars ($145.00) per each level for which the applicant applies. Application fees shall not be paid by personal check or cash.

History

• Authority G.S. 90B-6; 90B-6.2
• Eff. August 1, 1987
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. August 1, 2012; July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. October 1, 2021.

21 NCAC 63 .0209 Exam Eligibility

(a) The Board shall review each application submitted pursuant to 21 NCAC 63 .0202 and .0207 to determine whether an applicant possesses the educational, supervision, and examination qualifications for eligibility for a particular level of certification or licensure, pursuant to G.S. 90B-7. To be considered eligible to take the Clinical examination, an applicant must have two years of experience in a clinical social work setting documented with the Board and a MSW. To be considered eligible to take the Advanced Generalist examination, an applicant must have two years of experience in an administrative social work setting.

(b) An applicant shall be notified in writing if found to be ineligible for the requested level of certification. If an applicant is found ineligible for the particular level of certification or licensure for which the applicant has applied, the applicant may request in writing to the Board that the applicant be considered for eligibility for another level of certification or licensure for which the applicant possesses the minimum education, supervision, and examination qualifications. Such request must be made no later than 30 days following the date on which the applicant received written notification of ineligibility, as set forth in Paragraph (a) of this Rule. If an applicant is found to be ineligible for any level of certification or licensure, the applicant shall not be allowed to sit for any examination.

(c) If an applicant is found eligible for the particular level of certification or licensure for which the applicant has applied, the Board shall issue the applicant notification of exam candidacy approval. Upon receipt, the applicant shall submit to the Board an Exam Request Form or Clinical Exam Request Form, as described in Paragraph (e) and (f) of this Rule, and the fee set forth in 21 NCAC 63 .0306 to initiate the exam process.

(d) Upon receipt of the applicant's Exam Request Form and the fee set forth in 21 NCAC 63 .0306, the Board shall forward to the applicant instructions for registering to sit for the examination and the deadline by which the exam eligibility shall expire, which is determined in accordance with the ASWB Examination Candidate Handbook that is available at http://aswb.org. If the applicant fails to take the examination before the deadline by which the exam eligibility shall expire, the applicant must submit another Exam Request Form and the fee set forth in 21 NCAC 63 .0306 in order to take the examination. If the applicant takes but fails the examination, the applicant must submit another Exam Request Form and the fee set forth in 21 NCAC 63 .0303 in order to re-take the examination, even if the expiration date has not yet occurred. An applicant must wait at least 90 days from the date on which the applicant took the examination before re-taking the examination.

(e) An applicant desiring to take an examination other than the ASWB Clinical level examination shall submit to the Board an Exam Request Form, which is available on the Board's website at https://www.ncswboard.gov, that shall contain the following:

(1) the applicant's name and address;

(2) the applicant's social security number; and

(3) the type of examination for which the applicant is approved to sit.

(f) An applicant desiring to take the ASWB Clinical level examination shall submit to the Board a Clinical Exam Request Form, which is available on the Board's website at https://www.ncswboard.gov, only after completing two years of clinical practice. The Clinical Exam Request Form shall contain the following:

(1) the name and license number of the applicant;

(2) the contact information, date of birth, and signature of the applicant;

(3) the name, license number, and signature of the applicant's clinical supervisor; and

(4) the attestation of the applicant's clinical supervisor that the applicant has completed two years of clinical practice and is qualified to take the ASWB Clinical level examination.

History

• Authority G.S. 90B-6; 90B-6.2
• Eff. August 1, 1987
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. September 1, 2026; October 1, 2021.

21 NCAC 63 .0210 Associate Licenses

(a) Applicants for licensure as a LCSWA shall provide an application to the Board, as set forth in 21 NCAC 63 .0202(b), and shall comply with the requirements of this Rule.

(b) Prior to practicing clinical social work, associates must demonstrate in writing through an emergency crisis plan that, in the event of a clinical emergency, they have immediate access to at least one licensed mental health professional who has agreed to provide to them emergency clinical consultation to assure that compliance with the North Carolina statutes and rules governing clinical social work practice are maintained. For purposes of this Rule, "immediate" shall mean within one hour. The emergency crisis plan shall be submitted on a form prescribed by the Board that is available on the Board's website. The emergency crisis plan outline must be submitted for each location where the associate practices and shall provide the following:

(1) the name, address, and contact information for the LCSWA practice;

(2) a description of the practice setting that provides whether the practice is in a home, an office setting, and whether the LCSWA practices with other practitioners;

(3) a hierarchy of initial contact persons, if more than one contact person is identified; where each person is located; and his or her estimated response time;

(4) a plan for follow-up consultations with the LCSWA's clinical supervisor if an alternate emergency contact was consulted at the time of need; and

(5) signatures and license numbers of the LCSWA, the LCSW supervisor, and the emergency consultant back-up provider.

Each licensed clinical social worker associate shall notify the Board in writing within seven days of any change in such access by resubmission of an emergency crisis plan outline form.

(c) Prior to practicing clinical social work, associates shall provide to the Board an Employment Verification for LCSWA form that contains the following:

(1) the associate's name, address, contact information, license number, and license issuance and expiration dates;

(2) the name and address of the agency for which the associate intends to work;

(3) the associate's current position title and a copy of the job description;

(4) whether the associate is authorized by the employer to provide clinical services;

(5) the name of the associate's LCSW clinical supervisor and whether the supervisor is located on-site or off-site;

(6) whether the associate is being paid a fee or salary;

(7) dates during which the associate is working full-time, part-time, or as needed; and

(8) the name and signature of the person completing the form on behalf of the employer.

(d) Each associate licensee must be supervised as set forth in G.S. 90B-7(f) and receive on-going appropriate supervision as defined in Rule .0211(a)(2) of this Chapter until the qualifying examination has been passed and the Licensed Clinical Social Worker license is issued.

(e) All associate licensees shall submit reports of their clinical social work experience and supervision on a form prescribed by the Board and made available on the Board's website every six months for review and evaluation by the Board. This six-month review form shall contain the following:

(1) the associate's name, LCSWA license number, and contact information for the associate;

(2) the associate's place of employment and an employment verification form, as prescribed in 21 NCAC 63 .0202(f), if not previously provided to the Board;

(3) the associate's signature and date submitted;

(4) an acknowledgment from the associate's LCSW supervisor as to whether:

(A) a position statement on clinical supervision, available on the Board's website at https://www.ncswboard.gov, has been signed and submitted to the Board;

(B) an emergency crisis plan, as set forth in Paragraph (b) of this Rule, has been submitted to the Board;

(C) a supervisory log has been maintained and is available upon request to verify documented supervision; and

(D) a case narrative summarizing one case treated during this review period has been prepared, reviewed, and is on file and available for Board review, if needed;

(5) a rating of the associate by the associate's LCSW supervisor in all the following categories:

(A) ethical standards of social work practice;

(B) effective use of supervision;

(C) competence in social work practice;

(D) professional growth and development;

(E) consistency of performance effort;

(F) knowledge of social work principles and practices;

(G) ability to formulate a treatment plan appropriate to the clients' needs;

(H) ability to implement interventions consistent with the treatment plan;

(I) supervisee's ability to assess his or her own capacities and skills;

(J) ability to correctly diagnose mental and emotional disorders in accordance with professional judgment and training; and

(K) ability to plan treatment and carry out clinical interventions related to mental and emotional disorders;

(6) a narrative summary regarding the associate's growth as a clinical practitioner and participation in clinical supervision;

(7) the period during which the associate received supervision from the LCSW supervisor;

(8) the number of in-person hours of individual supervision that the associate received;

(9) the number of in-person hours of group supervision that the associate received;

(10) the number of hours provided through technology that the associate received in a group setting;

(11) the number of hours provided through technology that the associate received in an individual setting;

(12) the number of clinical practice hours that the associate attained during the review period; and

(13) the name, phone number, signature, and license number with expiration date of the associate's LCSW supervisor.

(f) To prevent a lapse in licensure, associate licensees who desire to become Licensed Clinical Social Workers shall renew the LCSWA or complete the application process for the Licensed Clinical Social Worker classification and submit the application fee as set in Rule .0208 of this Chapter at least 30 days prior to the expiration of the associate's license.

History

• Authority G.S. 90B-6; 90B-7
• Eff. August 1, 1993
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. October 1, 2012; August 1, 2012; September 1, 2005; April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. September 1, 2026; October 1, 2021.

21 NCAC 63 .0211 Work Experience

(a) Qualifications as required by G.S. 90B-7(d)(2) for the Licensed Clinical Social Worker (LCSW) credential:

(1) Two years of post-MSW clinical social work experience shall mean 3,000 clock hours of work or employment for a fee or salary while engaged in the practice of clinical social work as defined in G.S. 90B-3(6). The 3,000 hours shall be accumulated over a period of time not less than two years nor more than six consecutive years. Practicum or internship experience gained as part of any educational program shall not be included. Pursuant to G.S. 93B-15.1(a), military applicants may receive credit for military occupational specialty experience obtained post MSW degree and deemed substantially equivalent to clinical social work practice as defined in this Chapter.

(2) Appropriate supervision shall mean supervision by a MSW who is also a Licensed Clinical Social Worker and who is in good standing with the Board. A supervisor disciplined by any professional credentialing body or professional organization by legal order, or who has been found by legal order to have violated the provisions of an occupational licensing Board may not provide supervision to an associate licensee without the written permission of the Board. The Licensed Clinical Social Worker Associate's (LCSWA) clinical social work supervisor shall have an additional two years of clinical social work experience post LCSW licensure.

(3) Appropriate supervision shall be that which is provided on a regular basis, conducted no less than once every two weeks, with at least one hour of supervision during every 30 hours of experience. A minimum of 100 hours of supervision is required. All work experience must be clinical social work as defined by G.S. 90B-3(6) to qualify as work experience for purposes of G.S. 90B-7(d)(2). Appropriate supervision may be individual or group supervision. Individual supervision shall mean one on one, face-to-face supervision by a MSW who is also a LCSW where the supervisor reviews and discusses clinical social work cases, reviews documentation, and provides evaluative comments and direction to the LCSWA. Group supervision shall mean face-to-face supervision provided by a MSW who is also a LCSW in a group setting, during which the supervisor reviews and discusses clinical social work cases, reviews documentation, and provides feedback and direction to each LCSWA in the group. A maximum of 25 hours of group supervision may be applied toward meeting the supervision requirements for the LCSW.

(4) Unless otherwise preapproved by the Board, no more than 50 hours of supervision may be provided through the use of technology. The clinical supervisor may seek approval by providing a written request to the Board. The request shall include the parties' information, including name, license number, and business address; and the circumstances for which the additional hours are needed. Approval of the request shall be determined on a case by case basis, based upon the circumstances provided in the request. All supervision provided through the use of technology shall be synchronous, involve visual and audio interactions throughout the entire session, and shall take place in such a manner as to maintain the confidentiality of the communication.

(b) Qualifications as required by G.S. 90B-7(e)(2) for the Certified Social Work Manager (CSWM) credential:

(1) Two years of post social work degree experience shall mean 3,000 clock hours of employment for a salary while engaged in administrative social work duties including, policy and budgetary development and implementation, supervision and management, program evaluation, planning, and staff development. Such duties shall be carried out in an administrative setting where social work or other mental health services are delivered. The 3,000 hours shall be accumulated over a period of time not less than two years nor more than six consecutive years. Practicum or internship experience gained as part of any educational program shall not be included.

(2) Appropriate supervision shall mean face-to-face supervision by a social work administrator certified or licensed by the Board who has a minimum of two years of administrative experience in a social work or mental health setting. Appropriate supervision shall be that which is provided on a regular basis, conducted no less than once every two weeks throughout the applicant's two years of administrative social work experience. A minimum of 100 hours of supervision is required. A maximum of 50 hours of group supervision may be applied toward meeting the supervision requirements for the CSWM. No more than 50 hours of supervision may be provided through the use of technology. All supervision provided through the use of technology shall be synchronous, involve visual and audio interaction throughout the entire session, and shall take place in such a manner as to maintain the confidentiality of the communication.

History

• Authority G.S. 90B-6; 90B-7
• Temporary Adoption Eff. October 1, 1999
• Eff. July 1, 2000
• Amended Eff. October 1, 2012; January 1, 2009; September 1, 2005
• Readopted Eff. February 1, 2017
• Amended Eff. August 1, 2021.

21 NCAC 63 .0212 Duplicate Licenses or Certificates

A duplicate certificate or license shall be issued by the Board to a current certificate holder or licensee upon receipt of a written request and payment of a twenty-five dollar ($25.00) fee.

History

• Authority G.S. 90B-6; 90B-6.2
• Temporary Adoption Eff. October 1, 1999
• Eff. July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015.

21 NCAC 63 .0213 Temporary Licenses

(a) Pursuant to G.S. 90B-8(b), any nonresident clinical social worker certified, registered, or licensed in another jurisdiction desiring to obtain a temporary license from the Board shall make application to the Board. Applications not completed within two years of submission to the Board shall be denied. Application forms and instructions may be found on the Board's website at https://www.ncswboard.gov. A temporary license shall expire six months following the date of issuance and is not eligible for renewal. No individual shall hold more than one temporary license within a five-year period.

(b) An applicant pursuant to this Rule shall provide the following information on the application set forth in Paragraph (a) of this Rule:

(1) the applicant's name, contact information, signature, and date of signature;

(2) the social security number of the applicant;

(3) the requested designation of licensure type;

(4) the applicant's place of employment, the name of the applicant's supervisor, and the license number of the applicant's supervisor, if the supervisor holds a license to practice clinical social work;

(5) educational history and degree attainment;

(6) whether the applicant has ever been certified, licensed, or registered to practice social work by the Board, by another occupational board or agency, or in another state/jurisdiction and, if so:

(A) what credential was held;

(B) in what state/jurisdiction;

(C) the issuance date and expiration date; and

(D) what examinations were taken to obtain said certification, licensure, or registration;

(7) whether the applicant ever has had a credential denied, limited, reprimanded, suspended, or revoked;

(8) whether the applicant ever has been convicted of a felony or misdemeanor under any laws;

(9) whether any criminal charges are pending against the applicant;

(10) whether any court, board, agency, or professional organization has found the applicant guilty of misconduct, unprofessional conduct, dishonest or fraudulent practice, or incompetent practice;

(11) whether any charges are pending against the applicant before any court, board, agency, or professional organization for unprofessional conduct, dishonest or fraudulent practice, or incompetent practice;

(12) the applicant's certification that:

(A) the applicant has read the North Carolina General Statute 90B Social Worker Certification and Licensure Act, and the Board's rules, ethical guidelines, and disciplinary procedures, which are available on the Board's website at https://www.ncswboard.gov, and agrees to comply with them;

(B) the information provided by the applicant in the application is true;

(C) the applicant consents to a criminal history record check;

(D) the applicant's consent for the jurisdiction in which the applicant is licensed to release information to the Board related to the applicant's licensure status and practice of social work;

(E) the applicant has read and understands the public notice statement on employee misclassification that is set forth in the application and has disclosed any investigations for employee misclassification, and its results, over the preceding 12-month period, as prescribed by G.S. 143-789; and

(13) an application fee of twenty-five ($25.00) dollars.

(c) An applicant pursuant to this Rule shall provide a copy of the completed application set forth in Paragraph (b) of this Rule to the occupational board or agency in which the applicant is certified, licensed, or registered to practice social work. The applicant shall request that the occupational board or agency in which the applicant is certified, licensed, or registered to practice social work submit a form to the Board that contains the following:

(1) confirmation that the applicant's completed application as set forth in Paragraph (b) of this Rule is accurate, if known;

(2) whether the applicant obtained original licensure from the responding board or agency and, if not, the jurisdiction from which the applicant obtained original licensure;

(3) whether the responding board or agency has official transcripts, as prescribed in 21 NCAC 63 .0203, in its records for the applicant;

(4) whether the applicant graduated from an education program that is accredited by the Council on Social Work Education (CSWE), for which accreditation standards are available at www.cswe.org;

(5) whether the applicant was exempt from the jurisdiction's licensure requirements at the time the applicant received his or her certification, licensure, or registration to practice social work;

(6) whether the applicant took an ASWB examination to obtain licensure in the responding board or agency's jurisdiction and, if so, which examination;

(7) whether the applicant's licensure in the responding board or agency's jurisdiction is in good standing and, if not, the reason for which the licensure in not;

(8) whether the responding board or agency, any state agency, or any professional organization ever has found the applicant guilty of misconduct, unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, a copy of the documents adjudicating the applicant;

(9) whether any charges are pending against the applicant before the responding board or agency, any state agency, or any professional organization for unprofessional conduct, dishonest or fraudulent practice, or incompetent practice;

(10) whether the applicant completed any supervision of clinical practice that was approved by the responding board or agency and, if so:

(A) the dates of supervision;

(B) the total number of supervision hours recorded;

(C) the total number of practice hours recorded; and

(D) the name and license number of the applicant's supervisor;

(11) whether the responding agency or board has any additional comments regarding the applicant's fitness to practice clinical social work or licensure status; and

(12) the name, signature, date of signature, and contact information of the representative completing the information set forth in Paragraph (c) of this Rule, with the responding board or agency's seal affixed.

History

• Authority G.S. 90B-6; 90B-6.2; 90B-8
• Temporary Adoption Eff. October 1, 1999
• Eff. July 1, 2000
• Amended Eff. January 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. September 1, 2026; October 1, 2021.

21 NCAC 63 .0214 Certification and Licensure for Military Personnel and Military Spouses

(a) Upon receipt of a request for certification or licensure pursuant to G.S. 93B-15.1 from an applicant with military training and experience, the Board shall issue a certificate or license upon submission of the following to the Board:

(1) an application containing the information as described in 21 NCAC 63 .0202(b)(1) – (3), (6) – (12), and (16);

(2) written documentation to satisfy conditions set out in G.S. 93B-15.1(a); or

(3) written documentation to satisfy conditions set out in G.S. 93B-15.1(a2).

(b) Upon receipt of a request for certification or licensure pursuant to G.S. 93B-15.1 from a military spouse, the Board shall issue a certificate or license upon submission of the following to the Board:

(1) application information as described in 21 NCAC 63 .0202(b)(1) – (16); and

(2) written documentation to satisfy conditions set out in G.S. 93B-15.1(b).

(c) Military trained applicants and military spouse applicants may apply for a temporary license by submitting to the Board an application containing the information set forth in 21 NCAC 63 .0213(b)(1) – (12). Military spouse applicants seeking temporary licensure also must comply with 21 NCAC 63 .0213(c). A temporary license shall apply only to clinical licensure.

History

• Authority G.S. 90B-6(h); 93B-15.1
• Eff. February 1, 2017
• Amended Eff. October 1, 2021.

21 NCAC 63 .0215 Petition for Predetermination

(a) General. An individual seeking predetermination pursuant to G.S. 93B-8.1(b6) and this Rule may file with the Board a petition form located on the Board's website, https://www.ncswboard.gov.

(b) Petition Procedure. The petition form shall include all of the following information:

(1) The person's name;

(2) The last four digits of the person's social security number;

(3) The person's current residential address;

(4) The person's current mailing address;

(5) A nationwide criminal history record report from a reporting service designated by the Board, the cost of which shall be borne by the petitioner;

(6) For each crime identified in the criminal history record report, the following information:

(A) Whether the crime was a felony or misdemeanor;

(B) The date that the crime occurred;

(C) The date the person was convicted of, or plead guilty or nolo contendere to, the crime;

(D) The age of the person at the time of the crime;

(E) The circumstances surrounding the commission of the crime;

(F) The sentence imposed for the crime;

(G) The period of time during which the person was incarcerated for the crime, if any;

(H) The period of time during which the person was on probation or parole for the crime, if any;

(I) Any documentation related to the person's rehabilitation or employment since the date of the crime, if any;

(J) Whether the person has undergone any rehabilitative drug or alcohol treatment since the date of the crime;

(K) Whether a Certificate of Relief has been granted regarding the crime, pursuant to G.S. 15A 173.2; and

(L) Any affidavits or other written documents, including character references, for the person; and

(7) An affirmation under oath that the person has read the statutes and rules governing the practice of social work and that the information contained in the petition is true and accurate.

Incomplete petitions shall not be considered by the Board. If incomplete petitions received by the Board are not made complete within 30 days of receipt, the incomplete petitions will be returned to the person from whom the request was made.

(c) Petition Fee. A non-refundable petition fee of forty-five dollars ($45.00) shall accompany each petition. This fee may be paid by certified bank check or money order made payable to the North Carolina Social Work Certification and Licensure Board. Cash shall not be accepted.

(d) Delegation of Authority for Predetermination. The Board delegates authority for rendering predeterminations under this Rule to a committee of the Board that is tasked with reviewing disciplinary matters.

History

• Authority G.S. 90B-11; 93B-8.1
• Eff. February 1, 2020
• Amended Eff. September 1, 2026.

21 NCAC 63 .0301 Qualifying Examinations

(a) Any national examination selected by the Board shall serve to evaluate the qualifications of each applicant for certification or licensure. Any such examination shall be administered at least once a year.

(b) The Board examination required by G.S. 90B-7(b)(2) for the Certified Social Worker credential is the Association of Social Work Board ("ASWB") Bachelor level examination. The Board examination required by G.S. 90B-7(c)(2) for the Certified Master Social Worker credential is the ASWB Master level examination or the Academy of Certified Social Workers ("ACSW") examination. The Board examination required by G.S. 90B-7(d)(3) for the Licensed Clinical Social Worker credential is the ASWB Clinical level examination. The Board examination required by G.S. 90B-7(e)(3) for the Certified Social Worker Manager credential is the ASWB Advanced Generalist level examination if the applicant holds a Master's degree, or the ASWB Bachelor level examination if the applicant holds a Bachelor's degree.

History

• Authority G.S. 90B-6; 90B-7; 90B-8
• Eff. August 1, 1987
• Amended Eff. August 1, 1990
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. October 1, 2021.

21 NCAC 63 .0302 Reporting of Scores

Each applicant for certification or licensure shall be informed in writing whether he/she has passed the examination. If an applicant fails the examination, he/she may have his/her test hand-scored provided that a written request is received by the Board within five days of the date of the examination, and in accordance with the examining body selected by the Board.

History

• Authority G.S. 90B-6; 90B-8
• Eff. August 1, 1987
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. February 1, 2009; July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015.

21 NCAC 63 .0303 Retaking of Examination

An applicant who has not passed an examination shall be allowed to retake such examination upon paying the required examination fee of the cost of the examination plus forty dollars ($40.00).

History

• Authority G.S. 90B-6
• Eff. August 1, 1987
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015.

21 NCAC 63 .0304 Cancellation

History

• Status: repealed
• Authority G.S. 90B-6
• Eff. August 1, 1987
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Repealed Eff. October 1, 2021.

21 NCAC 63 .0305 Review of Examinations by Unsuccessful Applicants

(a) An applicant who has not successfully passed the certification or licensure exam may request a review in accordance with the policies and procedures of the examining body.

(b) An applicant's score shall not be changed by the Board, and any questions about the score shall be transmitted to the examining body for review.

History

• Authority G.S. 90B-6
• Eff. August 1, 1987
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. September 1, 2005; July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015.

21 NCAC 63 .0306 Examination Fees

An examination fee of forty dollars ($40.00) plus the cost of the examination to the Board shall be assessed for administration and processing of any written examination. Examination fees are nonrefundable.

History

• Authority G.S. 90B-6; 90B-6.2
• Eff. August 1, 1987
• Amended Eff. September 1, 1993
• Temporary Amendment Eff. January 1, 1996
• Amended Eff. April 1, 1997
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. October 1, 2021.

21 NCAC 63 .0401 Continuing Education Requirements

(a) Continuing education for certification or licensure renewal shall be required to maintain professional knowledge and technical competency. Social workers shall obtain 40 contact hours of Board-approved continuing education credits in accordance with this Rule within each two-year renewal cycle. For purposes of this Rule, a "contact hour" is defined as time spent actually receiving education, excluding breaks. If a certification or licensure is for less than a full two-year period, then social workers shall obtain 30 contact hours of Board-approved continuing education credits in accordance with this Rule. Continuing education credits shall be awarded as follows:

(1) continuing education units awarded that do not reflect contact hours or clock hours of instruction shall be awarded at the rate of one contact hour of credit for each continuing education unit;

(2) one academic course hour of credit shall be equal to 15 contact hours; and

(3) credit for auditing an academic course shall be for clock hours of instruction attended with one clock hour equal to one contact hour of credit.

(b) During each renewal period, all certified and licensed social workers shall engage in a minimum of four contact hours of continuing education focused on ethics related to social work practice and ethical decision-making.

(c) The following activities shall be approved for continuing education:

(1) academic social work courses taken for credit or audit;

(2) agency-based staff development, seminars, institutes, workshops, mini-courses or conferences oriented to social work practice, values, skills, and knowledge;

(3) cross-disciplinary offerings from medicine, law, and the behavioral/social sciences or other disciplines, if such offerings are related to social work practice, values, skills, and knowledge;

(4) distance learning activities, including online courses and home study courses that have been pre-approved by the Association of Social Work Boards (ASWB) or the National Association of Social Workers (NASW) and its associated state chapters. The maximum continuing education credit granted for distance learning activities is one-half of the required hours, up to a maximum of 20 contact hours per renewal period. Synchronous audio-video broadcasts allowing for real time interaction between the instructor and participants shall not be considered distance learning activities but as a face-to-face offering; and

(5) a group of professionals within the health and human services or related fields organized to come together to study a particular topic focusing on social work practice, provided the following can be documented:

(A) study topics;

(B) study materials;

(C) facilitator(s); and

(D) date(s) and hours of attendance.

(d) Continuing education focusing on practitioner self-care and well-being shall not exceed six contact hours of credit during a single renewal cycle.

(e) Up to five contact hours of credit shall be granted per renewal cycle for presenting a training focused on social work practice provided that:

(1) the Board receives confirmation from the organization for which the licensee presented that identifies the licensee as the presenter, confirms the title and date of the presentation, the length of the presentation, and number of attendees; and

(2) the dates of the presentation occur within the renewal cycle.

(f) Credit shall not be granted for:

(1) identical programs completed within the same renewal period;

(2) job orientation or training directed at procedural mandates such as health and safety practices, new hire training, and compliance training; or

(3) supervision and case consultation.

History

• Authority G.S. 90B-6; 90B-9
• Eff. August 1, 1987
• Amended Eff. September 1, 1993
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. January 1, 2009; September 1, 2005; April 1, 2001
• Readopted Eff. February 1, 2017
• Amended Eff. October 1, 2021.

21 NCAC 63 .0402 Forms

History

• Status: repealed
• Authority G.S. 90B-6; 90B-9
• Eff. August 1, 1987
• Temporary Repeal Eff. October 1, 1999
• Repealed Eff. July 1, 2000.

21 NCAC 63 .0403 Renewal Application and Fees

(a) To renew a certificate or license, a person must submit the following to the Board on or before the expiration of his or her certification or licensure:

(1) all fees as required in Paragraphs (b) and (c) of this Rule; and

(2) a Renewal Affidavit, as described in Paragraph (d) of this Rule.

(b) Fees for renewal of certificates or licenses are as follows:

(1) for Certified Social Workers (CSWs), the renewal fee is seventy dollars ($70.00).

(2) for Certified Master Social Workers (CMSWs), the renewal fee is ninety dollars ($90.00).

(3) for Licensed Clinical Social Workers (LCSWs), the renewal fee is one hundred and fifty dollars ($150.00).

(4) for Licensed Clinical Social Worker Associates (LCSWAs), the renewal fee is one hundred and forty dollars ($140.00).

(5) for Certified Social Work Managers (CSWMs), the renewal fee is one hundred and fifty dollars ($150.00).

(c) Persons whose applications for renewal are received by the Board after the renewal date of their certificate or license, but no later than 60 days after the renewal date, shall pay a late renewal fee of fifty dollars ($50.00) in addition to any other applicable fees. Renewal fees are nonrefundable.

(d) A Renewal Affidavit shall contain the following:

(1) the person's printed name, signature, and date;

(2) the person's contact information;

(3) the last four digits of the person's social security number and license number;

(4) whether the person's contact information has changed since the previous renewal;

(5) whether the person is requesting a duplicate license;

(6) a list of all continuing education hours taken since the last renewal application that provides the name of the course taken, the date on which the course was taken, the length of the course taken, and whether the course taken was distance learning or for ethics;

(7) the person's affirmation or certification that:

(A) he or she has engaged in at least 40 hours of continuing education activities, as described in 21 NCAC 63 .0401, in the preceding 24 months or in at least 30 hours of continuing education activities if the renewal term is less than 2 years;

(B) he or she has engaged in at least four hours of continuing education focused on ethics related to social work practice and ethical decision making in the preceding certificate or license cycle;

(C) his or her ability to perform his or her professional responsibilities is not impaired in any way or by the use of alcohol, prescription or non-prescription drugs, or other controlled substances;

(D) he or she has not been convicted of a misdemeanor or felony crime since his or her last renewal or, if he or she has, an explanation of the conviction is provided, and that the person consents to a criminal background check by the Board;

(E) he or she has reviewed and agree to comply with the Social Work Certification and Licensure Act and Title 21, Chapter 63 of the North Carolina Administrative Code;

(F) he or she has not violated Section .0500 of this Chapter of the North Carolina Administrative Code;

(G) he or she understands that renewal of his or her certification or license is subject to a Continuing Education audit and he or she agree to comply with an audit request from the Board;

(H) the information in the Renewal Affidavit is accurate, that the Board may verify and investigate such information, and that any material omission or misrepresentation is grounds for the Board's refusal to renew a license or certification; and

(I) he or she has read and understands the public notice statement on employee misclassification that is set forth in the Renewal Affidavit and has disclosed any investigations for employee misclassification, and its results, over the preceding 12-month period, as prescribed by G.S. 143-789.

History

• Authority G.S. 90B-6; 90B-6.2; 90B-9(b); 90B-11
• Eff. August 1, 1987
• Amended Eff. August 1, 1990
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. January 1, 2014; August 1, 2012; January 1, 2009; March 1, 2006; July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. October 1, 2021.

21 NCAC 63 .0404 reinstatement

(a) Persons who apply for reinstatement after their certificate or license was suspended for failure to renew shall submit the following to the Board:

(1) a reinstatement fee of one hundred and fifty-five dollars ($155.00) in addition to any renewal fee or late renewal fee owed pursuant to G.S. 90B-6.2;

(2) a Renewal Affidavit, as described in 21 NCAC 63 .0403(d);

(3) a current application for certification or licensure, as described in 21 NCAC 63 .0202; and

(4) three professional reference forms, as described in 21 NCAC 63 .0204.

(b) Persons who apply for reinstatement after temporary retirement from the practice of social work pursuant to G.S. 90B-9.1 shall submit the following to the Board:

(1) a renewal fee pursuant to G.S. 90B-6.2; and

(2) a Renewal Affidavit, as described in 21 NCAC 63 .0403(d).

(c) Applicants desiring to reinstate LCSWA shall comply with G.S. 90B-7(f) by completing all requirements for full licensure as LCSW within six years, inclusive of any time spent on nonpracticing status pursuant to G.S. 90B-9.1 or suspension for failure to renew.

History

• Authority G.S. 90B-6; 90B-6.2; 90B-9; 90B-9.1
• Temporary Adoption Eff. October 1, 1999
• Eff. July 1, 2000
• Amendment Eff. August 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. October 1, 2021.

21 NCAC 63 .0405 Required Reporting by Licensee or Certificate Holder of Changes to Board

(a) Each licensee or certificate holder shall notify the Board in writing of any of the following changes within 30 days of the effective date of the change:

(1) change of the licensee's or certificate holder's name, which shall be accompanied by documentation such as a certified marriage certificate or driver's license;

(2) change in the licensee's or certificate holder's residence or business address, including street and mailing address;

(3) change in the licensee's or certificate holder's residence or business telephone number; and

(4) any adverse action or disciplinary action against a licensee or certificate holder from a licensing board, professional certifying body, or professional organization for any conduct described in G.S. 90B-11(a).

(b) Within 30 days of the effective date of a disposition in a criminal matter in which the licensee or certificate holder is a defendant, including driving under the influence, each licensee or certificate holder shall send to the Board a certified copy of any plea of guilty, finding of guilty, plea of nolo contendere, or deferred judgment.

(c) The licensee's or certificate holder's failure to report to the Board the dispositions addressed by Subparagraph (a)(4) or Paragraph (b) of this Rule shall be considered a violation of the Ethical Guidelines as set forth in Section .0500 of this Chapter.

History

• Authority G.S. 90B-6; 90B-11
• Eff. September 1, 2005
• Amended Eff. January 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. October 1, 2021.

21 NCAC 63 .0406 Military Waiver or Extension of Time for Renewal of Certification or Licensure

(a) To request an extension of time to pay a license renewal fee pursuant to G.S. 93B-15, the licensee or certificate holder shall submit a written request for extension to the Board with a copy of the social worker's military orders and the extension approval granted by the Internal Revenue Service or the State Department of Revenue to file a tax return prior to the expiration of the license or certificate.

(b) Licensees and certificate holders that have qualified for military waiver or extension are not required to take continuing education courses during any period of extension granted by the Board under this Rule. If the licensee or certificate holder chooses to take continuing education courses during a Board-approved period of extension, any continuing education credits approved during the extended time period shall not be utilized for future renewal periods.

History

• Authority G.S. 90B-6; 90B-6.2; 93B-15
• Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. October 1, 2021.

21 NCAC 63 .0501 Purpose and Scope

(a) Ethical principles affecting the practice of social work are rooted in the basic values of society and the social work profession. The principal objective of the profession of social work is to enhance the dignity and well-being of each individual who seeks its services. It does so through the use of social work theory and intervention methods including case management, advocacy, community organization, administration, and psychotherapy.

(b) The primary goal of the rules in this Section is to set forth principles to guide social workers' conduct in their profession. Violation of these Rules may be considered gross unprofessional conduct and may constitute dishonest practice or incompetence in the practice of social work. Such violations may result in disciplinary action by the Board.

(c) The rules in this Section serve as a standard for social workers in their various professional roles, relationships and responsibilities. Social workers shall consider all the principles in the rules in this Section that bear upon any situation in which ethical judgment is to be exercised, and shall select a course of action consistent with the rules in this Section.

(d) Upon approval of certification or licensure, each applicant shall review the rules in this Section and return a signed statement to the Board agreeing to abide by these Rules.

History

• Authority G S. 90B-6; 90B-11
• Eff. August 1, 1987
• Amended Eff. March 1, 1994
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. September 1, 2005; July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015.

21 NCAC 63 .0502 Practice and Conduct

History

• Status: repealed
• Authority G.S. 8-53.7; 90B-2
• Eff. August 1, 1987
• Repealed Eff. March 1, 1994.

21 NCAC 63 .0503 General Professional Responsibilities

(a) Social workers shall engage in practice only in accordance with their training and experience. They shall represent to clients, colleagues, and the general public their abilities, education, training, credentials, and experience. They shall engage in continuing professional education prior to engaging in a new area of practice.

(b) In the event that the employment policies or practices of social workers' employers are contrary to the Ethical Guidelines set forth in Section .0500 of this Chapter, social workers shall comply with the Ethical Guidelines.

(c) Social workers shall not practice or facilitate any form of discrimination on the basis of race, sex, sexual orientation, gender, age, religion, socioeconomic status, medical diagnoses, or national origin while practicing social work or while holding themselves out as social workers to the public.

(d) Social workers shall practice their profession in compliance with federal, State, or local laws impacting the practice of social work.

(e) Social workers shall not engage in settlement agreements that preclude reporting of ethical misconduct to the Board.

History

• Authority G.S. 90B-6; 90B-11
• Eff. March 1, 1994
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. October 1, 2021.

21 NCAC 63 .0504 Responsibilities in Professional Relationships

(a) Social workers shall not misuse their professional relationships sexually, financially, or for any other personal advantage. They shall maintain this standard of conduct toward all who are professionally associated with them such as clients, colleagues, supervisees, employees, students, and research participants.

(b) Social workers shall inform clients of the extent and nature of services available to them as well as the limits, rights, opportunities, and obligations associated with service that might affect the client's decision to enter into or continue the relationship.

(c) Social workers shall obtain consent to participate in social work intervention from all clients or their legally authorized representative except when judicial orders require intervention to ensure the client's and community's safety and protection.

(d) Social workers shall terminate a professional relationship with a client when it is determined by the social worker, the client, or any entity with legal authority over client's care that the client is not likely to benefit from continued services or the services are no longer needed. The social worker who anticipates the termination or interruption of services shall give prior notice to the client as soon as possible. The social worker shall provide referrals as needed or upon the request of the client. A social worker shall not terminate a professional relationship for the purpose of beginning a personal or business relationship with a client.

(e) Social workers shall respect the integrity, protect the welfare, and maximize self-determination of clients they serve, in accordance with the level and type of care that a competent social worker would provide under the circumstances. They shall avoid entering treatment relationships in which their professional judgment will be compromised by the prior association with or knowledge of a client. Examples include treatment of one's family members, friends, associates, employees, or others whose welfare could be jeopardized by such a dual relationship.

(f) Social workers shall not initiate, and shall avoid personal relationships or dual roles with current clients, or with any former clients whose feelings toward the social worker may be derived from or influenced by the former professional relationship. When a social worker may not avoid a personal relationship with a client or former client, the social worker shall take appropriate precautions, such as documented discussion with the client or former client about the relationship, consultation, or supervision to ensure that the social worker's objectivity and professional judgment are not impaired. In instances when dual or multiple relationships are unavoidable, social workers shall set boundaries that take into consideration the client's age, race, sex, gender, sexual orientation, religion, socioeconomic status, national origin, and medical diagnoses.

(g) Social workers shall not engage in sexual activities with clients or former clients. A social worker shall not engage in or request electronic, verbal, or physical sexual contact with a client or former client under any circumstances. For the purposes of this Rule, "sexual contact" means behavior relating to sexual activities including intentional touching, either directly or through the clothing.

(h) Social workers shall act in accordance with G.S. 90B and these Rules in regard to relationships with clients or former clients. A client's or former client's initiation of a personal, sexual, or business relationship shall not be a defense by the social worker for failing to act in accordance with G.S. 90B and these Rules.

History

• Authority G.S. 90B-6; 90B-11
• Eff. March 1, 1994
• Amended Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. October 1, 2021.

21 NCAC 63 .0505 Relationships with Colleagues

Social workers shall act with integrity in their relationships with colleagues and other professionals. They shall consider the practice areas and knowledge or expertise of other professionals to whom they make referrals and with whom they collaborate in serving clients.

(1) When expressing judgment on the views, qualifications and findings of colleagues, social workers shall not misrepresent the colleague's license level, degree, or other professional qualification in any written or oral communication and shall avoid the use of demeaning or derogatory language.

(2) Social workers shall maintain knowledge of the professional and community resources available to the client population they serve and when referring clients, social workers shall refer to professionals and community resources that are able to provide the services required.

(3) If a social worker's services are sought by an individual who is already receiving similar services from another professional, the client's welfare shall be the primary consideration before agreeing to provide services. To minimize confusion and conflict, social workers shall discuss with the prospective client the nature of the existing professional relationship, the client's needs, the therapeutic issues involved, and the benefits and risks associated with entering into a relationship with a new service provider.

(4) Social workers shall provide competent professional guidance to colleagues, employees, supervisees, and students. They shall foster working conditions that provide fairness, privacy and protection from physical or mental harm. Social workers supervising associate licensees shall evaluate without bias, the work performance of those under their supervision, and share evaluations with supervisees. Social workers shall not engage in sexual relationships with supervisees, students, trainees, or other colleagues over whom they exercise professional authority. They shall not abuse the power inherent in their supervisory position for personal or financial gain.

(5) A social worker certified or licensed under this Chapter who has knowledge of conduct that would constitute grounds for disciplinary action under this Chapter, or the Chapter governing the practice of another licensed healthcare provider, shall report the conduct to the licensing authority that oversees the healthcare provider believed to be engaged in misconduct. Social workers shall provide information to assist colleagues defending themselves against allegations of unethical or incompetent practice.

History

• Authority G.S. 90B-6; 90B-11
• Eff. March 1, 1994
• Readopted Eff. February 1, 2017
• Amended Eff. October 1, 2021.

21 NCAC 63 .0506 Remuneration

(a) Financial arrangements shall be explicitly established and agreed upon by the social worker and the client in the initial stage of intervention.

(b) Social workers shall not give or receive any fee or other consideration to or from a third party for referrals. Clinical social workers may, however, participate in contractual arrangements in which they agree to discount their fees.

(c) Social workers employed by an agency or clinic and also engaged in private practice shall conform to agency regulations regarding private practice.

(d) Legal measures to collect fees may be taken if a client does not pay for services as agreed, provided notice of such action is given beforehand.

History

• Authority G.S. 90B-6; 90B-11
• Eff. March 1, 1994
• Amended Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015.

21 NCAC 63 .0507 Confidentiality and Record Keeping

(a) Social workers shall protect the client's right to confidentiality as established by law.

(b) Social workers shall reveal confidential information to others only with the informed consent of the client, except in those circumstances in which not to do so would violate other laws or would result in clear and imminent danger to the client or others. Unless specifically contraindicated by such situations, clients shall be informed and written consent shall be obtained from clients, or their legally authorized representative, before confidential information is revealed.

(c) When confidential information is used for the purpose of professional education, research, or consultation, the identity of the client shall be concealed. Presentations shall be limited to material necessary for the professional purpose.

(d) Social workers shall maintain records adequate to provide proper diagnosis and treatment and to fulfill other professional responsibilities.

(e) Social workers shall take precautions to protect the confidentiality of material stored or transmitted through computers, electronic mail, facsimile machines, telephones, telephone answering machines, and all other electronic or computer technology. When using these technologies, disclosure of identifying and confidential information regarding current client(s) or former client(s) shall be avoided whenever possible.

History

• Authority G.S. 90B-6; 90B-11
• Eff. March 1, 1994
• Temporary Amendment Eff. October 1, 1999
• Temporary Amendment Expired July 28, 2000
• Amended Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015.

21 NCAC 63 .0508 Pursuit of Research and Scholarly Activities

In planning, conducting, and reporting a study with human subjects, the social worker acting as an investigator shall evaluate the ethical acceptability in accordance with this Rule. To the extent that this evaluation, weighing scientific and humane values, suggests a compromise of ethical principles, the investigator shall protect the rights of the research participants.

(1) Social workers shall obtain authorization from administrative superiors and clients who agree to be subjects in the study. Social workers shall also acknowledge any other persons who contribute in a scholarly manner to their research in any reports concerning their research, whether published or unpublished.

(2) The social worker acting as an investigator shall establish with the research participant an agreement clarifying each person's roles and responsibilities.

(3) The rights of an individual to decline to participate in or withdraw from the research shall be respected and the participant shall not be penalized for such action.

(4) The social worker acting as an investigator shall give the individual information about the manner in which the research may affect the individual, in order for the individual to give his or her informed consent for participation in the study.

(5) Identifying information obtained about the participant during the course of the study shall be confidential unless informed consent for release of information is obtained in advance.

(6) Research findings shall be presented accurately. Social workers shall not distort or misrepresent research.

History

• Authority G.S. 90B-6; 90B-11
• Eff. March 1, 1994
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. October 1, 2021.

21 NCAC 63 .0509 Public Statements

(a) Social workers shall state without misrepresentation their professional qualifications, affiliations, and functions, as well as those of the institutions or organizations with which they or their statement may be associated. When social workers are made aware of misrepresentations by others with respect to these matters, social workers shall make efforts to correct the misrepresentations.

(b) In announcing availability for professional services, a social worker shall use the licensee or certificate holder's name, type, and level(s) of certification and licensure; and may use highest academic degree related to the field of social work from an accredited institution; specialized post-graduate training; address and telephone number; office hours; type of services provided; accurate fee information; foreign languages spoken; and policy with regard to third-party payments.

(c) Social workers shall not offer to perform any service beyond the scope permitted by law or beyond the scope of their competence. They shall not engage in any form of advertising that is false, fraudulent, deceptive, or misleading. They shall neither solicit nor use recommendations or testimonials from clients.

(d) Social workers shall respect the rights and reputations of professional organizations with which they are affiliated. They shall not falsely imply sponsorship or certification by such organizations. When making public statements, the social worker shall distinguish personal opinions from authorized statements on behalf of an organization.

(e) Social workers shall display their license or certificate at the social worker's primary place of practice as required by G.S. 90B-15.

History

• Authority G.S. 90B-6; 90B-11; 90B-15
• Eff. March 1, 1994
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. January 1, 2009; July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. October 1, 2021.

21 NCAC 63 .0601 Grounds for Disciplinary Procedures

The following conduct constitutes a violation of G.S. 90B-11:

(1) offering a check to the Board in payment of required fees that is returned unpaid as a result of non-payment attributable to the payor;

(2) obtaining or attempting to obtain compensation by fraud or deceit;

(3) submitting false documents to the Board, such as those related to continuing education audits or submitted as a part of the application or renewal process; and

(4) violating any order of the Board.

History

• Authority G.S. 90B-2; 90B-6; 90B-11
• Eff. August 1, 1987
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. October 1, 2021.

21 NCAC 63 .0602 Investigation

(a) Any person who has reason to believe that a social worker has violated the laws governing the practice of social work may file a complaint with the Board. Anyone wishing to file a complaint shall file a form with the Board office that contains the following information:

(1) the complainant's name and contact information;

(2) the name, contact information, and license number of the social worker about whom the complainant wishes to file the complaint;

(3) a narrative of the facts about which the complaint relies;

(4) identification of the statutes or rules that were allegedly violated, if known;

(5) identification of the individuals and their contact information who may have information to support the complaint;

(6) identification of any documents that may support the complaint; and

(7) the complainant's affirmation that:

(A) the complainant has read and understands the ethics standards and disciplinary procedures of the Board, which are available on the Board's website at https://www.ncswboard.gov;

(B) the information provided by the complainant is true, based on the complainant's personal knowledge, or based upon information that the complainant believes to be true; and

(C) the complainant is aware that the social worker about whom the complaint is filed shall be made aware of the complaint and when the complaint may be disclosed as a public record; and

(8) the complainant's signature and the date when the complaint is made.

(b) Upon receipt of a complaint, the Board shall notify the social worker against whom the complaint was filed, noting the report of a violation and the specific rule or statute brought into question.

(c) Upon receipt of a complaint, the Board, its staff, or designee(s) shall determine whether more information or evidence is needed to show whether a person certified or licensed by the Board has violated any provision of G.S. 90B or the rules of this Chapter. If more information or evidence is deemed necessary, the Board, its staff, or designee(s) shall conduct an investigation.

(d) The complainant and social worker against whom a complaint was filed shall be notified in writing of the Board's decision as to whether an investigation is warranted.

(e) The Board may initiate its own complaint and conduct an investigation of a suspected violation if the Board obtains information tending to show that a violation of G.S. 90B or the rules of this Chapter has occurred.

(f) Any Board member who conducts the investigation of a specific case shall not participate in the Board's adjudication of that case.

History

• Authority G.S. 90B-6; 90B-11
• Eff. September 1, 1989
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. September 1, 2026; October 1, 2021.

21 NCAC 63 .0603 Notice of Charges and Hearing

(a) If an investigation conducted in accordance with Rule .0602 of this Section produces any evidence tending to show a violation of G.S. 90B or these Rules, the Board shall initiate disciplinary proceedings. Disciplinary proceedings conducted by the Board are governed by Article 3A of Chapter 150B of the NC General Statutes. Prior to any Board action, written notice containing the information required by G.S. 150B-38(b) shall be sent to the social worker involved and the complainant, if the disciplinary proceeding was initiated by a complainant.

(b) Nothing in this Rule shall prevent the Board from summarily suspending a certificate or license in accordance with G.S. 150B-3(c) if the Board determines that the public health, safety, or welfare requires emergency action.

History

• Authority G.S. 90B-6; 90B-11; 150B-38
• Eff. September 1, 1989
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. October 1, 2021.

21 NCAC 63 .0604 Location of Hearing

History

• Status: repealed
• Authority G.S. 90B-6(h); 150B-9
• Eff. September 1, 1989
• Temporary Repeal Eff. October 1, 1999
• Repealed Eff. July 1, 2000.

21 NCAC 63 .0605 Intervention

The intervention of persons not initially parties to a contested case is governed by G.S. 150B-38(f). Petitions or motions to intervene must be in writing. The Board shall promptly determine whether to grant or deny intervention and shall so notify the petitioner and all parties in writing.

History

• Authority G.S. 90B-6(h); 150B-38(f); S.L. 1999-313
• Eff. September 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015.

21 NCAC 63 .0606 Subpoenas

The authority of the Board to issue or revoke subpoenas in preparation for, or in the conduct of, contested cases is governed by G.S. 150B-39. If a subpoena is issued at the request of a party and not on the Board's own motion, that party shall bear the cost of service.

History

• Authority G.S. 90B-6(h); 150B-39(c); S.L. 1999-313
• Eff. September 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015.

21 NCAC 63 .0607 Conduct of Hearing

(a) The Chairperson shall serve as presiding officer unless the Chairperson is absent or disqualified in accordance with Paragraph (b) of this Rule, in which case the Vice-chairperson shall preside.

(b) An affidavit seeking disqualification of any Board member, if filed in good faith and in a timely manner, will be ruled on by the remaining members of the Board. An affidavit is considered timely if it is filed:

(1) prior to the hearing; or

(2) as soon after the commencement of the hearing as the affiant becomes aware of the facts that give rise to the belief that a Board member should be disqualified.

History

• Authority G.S. 90B-6(h); 150B-40
• Eff. September 1, 1989
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. October 1, 2021.

21 NCAC 63 .0608 Decision of Board

(a) Upon the conclusion of a disciplinary proceeding noticed pursuant to 21 NCAC 63 .0603 and if so moved by two Board members, the Board shall deliberate on whether an applicant, certificate holder, or licensee involved has violated a statute or rule the Board has the authority to enforce, and what appropriate disciplinary action, if any, should be taken against the applicant, certificate holder, or licensee involved.

(b) If the Board reaches a decision on the issues set forth in Paragraph (a) of this Rule immediately upon the conclusion of the disciplinary proceeding, the Board shall announce the decision but shall provide the parties with an opportunity to submit proposed findings of fact and exceptions to the decision to the Board's office within 15 days. The Board may allow additional time for good cause shown or upon mutual agreement by the parties. For purposes of this Rule, "good cause" shall be determined by the length of the hearing, the complexity of the issues involved, and the availability of the parties.

(c) If the Board does not reach a decision on the issues set forth in Paragraph (a) of this Rule immediately upon the conclusion of the disciplinary proceeding, the Board shall provide the parties an opportunity to submit proposed findings of fact and conclusions of law to the Board's office within fifteen days, unless additional time is allowed by the Board for good cause shown or upon mutual agreement by the parties. The Board shall deliberate on the issues set forth in Paragraph (a) of this Rule at its next Board meeting following the parties' deadline to submit the proposed findings of fact and conclusions of law.

(d) Following the expiration of the time allowed for the parties to submit proposed findings and exceptions, the Board shall make a written final agency decision in accordance with G.S. 150B-42.

(e) Disciplinary costs shall be assessed against an applicant, certificate holder, or licensee in a written final agency decision as set forth in G.S. 90B-11 when:

(1) the licensee previously has rejected a consent order offered by the Board to resolve the disciplinary matter;

(2) the licensee previously has been disciplined by the Board pursuant to G.S. 90B-11, previously received a non-disciplinary letter of caution, or previously received a non-disciplinary Consent Order from the Board for the same conduct at issue in disciplinary proceeding;

(3) the Board finds that the licensee's conduct or defense at hearing was dilatory or not asserted in good faith; or

(4) the Board denies, suspends, or revokes an application, certificate, or license.

Disciplinary costs shall equal three hundred dollars ($300.00) per hour for time spent by the Board conducting a hearing that results in disciplinary action and for time spent by the Board deliberating on a disciplinary proceeding, with a minimum charge of three hundred dollars ($300.00) for the first hour or portion thereof, and then prorated thereafter for each half-hour

History

• Authority G.S. 90B-6(h); 90B-11; 150B-38; 150-42
• Eff. September 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. October 1, 2021.

21 NCAC 63 .0609 Reporting of Disciplinary Actions

(a) In accordance with 45 CFR 60.9, the Board shall report disciplinary actions specified in G.S. 90B-11 to the National Practitioner Data Bank. 45 CFR 60.9 is hereby incorporated by reference, including subsequent amendments and additions, and can be found at https://www.govinfo.gov/content/pkg/CFR-2007-title45-vol1/pdf/CFR-2007-title45-vol1-sec60-9.pdf at no cost.

(b) For purposes of this Rule and G.S. 90B-11, the following matters constitute disciplinary actions:

(1) injunctions for unlicensed practice;

(2) issuance of a cease and desist order;

(3) revocation;

(4) suspension;

(5) censure;

(6) reprimand;

(7) probation;

(8) withdrawal or denial of initial applications or reapplications proximate to an ethics matter;

(9) surrender of certification or license during an investigation;

(10) practice limitations connected to the delivery of health care services as defined by 45 CFR 60.3; and

(11) limitations on the right of a licensee or certificate holder to supervise.

(c) For purposes of this Rule, the following matters shall not constitute disciplinary actions:

(1) monitoring independent of restrictions or discipline;

(2) letters of concern; and

(3) complaints.

History

• Authority G.S. 90B-6(h); 90B-11
• Temporary Adoption Eff. October 1, 1999
• Eff. July 1, 2000
• Amended Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. October 1, 2021.

21 NCAC 63 .0610 Continuances

(a) Motions for a continuance of a hearing shall be reviewed in accordance with the North Carolina Rules of Civil Procedure as set forth in G.S. 1A-1, Rule 40(b). The Board is not required to grant a motion to continue. All motions for continuance shall be addressed to the presiding officer.

(b) In determining whether good cause exists as set forth in G.S. 1A-1, Rule 40, the presiding officer shall consider the ability of the party requesting a continuance to proceed without a continuance.

(c) Motions for a continuance shall be in writing and shall be received in the office of the Board no less than seven calendar days before the hearing date.

(d) A motion for a continuance shall be denied if a continuance has been previously granted unless the reason for the motion could not have been ascertained earlier.

History

• Authority G.S. 90B-6(h); 150B-38(h)
• Eff. February 1, 2017
• Amended Eff. October 1, 2021.

21 NCAC 63 .0701 Petitions for Adoption of Rules

Rule-making petitions shall be sent to the executive director of the Board. The rule-making petition shall state the petitioner's name and address and shall contain the information required by G.S. 150B-20(a). The petitioner also may submit the following additional information:

(1) the reason for the proposal;

(2) data supporting the proposed rule;

(3) practices likely to be affected by the proposed rule; and

(4) persons likely to be affected by the proposed rule.

History

• Authority G.S. 90B-6(h); 150B-20
• Eff. September 1, 1989
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. January 1, 2014; July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. October 1, 2021.

21 NCAC 63 .0702 Procedure for Adoption of Rules

History

• Status: repealed
• Authority G.S. 90B-6; 150B-21.2
• Eff. September 1, 1989
• Temporary Amendment Eff. October 1, 1999
• Repealed Eff. April 1, 2001.

21 NCAC 63 .0703 Temporary Rules

History

• Status: repealed
• Authority G.S. 90B-6(h); 150B-21.1
• Eff. September 1, 1989
• Temporary Amendment Eff. October 1, 1999
• Amendment Eff. July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Repealed Eff. October 1, 2021.

21 NCAC 63 .0704 Declaratory Rulings

(a) General. The Board shall respond to requests for declaratory rulings in accordance with G.S. 150B-4.

(b) Contents of a Request for Declaratory Ruling. A request for a declaratory ruling shall be in writing and addressed to the executive director of the Board. The request shall contain the following information:

(1) the name and address of the person making the request;

(2) the statute, rule, or order to which the request relates;

(3) a statement of the need for a declaratory ruling as set forth in G.S. 150B-4(a); and

(4) a statement as to whether a hearing is desired, and if desired, the reason therefore.

(c) Refusal to Issue Ruling. The Board shall refuse to issue a declaratory ruling under the following circumstances:

(1) when the Board has already made a controlling decision on similar facts in a contested case;

(2) when the facts underlying the request for a ruling were considered at the time of the adoption of the Rule in question; or

(3) when the subject matter of the request is involved in any pending litigation in North Carolina.

History

• Authority G.S. 90B-6(h); 150B-4
• Eff. September 1, 1989
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. January 1, 2014; July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. October 1, 2021.

21 NCAC 63 .0705 Insufficient Fees

(a) The Board shall charge the maximum processing fee allowed by G.S. 25-3-506 if a check submitted to the Board is returned by a financial institution because of insufficient funds or because the drawer did not have an account at that bank.

(b) Until such time as the drawer of the bad check has paid the prescribed fee, the drawer shall not be eligible to take an examination, obtain a license, or have the license renewed. For the purpose of this Rule, "prescribed fee" shall mean the sum of:

(1) the maximum processing fee allowed by G.S. 25-3-506;

(2) the renewal or application fee, whichever is applicable; and

(3) any late fee, as set forth in Rule .0403 of this Chapter.

(c) Any license that has been issued or renewed based on a check that is returned to the Board shall be invalid until such time as the drawer has paid the prescribed fee. The invalidity of the license or renewal shall commence on the date of the issuance of the license or renewal.

(d) Payment of the prescribed fee to the Board shall not be paid by personal check or cash.

History

• Authority G.S. 90B-6(g); 90B-6.2(b)
• Eff. October 1, 2021.

21 NCAC 63 .0801 Reporting Complaints

History

• Status: repealed
• Authority G.S. 90B-6; 90B-11
• Eff. March 1, 1994
• Temporary Repeal Eff. October 1, 1999
• Repealed Eff. July 1, 2000.

21 NCAC 63 .0802 cONFIDENTIALITY

History

• Status: repealed
• Authority G.S. 90B-6; 90B-11
• Eff. March 1, 1994
• Temporary Repeal Eff. October 1, 1999
• Repealed Eff. July 1, 2000.

21 NCAC 63 .0803 iNVESTIGATION

History

• Status: repealed
• Authority G.S. 90B-6; 90B-11
• Eff. March 1, 1994
• Temporary Repeal Eff. October 1, 1999
• Repealed Eff. July 1, 2000.

21 NCAC 63 .0804 nOTICE OF hEARING AND cHARGES

History

• Status: repealed
• Authority G.S. 90B-6; 90B-11
• Eff. March 1, 1994
• Temporary Repeal Eff. October 1, 1999
• Repealed Eff. July 1, 2000.

21 NCAC 63 .0805 iNFORMAL CONFERENCE

History

• Status: repealed
• Authority G.S. 90B-6; 90B-11
• Eff. March 1, 1994
• Temporary Repeal Eff. October 1, 1999
• Repealed Eff. July 1, 2000.

21 NCAC 63 .0806 Hearings

History

• Status: repealed
• Authority G.S. 90B-6; 90B-11
• Eff. March 1, 1994
• Temporary Repeal Eff. October 1, 1999
• Repealed Eff. July 1, 2000.

21 NCAC 63 .0807 dECISION OF THE BOARD

History

• Status: repealed
• Authority G.S. 90B-6; 90B-11
• Eff. March 1, 1994
• Temporary Repeal Eff. October 1, 1999
• Repealed Eff. July 1, 2000.

21 NCAC 63 .0808 Summary Suspension

History

• Status: repealed
• Authority G.S. 90B-6; 90B-11
• Eff. March 1, 1994
• Temporary Repeal Eff. October 1, 1999
• Repealed Eff. July 1, 2000.

21 NCAC 63 .0809 The Public Record

History

• Status: repealed
• Authority G.S. 90B-6; 90B-11
• Eff. March 1, 1994
• Temporary Repeal Eff. October 1, 1999
• Repealed Eff. July 1, 2000.

21 NCAC 63 .0810 Waiver

History

• Status: expired
• Authority G.S. 90B-6
• Emergency Adoption Eff. April 8, 2020
• Temporary Adoption Eff. June 26, 2020
• Temporary Adoption Expired Eff. April 11, 2021.

21 NCAC 63 .0820 Disciplinary Actions

History

• Status: repealed
• Authority G.S. 90B-6; 90B-11
• Eff. March 1, 1994
• Temporary Repeal Eff. October 1, 1999
• Repealed Eff. July 1, 2000.

21 NCAC 63 .0901 Applications for a Certificate of Registration

(a) Licensed clinical social workers who wish to form a Professional Corporation or Professional Limited Liability Company must apply to the Board for a Certificate of Registration in accordance with this Rule, pursuant to Chapter 55B of the North Carolina General Statutes.

(b) All applications for a Certificate of Registration for Professional Corporation shall include the fee described in Paragraph (d) of this Rule and provide the following:

(1) the name and address of the proposed business;

(2) the purpose of the proposed business;

(3) the name, address, profession, and license number of each proposed stock owner;

(4) the percentage of shares to be owned by each proposed stock owner;

(5) the name, address, profession, and license number of each proposed director;

(6) the name, address, profession, and license number of each proposed corporate officer;

(7) the name, address, profession, and license number of each proposed professional employee;

(8) the contact information of the person completing the application; and

(9) notarized signatures from the business's incorporators and an attestation that:

(A) they have read the Board's governing statutes and rules;

(B) there are no disciplinary actions pending against any of the business's incorporators, officers, directors, stockholders, or employees;

(C) the business is being incorporated under the provisions of Chapter 55B of the North Carolina General Statutes; and

(D) the business will be conducted in compliance with the Professional Corporation Act and the laws governing licensees of the Board.

(c) All applications for a Certificate of Registration for Professional Limited Liability Company shall include the fee described in Paragraph (d) of this Rule and provide the following:

(1) the name and address of the proposed business;

(2) the purpose of the proposed business;

(3) the name, address, profession, and license number of each proposed shareholder;

(4) the percentage of shares to be owned by each proposed shareholder;

(5) the name, address, profession, and license number of each proposed director;

(6) the name, address, profession, and license number of each proposed member;

(7) the name, address, profession, and license number of each proposed professional employee;

(8) the contact information of the person completing the application; and

(9) notarized signatures from the business's organizers and an attestation that:

(A) they have read the Board's governing statutes and rules;

(B) there are no disciplinary actions pending against any of the business's organizers, members, managers, or employees;

(C) the business is being organized under the provisions of Chapter 57D of the North Carolina General Statutes; and

(D) the business will be conducted in compliance with Chapter 57D of the North Carolina General Statutes and the laws governing licensees of the Board.

(d) The following non-refundable fees apply:

(1) fifty dollars ($50.00) – application fee for a certificate of registration for a professional corporation or limited liability company; and

(2) twenty-five dollars ($25.00) – annual renewal fee for the certificate of registration for a professional corporation or limited liability company.

History

• Authority G.S. 55B-10; 55B-11; 55B-12; 57D-2-02; 90B-6; 90B-11
• Eff. January 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. October 1, 2021.

21 NCAC 63 .0902 Renewal of Certificate of Registration

(a) Social workers who have registered their business with the Board in accordance with 21 NCAC 63 .0901 shall renew annually their Certificate of Registration issued by the Board on or before January 1 of each year. Applications for Renewal of Certificates of Registration shall provide the following:

(1) whether there has been any change to the business since the last renewal of the Certificate of Registration;

(2) identification of changes to the business since its last submission to the Board office, if any were made;

(3) whether the business has ceased operation and, if so, a copy of the articles of dissolution;

(4) the name, contact information, and license number of the licensees who are owners, members, or shareholders of the business;

(5) the name, address, and certificate of registration number of the business;

(6) applicant's signature and the date signed; and

(7) a non-refundable fee of twenty-five dollars ($25.00).

(b) A Certificate of Registration shall be suspended for failure to renew within 30 days after the expiration date and shall be reported to the Office of the Secretary of State.

History

• Authority G.S. 55B-11; 55B-12; 57D-2-02; 90B-6; 90B-11
• Eff. January 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff October 1, 2021.

21 NCAC 63 .0903 Disolving the Professional Entity

Professional entities registered with the Board and who dissolve, shall provide written notice to the Board within 30 days of the effective date the entity dissolved.

History

• Authority G.S. 55B-10; 57C-2-01(c); 90B-6; 90B-11
• Eff. January 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015.

Chapter 64 Speech and Language Pathologists and Audiologists

21 NCAC 64 .0101 Name and Address of Agency

The name of the agency shall be the Board of Examiners for Speech and Language Pathologists and Audiologists. The address of this agency is P.O. Box 16885, Greensboro, North Carolina 27416-0885. The purpose of this Board is to administer the provisions of the North Carolina General Statues contained in Chapter 90, Article 22. The office hours of this agency shall be by appointment only. Appointments shall be made upon written request to the Board at the agency address.

History

• Authority G.S. 90-304(a)(3); 150B-21.5(a)(5)
• Eff. February 9, 1976
• Amended Eff. December 1, 2013; May 1, 1989; December 7, 1978
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0102 Application

Applicants for a license must submit Form A, Application Form approved by the Board, and the fee prescribed to the Board. Checks should be made payable to the Board of Examiners SLPA.

History

• Authority G.S. 90-295; 90-304(a)(3); 90-305
• Eff. February 9, 1976
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0103 Examinations

The special examinations in speech and language pathology and audiology, which are part of the National Teacher's Examination, administered by the Educational Testing Service, will constitute the written examination required.

History

• Authority G.S. 90-295(5); 90-296(a); 90-304(a)(3)
• Eff. February 9, 1976
• Amended Eff. December 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0104 Supplemental Information for Application

The Board may require such supplemental information to the application as it deems necessary to determine the facts governing qualifications for licensure. The procedure for gathering such information may include subpoenas, depositions, affidavits, transcripts, audits, hearings and individual appearances before the Board.

History

• Authority G.S. 90-304(a)(1),(2),(3)
• Eff. February 9, 1976
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0105 Official Seal

The official seal of the Board, bearing upon its face the words State of North Carolina, Board of Examiners for Speech and Language Pathologists and Audiologists, shall be used on all official documents of the Board.

History

• Authority G.S. 90-304(a)(6)
• Eff. February 9, 1976
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0106 Plan for and Report of Supervised Professional Experience

Applicants must submit Form B, Plan for Supervised Experience, before being approved for a temporary license, and within 20 days of the completion of the supervised experience they must submit Form C, Report of Supervised Experience. Form B requires the name and address of applicant, the name and address of the applicant's supervisor, the number of hours per month of various clinical activities, and the number of hours per month of various types of supervision. Form C requires name and address of the applicant, the name and address of the applicant's supervisor, the beginning and ending dates of the supervision period, the frequency and types of supervision actually provided, and an evaluation of the applicant in the area for which a license is sought.

History

• Authority G.S. 90-298
• Eff. November 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0107 Approval of Training Center Non-Degree Programs

History

• Status: expired
• Authority G.S. 90-294(c)(2)
• Eff. November 1, 1989
• Expired Eff. November 1, 2016 pursuant to G.S. 150B-21.3A.

21 NCAC 64 .0108 Waiver

The Board may waive any rule in this Chapter that is not statutorily required if a licensee submits a written request. Factors the Board shall use in determining whether to grant the waiver are:

(1) degree of disruption to the Board;

(2) cost to the Board;

(3) degree of benefit to the public;

(4) whether the requesting party had control over the circumstances that required the requested waiver;

(5) notice to and opposition by the public;

(6) need for the waiver; and

(7) previous requests for waivers submitted from the requesting party.

History

• Authority G.S. 90-304; 150B-19(6)
• Emergency Adoption Eff. April 24, 2020
• Temporary Adoption Eff. June 26, 2020
• Eff. June 1, 2021.

21 NCAC 64 .0201 Bona Fide Practice

History

• Status: repealed
• Authority G.S. 90-297(c); 90-304(3)
• Eff. February 9, 1976
• Repealed Eff. July 25, 1976.

21 NCAC 64 .0202 Actively Engaged

History

• Status: repealed
• Authority G.S. 90-297(c); 90-298(b),(d); 90-304(3)
• Eff. February 9, 1976
• Repealed Eff. May 1, 1989.

21 NCAC 64 .0203 Date of Issue

History

• Status: repealed
• Authority G.S. 90-297(c); 90-298(b),(d); 90-304(3)
• Eff. February 9, 1976
• Repealed Eff. May 1, 1989.

21 NCAC 64 .0204 Exemptions

History

• Status: expired
• Authority G.S. 90-294(c)(4); 90-304(a)(3)
• Eff. February 9, 1976
• Amended Eff. May 1, 1989
• Expired Eff. November 1, 2016 pursuant to G.S. 150B-21.3A.

21 NCAC 64 .0205 Inclusive Dates of Supervised Professional Experience

History

• Status: expired
• Authority G.S. 90-304(a)(3)
• Eff. November 1, 1989
• Expired Eff. November 1, 2016 pursuant to G.S. 150B-21.3A.

21 NCAC 64 .0206 Supervision of Professional Experience

(a) The Board interprets G.S. 90-298(c) to mean that supervision satisfactory to the Board requires four hours each month of direct, on-site observation of the applicant's work with patients, in addition to other methods of supervision such as review of tape recordings, review of records, and review of staff meetings.

(b) A temporary license issued pursuant to G.S. 90-298 shall be suspended upon the termination of approved supervision, and any period of practice without approved supervision shall not be deemed to comply with the practical experience requirements of G.S. 90-295(4).

History

• Authority G.S. 90-295; 90-298; 90-304(a)(3)
• Eff. November 1, 1989
• Amended Eff. March 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0207 Payment of Fees and Completion of Applications

The Board interprets G.S. 90-298 and 305 (1), (3) and (5) to mean that the failure to pay appropriate fees or to supply additional information or documentation necessary to complete an application, within 180 days following the date of written notice by regular mail to the applicant's address as submitted to the Board, shall result in the application being considered abandoned without further notice to the applicant.

History

• Authority G.S. 90-304(a)(3)
• Eff. November 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0208 Supervision of Clinical Practicum

The Board interprets the word "supervision" used in G.S. 90-295(3) to require that the supervision must be performed by a person who holds either a valid license under this Article or a Certificate of Clinical Competence of the American Speech-Language-Hearing Association, in the area for which supervised credit is sought, who must be physically present in the same facility and accessible to the student during the performance of the practicum. As a minimum standard of supervision, clinical supervisors of students in practicum must directly observe at least 50 percent of each evaluation session, including screening and identification activities, and at least 25 percent of each student's total contact time with each client.

History

• Authority G.S. 90-294(c)(2); 90-304(3); 150B-40(b)
• Eff. October 1, 1992
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0209 Adequacy of Records

(a) The definition of "adequate records of professional services" required to be maintained by Rule .0303(4) shall include:

(1) The full name of the patient;

(2) The nature of the service provided;

(3) The date services were provided;

(4) The identification of the person providing the service;

(5) The identification of the person preparing or signing the record if not by the person providing the service.

(b) Corrections shall be made by drawing a single line through the error without obliterating the error and shall be initialed by the person making the correction.

(c) Records of professional services rendered shall be maintained for a minimum period of three years.

History

• Authority G.S. 90-304(a)(3).
• Eff. July 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0210 Certified Technicians

(a) The Board interprets the term "certified technician" as used in G.S. 90-294(f) to be synonymous with "certified audiometric technician", "certified Industrial audiometric technician", or similar designations used for non-licensed audiometric technicians in industry.

(b) Certified audiometric technicians may perform air conduction, threshold audiograms required by the Occupational Safety and Health Act (OSHA) for industrial hearing conservation programs, provided that the following three conditions are met:

(1) The audiometric technician has received appropriate instruction, including supervised practicum, in the principles and specific techniques for testing hearing in the industrial environment. The standards established by the Council for Accreditation of Occupational Hearing Conservation (CAOHC) for certified occupational hearing conservationists meet this training requirement. Where other training programs are used, the curriculum shall be in writing and available for inspection by the Board of Examiners.

(2) Supervision of the audiometric technician must be vested in a licensed physician or licensed audiologist.

(3) A licensed audiologist who supervises the activities of audiometric technicians, whether as employer or program consultant, must provide sufficient on-site supervision of the technicians to ensure continuous adherence to the standards of G.S. 90-301 and G.S. 90-301A as well as relevent OSHA regulations.

History

• Authority G.S. 90-304(a)(3)
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0211 Name and Qualifications Identification Badges

(a) Persons licensed or registered under N.C.G.S. 90-292. et seq. shall be required to wear an identification badge or other form of identification displaying the name of the person and license or registration qualification held by such person, in type readable from a distance of three feet, as required by the provisions of G.S. 90-640.

(b) A licensed or registered person may be exempted from this requirement either partially or completely if such person, or such person's employer, shows to the Board of Examiners that the person's or patient's safety or some therapeutic concern requires that an identification badge not be worn or that only a first name be displayed.

History

• Authority G.S. 90-304(a)(3); 90-640
• Eff. August 1, 2002
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0212 Supervision of Hearing Screening

(a) The Board of Examiners for Speech and Language Pathologists and Audiologists interprets the words "audiometric screening" used in G.S. 90-294(f) as the presentation of pure tone stimuli at fixed intensity using pass/fail criteria requiring no interpretation by the person administering the screening. Objective methods of screening auditory function based upon new technology may be used subject to the conditions specified in this Rule.

(b) Fixed-intensity, pure tone audiometric screening performed within the context of an individual speech-language evaluation or assessment is within the scope of practice of licensed speech and language pathologists, and by extension allowed for registered speech-language pathology assistants, provided that it can be demonstrated that the licensee or registered assistant has received formal instruction and practicum in audiometric screening as part of his or her training program.

(c) Licensed speech and language pathologists, registered speech-language pathology assistants, and unlicensed persons may perform screenings of hearing sensitivity and auditory function on the general public or specific populations provided that the individuals performing such screenings have been trained by a licensed audiologist or physician in the specific techniques for that screening and provided that supervision of the screening program is by a licensed audiologist or physician.

(d) Screening programs using objective or technology-based hearing screening techniques in place of traditional fixed-frequency, pure tone audiometry (for example, automated auditory brainstem response tests, otoacoustic emission screening instruments, microprocessor audiometers, etc.), even though such techniques and instruments may yield a pass-fail indication, require the oversight and supervision of a licensed audiologist or physician.

(e) The Board of Examiners for Speech and Language Pathologists and Audiologists interprets the word "supervision" in G.S. 90-294(f) to include the following elements:

(1) selecting the appropriate calibrated screening instrument to be used for the target population;

(2) providing sufficient initial and refresher training in the specific screening methods and instruments to be used to ensure that the screeners have sufficient knowledge of the screening methods, understand the limitations of the screening program, and can demonstrate proper operation of the equipment;

(3) assuring that records are maintained describing the training received by the screeners, the names of attendees, the nature of any evaluation and any referral made;

(4) providing sufficient evaluation of the test site for ambient sound and to ensure that the screeners are following the screening protocol; and

(5) reviewing samples of screening records to confirm that the screening has conformed to the program standards.

(f) Licensed speech and language pathologists and registered speech-language pathology assistants shall not instruct others in the techniques of hearing screening or supervise hearing screening programs. These aspects of a hearing screening program are within the scope of practice of licensed audiologists and physicians.

History

• Authority G.S. 90-304(a)(3)
• Eff. September 2, 2005
• Amended Eff. October 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0213 Supervision of Speech Screening

(a) The Board of Examiners for Speech and Language Pathologists and Audiologists interprets the word "testing" used in G.S. 90-293(7) as including speech screening.

(b) Licensed speech and language pathologists, registered speech-language pathology assistants, and unlicensed persons may perform speech screenings on the general public or specific populations provided that the individuals performing such screenings have been properly trained by a licensed speech and language pathologist in the specific screening techniques for that screening and provided that supervision of the screening program is formally vested in a licensed speech and language pathologist.

(c) The Board of Examiners for Speech and Language Pathologists and Audiologists interprets the word "supervision" in G.S. 90-301A to include the following elements:

(1) Selecting the appropriate screening instrument to be used for the target population;

(2) Providing sufficient initial and refresher training in the specific screening methods and instruments to be used to ensure that the screeners have sufficient knowledge of the screening methods, understand the limitations of the screening program, and can demonstrate proper use of the screening materials;

(3) Assuring that records are maintained describing the training received by the screeners the names of attendees, the nature of any evaluation and any referral made;

(4) Providing sufficient evaluation of the test site to ensure that the screeners are following the screening protocol; and

(5) Reviewing samples of screening records to confirm that the screening has conformed to the program standards.

History

• Authority G.S. 90-304(a)(3)
• Eff. April 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0214 Audiology advertising

The Board of Examiners for Speech and Language Pathologists and Audiologists interprets the word "misleading" used in G.S. 90-301A(3) as including any representation that uses the term "audiology" or "audiologist" in describing services offered at a particular location unless a North Carolina licensed audiologist provides said services at that location during operational hours.

History

• Authority G.S. 90-304(a)(3)
• Eff. December 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0215 Standard of Practice for Audiological Evaluations

The Board of Examiners for Speech and Language Pathologists and Audiologists interprets the words "reasonable degree of professional skill and care in the delivery of professional services" used in G.S. 90-301(5) to require the following actions to be performed before beginning treatment:

(1) Obtain a history of patient's hearing complaints;

(2) Examine the patient's ear canal;

(3) Recommend and document referral to a physician if there is any ear canal obstruction other than cerumen, or if there is a sore, discharge, or history of sudden hearing loss, dizziness or balance problem; and

(4) Test the patient's hearing with properly calibrated equipment in an environment that meets current ANSI standards, except when performed for screening purposes.

History

• Authority G.S. 90-304(a)(3)
• Eff. June 29, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0216 Standard of Practice for Speech and Language Pathologists

(a) The Board of Examiners for Speech and Language Pathologists and Audiologists interprets the words "reasonable degree of professional skill and care in the delivery of professional services" used in G.S. 90-301(5) to require the following actions to be performed prior to commencing treatment:

(1) Obtain a history of the patient's speech or language problem;

(2) Evaluate the patient;

(3) Identify the patient's problem and its possible causes;

(4) Establish the goals of the therapy treatment;

(5) Identify and select appropriate treatments;

(6) Make a disclosure to the patient or custodian if the treatment being recommended is known by the provider to be experimental;

(b) The Licensee shall periodically evaluate and document the patient's progress towards the treatment goals and recommend referal to other disciplines or recommend discontinuance of therapy where there has been no documented progress.

History

• Authority G.S. 90-304(a)(3)
• Eff. September 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0217 Benefit from treatment defined

The Board of Examiners for Speech and Language Pathologists and Audiologists interprets the words "benefit from treatment" used in G.S. 90-301A to mean make progress toward remediation of the condition being treated.

History

• Authority G.S. 90-304(a)(3)
• Eff. September 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0218 Continuing Education

Beginning January 1, 2009 each licensee must complete 30 hours every three years of continuing professional education in their fields sponsored by the American Speech-Hearing-Language Association, the North Carolina Speech-Hearing-Language Association, or the North Carolina Department of Public Instruction; or other courses approved by the Board as similar to courses offered by any of these organizations.

History

• Authority G.S. 90-304(a)(3)
• Eff. September 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0219 Telepractice

(a) For purposes of this Rule the following words shall have the following meanings:

(1) "Patient site" means the patient's physical location at the time of the receipt of the telepractice services.

(2) "Provider" means a licensed speech and language pathologist or audiologist who provides telepractice services.

(3) "Provider site" means the licensee's physical location at the time of the provision of the telepractice services.

(4) "Telepractice" means the use of telecommunications and information technologies for the exchange of encrypted patient data from patient site to provider site for the provision of speech and language pathology and audiology services to patients through hardwire or internet connection via real time interaction or store forward techniques.

(b) Telepractice shall be obtained in a manner to ensure patient confidentiality.

(c) Telepractice is subject to the same standard of practice stated in Rule .0216 of this Chapter as if the person being treated were physically present with the licensee.

(d) Telepractice constitutes the practice of Speech and Language Pathology and Audiology in both the patient site and provider site. Providers must hold a license in the state of the provider site and shall be in compliance with the statutory and regulatory requirements of the patient site.

(e) Registered Speech and Language Pathology Assistants and Audiology Assistants under the supervision of licensed providers shall be allowed to engage in telepractice under the same level of direct supervision as required by 21 NCAC 64 .1003(e)(1), (2), and (6).

(f) Licensees and staff involved in telepractice must be trained in the use of telepractice equipment.

(g) Notification of telepractice services shall be provided to the patient and guardian if the patient is a minor or under guardianship. The notification shall include the right to refuse telepractice services and options for alternate service delivery.

History

• Authority G.S. 90-304(a)(3)
• Eff. September 1, 2010
• Amended Eff. March 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016
• Emergency Amendment Eff. March 27, 2020
• Temporary Amendment Eff. June 26, 2020
• Amended Eff. June 1, 2021.

21 NCAC 64 .0220 Standards for Audiologists Who Dispense Hearing Aids

A licensed Audiologist who fits and dispenses hearing aids must:

(1) Comply with 21 Code of Federal Regulations, Subpart H 801.420 and 801.421, in effect as of March 9, 2012 that are hereby incorporated by reference and do not include subsequent amendments. The incorporated material may be obtained on the Board's website free of charge; and

(2) Disclose all fees to be charged to a patient in conjunction with the evaluation period and purchase of any hearing aid, in writing, prior to the purchase of the hearing aid by the patient.

History

• Authority G.S. 90-304(a)(3)
• Eff. January 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0301 Preamble

The fundamental rules of ethical conduct are described in two categories:

(1) Principles of Ethics. Five principles serve as a basis for the ethical evaluation of professional conduct and form the underlying moral basis for the Code of Ethics. Licensees subscribing to this Code shall observe these principles as affirmative obligations under all conditions of professional activity.

(2) Ethical Proscriptions. Ethical proscriptions are formal statements of prohibitions that are derived from the Principles of Ethics.

History

• Authority G.S. 90-304(a)(3)
• Eff. February 9, 1976
• Amended Eff. November 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0302 Principle of Ethics I

(a) Licensees shall hold paramount the welfare of persons served professionally.

(1) Licensees shall use every resource available, including referral to other specialists as needed, to provide the best service possible.

(2) Licensees shall fully inform persons served of the nature and possible effects of the services.

(3) Licensees shall fully inform subjects participating in research or teaching activities of the nature and possible effects of these activities.

(4) Licensees shall provide appropriate access to records of persons served professionally.

(5) Licensees shall take all reasonable precautions to avoid injuring persons in the delivery of professional services.

(6) Licensees shall evaluate services rendered to determine effectiveness.

(b) Ethical Proscriptions.

(1) Licensees must not exploit persons in the delivery of professional services, including accepting persons for treatment when benefit cannot reasonably be expected or continuing treatment unnecessarily.

(2) Licensees must not guarantee the results of any therapeutic procedures, directly or by implication. A reasonable statement of prognosis may be made, but caution must be exercised not to mislead persons served professionally to expect results that cannot be predicted from sound evidence.

(3) Licensees must not use persons for teaching or research in a manner that constitutes invasion of privacy or fails to afford informed free choice to participate.

(4) Licensees must not evaluate or treat speech, language or hearing disorders except in a professional relationship, including at least examination of the person. They must not evaluate or treat solely by correspondence. This does not preclude follow-up correspondence with persons previously seen, nor providing them with general information of an educational nature.

(5) Licensees must not reveal to unauthorized persons any professional or personal information obtained from the person served professionally, unless required by law or unless necessary to protect the welfare of the person or the community.

(6) Licensees must not discriminate in the delivery of professional services or any basis that is unjustifiable or irrelevant to the need for and potential benefit from such services, such as race, sex or religion.

History

• Authority G.S. 90-304(a)(3)
• Eff. February 9, 1976
• Amended Eff. November 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0303 Principle of Ethics Ii

The licensee must guard against conflicts of professional interest.

(1) He must not accept compensation in any form from a manufacturer or a dealer in prosthetic or other devices for recommending any particular product.

(2) Public statements and announcements of services should serve to provide accurate and adequate information to the public about the profession and the services rendered by its practitioners. All licensees must observe this principle as an affirmative ethical obligation under all conditions of professional practice. The announcement may include: identification by name, appropriate professional title and qualifications, services offered, fees, location, hours and telephone number.

(3) He must not engage in commercial activities that conflict with his responsibilities to the persons he serves professionally or to his colleagues. Individual licensees, and their employers, if any, who elect to provide products are expected to follow these principles:

(a) Products associated with the licensee's professional practice must be provided to the person served as a part of the program of comprehensive habilitative care.

(b) The amount of fees charged for professional services should be independent of whether a product is dispensed in order to insure objectivity in professional decisions.

(c) Other principles of ethical professional practice which must be adhered to in the providing of products include:

(i) providing for persons served a freedom of choice for the source of services and products,

(ii) providing to persons served a complete schedule of fees and charges in advance of rendering services,

(iii) evaluating the effectiveness of services rendered and products provided to the persons served, and

(iv) presenting to persons served a statement which clearly differentiates between fees-for-services rendered and costs of products provided.

(4) Licensees shall maintain adequate records of professional services rendered.

(a) Licensees must neither provide services nor supervision of services for which they have not been properly prepared, nor permit services to be provided by any of their staff who are not properly prepared to perform such services.

(b) Licensees must not delegate any service requiring the professional competence of licensed individuals.

(c) Licensees must not require anyone under their supervision to engage in any practice that is a violation of this Code of Ethics or of the licensing act.

History

• Authority G.S. 90-304(a)(3)
• Eff. February 9, 1976
• Amended Eff. November 1, 1989; March 10, 1977
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0304 Principle of Ethics Iii

Licensees' statements to persons served professionally and to the public shall provide accurate information about the nature and management of communicative disorders, and about the profession and services rendered by its practitioners.

(1) Licensees must not misrepresent their training or competence.

(2) Licensees' public statements providing information about professional services and products must not contain representations or claims that are false, deceptive or misleading.

(3) Licensees must not use professional or commercial affiliations in any way that would mislead or limit services to persons served professionally.

History

• Authority G.S. 90-304(a)(3)
• Eff. February 9, 1976
• Amended Eff. November 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0305 Principle of Ethics Iv

(a) Licensees shall maintain objectivity in all matters concerning the welfare of persons served professionally.

(1) Products associated with professional practice must be dispensed to the person served as a part of a program of comprehensive habilitative care.

(2) Fees established for professional services must be independent of whether a product is dispensed.

(3) Persons served must be provided freedom of choice for the source of services and products.

(4) Price information about professional services rendered and products dispensed must be disclosed by providing to or posting for persons served a complete schedule of fees and charges in advance of rendering services, which schedule differentiates between fees for professional services and charges for products dispensed.

(5) Products dispensed to the persons served must be evaluated to determine effectiveness for that person.

(b) Ethical Proscriptions. Licensees must not participate in activities that constitute a conflict of professional interest.

History

• Authority G.S. 90-304(a)(3)
• Eff. November 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0306 Principle of Ethics V

(a) Licensees shall report the violations of this Code of Ethics of which they have knowledge or information.

(b) Licensees shall cooperate fully with Board inquiries into matters of professional conduct related to this Code of Ethics.

History

• Authority G.S. 90-304(a)(3)
• Eff. November 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0307 Good Moral Conduct

In addition to the Proscriptions in this Section, licensees shall engage in good moral conduct under all conditions of professional activity. "Good moral conduct" shall be defined as conduct in keeping with the Code of Ethics of American Speech-Language-Hearing Association in effect as of January 1, 2013, specifically: Principle of Ethics I, Rules of Ethics Q and Principles of Ethics IV, Rules of Ethics D and E. These materials are incorporated by reference as of the above date and do not include any subsequent amendments or editions. A copy of these materials may be obtained on the Board's website: www.ncboeslpa.org.

History

• Authority G.S. 90-295(a)(6); 90-295(b)(6); 90-301(3); 90-304(a)(3)
• Eff. March 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0401 Petition for Rulemaking Hearings

Any individual wishing to submit a petition requesting the adoption, amendment or repeal of a rule by the Board shall address a petition to: Board of Examiners for Speech and Language Pathologists and Audiologists, P.O. Box 16885, Greensboro, North Carolina 27416.

History

• Authority G.S. 150B-20(a); 90-304(a)(3)
• Eff. February 15, 1977
• Amended Eff. May 1, 1989; December 7, 1978
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016
• Amended Eff. February 1, 2023.

21 NCAC 64 .0402 Contents of Petition

The petition should include the following information:

(1) an indication of the subject area to which the petition is directed (for example, "This is a petition to hold a rulemaking hearing to amend Rule .0000 pertaining to Administrative Procedure Act filing requirements.");

(2) an identification of the rule to be adopted, amended or repealed and, if the petition is for the adoption or amendment of a rule, a draft of the language of the amendment or proposed rule;

(3) reasons for the proposal;

(4) the effect on existing rules or orders;

(5) any data supporting the proposal;

(6) effect of the proposed rule on existing practices in the area involved, including cost factors;

(7) names of those most likely to be affected by the proposed rule, with addresses if reasonably known;

(8) The name and address of each petitioner.

History

• Authority G.S. 150B-16; 90-304(a)(3)
• Eff. February 15, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0403 Disposition of Petitions

(a) Prior to determining whether to grant or deny a rulemaking petition, the Board may request additional information from the petitioner; it may contact interested individuals or individuals likely to be affected by the proposed rule change and request comments; and it may use any other appropriate method for obtaining information on which to base its determination. It will consider all of the contents of the petition submitted plus any other information obtained by the means described herein.

(b) Within 120 days of submission of the petition, a final decision will be rendered by the Board. If the decision is to deny the petition, the Board will notify the petitioner(s) in writing, stating the reasons therefor. If the decision is to grant the petition, the Board, within 30 days of submission, will initiate a rulemaking proceeding by issuing a rulemaking notice, as provided in these rules.

History

• Authority G.S. 150B-16; 90-304(a)(3)
• Eff. February 15, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0501 Timing of Notice

Upon a determination to hold a rulemaking proceeding, either in response to a petition or otherwise, the Board will give at least 30 days notice to all interested individuals of a public hearing on the proposed rule.

History

• Authority G.S. 150B-16; 90-304(a)(3)
• Eff. February 15, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0502 Notice Mailing List

Any individual or agency desiring to be placed on the mailing list of the Board for rulemaking notices may file such request in writing, furnishing his, her or its name and mailing address to: Board of Examiners for Speech and Language Pathologists and Audiologists, P.O. Box 16885, Greensboro, North Carolina 27426-0885. The letter of request shall state those subject areas within the authority of the Board for which notice is requested. The Board may charge actual postage and stationery costs to be paid by persons receiving such notices.

History

• Authority G.S. 90-304(a)(3); 150B-21.2(b)
• Eff. February 15, 1977
• Amended Eff. December 1, 2013; May 1, 1989; December 7, 1978
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0503 Additional Information

History

• Status: expired
• History Notes: Authority G.S. 90-304(3); 150B-12
• Eff. February 15, 1977
• Amended Eff. December 1, 2013; May 1, 1989; December 7, 1978
• Expired Eff. November 1, 2016 pursuant to G.S. 150B-21.3A.

21 NCAC 64 .0601 Request to Participate

Any individual desiring to present oral data, views, or arguments at a rulemaking hearing must, at least five days prior to the hearing, file a notice with the office of the Board. Notice of desire to appear may be waived, or failure to give notice may be excused, by the presiding officer, in his discretion. Any individual permitted to make an oral presentation is encouraged to submit a written copy of the presentation to the Board or its designate prior to or at the hearing.

History

• Authority G.S. 150B-12; 90-304(a)(3)
• Eff. February 15, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0602 Contents of Request: General Time Limitations

A request to make an oral presentation should contain a clear reference to the proposed rule, a brief summary of the individual's views in respect thereto, and how long the individual desires to speak. Presentations shall be limited to 15 minutes unless the Board or presiding officer prescribes some other time limit.

History

• Authority G.S. 150B-12; 90-304(a)(3)
• Eff. February 15, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0603 Receipt of Request: Specific Time Limits

Upon receipt of notice of a person's desire to present his views orally, the Board will acknowledge receipt of the request and inform the person of the imposition of any limitations other than those prescribed in Rule .0602 of this Chapter, deemed necessary to the end of a full and effective public hearing on the proposed rule.

History

• Authority G.S. 150B-12; 90-304(a)(3)
• Eff. February 15, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0604 Written Submissions

(a) The first page of any written submission shall identify the rulemaking proceeding or proposed rule to which the comments are addressed and a statement of the position of the person making the submission (for example, "in support of adopting proposed Rule .0000," "in opposition to adopting proposed Rule .0000").

(b) Upon receipt of written comments, acknowledgement shall be made with an assurance that the comments therein shall be fully considered by the Board.

History

• Authority G.S. 90-304(a)(3); 150B-12
• Eff. February 15, 1977
• Amended Eff. December 1, 2013; May 1, 1989; December 7, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0605 Presiding Officer: Powers and Duties

The presiding officer at the hearing shall have complete control of the proceedings, including: extensions of any time limitations, recognition of speakers, time allotments for presentations, the right to question speakers, direction of the discussion, and management of the hearing. The presiding officer, at all times, will take care that each person participating in the hearing is given a fair opportunity to present views, data and comments.

History

• Authority G.S. 150B-12; 90-304(a)(3)
• Eff. February 15, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0606 Record of Proceedings

History

• Status: repealed
• Authority G.S. 150A-16; 90-304(3)
• Eff. February 15, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 64 .0701 Subjects of Declaratory Rulings

Any individual or agency substantially affected by a statute administered or rule promulgated by the Board may request a declaratory ruling as to either the manner in which a statute or rule applies to a given factual situation, if at all, or whether a particular agency rule is valid.

History

• Authority G.S. 150B-12; 90-304(a)(3)
• Eff. February 15, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0702 Submission of Request for Ruling

All requests for declaratory rulings shall be written and mailed to the Board of Examiners for Speech and Language Pathologists and Audiologists, P.O. Box 16885, Greensboro, North Carolina, 27416-0885. The request must include the following information:

(1) name and address of the petitioner;

(2) statute or rule to which petition relates;

(3) statement of the manner in which petitioner is substantially affected by the rule or statute or its potential application to him;

(4) a statement of whether an oral hearing is desired, and if so, the reason therefor.

History

• Authority G.S. 90-304(a)(3); 150B-12
• Eff. February 15, 1977
• Amended Eff. December 1, 2013; May 1, 1989; December 7, 1978
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0703 Disposition of Requests

(a) When the Board deems it appropriate to issue a declaratory ruling it shall issue such declaratory ruling within 60 days of receipt of the request.

(b) A declaratory ruling proceeding may consist of written submissions, an oral hearing, or other procedure as may be appropriate in the circumstances of the particular request.

(c) Whenever the Board believes "for good cause" that the issuance of a declaratory ruling is undesirable, it may refuse to issue such ruling. When good cause is deemed to exist, it will notify the petitioner of its decision in writing, stating the reasons for the denial of the declaratory ruling.

(1) unless the petitioner shows that the circumstances are so changed since the adoption of the rule that such a ruling would be warranted;

(2) unless the petitioner shows that the agency did not give to the factors specified in the request for a declaratory ruling a full consideration at the time the rule was issued;

(3) if there has been a similar controlling factual determination in a contested case, or where the factual context being raised for a declaratory ruling was specifically considered upon the adoption of the rule or directive being questioned, as evidenced by the rulemaking record;

(4) if the subject matter of the request is involved in pending litigation in any state or federal court in North Carolina.

History

• Authority G.S. 150B-17; 90-304(a)(3)
• Eff. February 15, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0704 Record of Decision

A record of all declaratory ruling proceedings will be maintained in the Board's Office for as long as the ruling is in effect and for five years thereafter. This record will contain: the petition, the notice, all written submissions filed in the request, whether filed by the petitioner or any other person, and a record or summary of oral presentations, if any. Records of declaratory ruling proceedings will be available for public inspection at the Board's office.

History

• Authority G.S. 150B-17; 90-304(a)(3)
• Eff. February 15, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0705 Definition

For purposes of Rule .0704 of this Chapter, a declaratory ruling shall be deemed to be "in effect" until the statute or rule interpreted by the declaratory ruling is amended, altered or repealed; until any court sets aside the ruling in litigation between the Board and the party requesting the rule; or until any court of the Appellate Division of the General Court of Justice shall construe the statute or rule which is the subject of the declaratory ruling in a manner plainly irreconcilable with the declaratory ruling.

History

• Authority G.S. 150B-17; 90-304(a)(3)
• Eff. February 15, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0801 Right to Hearing

When the Board, by its official action, acts or proposes to act in a manner which will affect the rights, duties, or privileges of a licensee or another specific, identifiable individual or agency, that individual or agency shall have a right to an administrative hearing. When the Board proposes to act in such manner, it shall give to any such individual or agency notice of the right to a hearing by mailing by certified mail to such individual or agency at the last known address a notice of the proposed action and a notice of a right to a hearing. Such individual or agency may assert the right to a hearing by mailing to the Board by certified mail a request for a hearing as provided in Rule .0802 of this Chapter.

History

• Authority G.S. 150B-38(b),(h); 90-304(a)(3)
• Eff. February 15, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0802 Request for Hearing

(a) Whenever an individual or agency believes any right, duty or privilege of a licensee, individual or agency has been affected by the Board's administrative action, but has not received notice of a right to an administrative hearing, that individual or agency may file a request for a hearing.

(b) Such request shall be submitted to: Board of Examiners for Speech and Language Pathologists and Audiologists, P.O. Box 16885, Greensboro, North Carolina, 27416-0885. The request shall contain the following information:

(1) Name and address of the petitioner;

(2) A statement of the action taken by the Board that is challenged;

(3) A statement of the way in which the petitioner has been affected; and

(4) A statement of request for a hearing.

(c) Such request will be acknowledged promptly and a hearing will be scheduled, unless the Board determines that the request does not describe or state a contested case.

History

• Authority G.S. 90-304(a)(3); 150B-38(b),(h)
• Eff. February 15, 1977
• Amended Eff. December 1, 2013; May 1, 1989; December 7, 1978
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0803 Granting or Denying Hearing Requests

(a) The Board shall grant a request for a hearing, unless the Board determines that the request does not describe or state a contested case.

(b) A denial of a request for a hearing will be issued immediately upon decision, and in no case later than 30 days after submission of the request. Such denial shall contain a statement of the reasons leading the Board to deny the request.

(c) Approval of a request for a hearing will be signified by the issuing of a notice as required by G.S. 150B-38 and explained in Rule .0804 of this Section.

History

• Authority G.S. 150B-38(b),(h); 90-304(a)(3)
• Eff. February 15, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0804 Notice of Hearing

In addition to the items specified in General Statute 150B-38 to be included in the notice, notices of administrative hearings of the Board:

(1) shall give the name, position, address, and telephone number of an individual in the office of the Board to contact for further information or discussion;

(2) may give notice of the date, time and place for a prehearing conference, if any;

(3) shall schedule the date of the hearing; and

(4) may include any other information deemed relevant to informing each party as to the procedure of the hearing.

History

• Authority G.S. 150B-38(b),(h); 90-304(a)(3)
• Eff. February 15, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0805 Who Shall Hear Contested Cases

All administrative hearings will be heard by the Board or an administrative law judge.

History

• Authority G.S. 150B-40(b); 90-304(a)(3)
• Eff. February 15, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0806 Disqualification of Hearing Officers

History

• Status: repealed
• Authority G.S. 150A-16; 90-304(3)
• Eff. February 15, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 64 .0901 Failure to Appear

(a) Should a party fail to appear at a scheduled hearing, the Board or its designated administrative law judge may proceed with the hearing in the party's absence, order a continuance or adjournment, or dismiss the proceeding.

(b) Continuances and adjournments will be granted only in compelling circumstances.

(c) If a hearing is conducted or a decision is reached in an administrative hearing in the absence of a party, that party may file a written petition with the Board for a reopening of the case.

(d) Petitions for reopening of a case will not be granted except when the petitioner can show to the satisfaction of the administrative law judge that the reasons for the failure to appear were justifiable and unavoidable and that fairness requires reopening the case. Such petitions, however, will have no effect on the running of the 30-day period for seeking judicial review which commences with service of the final decision of the Board.

(e) The decision of the Board will be in writing and a copy will be sent to all parties and made a part of the record of the hearing.

History

• Authority G.S. 150B-38; 150B-40(b); 90-304(a)(3)
• Eff. February 15, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0902 Simplification of Issues

The parties to a contested case, specifically including the Board, may agree in advance to simplify the hearing by: decreasing the number of the issues to be contested at the hearing; accepting the validity of certain proposed evidence; accepting the findings in some other case with relevance to the case at hand; or agreeing to such other matters as may expedite the hearing.

History

• Authority G.S. 150B-38(h); 150B-40(c); 90-304(a)(3)
• Eff. February 15, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0903 Subpoenas

(a) Subpoenas requiring the attendance of witnesses, or those to produce documents, evidence, or records shall be issued by the Board or the presiding officer within four business days of the receipt of a request from a party to the case for such subpoenas unless there is a motion to quash.

(b) Subpoenas shall be issued in duplicate, with a "Return of Service" form attached to each copy. The individual serving the subpoena shall fill out the "Return of Service" form for each copy and return one copy of the subpoena, with the attached "Return of Service" form completed, to the Board.

(c) Subpoenas shall contain:

(1) the caption of the case;

(2) the name and address of the individual or agency subpoenaed;

(3) the date, hour and location of the hearing in which the witness is commanded to appear;

(4) a particularized description of the books, papers, records or other objects the witness is directed to bring with him to the hearing, if any;

(5) the identity of the party on whose application the subpoena issued;

(6) the date of issue;

(7) the manuscript signature of the Board or other issuing officer;

(8) a return of service.

The return of service form, as filled out, shows the name and capacity of the individual serving the subpoena, the date on which the service was made, the individual or agency on whom service was made, the location and manner in which service was made, and the manuscript signature of the individual making service.

(d) The Board or the presiding officer, upon motion by a party or witness in a proceeding, may quash a subpoena, as set out in G.S. 150B-39.

(e) Any motion to quash a subpoena must be served on the party who requested the subpoena simultaneously with the filing of the motion with the Board.

(f) The party who requested the subpoena, in such time as may be granted by the Board or the presiding officer may file a written response to the motion. The written response shall be served by the requesting party on the moving party or witness simultaneously with filing the response with the Board.

(g) After receipt of the motion and response thereto, if any, the Board or its presiding officer shall issue a notice to the party who requested the subpoena and the party who is challenging it, and may notify all other parties, of an open hearing, to be scheduled as soon as practicable, at which time evidence and testimony may be presented, limited to the narrow questions raised by the objection and response, if any.

(h) As soon as the Board or the presiding officer determines whether the subpoena should be quashed, the Board or the presiding officer shall issue a written decision quashing or refusing to quash the subpoena. The decision shall be issued to all parties to the proceeding and any moving witness, and the decision shall be made a part of the record of the proceeding.

History

• Authority G.S. 90-304(a)(3); 150B-38; 150B-39; 150B-40
• Eff. February 15, 1977
• Amended Eff. March 1, 2013; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0904 Final Decisions in Administrative Hearings

The Board will issue the final decision in all contested cases. Its decision is the prerequisite final agency decision necessary for the right of judicial review.

History

• Authority G.S. 90-304(a)(3); 150B-38(h); 150B-43
• Eff. February 15, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .0905 Proposals for Decisions

(a) After the administrative law judge has given the parties the opportunity to submit proposed findings of fact and conclusions of law, he will consider such proposals and issue a recommendation for decision which will be served on the parties.

(b) Any exceptions to the procedure during the hearing, the handling of the hearing by the administrative law judge, rulings on evidence, or any other matters must be written and refer specifically to pages of the record or otherwise precisely identify the occurrence being excepted to. Such exceptions must be filed with the Board within ten days of the receipt of the administrative law judge's recommendation for decision or within such other period of time as the administrative law judge allows.

(c) Any party may present further oral arguments to the Board upon request. Such requests must be made to the Board not later than five days after receipt of the administrative law judge's recommendation for decision.

(d) Upon receipt of requests for further oral arguments, notice will be issued promptly to all parties designating the time and place for such oral argument. Oral arguments shall not exceed 15 minutes. A party may file a written brief on his exceptions in lieu of oral arguments. Briefs will be filed within such time as the Board shall direct.

(e) The Board may adopt or modify the recommendation for decision as it may deem advisable in light of the exceptions, if any. Any decision made will be a part of the record and a copy thereof served on all parties.

History

• Authority G.S. 150B-40(b); 90-304(a)(3)
• Eff. February 15, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .1001 Definitions

(a) "Board" means the North Carolina Board of Examiners for Speech and Language Pathologists and Audiologists.

(b) "Licensee" means an individual who holds a current permanent license in speech-language pathology from the North Carolina Board of Examiners for Speech and Language Pathologists and Audiologists.

(1) "Primary Supervising Licensee" means the Licensee who supervises the majority of the Assistant=s work, who is responsible for the Assistant=s registration with the Board, and who bears the responsibility for all supervision requirements and of notifying the Board of any changes in registration information.

(2) "Secondary Supervising Licensee" means a Licensee who may supervise the Assistant in the absence of the Primary Supervising Licensee to cover variations in work hours.

(c) "Assistant" means a Speech-Language Pathology Assistant who is registered by a Primary Supervising Licensee with the Board.

(d) "Treatment Protocol" means a written session plan clearly describing specific procedures for all treatment tasks, including:

(1) the eliciting conditions,

(2) the target behavior(s), and

(3) the consequences of target behaviors

(e) "Registration" means the process through which an Assistant is approved by the Board to work with a Licensee to provide services to the public.

History

• Authority G.S. 90-298.1; 90-304(a)(3)
• Eff. July 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .1002 General Requirements

(a) For registration, Assistants must present:

(1) evidence of successful completion of an Associate's Degree in Speech-Language Pathology Assisting from an accredited institution of higher learning, community college, or equivalent program; or

(2) evidence of successful completion of a Bachelor's Degree from an accredited institution as well as evidence of successful completion of the following Speech-Language Assisting curriculum courses developed by the N. C. Department of Community Colleges:

Introduction to Speech-Language Pathology (SLP III or equivalent),

SLP Office Procedures (SLP 120 or equivalent),

Disorders and Treatment I (SLP 211 or equivalent),

Disorders and Treatment II (SLP 212 or equivalent),

Assistive Technology (SLP 220 or equivalent),

SLP Field Work (SLP 230 or equivalent),

SLP Field Work Seminar (SLP 231 or equivalent),

(3) a passing score on a competency test approved by the Board.

(b) Authority to approve the curriculum or the equivalent courses for speech-language pathology assistants is vested in the Board of Examiners.

(c) A Licensee, who is employed full-time (30 hours/week or more), may register to be primary supervisor of no more than two Assistants at any one time. A Licensee who is employed part-time (less than 30 hours/week) may register to supervise no more than one Assistant at any one time. The Primary Supervising Licensee shall be responsible for assuring compliance with the registration process, these rules, and with ethical standards. Secondary Supervising Licensees may also be registered to supervise the Assistant, allowing for flexibility in scheduling.

(d) The Primary Supervising Licensee must keep the Board appraised of any changes in registration information.

(1) Changes of supervising licensee(s) will require prior written approval of the Board and should be requested in writing at least 10 days prior to the effective date.

(2) Changes that do not directly relate to patient care, such as change of address, must be reported to the Board in writing within 10 business days of the effective change.

(e) The Primary Supervising Licensee shall remit to the Board an annual registration fee for the Assistant in an amount of forty dollars ($40.00).

History

• Authority G.S. 90-298.1; 90-304(a)(3)
• Eff. July 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .1003 Licensee Requirements

(a) Licensees who register an Assistant must have held a current, permanent license in North Carolina for two years or equivalent qualifications from another state. Temporary license holders shall not register Assistants.

(b) Licensees who register an Assistant must demonstrate understanding of the basic elements of the registration and supervision process (scope of practice, ethics, written protocols, record keeping), and satisfactorily complete a knowledge demonstration on the registration/supervision process.

(c) Licensees must submit the application and annual fee for registration of the Assistant to the Board.

(d) Licensees must assure that patients are informed when services are being provided by an Assistant.

(1) The Assistant must wear a badge that includes the job title: "SLP-Assistant."

(2) When services are to be rendered by an Assistant, the patient or family must be informed in writing. This notification form must be kept on file in the patient's chart, indicating the patient's name and date notified.

(e) Tasks that are within the scope of responsibilities for an Assistant are listed in Rules .1004 and .1005 of this Section. The standards for all patient services provided by the Assistant are the full responsibility of the Supervising Licensee and cannot be delegated. Therefore, the assignment of tasks and the amount and type of supervision must be determined by the Supervising Licensee to ensure quality of care considering: the skills of the Assistant, needs of the patient, the service-setting, the tasks assigned, and any other relevant factors.

(1) Before assigning a treatment tasks to an Assistant, the Licensee must have first evaluated the patient, written a general treatment plan, and provided the Assistant with a written session protocol specifying the following for patient behaviors:

(A) eliciting conditions;

(B) target behavior; and

(C) contingent response.

(2) The Supervising Licensee must document the Assistant's reliable and effective application of the treatment protocol with each patient. Each time a new protocol is introduced, the Supervising Licensee must assure and document that the Assistant is utilizing all three protocol elements (A, B, C) effectively.

(3) For every patient encounter (screening or treatment) in which an Assistant provides service, there must be legible signatures of the Assistant and one Supervising Licensee.

(4) These signed and dated patient encounter records must be retained as part of the patient's file for the time period specified in Rule .0209 of this Chapter and may be requested by the Board.

(5) The Board may do random audits of records to determine compliance with its rules.

(6) When patient services are being rendered by an Assistant, the Supervising Licensee must be accessible to the Assistant in order to assure that direct observation and supervision can occur when necessary.

(f) The Primary Supervising Licensee shall assess the Assistant's competencies during the initial 60 days of employment using the performance-based competency assessment and orientation checklist provided by the Board on the Board's website. The completed checklist shall be submitted to the Board within 90 days of registration. A new competency checklist must be completed and filed within 90 days each time the primary supervising Licensee changes.

(g) Any attempt to engage in those activities and responsibilities reserved solely for the Supervising Licensee shall be regarded as the unlicensed practice of speech-language pathology.

History

• Authority G.S. 90-298.1; 90-304(a)(3)
• Eff. July 1, 1998
• Amended Eff. December 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .1004 Authorized Tasks of Speech-Language Pathology Assistants

(a) Direct Patient Services:

(1) Obtaining case histories from patients and/or families and completing observation checklists.

(2) Administering speech-language screening protocols, as directed by the supervising speech-language pathologist. These screening procedures, including tests and checklists or parts of tests and checklists, will have the purpose of determining the need for further (diagnostic) testing by the supervising speech-language pathologist and must meet the following criteria:

(A) Have unambiguous administration protocols and methods.

(B) Consist of test items which require no more than a binary judgment (i.e., yes-no, present-absent).

(C) Require no more than a specifically-elicited single response.

(D) Require no clinical interpretation by the assistant.

(3) Administering therapeutic protocols, provided that all of the following criteria are met:

(A) Supervision provided by the supervising speech-language pathologist(s) according to the supervision standards of the rules.

(B) Utilizing appropriate stimuli according to a specified protocol determined by the supervising speech-language pathologist(s).

(C) Recording specific target behaviors.

(D) Reinforcing the patient=s responses appropriately following a specified protocol

(E) Providing appropriate cues following a specified protocol when the patient does not produce a correct response.

(F) Summarizing observations of the patient's performance for the supervising speech-language pathologist(s).

(4) Tabulating/scoring screening results, target behaviors, and performance data.

(5) Managing the behavior of patients using behavioral management techniques, as directed by the supervising speech-language pathologist, to establish and maintain appropriate social interaction and motivation/attention to task.

(6) Preparing or positioning patients for evaluation or treatment following specific guidelines of the supervising speech-language pathologist and of the facility.

(7) Communicating with patients, families, and professionals in order to respond appropriately and effectively to patient/family emotional needs and to alert the speech-language pathologist of any problems which may affect treatment outcomes or service quality.

(8) Documenting written/verbal communication with patients, parents, families and educational or medical personnel on the above or related management issues, as directed by the supervising speech-language pathologist.

(9) Direct patient services for evaluation are not within the approved scope of responsibilities for assistants.

(10) Demonstration projects will be authorized by the Board to develop safe and effective swallowing protocols for speech-language pathology assistants.

(b) Indirect Patient Services:

(1) Organizing and managing patient data and patient records, including the following examples:

(A) Documenting historical information in sequence (e.g., chronologically).

(B) Listing missing information.

(C) Confirming, obtaining, and documenting orders/permissions.

(D) Obtaining patient records from external agencies.

(E) Recording patient information from medical or educational records.

(F) Compiling session-to-session data and compiling/comparing outcome data.

(G) Tallying scores on standardized and criterion-referenced tests which require no clinical interpretation by the assistant.

(H) Calculating/determining percentages, frequencies, averages, percentiles, standard scores, etc. from raw data or reference manuals.

(I) Graphing performance data.

(J) Providing a clear, legible record of patient/client performance.

(K) Administering and profiling patient satisfaction measurements.

(L) Assigning/verifying communication disorder and procedure codes.

(M) Scheduling/confirming patent appointments.

(N) Recording treatment and procedure times.

(2) Transporting or escorting patients to/from the testing or therapy area.

(3) Arranging the clinical or treatment setting to maintain a safe and positive environment by providing appropriate seating, providing age-appropriate and culturally appropriate material or toys, and adjusting light and temperature.

(A) Creating materials and/or games to be used during therapy.

(B) Assisting patients/families to obtain and organize materials needed for treatment programs.

(4) Managing, operating, programming, and/or monitoring clinical equipment and materials, including the following:

- Assistive listening devices

- Augmentative communication devices

- Voice equipment

- Audio recording equipment

- Other audiovisual equipment

- Computer-based equipment and software

(A) Setting up equipment and materials for feeding and swallowing sessions.

(B) Setting up other clinical equipment or materials for tasks.

(C) Verifying safety status of equipment.

(D) Maintaining equipment records.

(5) Cleaning equipment, reusable materials, and treatment/work areas using appropriate infection control procedures.

(6) Adhering to the principles of universal precautions when providing services to patients/clients.

(c) Requirements For Providing Services Ethically and Responsibly:

(1) Maintaining patient confidentiality and security of patient records.

(2) Respecting the rights and dignity of all individuals.

(3) Reporting any workplace conduct which appears to be unethical or illegal to the supervising speech-language pathologist or to the Board of Examiners.

(4) Requesting assistance from the supervising speech-language pathologist, as needed, in order to ensure continuous service quality.

(5) Observing universal precautions and safety procedures.

(6) Releasing patients only to the care of appropriate caregivers.

(d) Participating in Research Activities:

(1) Categorizing task-related materials.

(2) Obtaining parent/patient permission forms.

(3) Conducting computer and literature searches.

(4) Encoding and analyzing data.

(5) Establishing reliability.

(6) Filing research information.

(e) Administrative and Clerical Tasks:

(1) Operating office equipment such as word processors, copying machines, laminating machines, fax machines, telephone and voice mail, e-mail, etc.

(2) Copying and sending reports, as appropriate.

(3) Documenting telephone calls and meetings.

(4) Operating and using scheduling, reporting, test scoring software, etc.

(5) Ordering and maintaining supplies and materials.

(6) Organizing and filing patient handouts and educational material.

(7) Verifying insurance coverage, filing insurance claims, and following up on denied claims.

History

• Authority G.S. 90-298.1; 90-304(a)(3)
• Eff. July 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .1005 Supervision and Continuing Competence Requirements

Discussing job expectations with the supervising speech-language pathologist(s) and having mutual understanding of job scope and specific responsibilities.

(1) Participating in a specified amount of supervised training according to a written plan for all tests and clinical equipment which will be used for assessment and treatment.

(2) Participating in a specified amount of supervised training according to a written plan in order to ensure correct use of treatment procedures and to demonstrate competent application of new treatment protocols (for example, whenever the stimulus, the target behavior, or the consequence(s) is changed).

(3) Receiving regular, formal employment evaluations on a scheduled basis from the supervising speech-language pathologist(s) to assess one=s performance, strengths, and weaknesses and to establish development goals for continuous performance improvement.

(4) Requesting assistance, additional instruction, and/or additional supervision from the supervising speech-language pathologist, when needed.

(5) Participating in various types of educational activities in order to enhance skill and knowledge, as assigned by the supervising speech-language pathologist.

(6) Reading information assigned by the supervising speech-language pathologist.

History

• Authority G.S. 90-298.1; 90-304(a)(3)
• Eff. July 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

21 NCAC 64 .1101 Definitions

(a) "Assistant" means an Audiology Assistant who is registered by a Primary Supervising Licensee with the Board.

(b) "Board" means the North Carolina Board of Examiners for Speech and Language Pathologists and Audiologists.

(c) "Licensee" means an individual who holds a current permanent license in audiology from the North Carolina Board of Examiners for Speech and Language Pathologists and Audiologists.

(d) "Primary Supervising Licensee" means the Licensee as defined in this Rule who supervises the majority of the Assistant's work, who is responsible for the Assistant's registration with the Board, and who bears the responsibility for all supervision requirements and notification responsibility to the Board of any changes in registration information.

(e) "Registration" means the process through which an Assistant is approved by the Board to work with a Licensee to provide services to the public.

(f) "Secondary Supervising Licensee" means a Licensee as defined in this Rule who supervises the Assistant in the absence of the Primary Supervising Licensee to cover variations in work hours.

History

• Authority G.S. 90-298.1; 90-304(a)(3)
• Emergency Adoption Eff. April 24, 2020
• Temporary Adoption Eff. June 26, 2020
• Eff. June 1, 2021.

21 NCAC 64 .1102 General Requirements

(a) For registration, Assistants must present:

(1) Evidence of high school diploma or equivalent; and

(2) A letter of certification of the Assistant's competency provided by a supervising audiologist that attests to one of the following:

(A) the supervising audiologist has trained the Assistant in tasks allowed in Rule .1104 of this Section;

(B) the Assistant has provided the supervising audiologist with evidence that he or she has completed training in the tasks allowed in Rule .1104 of this Section; or

(C) the supervising audiologist has assessed and is satisfied with the competency of the Assistant to perform the tasks allowed in Rule .1104 of this Section.

(b) Assistants who conduct pure tone audiometry under general supervision by the licensee must have completed a Certified Occupational Hearing Conservationists (COHC) or a program with equivalent certification requirements. If the assistant has completed training under the NC Hearing Aid Dealers and Fitters Board, then proof of successful completion of the NCHADFB exam would also meet the requirement.

(c) A Licensee who is employed full-time (30 hours/week or more) may register to be primary supervisor of no more than two Assistants at any one time. A Licensee who is employed part-time (less than 30 hours/week) may register to supervise no more than one Assistant at any one time. The Primary Supervising Licensee shall ensure that the Assistant complies with this Section, and with ethical standards set forth in the Board's Practice Act and rules. Secondary Supervising Licensees in the same practice may also supervise the Assistant, provided that such supervision is conducted in accordance with the rules set forth in this Section.

(d) The Primary Supervising Licensee must keep the Board apprised of any changes in registration information as follows:

(1) Changes of supervising licensee(s) shall require prior written approval of the Board and the Primary Supervising Licensee must submit the request in writing at least 10 days prior to the effective date.

(2) The Primary Supervising Licensee must submit changes that do not directly relate to patient care, such as change of address, to the Board in writing within 10 business days of the effective change. Such changes do not require pre-approval from the Board.

(e) The Primary Supervising Licensee shall remit to the Board an annual registration fee for the Assistant in an amount of forty dollars ($40.00).

History

• Authority G.S. 90-298.1; 90-304(a)(3)
• Emergency Adoption Eff. April 24, 2020
• Temporary Adoption Eff. June 26, 2020
• Eff. June 1, 2021.

21 NCAC 64 .1103 Licensee Requirements

(a) Licensees who register an Assistant shall be licensed in North Carolina, or hold equivalent qualifications from another state, for the previous two years prior to registering an Assistant with the Board. Temporary license holders shall not register Assistants.

(b) Licensees who register an Assistant shall attest to the Assistant's understanding and review of the registration and supervision process (scope of practice, ethics, written protocols, record keeping) set forth in the rules of this Section.

(c) Licensees must submit the application and annual fee for registration of the Assistant to the Board. The application shall include the following information:

(1) assistant's name, address, and telephone number;

(2) employer name;

(3) number of hours worked per week by supervising licensee;

(4) primary supervising licensee's name, address, and telephone number;

(5) secondary supervising licensee's name, address, and telephone number, if applicable; and

(6) all locations where the assistant is to provide services.

(d) Licensees shall inform all patients when services are being provided by an Assistant and the Assistant must wear a badge that includes the job title: "Audiology Assistant."

(e) Tasks and duties that are within the scope of responsibilities for an Assistant are listed in Rules .1104 and .1105 of this Section. The Supervising Licensee shall be responsible for all patient services performed by the Assistant. The Supervising Licensee shall determine the assignment of tasks and the amount and type of supervision to ensure quality of care considering relevant factors such as the skills of the Assistant, the needs of the patient, and the service setting. Before assigning treatment tasks to an Assistant, the Licensee shall evaluate the patient files and develop a plan for the care and follow an established protocol.

(f) Any time an Assistant provides services during a patient encounter, the Supervising Licensee or Assistant shall document the Assistant's services in the patient's medical record. If the Assistant documents the services, the Supervising Licensee shall co-sign the medical record. The Supervising Licensee shall be responsible for the accuracy and compliance of the documentation. These signed and dated patient encounter records must be retained as part of the patient's file for the time period specified in Rule .0209 of this Chapter and may be requested by the Board.

(g) The Board may do random audits of records to determine compliance with the rules in this Chapter.

(h) When patient services are being rendered by an Assistant, the Supervising Licensee must be available to observe and supervise the Assistant, when necessary.

(i) The Primary Supervising Licensee shall assess the Assistant's competencies during the initial 60 days of employment using a performance-based competency assessment. The completed assessment shall be submitted to the Board within 90 days of registration. A new competency assessment must be completed and filed within 90 days each time the Primary Supervising Licensee changes.

(j) Assistants shall only engage in those activities related to the practice of Audiology as set forth in Rules .1104 and .1105 of this Section. An Assistant's activities related to the practice of Audiology not set forth therein shall be regarded as the unlicensed practice of Audiology.

History

• Authority G.S. 90-298.1; 90-304(a)(3)
• Emergency Adoption Eff. April 24, 2020
• Temporary Adoption Eff. June 26, 2020
• Eff. June 1, 2021.

21 NCAC 64 .1104 Authorized Tasks of Audiology Assistants

(a) An audiology assistant may engage in the following direct patient services:

(1) Obtaining partial or selected case history information from patients and families;

(2) Administering audiologic screening protocols, as directed by the supervising audiologist. These screening procedures, including tests and checklists or parts of tests and checklists, shall have the purpose of determining the need for further diagnostic testing by the supervising audiologist and must meet the following criteria:

(A) have administration protocols and methods;

(B) consist of test items that require no more than a binary judgment (i.e., yes-no, present-absent, pass/refer);

(C) require no more than a specifically-elicited single response; and

(D) require no clinical interpretation by the assistant;

(3) Preparing or positioning patients for evaluation or treatment following guidelines of the supervising audiologist and of the facility;

(4) Basic hearing device repair and trouble shooting;

(5) Assistance with procedures related to the fitting and dispensing of hearing devices, not to include cerumen management. Ear mold impressions must be conducted with the supervision of an audiologist;

(6) Instructing patients in care and use of devices dispensed by the supervising audiologist; and

(7) Providing services previously mentioned through telehealth to extend access to clinical care.

(b) Subject to Paragraph (c) of this Rule, an audiology assistant must engage in the following indirect patient services:

(1) Reporting any workplace conduct that appears to be unethical in violation of Section .0300 of this Chapter or illegal to the supervising audiologist or to the Board of Examiners;

(2) Requesting assistance from the supervising audiologist, as needed, in order to ensure continuous service quality;

(3) Observing universal precautions and safety procedures; and

(4) Releasing patients only to the care of care-givers of record.

(c) Direct patient services for evaluation as set forth in Paragraph (a) of this Rule are not within the approved scope of responsibilities for assistants who are not Certified Occupational Hearing Conservationists (COHC). Audiology assistants who are not COHC may assist in the evaluation of both pediatric and adult patients, but only under the supervision of the supervising audiologist who is present in the room and attending to the assistant's activities 100 percent of the time. Audiology Assistants who are COHC may conduct unmasked pure-tone audiometry under supervision by the licensee for adult patients. Direct patient services to children under the age of 21 years old are not within the approved scope of activities for assistants unless under the supervision of the supervising audiologist who is physically present in the room and attending to 100 percent of the assistant's activities.

History

• Authority G.S. 90-298.1; 90-304(a)(3)
• Emergency Adoption Eff. April 24, 2020
• Temporary Adoption Eff. June 26, 2020
• Eff. June 1, 2021.

21 NCAC 64 .1105 Supervision and Continuing Competence Requirements

Following registration by a supervising audiologist, a registered assistant shall:

(1) discuss job expectations with the supervising audiologist(s) in order to have a mutual understanding of job scope and responsibilities;

(2) participate in a specified amount of supervised training according to a written plan for all tests and clinical equipment that will be used for assessment and treatment of the patient;

(3) receive employment evaluations on a scheduled basis from the supervising audiologist(s) to assess the assistant's performance, strengths, and weaknesses of the assistant and to establish development goals for continuous performance improvement;

(4) request assistance, additional instruction, and additional supervision from the supervising audiologist, when needed;

(5) participate in various types of educational activities in order to enhance skill and knowledge, as assigned by the supervising audiologist; and

(6) read information assigned by the audiologist.

History

• Authority G.S. 90-298.1; 90-304(a)(3)
• Emergency Adoption Eff. April 24, 2020
• Temporary Adoption Eff. June 26, 2020
• Eff. June 1, 2021.

Chapter 65 Recreational Therapy Licensure

21 NCAC 65 .0101 name short title

History

• Status: repealed
• Authority G. S. 90-6: 90C-4(a); 90C-5(i); 90C-15
• Eff. January 1, 1994
• Amended Eff. September 1, 1994
• Repealed Eff. December 1, 2006.

21 NCAC 65 .0102 meetings

History

• Status: repealed
• Authority G. S. 90-6: 90C-4(a); 90C-5(i); 90C-15
• Eff. January 1, 1994
• Amended Eff. September 1, 1994
• Repealed Eff. December 1, 2006.

21 NCAC 65 .0103 reciprocity

History

• Status: repealed
• Authority G. S. 90-6: 90C-4(a); 90C-5(i); 90C-15
• Eff. January 1, 1994
• Amended Eff. September 1, 1994
• Repealed Eff. December 1, 2006.

21 NCAC 65 .0104 academic - trs examination

History

• Status: repealed
• Authority G.S. 90C-6; 150B-21.6
• Eff. February 1, 1994
• Amended Eff. October 1, 1994
• Repealed Eff. December 1, 2006.

21 NCAC 65 .0105 Provisional Trs

History

• Status: repealed
• Authority G.S. 90C-6; 90C-9d; 90C-10
• Eff. January 1, 1994
• Repealed Eff. December 1, 2006.

21 NCAC 65 .0106 Certification Fees

History

• Status: repealed
• Authority G.S. 90C-6; 90C-9d; 90C-10
• Eff. January 1, 1994
• Repealed Eff. December 1, 2006.

21 NCAC 65 .0107 certificate renewals

History

• Status: repealed
• Authority G.S. 90C-6; 90C-9c(4); 90C-11
• Eff. January 1, 1995
• Repealed Eff. December 1, 2006.

21 NCAC 65 .0108 revocation and other sanctions

History

• Status: repealed
• Authority G.S. 90C-14(2)(3)
• Eff. January 1, 1994
• Repealed Eff. December 1, 2006.

21 NCAC 65 .0201 Recreational Therapy Standards of Practice

History

• Status: expired
• Authority G.S. 90C 22(2)(3)
• Temporary Adoption Eff. December 1, 2005
• Temporary Adoption Expired September 11, 2006.

21 NCAC 65 .0202 Recreational Therapy Code of Ethics

History

• Status: expired
• Authority G.S. 90C-22(2)(g)
• Temporary Adoption Eff. December 1, 2005
• Temporary Adoption Expired Eff. September 11, 2006.

21 NCAC 65 .0203 LICENSED RECREATIONAL THERAPIST Standards OF PRACTICE

A Licensed Recreational Therapist shall practice recreational therapy, also known as therapeutic recreation, in accordance with the most recent version of the American Therapeutic Recreation Association, Standards for the Practice (the ATRA SOP), including any subsequent amendments or editions. A copy may be purchased from ATRA at: https://www.atra-online.com/ at a cost of twenty-eight dollars ($28.00) for ATRA members and forty dollars ($40.00) for non-ATRA members.

History

• Authority G.S. 90C-22(2); 90C-24(a)(3); 90C-24(a)(10); 90C-24(a)(13)
• Eff. December 1, 2006
• Amended Eff: March 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 21, 2018.

21 NCAC 65 .0204 LICENSED RECREATIONAL THERAPY ASSISTANT Standards OF PRACTICE

Under the supervision of a Licensed Recreational Therapist, a Licensed Recreational Therapy Assistant shall practice recreational therapy in accordance with ATRA SOP, as incorporated by reference in Rule .0203 of this Section.

History

• Authority G.S. 90C-22(3); 90C-24(a)(3); 90C-24(a)(10); 90C-24(a)(13)
• Eff. December 1, 2006
• Amended Eff: March 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 21, 2018.

21 NCAC 65 .0205 Supervision of a Licensed Recreational Therapy Assistant

(a) The Licensed Recreational Therapy Assistant (LRTA) shall perform duties and functions under the clinical supervision of the Licensed Recreational Therapist (LRT). Once the LRT determines the LRTA has demonstrated competence to provide interventions, client documentation, and to make recommendations for program modification, the LRTA shall practice in accordance with ATRA SOP as referred to in Rule .0203 of this Section.

(b) Clinical supervision shall be performed in accordance with the ATRA SOP, including the following elements:

(1) The Licensed Recreational Therapist shall:

(A) Determine the recreational therapy treatment plan and the elements of that plan appropriate for delegation to a LRTA;

(B) Determine whether the LRTAs acting under his or her supervision possess the competence to perform the delegated duties;

(C) Delegate responsibilities to the LRTA that are consistent with assessed competencies and within the overall LRTA scope of practice as defined and described in the most recent version of the ATRA SOP;

(D) Review chart documentation, re-examine, and reassess the patient or client and revise the recreational therapy treatment plan;

(E) Establish the recreational therapy discharge plan;

(F) Determine whether co-signature of chart documentation done by the LRTA is necessary for safe and effective care and treatment;

(G) Be available in-person or by telecommunication to the LRTA while the LRTA is in practice; and

(H) Be limited to clinically supervising only the number of LRTAs that provides safe and effective patient or client intervention at all times.

(2) A Licensed Recreational Therapy Assistant shall:

(A) Assist in the practice of recreational therapy only to the extent allowed by the supervising LRT;

(B) Assist in the assessment of patient or client needs as set forth in the ATRA SOP and employer policy;

(C) Make modifications to the recreational therapy treatment programs that are consistent with the recreational therapy treatment plan and under the supervision of the LRT;

(D) Engage in off-site patient or client related functions that are appropriate for the LRTA's qualifications and assessed competency in consideration of the functional status of the patient or client; and

(E) Document patient or client care provided in accordance with written employer policy.

(3) Prohibited Practice:

(A) A LRTA shall not engage in practices of a LRT; and

(B) A LRTA shall not engage in acts beyond the scope of practice delegated by the supervising LRT.

History

• Authority G.S. 90C-22(3); 90C-24(a)(1); 90C-24(a)(3); 90C-24(a)(6); 90C-24(a)(13)
• Temporary Adoption Eff. December 1, 2005
• Eff. January 1, 2007
• Amended Eff: March 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 21, 2018.

21 NCAC 65 .0301 Minimum Level of Education and Competency for Licensed Recreational Therapist

(a) For the purposes of G.S. 90C-27(a), a candidate for licensure as a recreational therapist shall have graduated from an accredited college or university with a baccalaureate degree or higher and with a major or specialization in recreational therapy or therapeutic recreation. The academic major or specialization shall be verified by an official transcript.

(b) For the purposes of this Rule, the following terms mean:

(1) An "academic major" is defined as a degree in recreational therapy or therapeutic recreation.

(2) A "specialization in recreational therapy or therapeutic recreation" is defined as a degree in recreation and leisure studies, or recreation, or health and physical education, or health and human performance with a specialization, also known as an option, emphasis, or concentration, in therapeutic recreation or recreational therapy.

(3) An "accredited college or university" is defined as a college or university accredited by an accreditation body recognized by the United States Department of Education or by the Committee on Accreditation of Recreational Therapy Education (CARTE) under the Commission of Accreditation of Allied Health Education (CAAHEP).

(c) An academic major or specialization is defined by the following components:

(1) Coursework for a degree or specialization in recreational therapy or therapeutic recreation shall reflect six courses, three hours per course in which the title, course description, and course outline reflects recreational therapy or therapeutic recreation content related to the "APIE(D) Process". Course titles may include Introduction or Foundations, Assessment, Planning, Implementation, Evaluation, Research, and Advancement of the Profession. Topics that should be addressed in classes should include, ethics, standards of practice, documentation. Recreational Therapy/Therapeutic Recreation coursework offered in North Carolina must be taught by a licensed recreational therapist (LRT) or out of state by a Certified Therapeutic Recreation Specialist (CTRS™) by the National Council of Therapeutic Recreation Certification (NCTRC). For candidates for licensure who have passed the NCTRC examination and were certified by the NCTRC as a CTRS™, a therapeutic recreation or recreational therapy content course taught is considered the same as a therapeutic recreation or recreational therapy content course taken.

(2) "Supportive coursework" are courses, not including the recreational therapy or therapeutic recreation content courses. Supportive courses for a degree or specialization in recreational therapy or therapeutic recreation shall include three semester hours of anatomy and physiology, three semester hours of abnormal psychology, three semester hours of human growth and development across the lifespan, and nine semester hours in the area of health and human services. Health and human services coursework may include content in the areas of education, ethics, and other courses related to the practice of recreational therapy.

(3) In addition to the coursework required in Subparagraphs (c)(1) and (2) of this Rule, a field placement course shall be required for an academic major or specialization in therapeutic recreation or recreational therapy.

(A) A "field placement course," sometimes called an "internship course," is a course taken for college or university credit and shall require clinical education in an agency providing therapeutic recreation services to clients. The field placement or internship course shall meet the criteria for a field placement set forth by the NCTRC in the NCTRC Standards publication herein incorporated by reference including any subsequent amendments and editions. A copy of the NCTRC field placement requirements may be obtained at no cost on the NCTRC website at: https://www.nctrc.org/wp-content/uploads/2017/09/InternshipInterruptionGuidelines.pdf.

(B) A "university supervisor" of a field placement course is defined as the university faculty assigned to supervise the student and course from the university. If the university is in North Carolina, university supervisors shall be licensed by the North Carolina Board of Recreational Therapy Licensure (NCBRTL) throughout the entire internship experience.

(C) An "agency supervisor" is the recreational therapist or therapeutic recreation specialist, in an agency providing therapeutic recreation or recreational therapy services to patients or clients, assigned to provide clinical supervision to the field placement student from the agency. Supervisors of students completing field placements in North Carolina shall be licensed by the NCBRTL throughout the entire internship experience.

(D) "Successful performance" in a field placement course is defined as a grade of D or Pass awarded by the university supervisor. "Successful performance from the agency supervisor" is defined by an overall rating of "Achieves Expectations" documented on the Clinical Performance Appraisal and Summary Reference Form, (CPASRF) that may be accessed at the Board's website, www.ncbrtl.org or by contacting the Board. The CPASRF includes the content and performance criteria from the American Therapeutic Recreation Association Standards of Practice (ATRA SOP), as set forth in Rule .0203 of this Chapter. The CPASRF is provided by the Board or at the Board's website www.ncbrtl.org.

(d) Candidates for licensure who have been certified as a CTRS™ by NCTRC and have completed all recreational therapy or therapeutic recreation content courses, and all support content course requirements, but cannot locate their internship supervisor, shall file an Internship Supervisor Location Appeals Form and shall be issued a license to practice as a recreational therapist if they verify a minimum of one year of successful performance as a recreational therapist or therapeutic recreation specialist during which time they were a CTRS™ by the NCTRC. Successful work performance shall be verified to the NCBRTL on a CPASRF provided by NCBRTL. "Successful performance" is defined as an overall rating completed by the agency supervisor of "Achieves Expectations" on the CPASRF.

(e) Successful passage of the NCTRC examination shall be determined by the NCTRC. Applicants for licensure shall submit evidence of successful passage of the NCTRC examination to the NCBRTL. Evidence of successful passage of the NCTRC examination shall be copy of his or her NCTRC certificate or a successful passage notification letter from NCTRC.

History

• Authority G.S. 90C-22(2)(i); 90C-22(7); 90C-24(a)(13); 90C-27(a)
• Temporary Adoption Eff. December 1, 2005
• Eff. June 1, 2006
• Amended Eff. March 1, 2016; October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 21, 2018
• Amended Eff. August 1, 2022.

21 NCAC 65 .0302 Minimum Level of Education and Competency for Licensed Recreational Therapy Assistants

(a) For the purposes of G.S. 90C-27(b), an academic major is defined as an Associate of Applied Science Degree in therapeutic recreation or recreational therapy from a community college by an accrediting agency approved by the United States Department of Education.

(b) Coursework for an Associate degree shall reflect the following:

(1) Nine semester hours in therapeutic recreation or recreational therapy content. courses;

(2) Ten semester hours in therapeutic recreation or recreational therapy intervention courses;

(3) Fifteen semester hours of supportive coursework, including:

(A) A minimum of five semester hours of anatomy and physiology;

(B) Three semester hours of abnormal psychology;

(C) Three semester hours of growth and development across life span; and

(D) The remaining four semester hours in any combination of supportive coursework shall be in the areas of psychology, sociology, physical and biological science, human services or physical education;

(4) A course with a 380 hour field placement experience in a clinical, residential, or community-based agency under the supervision of a Licensed Recreational Therapist or Licensed Recreational Therapy Assistant approved by the university supervisor. The field placement shall be 12 consecutive weeks with each week including 20 hours. Supervisors of field placements in North Carolina shall be licensed by NCBRTL. Successful performance in a field placement course shall be demonstrated to the NCBRTL. "Successful performance" in a field placement course is defined as a grade of D or pass awarded by the university field placement supervisor and an Overall Rating of "Achieves Performance Expectations" awarded by the agency supervisor on the performance appraisal form (CPASRF) provided by the NCBRTL, available on the Board's website, www.ncbrtl.org or by contacting the Board.

History

• Authority G.S. 90C-22(2)(i); 90C-22(7); 90C-22(8); 90C-24(a)(3); 90C-27(b)
• Temporary Adoption Eff. December 1, 2005
• Eff. December 1, 2006
• Amended Eff. March 1, 2016; October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 21, 2018.

21 NCAC 65 .0401 APPLICATION PROCEDURES FOR LICENSED RECREATIONAL THERAPIST AND LICENSED RECREATIONAL THERaPY ASSISTANT

(a) An applicant for licensure may request, in writing or on the Board's website, www.ncbrtl.org, an application package from the North Carolina Board of Recreational Therapy Licensure.

(b) Applicants may submit an application form through the postal service or online at the Board website. All additional items required by this Rule shall be postmarked by the application deadline, the 15th of each month. Applicants making the deadline will be contacted for any missing items. Those received after the 15th shall be held for the next month's Board review.

(c) All items shall be provided to constitute a full application package, including:

(1) A head and shoulders color photograph of the applicant;

(2) The initial application for licensure fee as stated in Rule .0501 of this Chapter;

(3) Official transcripts from each college or university attended;

(4) Clinical Performance Appraisal and Summary Reference Form rating the applicant's internship signed by the agency supervisor as defined in Rule .0301 of this Chapter;

(5) A completed NCBRTL application including applicant contact information, and educational requirements as set forth in Rule .0301 and .0302 of this Chapter; and

(6) Proof of successful exam passage as defined in Rule.0301 of this Chapter.

(d) The Board or staff designee shall review each application to determine an applicant's eligibility for licensure as a Recreational Therapist or a Recreational Therapy Assistant. The Board shall notify the applicant in writing if the applicant is ineligible for licensure.

(e) The Board shall issue all licensees a licensure card and certificate bearing the current name of the licensee, and licensee number.

(f) The Board shall send any notices to a licensee to the last known contact information.

History

• Authority G.S. 90C-24(a)(3); 90C-27(a)( 2), 90C-27(b)(2); 90C-32
• Temporary Adoption Eff. December 1, 2005
• Eff. January 1, 2007
• Amended Eff. March 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 21, 2018.

21 NCAC 65 .0501 Licensure Fees

(a) A cashier's check, money order, certified check, an employer's check, or online payment is acceptable for the initial application licensure fees.

(b) Fees are nonrefundable and payable to the North Carolina Board of Recreational Therapy Licensure. A cashier's check, money order, certified check, an employer's check, personal checks, or online payment shall be accepted for payment of renewal fee and record maintenance fee.

(c) The Board shall collect the following fees:

(1) Initial Application for Licensure Fee

(A) Licensed Recreational Therapist $100.00

(B) Licensed Recreational Therapy Assistant $50.00

(2) Licensure renewal fees (due every two years)

(A) Licensed Recreational Therapist $85.00

(B) Licensed Recreational Therapy Assistant $40.00

(3) Inactive status $45.00

(4) Record Maintenance fee (due non- renewal year)

(A) Licensed Recreational Therapist $80.00

(B) Licensed Recreational Therapy Assistant $40.00

History

• Authority G.S. 90C-24(a)(3); 90C-24(a)(10); 90C-28
• Temporary Adoption Eff. December 6, 2005
• Eff. December 1, 2006
• Amended Eff. March 1, 2016; September 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 21, 2018
• Amended Eff. August 1, 2022.

21 NCAC 65 .0601 Continuing Education Requirements for Licensed Recreational Therapist and Licensed Recreational Therapy Assistant

(a) During the two-year licensing period, a Recreational Therapist or Recreational Therapy Assistant who is licensed by the North Carolina Board of Recreation Therapy Licensure shall complete continuing education as set forth in this Rule. Candidates for license renewal must complete a minimum of 20 hours of continuing education to renew the license. The renewal cycle is two years prior to licensee's expiration date, and 20 hours or 2.0 CEUs must be earned within these two years.

(b) Values shall be awarded as the follows:

0.1 CEU (Continuing Education Unit) = one contact hour

1.0 CEU (Continuing Education Unit) = ten hours

2.0 CEUs = 20 Hours of Continuing Education every two years

No credit shall be awarded for sessions less than one hour in length.

(c) Content of continuing education must be consistent with the current standards listed in the National Council for Therapeutic Recreation Council Job Analysis, which is hereby incorporated by reference, including any subsequent amendments or changes. A copy of the Analysis can be accessed at the NCTRC website at no cost. A licensee shall acquire credit through professional service, continuing education courses, academic courses, and professional publications and presentations.

(d) A licensee seeking renewal earning continuing education credit approved by the International Council on Continuing Education (IACET) shall include documentation in licensees' renewal application showing credit earned, content, the licensee's name and attendance dates. A licensee seeking renewal credit for sessions not approved by IACET must send documentation to show name, content, attendance, and amount of credit earned. Documentation to support renewal credit earned for attending professional sessions shall be a transcript, certificate, letter from the continuing education's provider's letterhead, or the licensee's employer's training log including the content, attendance dates, licensee's name and credit earned.

(e) A licensee seeking renewal credits for academic courses shall submit official transcript with course(s) and credit earned. One semester hour = 15 hours.

(f) A licensee seeking renewal credits from professional publications and presentations shall earn no more than 10 hours in the area of professional publications and presentations. Credit shall not be given for repeat or multiple presentations of same seminar, publication, in-service, original paper or poster presentation during a renewal cycle. Credit shall be split equally between presenters. Documentation for publications shall be a copy of the title page, table of contents, and publication date. Documentation for presentations shall be in the form of letter from the sponsoring body stating the licensee's name, date, content and the length of presentation.

(g) Values for publications and presentations are as follows:

(1) Authoring and publishing printed editorials one hour

(2) Authoring and publishing peer reviewed articles on original research six hours

(3) Authoring and publishing professional newsletter article one hour

(4) Editing a textbook of original work four hours

(5) Authoring and publishing a textbook chapter of original work six hours

(6) Authoring and publishing a peer reviewed journal article of

professional practice four hours

(7) Authoring and publishing a journal reviews or book review one hour

(8) Presenting peer reviewed poster session one hour

(9) Authoring and publishing a research abstract one hour

(10) Authoring and publishing a textbook of original work ten hours

(11) Authoring unpublished masters or doctoral thesis eight hours

(12) Presenting one hour at professional meetings two hours

(h) Licensees seeking renewal credit for field-placement intern supervision shall be granted credit for no more than two field placement students during a renewal cycle for three hours credit per intern. Submission of the NCBRTL Clinical Appraisal and Reference Summary Form shall be accepted documentation. The NCBRTL Clinical Appraisal and Reference Summary Form can be found on the Board website, www.ncbrtl.org

(i) Licensees shall attend the Board's Compliance and Ethics Training for four hours of credit during their first year of licensure. Existing licensees may attend the Board's Compliance and Ethics training for four hours of renewal credit.

(j) Licensees seeking renewal credit submission for on-line training shall submit as proof of completion a certificate, letter or transcript as follows:

(1) documentation to show content of the session(s);

(2) documentation to show licensees' date of completion of the session;

(3) documentation to support amount of credit awarded; and

(4) the website address of the sponsoring body.

(k) A licensee seeking renewal credit for professional Recreational Therapy board member service shall be documented by letter of service from the professional board stating the dates served. One hour of credit shall be given for one year's service. If the year's service crosses over the licensee's renewal cycle, credit can be used for next renewal cycle.

History

• Authority G.S. 90C-24
• Temporary Adoption Eff. December 1, 2005
• Eff. January 1, 2007
• Amended Eff. May 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 21, 2018
• Amended Eff. March 1, 2020.

21 NCAC 65 .0602 Renewal REQUIREMENTS FOR LICENSED RECREATIONAL THERAPIST AND LICENSED RECREATIONAL THERAPY ASSISTANT

(a) Board staff shall send a renewal and fee notice to a licensee 60 days prior to the expiration date at the licensees' last known contact address listed on licensee's online profile unless a person has advised the Board that he or she does not intend to renew the license. Pursuant to Rule .0603 of this Section, it is the responsibility of the licensee to keep the licensee's address current on the licensee's online profile on Board website, www.ncbrtl.org.

(b) Licenses issued shall be subject to renewal every two years and shall include documentation as required by Rule .0601 in this Section to support completion of continuing education requirements. The two-year cycle renews every two years on the licensee's birth month. A licensee must submit the documentation to NCBRTL postmarked or uploaded online on Board's website www.ncbrtl.org by the 15th of the licensee's birth month.

(c) A licensee who is due for renewal and wants to submit required documentation received after the 15th of licensee's birth month shall be given a grace period until the 30th of the birth month. The grace period allows the NCBRTL Board to review submitted documentation and contact the licensee for any additional information and corrections. This grace period allows a licensee to make any required corrections before the 30th, when a license becomes lapsed. During a grace period, a licensee may attend conferences but must receive Board approval in order for the continuing education credits to count for licensee's current renewal documentation. Any licensee who applies to renew with a lapsed license (after the 30th) will be required to fill out a reinstatement application as stated in Rule .0701 of this Chapter.

(d) Each licensee shall complete and submit a renewal application, continuing education documentation and an updated color photo of the licensee, if the individual determines his or her appearance has changed since the last application. All materials shall be postmarked or submitted on his or her online profile on the Board website by the 15th of the licensee's birth month. If the renewal application and fee is not received or postmarked by the 15th of the licensee's birth month, the license shall expire on the 30th of licensee's birth month.

(e) First year licensees must complete a mandatory Compliance and Ethics Training offered by NCBRTL within their first year of issue date. Proof of attendance, given at training, must be included with Renewal application.

History

• Authority G.S. 90C-24(a)(3); 90-29
• Eff. January 1, 2007
• Amended Eff March 1, 2016; May 1, 2013; October 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 21, 2018
• Amended Eff. March 1, 2020.

21 NCAC 65 .0603 change of address or name requirements for licensed recreational therapist and licensed recreational therapy assistant

(a) Each licensee shall notify the Board and make changes to his or her online profile within 30 days of a change of name, work, or home address. The Board shall issue each licensee a username and password to log onto the Board website (www.ncbrtl.org) to update contact information.

(b) The licensee requesting a name change shall provide to the Board a copy of a government issued identification, or a copy of a marriage certificate, marriage license, divorce decree, or evidence of legal change of name.

History

• Authority G.S. 90C-24(a)(3); 90C-29
• Eff. January 1, 2007
• Amended Eff. March 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 21, 2018.

21 NCAC 65 .0604 lRTA Renewal supervision requirement

Each Licensed Recreational Therapy Assistant shall submit proof of supervision by submitting the LRTA Supervision Verification Form with the renewal application every two years. This form documents the duties and functions set forth in Rule .0205 of this Chapter. This form may be obtained through NCBRTL office or Board website, www.ncbrtl.org.

History

• Authority G.S. 90C-22(3); 90C-29
• Eff. March 1, 2016.

21 NCAC 65 .0701 Reinstatement of Lapsed License

(a) A recreational therapist or a recreational therapy assistant whose license has lapsed and who desires reinstatement of that license shall:

(1) Complete a reinstatement application form provided by the Board with current contact and employment information within 60 days of expiration of the license, missed submissions of the Record Maintenance Fee, or missed submissions of the Renewal application and fee with proof of continuing education in accordance with Rule .0601 of this Chapter;

(2) Submit evidence of satisfaction of all court conditions resulting from any misdemeanor or felony conviction(s), if applicable;

(3) Submit evidence of meeting education and competency requirements pursuant to Rule .0301 or Rule .0302 as applicable at the time of application;

(4) Submit evidence of meeting continuing education requirements in accordance with Rule .0601; and

(5) Submit payment of application fee and any missed Renewal or Record Maintenance licensure fees.

(b) Persons whose license is suspended for failure to renew must not practice recreational therapy and must not hold themselves out as licensed by the Board until they apply for and receive reinstatement of their license by the Board.

(c) The Board shall inform the applicant in writing of the Board's decision within 30 days after the application deadline and the Board finds the complete application shows the requirements have been met.

History

• Authority G.S. 90C-24(a)(3); 90C-28; 90C-30
• Temporary Adoption Eff. December 1, 2005
• Eff. December 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 21, 2018
• Amended Eff. August 1, 2022; March 1, 2020.

21 NCAC 65 .0801 Inactive Status

(a) A licensee shall request inactive status by completing the Inactive Status Request Form, that includes the licensee's contact information, the number of years requested, the reason for the request, and paying the fee set forth in Rule .0501 of this Chapter. The form is available through the Board or Board's website, www.ncbrtl.org.

(b) While on inactive status, an individual shall not practice recreational therapy in North Carolina.

(c) A Licensed Recreational Therapist or Licensed Recreational Therapy Assistant who has been on inactive status for a period of one year or less may convert to active status by:

(1) Submission of a reinstatement application as set forth in Rule .0701 in this Chapter to the Board;

(2) Completion of 10 continuing education hours, or the amount of hours as set forth in Rule .0601 in this Chapter for license renewal for a Licensed Recreational Therapist or Licensed Recreational Therapy Assistant; and

(3) Payment of the license renewal fee.

(d) A Licensed Recreational Therapist or Licensed Recreational Therapy Assistant who has been on inactive status for a period greater than one year may convert to active status by:

(1) Submission of a reinstatement application as set forth in Rule .0701 in this Chapter to the Board;

(2) Completion of 10 continuing education hours per year of inactive status, or the amount of hours as set forth in Rule .0601 in this Chapter for license renewal; and

(3) Payment of the current license renewal fee.

(e) A Licensed Recreational Therapist who has been on inactive status for a period greater than five years may convert to active status by:

(1) Submission of a reinstatement application as set forth in Rule .0701 in this Chapter to the Board; and

(2) Submission of proof of passage of the examination as set forth in Rule .0301 in this Chapter.

(f) The inactive request must be received by the Board on or before 15th of Licensee's birth month or due date.

History

• Authority G.S. 90C-24(a)(3); 90C-31
• Temporary Adoption Eff. December 1, 2005
• Eff. December 1, 2006
• Amended Eff. March 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 21, 2018
• Amended Eff. March 1, 2020.

21 NCAC 65 .0901 Endorsement

(a) The applicant for licensure by endorsement must make application to and be evaluated by the Board in accordance to the procedures outlined in the requirements for licensure.

(b) The application package shall be accompanied by:

(1) One current head and shoulders color photograph of the applicant identification;

(2) Official college transcripts;

(3) Verification of current state licensure;

(4) Verification of successful passage of the National Council for Therapeutic Recreation Certification Therapeutic Recreation Exam; and

(5) Licensure Fees stated in Rule .0500.

(c) The Board shall issue a license to practice as a licensed recreational therapist or a licensed recreational therapy assistant to any applicant who:

(1) Meets all licensure requirements, and

(2) Is currently licensed as a recreational therapist by a state with requirements substantially equivalent to the North Carolina Board of Recreational Therapy Licensure requirements at the time of application.

History

• Authority G.S. 90C-24(a)(3); 90C-33
• Temporary Adoption Eff. December 1, 2005
• Eff. December 1, 2006.
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 21, 2018.

21 NCAC 65 .0902 MIlitary ENdorsement

(a) The military trained applicant for licensure by endorsement shall make application to the Board by showing his or her credentials are substantially equivalent or exceed the requirements for licensure, as set forth in Section .0300 of this Chapter.

(b) The application in Paragraph (a) of this Rule shall be accompanied by:

(1) A color photograph;

(2) Official college transcripts from all colleges attended;

(3) Verification of passage of the Exam given by National Council for Therapeutic Recreation Certification;

(4) Verification of military training as a MOS Recreational Therapist or MOS Recreational Therapy Assistant;

(5) Verification of two years of active practice within the five years preceding the date of application as a MOS Recreational Therapist or MOS Recreational Therapy Assistant; and

(6) A statement that the applicant has not committed any act in any jurisdiction that would have constituted grounds for refusal, suspension, or revocation of a license to practice that occupation in this State at the time the act was committed.

(c) Applicants pursuant to G.S. 93B-15.1(a2) shall pass the Military Exemption MOS Recreational Therapy Examination given by the North Carolina Board of Recreational Therapy Licensure.

(d) A military spouse applicant for licensure by endorsement, who possesses a current license whose licensure requirements are substantially equivalent or exceed the requirements for licensure in North Carolina shall make application with and be evaluated by the Board as set forth in Section .0300 of this Chapter.

(e) The application in Paragraph (d) shall be accompanied by:

(1) A color photograph;

(2) Official college transcripts from all colleges attended;

(3) Verification of current state license;

(4) Verification of passage of the Exam given by National Council for Therapeutic Recreation Certification; and

(5) A statement that the applicant has not committed any act in any jurisdiction that would have constituted grounds for refusal, suspension, or revocation of a license to practice that occupation in this State at the time the act was committed.

History

• Authority G.S. 90C-27; 90C-33; 93B-15.1
• Eff. March 1, 2016
• Amended Eff. March 1, 2020.

21 NCAC 65 .1001 COMPLAINTS And Reports

(a) The Board shall accept from the licensee as a self-report, an employer agency, or the public reports and complaints of suspected malpractice, violations of Chapter 90C, complaints, or incident reports of disciplinary issues, including misconduct in the workplace or the community by any licensee.

(b) The complainant shall submit a signed Board approved form that includes the information required in Paragraph (c) of this Rule. The form shall be filed electronically on the Board website at www.ncbrtl.org or by contacting the Board office by phone, email, or mail for a form. The complainant shall state he or she believes the facts stated in the complaint or report to be true.

(c) A complaint regarding a violation of the G.S. 90C or Rules shall be submitted in writing within 24-72 hours of occurrence or upon receipt of knowledge regarding a suspected occurrence and document the following facts pertaining to the complaint or report:

(1) the complainant first and last name;

(2) the complainant address;

(3) the complainant phone number;

(4) the licensee first and last name;

(5) the nature of the complaint and description of the alleged behavior or incident;

(6) if known, the name, mailing address, email address, and phone number of the individual(s)(including co-workers and members of the public) involved in the complaint;

(7) if known, the name, work address, and phone number of the supervisor of the individual being reported; and

(8) the signature of complainant and statement of the truthfulness of the information.

(d) The Board staff shall return any incomplete forms to the complainant. The complainant may correct the incomplete complaint and resubmit it to the Board.

(e) Upon receipt of the completed complaint, Board staff shall notify the complainant of receipt and open a file.

(f) The Board shall not accept any anonymous complaints.

(g) Complaints and reports shall be reviewed by the Executive Director and Board Chair, who shall determine whether further investigation is needed, based upon the facts in the complaint.

History

• Authority G.S. 90C-24(a)(3); 90-24(8); 90C-24(a)(8); 90C-32
• Temporary Adoption Eff. December 1, 2005
• Eff. January 1, 2007
• Amended Eff. October 1, 2017
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 21, 2018.

21 NCAC 65 .1002 Investigations

(a) After accepting a report or complaint as referenced in Rule .1001 of this Section, the Board shall require information from the licensee regarding any disciplinary action taken by an employer or any sanctions issued to the licensee by a credentialing board or by a professional association.

(b) The individual being reported shall submit the Board's form located on the Board's website www.ncbrtl.org, located under the headings of Documents or Complaints. The form requires:

(1) the name of individuals (client names and identifying information to be de-identified or blacked out) present at the time of the incident;

(2) a description of the alleged behavior or incident;

(3) the individual's supervisor's name, mailing address, email address and phone number;

(4) the copies of any written notes, or de-identified client records involved;

(5) the date and time of the incident; and

(6) if taken, a summary of employing agency's action in response to the incident.

(c) The individual shall send the form by mail to the Board's mailing address or via email to the Board's email address. The Board staff shall open a file and assign a case number.

(d) The Board staff shall request information from professional associations, professional review organizations, or facilities where a licensee performs professional services concerning the case.

(e) The Executive Director shall prepare a report of each investigation for the Board's review.

History

• Authority G.S. 90C-24(a)(3); 90C-24(a)(8); 90C-32
• Eff. October 1, 2017.

21 NCAC 65 .1003 Letter of Notification

If the Board receives information that an individual may be practicing recreational therapy without a license, the Board shall issue a Letter of Notification. The Board shall inform the individual in writing that his or her practice may be considered within the recreational therapy scope of practice and he or she could be found in violation if he or she continues to practice recreational therapy without a license. The Board shall refer the individual to Chapter 90C, the rules of this Chapter, and the NCBRTL Employment Form, which sets forth the Standards of Practice for Recreational Therapy in G.S. 90C-22(2).

History

• Authority G.S. 90C-22(2); 90C-32(6)
• Eff. October 1, 2017.

21 NCAC 65 .1004 Unauthorized Practice

(a) Except as otherwise authorized in G.S. 90C-34, non-licensed individuals shall not:

(1) Practice, attempt to practice, supervise recreational therapy, or hold out any individual as being able to do any of these things in this State, without first having obtained a license from the Board for the individual performing services or being so held out;

(2) Use in connection with any individual's name any letters, words, codes, or insignia indicating or implying that the individual is a recreational therapist or recreational therapy assistant, unless the individual is licensed in accordance with this Chapter;

(3) Practice or attempt to practice recreational therapy as defined in G.S. 90C-22(2) and referenced in the ATRA Standards of Practice with a revoked, lapsed, or suspended license; or

(4) Aid, abet, or assist any unlicensed individual to practice recreational therapy in violation of this Article.

(b) To determine whether an individual has engaged in the unauthorized practice of recreational therapy, the Board shall request the individual complete a NCBRTL Employment Form listing the duties performed by the individual being investigated.

(c) To the extent permitted by law, any individual found by the Board to be engaged in the unauthorized practice of recreational therapy shall be subject to the sanctions set forth in Rule .1006 of this Chapter.

History

• Authority G.S. 90C-22(2); 90C-24(a)(8); 90C-32; 90C-36; 90C-37
• Eff. October 1, 2017.

21 NCAC 65 .1005 Violations

(a) Following an investigation, the Board shall determine whether a Compliance Violation has occurred.

(1) As used in this Section, a "Compliance Violation" shall mean:

(A) A licensee's failure to pay required fee in accordance with Rule .0501 of this Chapter by the due date for Maintenance and Renewal/Continuing Education;

(B) A licensee's failure to submit Renewal/Continuing Education requirements by the Renewal due date prescribed by the Board and in accordance with Rules .0601 and .0602 of this Chapter; or

(C) A licensee practicing with an expired license for one month or less.

(2) The Board shall allow a licensee that it determines has committed a Compliance Violation to enter into a "Corrective Action Plan." The Corrective Action Plan shall require the licensee to submit missing documents, a Reinstatement Application, and fee. in accordance with Rule .0501 of this Chapter. Each violation shall require the licensee to attend a "NCBRTL Compliance and Ethics" training session by a date specified by the Board. The Board shall notify the individual of the date in a letter.

(b) Following an investigation, the Board shall determine whether a Practice Violation has occurred.

(1) As used in this Section, a "Practice Violation" shall mean:

(A) Practicing Recreational Therapy without a license from the Board;

(B) Actions by a licensee that caused a client or patient actual or potential harm;

(C) A licensee practicing beyond the scope of practice for recreational therapy;

(D) A licensee's failure to follow the physician's orders as prescribed for a client or patient;

(E) A licensee's violation of the ATRA Code of Ethics in the Standards of Practice in accordance with Rules .0203 and .0204 of this Chapter; or

(F) A licensee continuing to practice with an expired license for a period exceeding one month.

(2) In the event the Board determines that a licensee or other individual has committed a Practice Violation, the Board shall issue one or more of the disciplinary sanctions set forth in Rule .1005 of this Section.

History

• Authority G.S. 90C-32; 90C-36; 90C-37
• Eff. October 1, 2017.

21 NCAC 65 .1006 Sanctions

(a) Upon the Board's determination that an applicant or licensee (if the licensees has not entered into a corrective action plan) has violated the rules set forth in this Chapter with a Compliance or Practice Violation or engaged in any conduct violating G.S. Chapter 90C, the Board may impose one or more of the following disciplinary sanctions:

(1) Denial of Application;

(2) Letter of Reprimand;

(3) Required Remedial Education;

(4) Restriction by Probation;

(5) Suspension of License;

(6) Revocation of License; or

(7) Request for Injunction.

(b) On a case-by-case basis, the Board may also impose restrictions and conditions on a licensee's practice including:

(1) restriction on the licensee's scope of practice;

(2) direct supervision of the licensee's practice;

(3) requiring the licensee to submit quarterly reports for a designated amount of time to the Board; or

(4) requiring the licensee to complete additional educational coursework.

(c) Information regarding disciplinary sanctions for any licensee shall be available on the Board's website, www.ncbrtl.org. The Board shall list the following:

(1) the name of the licensee;

(2) the agency;

(3) the infraction(s);

(4) the sanction(s) imposed by the Board; and

(5) the date(s) of imposition.

History

• Authority G.S. 90C-24(a)(8); 90C-32; 90-36; 90C-37
• Eff. October 1, 2017.

21 NCAC 65 .1007 Hearings

(a) The individual may submit a request for a hearing in the Board's office. The request must be received by the Board within 30 days of the date such individual receives notice of the Board's action or proposed action.

(b) The written request must include:

(1) a statement of request for a hearing before the Board:

(2) the name and address of the petitioner;

(3) a statement of the action taken by the Board that is being challenged;

(4) a statement of reason(s) the petitioner has been aggrieved; and

(5) a statement of any new information that the petitioner thinks is relevant to the issue.

(c) The Board shall schedule the hearing within 60 days of receipt of the request.

(d) The Board shall serve one written copy of the decision to each party in the hearing.

(e) Formal hearings shall be conducted in accordance with G.S. 150B-38.

History

• Authority G.S. 150B-38
• Eff. October 1, 2017.

Chapter 66 Veterinary Medical Board

21 NCAC 66 .0101 Authority: Name and Location of Board

The "North Carolina Veterinary Practice Act," Article 11, Chapter 90, of the General Statutes of North Carolina, establishes and authorizes the "North Carolina Veterinary Medical Board," hereafter referred to as the "Board." Unless otherwise directed, all communications shall be addressed to the Board at Office of the Executive Director, 1611 Jones Franklin Road, Suite 106, Raleigh, North Carolina 27606.

History

• Authority G.S. 90-182; 90-185(6)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. June 1, 2014; January 1, 2006; May 1, 1996; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0102 Definitions

The definitions as found in G.S. 90-181 are incorporated in this Chapter by reference in accordance with G.S. 150B-14(c).

History

• Authority G.S. 90-185(6); 150B-14
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0103 Organization of Board: Officers

History

• Status: repealed
• Authority G.S. 90-183; 90-185(6); 90-186
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 66 .0104 Statutory Powers of the Board

History

• Status: repealed
• Authority G.S. 90-183; 90-185(6); 90-186
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 66 .0105 Applicability of Board Rules

Rules adopted by the Board under the provisions of Article 11 of Chapter 90 and G.S. 150B shall be binding upon every individual holding a license from the Board, and upon all professional corporations authorized to offer or to perform veterinary services in this State. All licensees of the Board are charged with having knowledge of the existence of the Board rules and shall be deemed to be familiar with their several provisions and to understand them.

History

• Authority G.S. 90-185(6)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff October 1, 2016; May 1, 1996; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0106 Current Information Required by the Board

(a) Each licensee and registrant shall notify the Board of his or her current mailing address and the name, address, and phone number of the current place of employment within 60 days of any change.

(b) All changes in legal name shall be reported within 60 days, in writing, to the Board office accompanied by photocopies of the licensee's or registrant's legal documentation creating the change and a social security card showing the new legal name.

(c) All changes of professional association, or dissolution of a professional relationship, shall be reported within 60 days to the Executive Director together with the new status and addresses of the individuals or firm.

History

• Authority G.S. 90-185(6)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. March 1, 2017; May 1, 1996; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0107 Forms

History

• Status: expired
• Authority G.S. 90-185(6)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1989
• Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

21 NCAC 66 .0108 Fees

The following fees established by the Board shall be paid in advance to the Board:

(1) Veterinary License

(a) Issuance or Renewal $170.00

(b) North Carolina License Examination $250.00

(c) Late Renewal Fee $50.00

(d) Reinstatement $100.00

(2) Veterinary Technician Registration

(a) Issuance or Renewal $50.00

(b) North Carolina Veterinary Technician Examination $50.00

(c) Late Renewal Fee $50.00

(d) Reinstatement $100.00

(3) Professional Corporation Certificate of Registration

(a) Issuance or Renewal $160.00

(b) Late Renewal Fee $50.00

(c) Reinstatement $100.00

(4) Limited Veterinary License

(a) Issuance or Renewal $170.00

(b) Late Renewal Fee $50.00

(c) Reinstatement $100.00

(5) Veterinary Faculty Certificate

(a) Issuance or Renewal $170.00

(b) Late Renewal Fee $50.00

(c) Reinstatement $100.00

(6) Zoo Veterinary Certificate

(a) Issuance or Renewal $170.00

(b) Late Renewal Fee $50.00

(c) Reinstatement $100.00

(7) Temporary Permit: Issuance $150.00

(8) Veterinary Student Intern Registration: Issuance $25.00

(9) Veterinary Facility Permit: Issuance or Renewal $150.00

(10) Copies of Board publications, rosters, or other materials available for distribution from the Board shall be free or at a minimal cost unless otherwise specifically provided by law. As used herein, "minimal cost" shall mean the actual cost of reproducing the public record or public information.

History

• Authority 90-185(6); 90-186(6); 90-187(b); 90-187.5; 132-6.2
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. October 1, 2017; January 1, 2016; January 1, 2015; May 1, 1996; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 17, 2024.

21 NCAC 66 .0201 Forms of Practice

(a) The phrase "veterinary practice" or "veterinary medical practice" shall be deemed to be the delivery of veterinary medical services by a licensed veterinarian through a sole proprietorship or a legal entity authorized by law to engage in the delivery of veterinary medical services.

(b) Veterinary practice may be by sole proprietors, partnerships, or duly registered professional corporations, limited liability companies, or limited liability partnerships. Only licensees may form a partnership or other entities described herein authorized for the practice of veterinary medicine. Partnerships of registered corporations are not permitted.

(c) No professional corporation may practice or offer to practice veterinary medicine unless it complies with G.S. 55B-10. No professional corporation may do any act which individual licensees are prohibited from doing, and every professional corporation practicing veterinary medicine shall be subject to the disciplinary powers of the Board as prescribed in G.S. 90-187.8 and Rules .0205, .0206, .0207 and .0208 of this Section as well as all other rules of the Board pertaining to individual or partnership practice.

(d) The services of any veterinary medical professional corporation or limited liability company shall be limited to veterinary services as defined in G.S. 90-181(6) and "such services as may be ancillary thereto" as determined by the Board.

History

• Authority G.S. 55B-10; 55B-12; 90-185(6); 90-187.11; 90-187.12
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1996; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0202 Name of Practice

(a) The adoption or use of a name for the entity authorized by law through which the licensed veterinarian practices and delivers veterinary services shall have prior Board approval in order to avoid duplication or confusion of names and to prevent use of names which might be misleading. No proper names of persons other than licensees may be included in the name. If the veterinary medical practice uses the name or names of the veterinarians owning or operating the facility in the name of the practice, the name shall conform to the requirements of G.S. 90-181.1(c), and Board approval shall be obtained prior to the use of that name. The use of the word "facility" is not required in the name of those facilities offering the services described in G.S. 90-181.1(b)(2) and (b)(3) unless required by the context for clarification.

(b) A facility where the practice of veterinary medicine is conducted shall use in its name one of the descriptive terms as set forth in G.S. 90-181.1(b), or descriptive terms that are substantially equivalent, in a manner so as to accurately inform the public of the levels of service offered at the facility.

History

• Authority G.S. 55B-5; 90-185(6)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1996; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0203 License Required to Practice; Faculty Certificate; Zoo Veterinary Certificate

(a) Upon written application, the Board may issue a veterinary faculty certificate to a faculty member in the College of Veterinary Medicine at North Carolina State University which certifies that the holder thereof is exempt from the requirements of licensing under G.S. 90-187.10(3). To be a faculty member in the College of Veterinary Medicine, the faculty member shall be a graduate of a "recognized school of veterinary medicine" as defined by the American Veterinary Medical Association and a member of the faculty or staff of the College of Veterinary Medicine. The faculty member's certificate shall indicate that the holder is exempt from the requirements for licensing provided that the practice of veterinary medicine is confined to the faculty member's duties in the hospital or field service unit of the College of Veterinary Medicine. Such exemption certificate shall automatically expire when the holder's relationship is terminated with the school and university.

(b) Upon written application, the Board may issue a zoo veterinary certificate in lieu of the license that otherwise would be required by G.S. 90-187.10 to a veterinarian not licensed by the Board who is employed by the North Carolina State Zoo. The requirements for and criteria governing the zoo veterinary certificate shall be the same as for the faculty certificate, to the extent applicable and practical. In determining whether to issue a zoo veterinary certificate, the board shall, in addition, consider the applicant=s zoo employment history, the applicant=s job description and duties with the N.C. State Zoo, and the reasons the applicant seeks exemption from the licensure requirements for veterinarians.

(c) The request for either the faculty certificate or zoo veterinary certificate shall be in writing upon application form furnished by the Board. All fees for issuance, renewal, re-instatement, as well as criteria for continuing education and discipline shall be as set forth in Article 11, G.S. 90 and the rules of the Board. The zoo veterinary certificates shall be annually renewed each calendar year, and the faculty certificates also shall be for the duration of one year, but the Board may determine a beginning date other than January 1 if necessary to conform to academic appointments or the academic calendar of the College of Veterinary Medicine.

(d) The Board may consider a written application for a faculty certificate by a person who is a graduate of a "recognized school of veterinary medicine" as defined in Paragraph (a) of this Rule and who is a member of the faculty or staff of a college or university in this State other than the College of Veterinary Medicine of North Carolina State University, provided that the application sets forth the qualifications of the faculty member; the reasons that the faculty member seeks to be exempt from the requirements for licensing as a veterinarian in North Carolina, and the duties of the faculty member at the college or university where he or she is employed. A faculty certificate shall be issued under this Paragraph if the applicant shows to the satisfaction of the Board that his or her duties as a faculty member involve the practice of veterinary medicine at the college or university and that there are valid reasons that the applicant should be exempt from the licensure requirements for veterinarians. If a faculty certificate is issued under this Paragraph, all other application requirements, fee requirements, and expiration conditions apply it as to those issued to faculty members at the College of Veterinary Medicine at North Carolina State University.

History

• Authority G.S. 90-185(6); 90-187.10
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1996; May 1, 1989; October 1, 1982; November 9, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0204 Use of the Title: Veterinarian

History

• Status: repealed
• Authority G.S. 90-181; 90-185(6); 90-187.12
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 66 .0205 Discipline of Licensees; Permittees; Registrants: Mandatory Standards of Conduct

Grounds for disciplinary action shall include those as stated in G.S. 90-187.8, in addition to (but not limited to), the following:

(1) making untrue and deceitful statements in any application or representation to the Board, or in any professional relationship, or in a veterinarian-client-patient relationship as that relationship is defined in G.S. 90-181(7a);

(2) acting in such a manner as to enable others to evade the animal and public health requirements related to the practice of veterinary medicine, as administered by the North Carolina or U.S. Departments of Agriculture or the North Carolina Department of Human Resources, or to the provisions of the North Carolina Veterinary Practice Act;

(3) making, promising to make or accepting contributions of money, goods or services for purposes of bribing any person with whom the person licensed has a professional association, or has a veterinarian-client-patient relationship as defined in G.S. 90-181(7a), or to whom the person holding a license renders or offers to render professional services to the extent allowed under the license;

(4) defrauding or willfully misleading the Board or any person with whom he or she has a professional association, or has a veterinarian-client-patient relationship as defined in G.S. 90-181(7a), or to whom the person holding the license renders or offers to render professional services to the extent allowed under the license;

(5) violating the laws of North Carolina or any other state related to the practice of veterinary medicine or the delivery of services as allowed by the license issued by the Board, or violating any veterinary licensing Board rule in this or another state; and

(6) communicating verbally or in writing information which tends to discredit the reputation, integrity or professional competence of a veterinarian, permittee or registrant, and which information is false, or done in reckless disregard of the truth of falsity of the information communicated.

History

• Authority G.S. 90-185(6); 90-187.8
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1996; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0206 Minimum Standards for Continuing Education

Each person holding a veterinary license, limited license, a faculty certificate, or a zoo veterinary certificate (collectively referred to herein as "veterinarian") or a veterinary technician registration issued by the Board shall comply with the standards in this Rule. The standards shall be a condition precedent to the renewal of a license, certificate, or registration respectively. The standards are as follows:

(1) A veterinarian shall earn 20 continuing education credit hours for the calendar year license renewal period. A maximum of 10 hours may be obtained pursuant to courses described in Item (3) of this Rule.

(2) A registered veterinary technician shall earn 12 continuing education credit hours for the two-calendar year registration renewal period. A maximum of six hours may be obtained pursuant to course described in Item (3) of this Rule.

(3) One continuing education hour may be earned for each hour of independent self-study courses, prerecorded webinars, audio conferences, and non-interactive on-line presentations by approved continuing education credit providers.

(4) One continuing education credit hour may be earned for each hour of in-person attendance or live interactive attendance at courses presented by approved continuing education credit providers.

(5) A live interactive presentation shall:

(a) include instant or synchronous two-way communication;

(b) provide access to both technical personnel and professional faculty, as well as interactivity among participants for the exchange of questions and answers via instant messaging or a moderated teleconference, and

(c) document the level of participation by keeping a record of the participant's activity in asking or answering questions during the presentation and the score of any examination administered at the end or the presentation.

(6) A veterinarian or registered veterinary technician may request and be granted an extension of time, not to exceed six months, to satisfy the continuing education requirement if the veterinarian or registered veterinary technician provides evidence of a circumstance that prevents the veterinarian or registered veterinary technician from being able to obtain continuing education. The Board shall consider any evidence submitted of a circumstance preventing the veterinarian or registered veterinary technician from being able to obtain continuing education on a case-by-case basis.

(7) If the Board finds that the circumstance that was the basis for non-compliance with the continuing education requirement justified the non-compliance, the Board may exempt that individual from completing the unearned portion of the continuing education for that renewal period.

(8) Continuing education credits hours may be earned from courses, programs, or materials presented or approved by the following providers:

(a) the American Veterinary Medical Association (AVMA);

(b) the American Animal Hospital Association (AAHA);

(c) the North Carolina Veterinary Medical Association (NCVMA);

(d) the United Stated Department of Agriculture-Animal and Plant Health Inspection Service;

(e) the American Association of Veterinary State Boards' (AAVSB) Registry of Approved Continuing Education (RACE); and

(f) academies, schools, or colleges of veterinary medicine.

These providers are designated herein as "approved continuing education credit providers." The Board shall consider additional courses, presentations, or materials eligible for approval for continuing education credit hours, provided that the individual seeking the credit furnishes the Board with information to establish that the content of the course, presentation, or material are sufficiently educational for veterinarians or registered veterinary technicians. Board approval for continuing education credits for such additional courses, presentations, or materials shall be obtained prior to attendance or participation; however, the Board shall waive the requirement of prior approval if illness, injury, or natural disaster prevented the individual from obtaining the prior approval.

(9) Each veterinarian and registered veterinary technician shall keep a file containing the three most recent renewal periods of the content of courses submitted to the Board for continuing education credit hours.

(10) A veterinarian licensed in the year of graduation from a veterinary medical college is not required to earn continuing education credit hours to be eligible for license renewal for the next renewal period.

(11) A veterinary technician registered in the year of graduation from a veterinary medical technology program is not required to earn continuing education credit hours to be eligible for registration renewal for the next renewal period.

(12) A veterinarian or veterinary technician serving in the armed forces of the United States and to whom an extension of time to file a tax return is granted pursuant to G.S. 105-249.2 is granted the same extension of time to comply with the continuing education requirement of this Rule.

History

• Authority G.S. 90-185(6); 90-186(1); 93B-15
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. June 17, 2024; February 1, 2018; June 1, 2003; May 1, 1996; May 1, 1989; January 1, 1987
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. January 1, 2025.

21 NCAC 66 .0207 Minimum Facility and Practice Standards

(a) All locations where veterinary medicine is practiced shall be adequate for the maintenance of good hygiene at all times. All areas of the premises shall be maintained in a clean, odor free, and orderly condition at all times.

(b) The minimum standards for all facilities where veterinary medicine is practiced shall be:

(1) The facility shall provide heating, cooling and ventilation sufficient for the comfort and safety of the animals, the employees and clients.

(2) All rooms utilized for the practice of veterinary medicine shall have lighting sufficient for the tasks and activities conducted in the rooms.

(3) Hot and cold running water shall be provided along with toilets and lavatories for the personnel and for the clients.

(4) The facility shall have an area dedicated for storage of equipment and supplies, which area shall be of a size commensurate with the nature of the practice and the size of the facility, and which storage area shall be clean and, as required by the nature of the products or materials stored, shall be sanitary.

(5) The facility shall have interior and exterior receptacles for waste disposal which shall comply with state, county and municipal health laws, ordinances and regulations.

(6) The facilities shall employ a procedure for the prompt and sanitary disposal of dead animals which complies with all state, county and municipal laws, ordinances, rules and regulations. Dead animals held on premises shall be refrigerated.

(7) All interior spaces in the facility shall be clean and orderly.

(8) The facilities' examination rooms shall have the following:

(A) lined waste receptacles or chutes;

(B) a sink with disposable towels either in the examination room, or adjacent or reasonably convenient to the examination room, so as to facilitate necessary and required use of the sink for maintaining sanitation and hygiene in connection with examinations; and

(C) a table with an impervious surface which shall be sanitized between patients.

(9) Surgery shall be performed in a manner compatible with current veterinary medical practice with regard to anesthesia, asepsis, life support and monitoring procedures as well as recovery care. The minimum standards for surgery shall be:

(A) Surgery shall be performed in a room designated and reserved for surgery.

(B) The surgery room shall be clean, orderly and well lighted.

(C) Sterilization shall include a steam pressure sterilizer or autoclave equipment. Cold sterilization may be used for field or septic conditions.

(D) Instruments and equipment utilized in the surgery room shall be commensurate with the type of surgical service being provided.

(E) Storage in the surgery room shall be limited to only items and equipment normally related to surgery and surgical procedures.

(F) Emergency drugs shall be readily available to the surgery area.

(G) The operating table shall be constructed of a smooth and impervious material.

(H) There shall be a separate surgical preparation area.

(I) There shall be available for surgery sterilized instruments, gowns, towels, drapes, gloves, caps and masks.

(J) Regulated oxygen under positive pressure shall be available.

(10) The facilities shall have the capability for use of either in-house or consultant laboratory service for blood chemistry, cultures and antibiotic sensitivity examinations, complete blood counts, histopathological examinations and complete necropsies. An in-house laboratory facility shall meet the following minimum standards:

(A) The laboratory room shall have storage space sufficient for the equipment and materials necessary for the laboratory room;

(B) The facility shall have refrigeration with a capacity sufficient for drugs and medicines required to be refrigerated, as well as capacity for the refrigeration of dead animals held on the premises prior to disposal;

(C) All facilities shall have, as a minimum, in-house capability for the following tests:

(i) urine tests,

(ii) micro-hematocrit determination,

(iii) flotation tests for ova of internal parasites,

(iv) skin scrapings for external parasite diagnosis, and

(v) exams for circulating blood microfilaria or heartworm antigen assays.

(11) The minimum standards for drug procedures shall be:

(A) All controlled substances shall be stored, maintained, administered, dispensed and prescribed in compliance with federal and state laws, rules and regulations.

(B) Except for labeled manufactured drugs with instructions, all drugs dispensed shall be labeled with:

(i) name, address and telephone number of the facility,

(ii) name of client,

(iii) animal identification,

(iv) date dispensed,

(v) directions for use,

(vi) name and strength of the drug, and

(vii) name of prescribing veterinarian.

(C) A record of all drugs administered or dispensed shall be kept in the records of the individual animal, if the animal is a companion animal, or in the client's record, if the animal is an economic animal.

(12) The following minimum standards shall apply to recordkeeping:

(A) Every veterinarian shall keep written records or records stored via computer/word processing and easily retrievable of the animals treated. These records shall include but not be limited to pertinent medical data such as dates and type of vaccinations and all medical and surgical procedures on a daily basis, radiographs and laboratory data.

(B) Records shall be kept for a period of three years following the last office visit or discharge of such animal from a veterinary facility.

(C) Records shall be maintained by individual animal for companion pet animals examined or treated.

(D) The recordkeeping requirement shall not apply to the treatment of economic animals except as provided in Paragraph (11)(C) of this Rule.

(13) The following minimum standards shall apply to radiography:

(A) The facility shall have the capability of obtaining diagnostic quality radiographs through radiology equipment at the facility or through consultant services;

(B) The facility shall use and maintain radiology equipment in accordance with all federal and state laws, rules and regulations;

(C) all personnel using radiology equipment shall wear radiation badges.

(14) Cages, exercise areas, pens and stalls shall be kept in a clean and orderly condition, in a well-lighted area, and in good repair to prevent injury to animals and to promote physical comfort.

(15) All new veterinary facilities and all existing facilities changing ownership shall be inspected and approved by the Board prior to the practice of veterinary medicine within the facility.

(16) The Board shall make periodic inspections of veterinary premises. Such inspection shall include, but not be limited to, verification of compliance with this Rule. The Board shall make reinspections as necessary to ensure compliance with this Rule.

(17) Violation of the standards for all veterinary facilities covered by this Rule shall be grounds for disciplinary action as provided in G.S. 90-186, 90-187.8 and these Rules.

(18) The facility shall comply with all federal, state and municipal laws, rules and regulations regarding disposal of medical wastes.

(19) The following minimum standards shall apply to after hours emergency services. The veterinarian who is the owner, as well as the veterinarian who is in charge of the facility, shall provide after hours emergency service by one or more of the methods listed below in Parts (b)(19)(A) through (D) of this Rule. If after hours emergency services shall be provided other than by the veterinarian who is the owner or who is the veterinarian in charge of the facility, the name, address and telephone numbers of the provider of the after hours emergency service shall be posted prominently at the facility in areas where this information is likely to be seen by persons coming to the entrances of the facility, and the names, addresses and telephone numbers of the provider shall be accessible through a telephone answering machine or similar device.

(A) Availability by telephone, pager or answering machine; or

(B) Membership in an after hours emergency services facility or organization that agrees with the veterinarian to assume the responsibility for this care; or

(C) An agreement for this care with another facility located in the same general community, area or region served by the primary facility and which provides after hours emergency service; or

(D) Notification of the name, address and telephone numbers of an emergency veterinary service facility, open to the public, which provides after hours emergency service, located in the same general community, area or region served by the primary facility.

(20) All facilities where veterinary medicine is practiced other than facilities providing limited veterinary services shall maintain the minimum standards as required by this Rule, unless specifically exempted by statute or Board rule in facilities providing limited veterinary services.

History

• Authority G.S. 90-185(6); 90-186(2)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1996; May 1, 1989; October 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0208 Facilities Providing Limited Veterinary Services

(a) If complete veterinary medical services are not offered in a mobile or satellite veterinary clinic, an emergency veterinary hospital, or a house-call practice the public shall be so informed of the services which are not available by way of a posted notice, in plain view. The notice shall list all facilities in the area which offer the services not available in the facility. With respect to a mobile practice, including but not limited to a house-call or farm-call practice, members of the public who are or may become clients of the veterinary practice shall be informed in writing of the services which are not available at the mobile practice in a manner reasonably calculated to clearly communicate this information, at the first opportunity of inquiry or contact concerning delivery of veterinary services.

(b) The minimum standards set in Rule .0207 for all veterinary premises apply equally to a facility covered by this Rule, except the standards that apply to services that are not available in the facility and of which the public is notified in the posted notice.

(c) If emergency services are not available in the facility on a 24 hour basis, the veterinarians in charge of the facility shall have a written agreement with a local clinic or hospital for the provision of emergency services. The name and address of the local clinic or hospital offering emergency services under the agreement shall be posted. The facility must also comply with the minimum standards set forth in Rule .0207(b)(19) of this Section.

(d) If either hospitalization or radiology services are not available in the facility, the veterinarians in charge of the facility shall have a written agreement with a local clinic or hospital for the provision of these services. The name and address of the local clinic or hospital offering hospitalization or radiology services under the agreement shall be posted.

(e) No animal technician, veterinary student intern, employee or other assistant shall operate any facility covered by this Rule without the direct supervision of a licensed veterinarian on the premises.

(f) If for any reason the veterinarian who is the owner, as well as the veterinarian who is in charge of the facility, does not obtain a written agreement or agreements as required by this Rule, the veterinarian shall provide any or all of the services that would have been covered by the agreement or agreements.

(g) Violation of this Rule shall be grounds for disciplinary action as provided in G.S. 90-186 and 90-187.8.

History

• Authority G.S. 90-185(6); 90-186(2); 90-186(3)
• Eff. October 1, 1982
• Amended Eff. May 1, 1996; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0209 Limited Liability Companies

(a) Veterinary medical services may be provided through a limited liability company that complies with this Rule, Article 11, G.S. 90, the rules of the Board, and statutes governing limited liability companies, including G.S. 57D-2-01.

(b) The name of a limited liability company organized to practice veterinary medicine shall not include any adjectives or other words not in accordance with Article 11, G.S. 90 and the rules of the Board.

(c) The corporate name of a professional limited liability company registered under these Rules shall contain the wording "professional limited liability company," "professional ltd. liability co.," "professional limited liability co.," or "professional ltd. liability company," or an abbreviation of one of the foregoing: "P.L.L.C." or "PLLC."

(d) Domestic professional limited liability companies shall be formed and all limited liability companies shall be operated in accordance with the requirements set out in G.S. 57D.

(e) Before filing the articles of organization for a professional limited liability company organized to practice veterinary medicine with the Secretary of State, the organizing members shall submit the following to the Board:

(1) A registration fee as set by Rule .0108 of this Chapter; and

(2) A certificate certified by all organizing members:

(A) setting forth the names and addresses of each person who will be employed by the professional limited liability company to practice veterinary medicine;

(B) stating that all such persons are duly licensed to practice veterinary medicine in North Carolina; and

(C) representing that the company will be conducted in compliance with the North Carolina Limited Liability Company Act (G.S. 57D), this Chapter, Article 11, G.S. 90 and the rules of the Board.

(f) A certification that each of the organizing members is licensed to practice veterinary medicine in North Carolina shall be returned by the Board to the organizer of the professional limited liability company for filing with the Secretary of State.

(g) A Certificate of Registration for a professional limited liability company shall be renewed annually. The Certificate of Registration shall expire on the last day of December following its issuance by the Board and shall become invalid on that date unless renewed. Upon written application signed by its manager on a renewal form prescribed by the Board accompanied by the prescribed fee as set by Rule .0108 of this Chapter, the Board shall renew the Certificate of Registration providing that the professional limited liability company has complied with Article 11, G.S. 90, the rules of the Board and applicable General Statutes of North Carolina. The renewal form shall require the applicant to set forth:

(1) the legal name, address and telephone number of the company;

(2) the legal names of all members;

(3) the legal names of all officers; and

(4) the veterinary practice facilities operated by the company.

(h) If the Board determines that the reports filed in Paragraph (e) or (g) of this Rule, are unclear or incomplete the Board may request in writing such supplemental reports as it deems appropriate from any professional limited liability companies registered with the Board pursuant to G.S. 57D, Article 11, G.S. 90, and these Rules. The professional limited liability company shall file such reports with the Board's office within 30 days from the date it receives the request.

(i) Professional limited liability companies registered with the Board pursuant to G.S. 57D shall file a certified copy of all amendments to the articles of organization within 30 days after the effective date of each amendment. They shall also file a copy of any amendment to the bylaws, certified to be a true copy by the manager(s) of the professional limited liability company within 30 days after adoption of the amendment.

(j) The Board shall issue a certificate authorizing transfer of membership when membership is transferred in the professional limited liability company. This certificate of transfer shall be permanently retained by the company. The membership books of the company shall be kept at the principal office of the company and shall be subject to inspection by authorized agents of the Board. Transfer of membership shall only be to a person licensed to practice veterinary medicine in this State.

(k) All documents required by these Rules to be submitted to the Board by the professional limited liability company shall be executed by the manager(s) of the professional limited liability company, and duly acknowledged before a notary public or some other officer qualified to administer oaths.

History

• Authority G.S. 57D-2-01; 90-181.1; 90-186; 90-187.11
• Eff. May 1, 1996
• Amended Eff. September 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0210 Registered Limited Liability Partnerships

(a) Any registered limited liability partnership created to deliver veterinary medical services shall be created pursuant to and in compliance with G.S. 59 and Article 11, G.S. 90 and the rules of the Board.

(b) All partners of a registered limited liability partnership organized under this Rules shall hold a license to practice veterinary medicine issued by the Board.

(c) A veterinarian who engages in the practice of veterinary medicine through a limited liability partnership shall comply with the registration and other requirements of this Chapter, Article 11, G.S. 90, and the rules of the Board.

(d) A registered limited liability partnership created to deliver veterinary medical services and each of its partners shall comply with Article 11, G.S. 90 and the rules of the Board with respect to the prior approval of the name of the partnership, including the provisions of G.S. 90-181.1.

(e) Limited liability partnerships organized under this Rule shall be organized and operated in accordance with the requirements of G.S. 59. A limited liability partnership organized under this Rule to deliver veterinary medical services shall register with the Board both prior to the delivery of any professional services and prior to registration with the office of the Secretary of State of North Carolina as required by G.S. 59-84.2.

(f) To register the limited liability partnership with the Board, the partners of a veterinary limited liability partnership shall submit to the Board:

(1) A registration fee as required by Rule .0108 of this Chapter; and

(2) A certificate setting forth the names and addresses of each veterinarian who is a partner of the limited liability partnership, a representation that the partnership will be conducted in compliance with G.S. 59 as well as Article 11, G.S. 90 and the rules of the Board, as well as bearing the notarized signatures of the partners subscribing to the documents certifying to the accuracy of the statements made therein.

(g) The Board shall furnish the limited liability partnership a Certificate of Registration from the Board certifying that each of the organizing partners is licensed to practice veterinary medicine in North Carolina, said Certificate to be filed by the limited liability partnership with the Secretary of State.

(h) The Certificate of Registration for a limited liability partnership shall be renewed annually in order to continue to be effective.

(i) The Board may request in writing such supplemental reports as it deems appropriate from any limited liability partnership registered with the Board pursuant to G.S. 59 and these Rules. The limited liability partnership shall file such reports with the Board's office within 30 days from the date it receives the request.

(j) Limited liability partnerships registered with the Board pursuant to G.S. 59 shall file a certified copy of all amendments to the partnership agreement within 30 days after the effective date of each amendment. They shall also file a copy of any amendment to the bylaws, certified to be a true copy by the managing partner of the limited liability partnership within 30 days after adoption of the amendments.

History

• Authority G.S. 59-84.2; 59-84.3; 90-181.1; 90-186
• Eff. May 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0211 Veterinary Telemedicine

(a) "Veterinary telemedicine" or "telemedicine" means the use of electronic or telecommunication technologies to remotely provide medical information regarding a patient's clinical health status and to deliver veterinary medical services to a patient that resides in or is located in the State. The delivery of veterinary medical services through telemedicine is the practice of veterinary medicine.

(b) A veterinarian may provide veterinary medical services via telemedicine to a patient only after establishing a Veterinarian-Client-Patient-Relationship (VCPR). No person shall practice veterinary telemedicine except a veterinarian within the context of a VCPR. A VCPR cannot be established by any electronic means or telecommunication technologies.

(c) "Veterinary telemonitoring" occurs when any person, licensed or unlicensed, utilizes a medical device, smart phone, monitoring sensor, or other technology, in combination with an Internet connection, to collect and store health information for a patient of the veterinarian and to transmit it to a veterinarian, as directed or requested by a veterinarian.

(d) "Veterinary Teleconsulting" occurs when any person, licensed or unlicensed, whose expertise the veterinarian believes would benefit the veterinarian's patient, provides advice or other information by any method of communication to a veterinarian at the veterinarian's direction or request.

(e) Veterinarians practicing telemedicine shall be held to the same standard of care as veterinarians providing in-person medical care. Veterinarians shall use their professional judgement to determine whether telemedicine is appropriate and in the best interest of the patient. Veterinarians shall maintain a medical record of the telemedicine patient(s) as required by 21 NCAC 66 .0207(b)(12).

History

• G.S. 90-186(10)
• Eff. September 1, 2021.

21 NCAC 66 .0301 Application and Examination

(a) All applicants for a license to practice veterinary medicine shall complete, sign and return the application form for veterinary license available from the Board.

(b) All applicants for license by examination shall successfully pass the licensure examinations. The Board shall review and evaluate the validity and accuracy of information contained in an application for licensure. If the prerequisites of G.S. 90-187 and G.S. 90-187.1 are met, the Board shall admit the applicant to the examinations.

(c) The nature of the examinations is to determine the applicant's minimum competency to practice veterinary medicine within the state of North Carolina. The Board shall administer, in conformity with the testing service criteria, the North American Veterinary Licensing Examination (NAVLE) as prepared by the Board or a licensure examination service contracted with by the Board.

(d) The Board shall also administer a special North Carolina Examination to evaluate the applicant's knowledge of Article 11 of Chapter 90 and 21 NCAC 66 of the North Carolina Administrative Code.

(e) Pursuant to G.S. 90-187.1, the Board shall establish the passing score for the current NAVLE and the North Carolina Examination, which shall include examination on the statutes and administrative rules governing the practice of veterinary medicine in the State.

(f) The Executive Director shall notify all applicants of the score received on the examinations. Thereafter, if all information has been verified as correct and truthful, and if the requirements of G.S. 90-187 and G.S. 90-187.1 have been met, he shall issue a license to those successfully passing the examinations.

(g) This Section does not apply to the licensure, relicensure or reinstatement of a veterinarian whose license has been suspended or revoked by the Board or who presently has a complaint or other matter pending in this or another state or jurisdiction that has or may result in discipline against the applicant's license to practice veterinary medicine in that State.

(h) In determining whether to issue a license to practice veterinary medicine, the Board may consider all information obtained as a result of the application, including but not limited to all testing information, including examination scores of the examinations identified herein; and information obtained pursuant to the requirements of Rule .0310 of this Section or information obtained about the applicant which the applicant was required to have furnished.

History

• Authority G.S. 90-185(1); 90-185(6); 90-187; 90-187.1
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 2006; May 1, 1996; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0302 License Renewal

History

• Status: repealed
• Authority G.S. 90-185(6); 90-187.5
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 66 .0303 Special Registration of Veterinary Technicians, Interns and Preceptees; Renewal of Technician Registration

(a) Applications for registration as a veterinary technician, veterinary student intern, or veterinary student preceptee shall be on application forms provided by the Board, accompanied by the required application fee. Applicants shall be at least 18 years of age and shall furnish to the Board as requested information from which the Board can determine whether the applicant is a person of honesty and integrity.

(b) To become registered as a veterinary technician, the applicant shall meet the qualification requirements of G.S. 90-181(11). All applicants shall successfully pass the North Carolina Veterinary Technician Examination administered by the Board. Applicants who meet the criteria of G.S. 90-181(11)a shall also successfully pass the Veterinary Technician National Examination (VTNE) as prepared by the Board or a licensure examination service contracted with by the Board.

(c) To become registered as a veterinary student intern or veterinary student preceptee, no examination is required but the applicant shall demonstrate to the satisfaction of the Board that he meets the qualification requirements of G.S. 90-181(9) or (10) and is currently employed by a licensed veterinarian who directs and supervises his work.

(d) All registrations of veterinary technicians shall be renewed every 24 months upon payment by the registrant of the renewal fee adopted by the Board, provided the registrant is otherwise eligible for renewal.

History

• Authority G.S. 90-185(6); 90-186(4); 90-187.6
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. February 1, 2006; May 1, 1996; May 1, 1989; October 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0304 Discipline of Veterinary Technicians, Interns/Preceptees: Mandatory Standards of Conduct

Upon information or complaint, the Board may revoke or suspend the registration of, or otherwise discipline, any veterinary technician, veterinary student intern or veterinarian student preceptee upon any of the following grounds:

(1) The unlawful practice of veterinary medicine, except as permitted by and within the limits of the registration as defined herein and in G.S. 90-187.6. The veterinary medical services of a technician, intern, or other veterinary employee shall be limited to those services permitted by G.S. 90-187.6 under the direction and supervision of a licensed veterinarian. Such supervision and direction shall be construed to require the physical presence of the veterinarian in the facility at a proximity close enough to conduct the appropriate level of supervision for the particular task being performed by the employee. The rendering of veterinary medical services in a satellite clinic, mobile clinic, emergency clinic or other facility where the supervising veterinarian is not on the premises shall subject the registrant to revocation of registration.

(2) The violation of G.S. 90-187.6(b) concerning the acceptance of a fee or compensation.

(3) Representing to members of the public that the registrant is a licensed veterinarian or otherwise misleading the public in the belief that the registrant is a licensed veterinarian.

(4) Any other grounds for disciplinary action applicable to licensed veterinarians as defined in G.S. 90-187.8 or the rules of the Board.

History

• Authority G.S. 90-185(6); 90-186(3)
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1996; May 1, 1989; November 9, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0305 Temporary Permits

(a) Applicants for temporary permits shall apply to the Board utilizing the application form for a temporary permit. The Board or its designee shall not act upon the application until fully completed. The Board may independently verify the information provided on the form by the applicant.

(b) Applicants for temporary permits shall meet the qualifications as established in G.S. 90-187.4. No temporary permits shall be issued to applicants who are not graduates of an accredited school of veterinary medicine as defined by the American Veterinary Medical Association. At the time of submission of an application for a temporary permit, the applicant shall provide to the Board the name(s) and location(s) of the licensed veterinarian(s) within the state who shall be the supervising veterinarian(s). The supervising veterinarian(s) shall be in good standing with the Board and an active practitioner(s) within the State. The Board, or its designee, shall approve the application and notify the applicant before the applicant shall be authorized to engage in the supervised practice of veterinary medicine within the state.

(c) A temporary permit shall expire or be revoked as provided in G.S. 90-187.4 and no official notification of the revocation or expiration shall be given to the permittee. Temporary permits may not be renewed but may be reissued, within the discretion of the Board, after submission of a new application.

(d) The Board shall determine the restrictions for the temporary permit, which restrictions shall be recorded on the permit. In addition to any other restrictions or conditions imposed by the Board, the supervising veterinarian shall ensure that another veterinarian is available to supervise the holder of the temporary permit on those occasions when the supervising veterinarian is unable to be available for supervision.

History

• Authority G.S. 90-185(6); 90-187.4
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1996; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0306 License Without Examination

(a) The Board may issue a license without written examination other than the North Carolina License Examination to an applicant who meets the criteria as established in G.S. 90-187.3.

(b) An applicant shall certify that he is currently an active, competent practitioner in good standing and this certification shall be verified by the state licensing Board from the applicant's most recent clinical practice. An applicant is deemed to have practiced in another state at least three of the last five years immediately preceding his application if the applicant certifies that he has engaged in the unexempt practice of veterinary medicine as defined in the North Carolina Practice Act for that length of time. The licensure requirements in the other state are deemed substantially equivalent to those required by this state if the other state administered the same standardized licensing tests (excluding the North Carolina Practice Act Test) as were administered in North Carolina at the time of the applicant's original licensing in the other state and the tests were graded in accordance with North Carolina grading criteria.

History

• Authority G.S. 90-185(6); 90-187.3
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1996; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0307 Revocation/Suspension/Temporary Permits/Special Registrations

The registration of a veterinary technician may be suspended or revoked, and the technician may be disciplined, in accordance with the same due process procedures as are provided for individual licenses and corporate registrants under the provisions of G.S. 150B or G.S. 90, Article 11, or Board Rules.

History

• Authority G.S. 90-185(6); 90-187.4(b); 90-187.8
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1996; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0308 Reinstatement After Revocation

Any person whose license or registration has been suspended or revoked may apply for reinstatement without written examination subject to any terms and conditions as contained in the final agency decision issued by the Board upon revoking or suspending the person's license or registration. The Board, at its discretion, may conduct a fact-finding hearing to determine whether sufficient cause exists to justify, in the discretion of the Board, the reinstatement of the license or registration.

History

• Authority G.S. 90-185(6); 90-187.9
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1996; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0309 petition for inactive status

(a) Any licensed veterinarian or registrant who is in good standing with the Board and who has ceased practicing veterinary medicine may apply for inactive status. The Board may place the licensed veterinarian or registrant on an inactive list of members. A licensed veterinarian or registrant who has obtained the inactive status shall not practice veterinary medicine or be required to pay the license or registrant renewal as prescribed in G.S. 90-187.5 or 90-186(4) or required to earn continuing education credits.

(b) Any veterinarian or registrant who has been placed on inactive status and who desires to be reinstated or to resume practicing veterinary medicine may be reinstated upon the determination by the Board that:

(1) The inactive veterinarian or registrant is competent to practice veterinary medicine;

(2) The veterinarian or registrant shall pay the required license renewal fee for the current year when the application is filed; and

(3) The veterinarian or registrant shall earn the required continuing education credits in the year preceding reinstatement.

History

• Authority G.S. 90-185(2); 90-185(6); 90-186(5); 90-187.6
• Eff. June 1, 1987
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. April 1, 2021.

21 NCAC 66 .0310 Pending Complaint or Discipline Against Applicants Licensed or Registered in Other States

(a) Upon complaint or information, and within the Board's discretion, the Board may deny a license required by Article 11, G.S. 90.

(b) Applicants for a license to practice veterinary medicine may be required upon initial application to inform the Board in writing of any prior discipline or administrative action, or the equivalent thereof, against the applicant's license to practice veterinary medicine in another state or jurisdiction; or any pending complaint or unresolved disciplinary or administrative action, or the equivalent thereof, against the applicant's license to practice veterinary medicine in another state.

(c) The applicant shall furnish or give the Board permission to obtain true and accurate copies of documents relevant to consideration of the prior or pending disciplinary action.

(d) In reviewing an applicant's application, the Board may consider information determined to be reliable, including but not limited to information from the National Disciplinary Data Base about the licensee, or information obtained from other state veterinary medical boards, or other federal or state agencies.

(e) The applicant for license to practice veterinary medicine may be required to furnish all facts relating to the existence of any pending charges alleging violation of a federal or state criminal statute or law, in this or any other country.

History

• Authority G.S. 90-185(2); 90-185(6); 90-186(3); 90-187; 90-187.3
• Eff. May 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0311 Limited Veterinary License

(a) A "limited veterinary license" or "limited license" is a license as defined in G.S. 90-181(4).

(b) Unless otherwise provided in G.S. 90, Article 11 or in a Board rule, the provisions of G.S. 90, Article 11 and this Chapter are applicable to limited veterinary licenses.

(c) The terms and restrictions of the scope or areas of practice of veterinary medicine of the holder of the limited veterinary license shall be determined by the Board upon consideration of all criteria deemed relevant by the Board to effectuate the purposes of the limited license, including:

(1) whether the applicant is licensed to practice veterinary medicine in other states of the United States, or other countries or jurisdictions, whether those licenses are active, and whether there are any investigations or pending complaints against the licenses at the time of the consideration of the application;

(2) the length of time the applicant has been licensed in good standing to practice veterinary medicine;

(3) the reasons that the applicant offers for requesting a limited veterinary license;

(4) whether facts available to the Board indicate the applicant's application has merit; and

(5) any information affecting the applicant's capability and need for a limited veterinary license, determined on a case-by-case basis, including the applicant's record of any criminal charges and convictions.

(d) Upon written application, the Board may issue a limited veterinary license to a person employed by the North Carolina Department of Agriculture and Consumer Services (NCDA&CS) in a position with the North Carolina Veterinary Diagnostic Laboratory System (NCVDLS), provided the applicant meets the criteria for issuance of this limited veterinary license. The following provisions are applicable to this limited veterinary license:

(1) The criteria for eligibility for this limited veterinary license are:

(A) The applicant is not eligible for a license as a veterinarian under G.S. 90, Article 11 and this Chapter.

(B) The applicant:

(i) is a graduate of a veterinary medical education program at an institution accredited by the American Veterinary Medical Association (AVMA); or

(ii) is a graduate of a veterinary medical education program at an institution of higher education or its equivalent, not accredited by the AVMA, that qualifies a graduate to practice veterinary medicine in the country where the institution of higher education is located.

(C) The applicant completes an application form from the Board, which shall request the following information from the applicant:

(i) full legal name;

(ii) mailing address;

(iii) telephone number;

(iv) email address;

(v) social security number;

(vi) date of birth; and

(vii) veterinary college information and year of graduation.

(D) The applicant has achieved a passing score on the written North Carolina examination administered by the Board.

(E) There is no disciplinary proceeding or unresolved complaint pending against the applicant in any State, territory, or district of the United States, or in a foreign country where the applicant is or has been licensed or permitted to practice veterinary medicine.

(F) That any disciplinary actions taken against the applicant or his or her license by any State, territory, or district of the United States, or by a Board or agency with jurisdiction in a foreign country where the applicant is licensed to practice veterinary medicine will not affect the applicant's ability and competency to practice veterinary medicine within the limitations and restrictions of the employment position with NCVDLS.

(G) The applicant submits with the application the fee for a limited veterinary license set forth in Rule .0108 of this Chapter.

(H) The applicant provides to the Board with the application a written statement from the Director of Laboratories of the NCVDLS that:

(i) describes the duties of the applicant's prospective employment position with NCVDLS that require this limited veterinary license; and

(ii) advises the Board that the applicant has been offered and has agreed to accept the described employment position with NCVDLS contingent upon the applicant receiving a limited veterinary license from the Board.

(2) The applicant shall request for the limited veterinary license to be renewed annually each calendar year.

(3) The Board may issue a temporary permit for this limited veterinary license as follows:

(A) The applicant meets the criteria for eligibility for this limited veterinary license except for not achieving a passing score on the written North Carolina examination.

(B) The temporary permit shall expire 60 days after it is issued by the Board, but upon written request from the applicant, the Board shall renew the temporary permit for 120 days in order for the applicant to achieve a passing score on the written North Carolina examination.

(C) The temporary permit shall contain restrictions as to time, place, and supervision of the licensee.

(D) The holder of a temporary permit for this limited veterinary license shall be supervised by a veterinarian licensed by the Board who is employed by the NCDA&CS in the NCVDLS.

(4) This limited veterinary license shall be restricted in scope to the duties of the license holder's employment position with NCDA&CS and NCVDLS and shall automatically expire when the license holder's employment with NCDA&CS and NCVDLS ends.

(5) The following sections of G.S. 90, Article 11, and of this Chapter are not applicable to the licensing requirements for this limited veterinary license: G.S. 90-187(c); G.S. 90-187.3; G.S. 90-187.4; Rules .0301(a),(b),(c),(e),(f), .0305, .0306 and .0309.

History

• Authority 90-181(4); 90-185(1); 90-185(6); 90-187.8
• Eff. May 1, 1996
• Amended Eff. June 1, 2017
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0401 Rule-Making Petitions

(a) A person may petition the Board to adopt a new rule or change or amend an existing rule by sending a rule-making petition to the Board at the Board's address set out in Rule .0101 of this Chapter. The petition must be titled "Petition for Rule-making" and must include the following information:

(1) the name and address of the person submitting the petition;

(2) a citation to any rule for which a change or repeal is requested;

(3) a draft of any proposed rule or amended rule;

(4) an explanation of why the new rule, amendment, or repeal is requested and the effects of the new rule, amendment, or repeal on the Board's procedure or the persons regulated by the Board;

(5) any other information the person submitting the petition considers relevant.

(b) The Board must decide whether to grant or deny a petition for rule-making within 120 days of receiving the petition. In making its decision, the Board will consider the information submitted with the petition and any other relevant information.

(c) When the Board denies a petition for rule-making, it must send written notice of the denial to the person who submitted the request. The notice must state the reason for the denial. When the Board grants a rule-making petition, it must initiate rule-making proceedings and send written notice of the proceedings to the person who submitted the request.

History

• Authority G.S. 90-185(6); 150B-16
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0402 Notice of Rule-Making Hearings

Upon a determination to hold a rule-making proceeding, either in response to a petition or otherwise, the Board shall give notice to all interested persons pursuant to the procedure established in Article 2 of Chapter 150B of the North Carolina General Statutes.

History

• Authority G.S. 90-185; 150B-12
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0403 Notice Mailing List

Any person desiring to be placed on the mailing list for Board rule-making notices may file such request in writing, furnishing his name and mailing address to the Board. The letter of request should state those subject areas within the authority of the Board for which the person wants notice. The Board may require reasonable postage and stationery costs to be paid by a person who is mailed a rule-making notice.

History

• Authority G.S. 90-185; 150B-12
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0404 Submission of Data

Any person desiring to present data, views or arguments on a proposed rule must comply with the statement of procedure as contained in the Notice of Hearing for the rule. Any person desiring to make an oral presentation to the Board prior to or at the hearing is encouraged to submit a written copy of the presentation to the Board prior to or at the hearing.

History

• Authority G.S. 90-185; 150B-12
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0405 Presiding Officer: Powers and Duties

The presiding officer at a rule-making hearing shall have complete control of the proceedings, including recognition of the speakers, time allotments for presentations, the right to question speakers, direction of the discussion and management of the hearing. The presiding officer, at all times, will take care that each person participating in the hearing is given a fair opportunity to present views, data and comments. The presiding officer shall conduct the rule-making hearing pursuant to the procedure established in Article 2 of Chapter 150B of the North Carolina General Statutes.

History

• Authority G.S. 90-185; 150B-12
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0406 Record of Proceedings

A record of all rule-making proceedings will be maintained in the Board office for as long as the rule is in effect. This record shall contain: the original petition (if any), the notice, all written comments submitted, any statement of explanation made to an interested party, and the minutes of the proceedings.

History

• Authority G.S. 90-185; 150B-12
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0407 Request to Participate

History

• Status: repealed
• Authority G.S. 90-185(6); 150A-11; 150A-12(a),(d),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 66 .0408 Contents of Request: General Time Limitations

History

• Status: repealed
• Authority G.S. 90-185(6); 150A-11; 150A-12(a),(d),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 66 .0409 Receipt of Request: Specific Time Limits

History

• Status: repealed
• Authority G.S. 90-185(6); 150A-11; 150A-12(a),(d),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 66 .0410 Written Submissions

History

• Status: repealed
• Authority G.S. 90-185(6); 150A-11; 150A-12(a),(d),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 66 .0411 Presiding Officer: Power and Duties

History

• Status: repealed
• Authority G.S. 90-185(6); 150A-11; 150A-12(a),(d),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 66 .0412 Statement of Reasons for Decision

History

• Status: repealed
• Authority G.S. 90-185(6); 150A-11; 150A-12(a),(d),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 66 .0413 Record of Proceedings

History

• Status: repealed
• Authority G.S. 90-185(6); 150A-11; 150A-12(a),(d),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 66 .0414 Emergency Rules

History

• Status: repealed
• Authority G.S. 90-185(6); 150A-11; 150A-12(a),(d),(e); 150A-13
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 66 .0501 Procedure for Declaratory Ruling

(a) The Board shall decide whether to grant or deny a request to make a declaratory ruling on the validity of a rule or on the applicability of particular facts to a statute or to a rule or order of the Board within 60 days of receiving the petition. The Board shall deny a request for a declaratory ruling when the Board deems the petition undesirable. The Board will ordinarily refuse to grant a petition for a declaratory ruling when there has been a similar factual determination in a contested case or one is likely to be made in a pending contested case or investigation.

(b) The Board will presume that its current rules are valid unless this presumption is rebutted by persuasive evidence as offered in the petition for the declaratory ruling. When the Board determines that a rule is invalid, the Board shall initiate rule-making proceedings and send written notice of the proceeding to the person who submitted the request.

History

• Authority G.S. 90-185; 150B-17
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0502 Submission of Request for Ruling

History

• Status: repealed
• Authority G.S. 90-185(6); 150A-11; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 66 .0503 Disposition of Requests

History

• Status: repealed
• Authority G.S. 90-185(6); 150A-11; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 66 .0504 Record of Decision

History

• Status: repealed
• Authority G.S. 90-185(6); 150A-11; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 66 .0505 Effective Date

History

• Status: repealed
• Authority G.S. 90-185(6); 150A-11; 150A-17
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 66 .0601 Committee on Investigations

(a) Upon receipt of a charge alleging misconduct against a licensee or registrant of the Board, the Executive Director shall inform the accused party of the nature of the charges as filed with the Board.

(b) The accused party shall respond to the charges by filing a written answer with the Board within 20 days of the receipt of the notification of charges.

(c) The complaining party shall be provided with a copy of the accused party's answer and within 20 days from receipt thereof shall file a reply to the accused party's answer.

(d) The charges as filed with the Board, the answer and reply may be referred to the Committee on Investigations (hereinafter referred to as "Committee"). The Committee shall consist of three members of the Board, one of whom shall serve as chairman.

(e) The Committee shall investigate the complaint referred to it by the Board and as part of the investigation may:

(1) Assign the complaint to the Board's investigator who shall submit a written report to the Committee.

(2) Invite the complaining party and the accused party before the Committee to receive their oral statements, but neither party shall be compelled to attend.

(3) Conduct any other type of investigation as is deemed appropriate by the Committee.

(f) Upon the completion of the investigation, the Committee shall determine whether or not there is probable cause to believe that the accused party has violated any standard of misconduct which would justify a disciplinary hearing based upon the grounds as specified in Article 11 of Chapter 90 of the North Carolina General Statutes or this Chapter.

(g) If probable cause is found, the Committee shall direct the legal counsel for the Board to file a Notice of Hearing.

(h) If probable cause is found, but it is determined that a disciplinary hearing is not warranted, the Committee may issue a reprimand to the accused party. A statement of such reprimand shall be mailed to the accused party. Within 15 days after receipt of the reprimand, the accused party may refuse the reprimand and request that Notice of Hearing be issued pursuant to Chapter 150B of the North Carolina General Statutes or this Chapter. Such refusal and request shall be addressed to the Committee and filed with the Executive Director for the Board. The legal counsel for the Board shall thereafter prepare and file a Notice of Hearing. If the letter of reprimand is accepted, a record of the reprimand shall be maintained in the office of the Board.

(i) If no probable cause is found, the Committee shall dismiss the charges and prepare a statement of the reasons therefore which shall be mailed to the accused party and the complaining party.

(j) If no probable cause is found, but it is determined by the Committee that the conduct of the accused party is not in accord with accepted professional practice or may be the subject of discipline if continued or repeated, the Committee may issue a letter of caution to the accused party stating that the conduct, while not the basis for a disciplinary hearing, is not professionally acceptable or may be the basis for a disciplinary hearing if repeated. A record of such letter of caution shall be maintained in the office of the Board.

(k) A Board member who has served on the Committee is deemed disqualified to act as a presiding officer or member of the Board assigned to render a decision in any administrative disciplinary proceeding brought pursuant to a Notice of Hearing for which that member has sat in an investigative capacity as a member or chairman of the Committee.

(l) The Board may assess and recover against persons holding licenses, limited licenses, temporary permits, faculty certificates, Zoo veterinary certificates or any certificates of registration issued by the Board, costs incurred by the Board for the following expenses, respectively, that have been incurred by the Board in the investigation, prosecution, hearing or other administrative action in final decisions or orders where those persons are found to have violated the Veterinary Practice Act or Administrative Rules of the Board:

(1) legal expenses, including reasonable attorney fees, incurred by the Board; and

(2) witness fees and statutorily-allowed expenses for witnesses; and

(3) direct costs of the Board in taking or obtaining of depositions of witnesses; and

(4) costs incurred by reason of administrative or staff time of employees of the Board directly attributable to the action leading to the final decision or order.

The costs assessed may be assessed pursuant to final decision or orders entered with or without the consent of the person holding the respective license, registration permit or certificate; no costs referred to in this Paragraph shall be assessed against a person holding a respective license, permit registration or certificate for an investigation or action in the nature of disciplinary action other than a final decision or order of the Board, unless and except expressly consented to by said person in a Consent Order approved by the Board.

(m) A civil monetary penalty of up to five thousand dollars ($5,000) for each violation of Article 11, G.S. 90 or Board rule may be imposed and collected from a person holding a license (the word "license" is as defined in G.S. 90-187.8(a)) upon a finding by the Board of the relevant factor or factors in G.S. 90-187.8(b)(1) through (6). With respect to this subsection, the phrase "violation of Article 11, G.S. 90 or Board rule" shall be deemed to mean Article 11, G.S. 90, the Veterinary Practice Act, or the rules of the Board, and shall include final decisions, orders, and consent orders, letters of reprimand and other permitted disciplinary actions, but it expressly excludes letters of caution issued by the Board.

History

• Authority G.S. 90-185(3); 90-185(6)
• Eff. January 1, 1987
• Amended Eff. May 1, 1996; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0602 Right to Hearing

When the Board acts or proposes to act, other than in rule-making or declaratory ruling proceedings, in a manner which will affect the rights, duties, or privileges of a specific, identifiable person, such person has the right to an administrative hearing. When the Board proposes to act in such manner, it shall give all such affected persons notice of their right to a hearing by mailing by certified mail to them at their last known address a notice of the proposed action and a notice of a right to a hearing.

History

• Authority G.S. 90-185; 150B-11; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0603 Request for Hearing

(a) Any time an individual believes that individual's rights, duties, or privileges have been affected by the Board's administrative action, but has not received notice of a right to an administrative hearing, that individual may file a formal request for a hearing.

(b) Before an individual may file a request, that individual is encouraged to exhaust all reasonable efforts to resolve the issue informally with the Board.

(c) Subsequent to such informal action, if still dissatisfied, the individual must submit a request to the Board's office, with the request bearing the notation: REQUEST FOR ADMINISTRATIVE HEARING. The request must contain the following information:

(1) Name and address of the petitioner;

(2) A concise statement of the action taken by the Board which is challenged;

(3) A concise statement of the way in which the petitioner has been aggrieved; and

(4) A clear and specific statement of request for a hearing.

(d) The request will be acknowledged promptly and, if deemed appropriate by the Board in accordance with Rule .0604 of this Section, a hearing will be scheduled.

History

• Authority G.S. 90-185; 150B-11; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0604 Granting or Denying Hearing Requests

(a) The Board shall grant a request for a hearing if it determines that the party requesting the hearing is a "person aggrieved" within the meaning of G.S. 150B-2(6).

(b) The denial of request for a hearing shall be issued no later than 60 days after the submission of the request. Such denial shall contain a statement of the reasons for the denial of the request.

(c) Approval of a request for a hearing will be signified by the issuing of a notice as required by G.S. 150B-38(b) and explained in Rule .0605 of this Section.

History

• Authority G.S. 90-185; 150B-11; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0605 Notice of Hearing

(a) The Board shall give the party or parties in a contested case a notice of hearing not less than 15 days before the hearing. Said notice shall contain the following information, in addition to the items specified in G.S. 150B-38(b):

(1) the name, position, address and telephone number of a person at the offices of the Board to contact for further information or discussion;

(2) the date, time, and place for a pre-hearing conference, if any; and

(3) any other information deemed relevant to informing the parties as to the procedure of the hearing.

(b) The Board shall give notice to all parties with a notice of hearing either personally or by certified mail or, if those methods are unavailable, in accordance with G.S. 1A-1, Rule 4(j1). In the event that notice is accomplished by certified mail, the delivery date on the return receipt shall be the date of the service of notice.

(c) If the Board determines that the public health, safety or welfare requires such action, it may issue an order summarily suspending a license or registration. Upon service of the order, the licensee or registrant to whom the order is directed shall immediately cease the practice of veterinary medicine in North Carolina. The Board shall promptly give notice of hearing pursuant to G.S. 150B-38 following service of the order. The suspension shall remain in effect pending issuance by the Board of a final agency decision pursuant to G.S. 150B-42.

History

• Authority G.S. 90-185; 150B-3(c); 150B-11; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 9, 2018.

21 NCAC 66 .0606 Who Shall Hear Contested Cases

All contested case hearings shall be conducted by the full Board or by a panel consisting of at least a majority of the members of the Board provided, however, the term "members" shall not be deemed to include a vacant position of a board member, whether the vacancy is the result of resignation, non-appointment, or other cause. When required by Chapter 150B of the North Carolina Statutes the Board shall apply to the Office of Administrative Hearings for the designation of an administrative law judge to hear the case pursuant to G.S. 150B-40(e).

History

• Authority G.S. 90-185; 150B-38; 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1996; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0607 Petition for Intervention

(a) A person desiring to intervene in a contested case must file a written petition with the Board's office. The request must bear the notation: PETITION TO INTERVENE IN THE CASE OF (Name of Case).

(b) The petition must include the following information:

(1) the name and address of petitioner;

(2) the business or occupation of petitioner, where relevant;

(3) a full identification of the hearing in which petitioner is seeking to intervene;

(4) the statutory or non-statutory grounds for intervention;

(5) any claim or defense in respect of which intervention is sought; and

(6) a summary of the arguments or evidence petitioner seeks to present.

(c) If the Board determines to allow intervention, notice of that decision will be issued promptly to all parties and to the petitioner. In cases of discretionary intervention, such notification will include a statement of any limitations of time, subject matter, evidence, or whatever else is deemed necessary that are imposed on the intervenor.

(d) If the Board's decision is to deny intervention, the petitioner shall be notified promptly. Such notice shall be in writing, identifying the reasons for the denial, and shall be issued to the petitioner and all parties.

History

• Authority G.S. 90-185; 150B-11; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0608 Types of Intervention

(a) Intervention of Right. A petition to intervene as of right, as provided in the North Carolina Rules of Civil Procedure, Rule 24, will be granted if the petitioner meets the criteria of that rule and the petition is timely.

(b) Permissive Intervention. A petition to intervene permissively as provided in the North Carolina Rules of Civil Procedure, Rule 24, will be granted if the petitioner meets the criteria of that rule and the Board determines that:

(1) There is sufficient legal or factual similarity between the petitioner's claimed rights, privileges, or duties and those of the parties to the hearings; and

(2) Permitting intervention by the petitioner as a party would aid the purpose of the hearing.

(c) Discretionary Intervention. The Board may allow discretionary intervention, with whatever limits and restrictions are deemed appropriate.

History

• Authority G.S. 90-185; 150B-11; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0609 Informal Procedures

(a) The Board and the other party or parties may agree in advance to simplify the hearing by: decreasing the number of issues to be contested at the hearing; accepting the validity of certain proposed evidence; accepting the findings in some other case with relevance to the case at hand; or agreeing to such other matters as may expedite the hearing.

(b) Informal disposition may be made of any contested case or any issue therein by stipulation, agreement, or consent order at any time after Notice of Hearing or during the proceedings.

History

• Authority G.S. 90-185; 150B-11; 150B-38
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0610 Disqualification of Board Members

(a) Self-disqualification. If for any reason a Board member determines that personal bias or other factors render that member unable to conduct the hearing and perform all duties in an impartial manner, that Board member shall voluntarily decline to participate in the hearing or decision.

(b) Petition for Disqualification. If for any reason any party in a contested case believes that a Board member is personally biased or otherwise unable to conduct the hearing and perform all duties in an impartial manner, the party may file a sworn, notarized affidavit with the Board. The title of such affidavit must bear the notation: AFFIDAVIT OF DISQUALIFICATION OF BOARD MEMBER IN THE CASE OF (Name of Case).

(c) Contents of Affidavit. The affidavit must state all facts the party deems to be relevant to the disqualification of the Board member.

(d) Timeliness of Affidavit. An affidavit of disqualification will be considered timely if filed ten days before commencement of the hearing. Any other affidavit will be considered timely provided it is filed at the first opportunity after the party becomes aware of facts which give rise to a reasonable belief that a Board member may be disqualified under this Rule.

(e) Procedure for Determining Disqualification:

(1) The Board will appoint a Board member to investigate the allegations of the affidavit.

(2) The investigator will report to the Board the findings of the investigation.

(3) The Board shall decide whether to disqualify the challenged individual.

(4) The person whose disqualification is to be determined will not participate in the decision but may be called upon to furnish information to the other members of the Board.

(5) A record of proceedings and the reasons for any decision reached will be maintained as part of the contested case record.

(6) When a Board member is disqualified prior to the commencement of the hearing or after the hearing has begun, such hearing will continue with the remaining members sitting provided that the remaining members still constitute a majority of the Board.

(7) If disqualification of a Board member leaves less than a majority of the Board, the Board shall petition the Office of Administrative Hearings to appoint an administrative law judge to hear the contested case pursuant to G.S. 150B-40(e).

(8) Where a petition for disqualification is filed less than ten days before or during the course of a hearing, the hearing shall continue with the challenged Board member sitting. Petitioner shall have the opportunity to present evidence supporting his petition, and the petition and any evidence relative thereto presented at the hearing shall be made a part of the record. The Board, before rendering its decision, shall decide whether the evidence justifies disqualification. In the event of disqualification, the disqualified member will not participate in further deliberation or decision of the case.

History

• Authority G.S. 90-185; 150B-11; 150B-38; 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0701 Failure to Appear

(a) Continuances and adjournments will be granted only in compelling circumstances.

(b) Should a party fail to appear at a hearing or fail to appear following the granting of a continuance or adjournment, the hearing will be conducted in the party's absence.

(c) If a hearing is conducted and a decision is reached in an administrative hearing in the absence of a party, that party may file a written petition with the Board for a reopening of the case.

(d) Petitions for reopening a case will not be granted except when the petitioner can show that the reasons for his failure to appear were justifiable and unavoidable and that fairness requires reopening the case. Such petitions, however, will have no effect on the running of the 30-day period for seeking judicial review, which starts from the day the party is served with the final decision.

History

• Authority G.S. 90-185; 150B-11; 150B-38; 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0702 Witnesses

Any party may be a witness and may present witnesses on the party's behalf at the hearing. All oral testimony at the hearing shall be under oath or affirmation and shall be recorded or transcribed. At the request of a party or upon the Board's own motion, the presiding officer may exclude witnesses from the hearing room so that they cannot hear the testimony of other witnesses.

History

• Authority G.S. 90-185; 150B-11; 150B-38; 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0703 Subpoenas

(a) Any person receiving a subpoena from the Board may object thereto by filing a written objection to the subpoena with the Board's office.

(b) Such objection shall include a concise, but complete, statement of reasons why the subpoena should be revoked or modified.

(c) Any such objection to a subpoena shall be served on the party who requested the subpoena simultaneously with the filing of the objection with the Board.

(d) The party who requested the subpoena, in such time as may be granted by the Board, may file a written response to the objection. The written response shall be served by the requesting party on the objecting witness simultaneously with filing the response with the Board.

(e) After receipt of the objection and response thereto, if any, the Board shall issue a notice to the party who requested the subpoena and the party challenging the subpoena, and may notify any other party or parties of an open hearing, to be scheduled as soon as practicable, at which time evidence and testimony may be presented, limited to the narrow questions raised by the objection and response.

(f) Promptly after the close of such hearing, the majority of the Board members hearing the contested case shall rule on the challenge and issue a written decision. A copy of the decision shall be issued to all parties and made a part of the record.

History

• Authority G.S. 90-185; 150B-38; 150B-39
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1996; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0704 Final Decision

In all cases heard by the Veterinary Medical Board, the Board will issue its decision within 60 days after its next regularly scheduled meeting following the close of the hearing. This decision will be the prerequisite "final agency decision" for the right to judicial review.

History

• Authority G.S. 90-185; 150B-11; 150B-38; 150B-42
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0705 Proposals for Decisions

(a) When an administrative law judge conducts a hearing pursuant to G.S. 150B-40(e), a "proposal for decision" shall be rendered within 45 days of the hearing pursuant to the Rules of the Office of Administrative Hearings. The parties may file written exceptions to this "proposal for decision" and submit their own proposed findings of fact and conclusions of law. The exceptions and alternative proposals must be filed within ten days after the party has received the "proposal for decision" as drafted by the administrative law judge.

(b) Any exceptions to the procedure during the hearing, the handling of the hearing by the administrative law judge, rulings on evidence, or any other matter must be written and refer specifically to pages of the record or otherwise precisely identify the occurrence to which exception is taken. The exceptions must be filed with the Board within ten days of the receipt of the proposal for decision. The written exceptions must bear the notation: EXCEPTIONS TO THE PROCEEDINGS IN THE CASE OF (Name of Case).

(c) Any party may present oral argument to the Board upon request. The request must be included with the written exceptions.

(d) Upon receipt of request for further oral argument, notice will be issued promptly to all parties designating the time and place for such oral argument.

(e) Giving due consideration to the proposal for decision and the exceptions and arguments of the parties, the Board may adopt the proposal for decision or may modify it as the Board deems necessary. The decision rendered will be a part of the record and a copy thereof given to all parties. The decision as adopted or modified becomes the "final agency decision" for the right to judicial review. Said decision will be rendered by the Board within 60 days of the next regularly scheduled meeting following the oral arguments, if any. If there are no oral arguments presented, the decision will be rendered within 60 days of the next regularly scheduled Board meeting following receipt of the written exceptions.

History

• Authority G.S. 90-185; 150B-11; 150B-38; 150B-40
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

21 NCAC 66 .0801 Right to Judicial Review

History

• Status: repealed
• Authority G.S. 90-185(6); 150A-43; 150A-45
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 66 .0802 Manner of Seeking Review: Time for Filing Petition: Waiver

History

• Status: repealed
• Authority G.S. 90-185(6); 150A-43; 150A-45
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Repealed Eff. May 1, 1989.

21 NCAC 66 .0901 Definitions

In addition to the terms set forth in G.S. 90-181, the following definitions apply to this Subchapter:

(1) "Owner" means the person whose business provides services that constitute the practice of veterinary medicine as defined by G.S. 90-181(6).

(2) "Facility" means any physical location, including mobile units, in which the practice of veterinary medicine occurs.

(3) "Veterinary Facility Permit" means a document authorizing an owner to operate a facility which engages in the practice of veterinary medicine.

History

• Authority G.S. 90-185(6); 90-186(8)
• Eff. June 17, 2024.

21 NCAC 66 .0902 Veterinary Facility Permits

(a) Any person who owns a business which operates a facility providing services that constitute the "practice of veterinary medicine" on a full, part-time, or temporary basis shall have a veterinary facility permit issued by the Board prior to offering or delivering any veterinary medical services to the public. Veterinary or Veterinary Technician teaching programs offering services to the public shall have a veterinary facility permit.

(b) As a condition of any veterinary facility permit issued by the Board, the owner shall designate a supervising veterinarian.

(c) The Board shall issue a veterinary facility permit to an owner after the owner submits an application, pays the veterinary facility permit fee, and passes a facility inspection. The Board shall inspect the veterinary facility to ensure compliance with Rules .0207 and .0208 of this Chapter if an inspection has not been performed in the last two years. It is the responsibility of the owners to ensure that the veterinary facility meets the minimum veterinary facility standards in Rules .0207 and .0208 of this Chapter.

(d) The application for a veterinary facility permit shall be on a form prescribed by the Board and available on the Board's website. The application shall contain:

(1) the owner's name, physical address, mailing address, email address, and telephone number;

(2) proposed or existing name of the facility, as set forth in G.S. 90-181.1, physical address, mailing address, email address, and telephone number; and

(3) designation of a supervising veterinarian of the facility subject to the provisions of Rules .0903 of this Section.

(e) Each veterinary facility permit shall be renewed yearly. The veterinary facility must have passed an inspection pursuant to Rule .0207(b)(16) of this Chapter within the 24 months prior to issuance of renewal.

(f) Each veterinary facility that is identified by a separate physical address or that is located at the same physical address as another veterinary facility but has different owners or supervising veterinarians shall be a separate veterinary facility requiring a separate veterinary facility permit. The physical address for a veterinary facility shall be the primary business location.

(g) The owner shall notify the Board within 10 business days of any changes in contact information.

(h) The owner shall notify the Board in writing of a planned change in the ownership or in the supervising veterinarian of the veterinary facility at least 20 business days prior to the planned change.

(i) In the event of an owner's inability to maintain the facility's compliance with Chapter 90 of the General Statutes and the rules of this Chapter, the Board shall be notified within 10 business days by an owner, or if the owner is unable to do so as a result of physical inability, the supervising veterinarian, or a member of the veterinary facility's staff.

(j) In the event that the Board is notified that the owner to whom a facility permit is issued is dissolved voluntarily, administratively, or by operation of law; suspended by the NC Department of Revenue; or has its certificate of authority revoked by the NC Secretary of State, the Board shall also suspend the permit issued to the owner. The suspension shall remain in effect until the suspension has been lifted by NC Department of Revenue, or the person has been reinstated by the NC Secretary of State, or both.

(k) The Board may issue a temporary veterinary facility permit to the owners of a veterinary facility for a period of 35 business days to allow the owners to address and resolve violations of the rules of this Chapter, particularly, Rules .0207 and .0208 of this Chapter, discovered during the veterinary facility inspection. However, the Board shall not issue a temporary veterinary facility permit if the violations present a danger to the health or safety of the public or animals. Upon request of the owner, the Board may extend a temporary permit for an additional period of no more than 35 business days, as long as satisfactory progress has been made as determined by the Board. In the event of the death of an owner, the permit remains valid for 50 business days from the date of the death of the owner, so long as the facility continues to have an active, supervising veterinarian registered with the Board.

(l) The following are exempt from the requirement for a veterinary facility permit:

(1) those exempted by licensure under G.S. 90-187.10;

(2) a veterinary facility owned and operated by the State of North Carolina, a political subdivision thereof, or the federal government, so long as the facility does not offer or provide veterinary services to the public; or

(3) a temporary veterinary facility established as a result of an emergency declared by the Governor of North Carolina.

(m) A person operating without a veterinary facility permit is subject to the provisions of G.S. 90-187.13.

(n) The veterinary facility permit shall be displayed by the owners at the facility at a location viewable by the public. Veterinary facility permits for mobile facilities shall be available upon request.

(o) An owner or supervising veterinarian shall provide a copy of medical records maintained pursuant to Rule .0207 of this Chapter within 10 business days of receipt of a request by a current or former patient's owner. The veterinary facility may charge the patient's owner the actual cost of reproducing the records as a reasonable fee.

(p) Owners shall post on any existing veterinary facility website home page:

(1) The facility's name, address, and telephone number;

(2) The facility's regular business hours;

(3) Availability of after-hours emergency care at the facility; and

(4) If after-hours emergency care is not available, the name, address, and telephone number of an after-hours emergency provider.

History

• Authority G.S. 90-185; 90-186(2); 90-186(8); 90-186(9)
• Eff. June 17, 2024
• Amended Eff. October 1, 2024.

21 NCAC 66 .0903 Supervising Veterinarian

(a) The owners of a veterinary facility shall designate a supervising veterinarian who shall be responsible for informing the owners as to the instances of non-compliance with 21 NCAC 66 .0207 and 21 NCAC 66 .0208 at the veterinary facility.

(b) The supervising veterinarian shall be currently licensed by and in good standing with the Board.

(c) The owners may designate an interim supervising veterinarian to serve for a period not to exceed 50 business days.

(d) A veterinarian may be a supervising veterinarian at more than one veterinary facility. At each veterinary facility that is open for 159 hours or less per month, the supervising veterinarian shall be physically onsite for a minimum of 25 percent of the total time a veterinary facility is open. At each veterinary facility that is open for 160 hours or more per month, the supervising veterinarian shall be physically onsite at each veterinary facility for a minimum of 40 hours per month. Electronic or handwritten documentation stating the dates and times that the supervising veterinarian was present at the veterinary facility shall be maintained by the supervising veterinarian at each individual facility and made available by the owner, supervising veterinarian, or the staff at each facility at the time of inspection or investigation by the Board.

(e) The owners of a veterinary facility may designate more than one supervising veterinarian for a veterinary facility, in which case the onsite physical presence of each of the supervising veterinarians at the veterinary facility shall be counted toward satisfaction of the onsite physical presence requirement of Paragraph (d) of this Rule.

History

• Authority G.S. 90-185(6); 90-186(9)
• Eff. June 17, 2024
• Amended Eff. October 1, 2024.

21 NCAC 66 .0904 Discipline Veterinary Facility Permits

(a) The Board shall investigate any complaint within its jurisdiction. The investigation and any resulting hearings shall be conducted pursuant to Sections .0600 and .0700 of the Chapter. Following an investigation and the owner's opportunity to be heard, the Board may:

(1) revoke or suspend a veterinary facility permit issued under this Chapter;

(2) discipline the owner of a facility permitted under this Chapter in accordance with the disciplinary measures set forth in Sections .0600 and .0700 of this Chapter;

(3) deny a veterinary facility permit required by G.S. 90-186(8) and the rules of this Chapter based on violations of Board Rules including, but not limited to, Rules .0207 and .0208 of this Chapter.

For the purpose of this Rule, references to licensee or registrant in the provisions of Sections .0600 and .0700 of this Chapter are treated as references to owner and permittee. References to license are treated as references to facility permit.

(b) The Board may suspend, revoke, or deny issuance of a veterinary facility permit, without hearing, for any of the following reasons:

(1) A veterinary facility has not had a supervising veterinarian or an interim supervising veterinarian serving in that capacity for more than 15 business days.

(2) The Board obtains a summary emergency order pursuant to the provisions of G.S. 90-186(3).

(3) The owners of the veterinary facility have failed to notify the Board after 10 business days of a change in ownership of the facility or change in the supervising veterinarian.

(c) An owner shall cease to operate a veterinary facility as of the date the Board notifies the owner of the revocation of his or her veterinary facility permit. Within 24 hours of receiving notification of revocation, an owner shall display the following information at the facility and through any existing medium of communication with the public, such as social media, a telephone answering system, or facility website:

(1) information that the veterinary facility is closed;

(2) the means by which clients may obtain their animal's medical records; and

(3) notice of the Board's revocation of the facility permit.

History

• Authority G.S. 90-185(6); 90-186(8); 90-186(9)
• Eff. June 17, 2024
• Amended Eff. October 1, 2024.

21 NCAC 66 .0905 Reinstatement After Revocation of Facility Permit

Any person whose facility permit been suspended or revoked pursuant to the provisions of Rule .0904 of this Section may apply for reinstatement subject to any terms and conditions contained in the final agency decision issued by the Board upon revoking or suspending the person's facility permit. The Board may conduct an inspection prior to reinstatement to determine if the terms and conditions stated in the final agency decision have been addressed.

History

• Authority G.S. 90-185(6); 90-186(8); 90-186(9)
• Eff. June 17, 2024.

21 NCAC 66 .1001 BOARDING KENNEL rECORDS

Operators of a boarding kennel, as defined in G.S. 90-181.1(b)(1a), shall maintain records, as part of the medical record, of all dogs and cats, that include the following information:

(1) name and address of owner or person responsible for animal, the date of entry and signature of the person leaving the animal; and the date of release and signature and address of individual to whom animal is released;

(2) description of animal including breed or breed type, sex, age, and color markings;

(3) veterinary care provided while boarded, which shall include date, times of administration, description of medication and initials of person administering the medication or procedure. The description of the medication shall include the name, strength or concentration, dosage, and dosing regimen. The dosage regimen shall include the frequency and duration, to include the number of dosages or days to be given the medication and the reason for the administration;

(4) all records shall be created and/or updated at the time of the occurrence, such as intake, medication, treatment administration, and/or release. The record shall be accurate; creation of a misleading record, or deliberate or non-incidental falsification of a record, including medication administration during or after an investigation or inspection, shall be considered a violation of this regulation;

(5) an incident file shall be kept within each facility for animals sustaining injury or illness requiring veterinary care; animal death; and/or any animal escape. Each report shall include the date of the incident, the pet's name, breed or breed type/species, age, owner's name and contact information, description of incident and course of action taken; and

(6) in the event of either an animal death or escape, while boarding not incidental to the practice of veterinary medicine, the licensee shall notify the North Carolina Veterinary Medical Board within 48 hours.

History

• Authority G.S. 90-185; 90-187.10; S.L. 2023-63
• Eff. January 1, 2025.

21 NCAC 66 .1002 Inspection of records

Boarding kennels shall make all medical records available to the North Carolina Veterinary Medical Board or its authorized representative, on request, during business hours, during an inspection of the facility, and during an investigation. The operator must be able to match each animal to its records upon request. Records shall be maintained for a period of three years after the animal is released from a boarding kennel.

History

• Authority G.S. 90-185; 90-186; 90-187.10; S.L. 2023-63
• Eff. January 1, 2025.

21 NCAC 66 .1003 Definitions

As used in this Section:

(1) "Accessories" means any objects used in cleaning and sanitizing primary enclosures, exercise areas, or objects to which an animal may have access, including, but not limited to toys, blankets, food and water utensils, and bedding.

(2) "Adequate" means a condition which, when met, does not jeopardize an animal's comfort, safety or health. Adequate veterinary care means provision of veterinary care sufficient to address the relief of pain and/or suffering experienced by the animal and sufficient to address the medical condition.

(3) "Behavioral-control device" means any apparatus used to control a pet animal's behavior.

(4) "Boarding Kennel" as defined in G.S. 90-181.1(b)(1a).

(5) "Cage" means a primary enclosure which is enclosed on all sides including the top and bottom.

(6) "Compatible group" means all animals in the group comingle peacefully without the presence of aggressive, harassing, and/or agitating behaviors toward any other member(s) of the group.

(7) "Common area(s)" means areas of the facility in which multiple animals may have access such as walkway(s), facility lobby(ies), hallway(s), area(s) around primary enclosures and exercise areas, and other such similar areas.

(8) "Disposition" means the death, euthanasia, release, or transfer from a facility.

(9) "Enrichment" means providing objects or activities, appropriate to the needs of the species as well as the age, size, and condition of the animal, that stimulates the pet and promotes the pet's well-being.

(10) "Exercise area" means an enclosed space in which an animal(s) is confined, and which is large enough for species-appropriate activity such as walking, running, climbing, jumping, socialization and/or play to occur.

(11) "Husbandry" means the practice of daily care administered to animals.

(12) "Impervious to moisture" means a surface that prevents the absorption of fluids and that can be thoroughly and repeatedly sanitized, will not retain odors, and from which fluids bead up and run off or can be removed without being absorbed into the surface material.

(13) "Infirm" means not physically or mentally strong, especially through age or illness.

(14) "Isolation" means the separation, for the period of communicability, of infected animals from others in such a place and under such conditions to prevent the direct or indirect transmission of the infectious agent from those infected to those that are susceptible or that may spread the agent to others.

(15) "Isolation area" means a location where animals infected with disease may be placed to contain, control, and limit the spread of the disease.

(16) "Permit period" means January 1 through December 31.

(17) "Long term care" means the housing of an animal for a period of more than 30 consecutive days.

(18) "Potable" means suitable for drinking.

(19) "Properly cleaned" means the removal of carcasses, debris, food waste, excrement, urine, dirty or soiled accessories and other organic material with adequate frequency.

(20) "Social interaction" means friendly physical contact or play between animals of the same species or with a person. Physical contact or play with the caretaker during cage cleaning and/or sanitation is not considered social interaction.

(21) "Special provisions" means additional procedures, protocols, and/or equipment used when caring for, housing, and/or transporting animals with special needs. Examples of animals with "special needs" include, but are not limited to, brachycephalic breeds, very young or old animals, animals with a medical condition, infirm animals, and/or animals that are compromised or debilitated.

(22) "Suitable method of drainage" means drainage that allows for the elimination of water and waste products, prevents contamination of animals, allows animals to remain dry, and complies with applicable building codes and local ordinances.

(23) "Supervision " means at least one person (at least 16 years of age) present, at all times, who is able to constantly and directly view all animals within the entirety of each enclosure or exercise area.

History

• Authority G.S. 90-185; 90-187.1; S.L. 2023-63
• Eff. January 1, 2025.

21 NCAC 66 .1004 permits and registrations

All operators of a boarding kennels, as defined in G.S. 90-181.1(b)(1a), shall have a valid veterinary facility permit and a valid boarding kennel permit. Boarding kennel permits shall be submitted with veterinary facility permit applications, or if adding a boarding kennel, then by completion of a boarding kennel application permit. The content of the applications shall include the following:

(1) the name, physical address, phone number, email address and mailing address for the veterinary facility permit;

(2) the name, address, phone number, and email address for the owner of the facility;

(3) the hours and days the facility is open to the public;

(4) the cleaning hours of the facility;

(5) the number of enclosures and the maximum number of animals on site;

(6) the description of the facility's program of veterinary care ('PVC') including the disinfection protocols; vaccination protocols, including rabies vaccination; the isolation of ill or injured animals; the sale/adoption/transfer of animals; and the provision of routine, emergency, and after hours veterinary care;

(7) statement of presence of an emergency disaster plan for the facility; and

(8) statement of agreement by the owner or authorized agent of the accuracy of the information contained in the application; of the willingness to comply with the rules of this section and to cooperate as required by law with the Board inspections and investigations; acknowledgement of authority to execute the application; and agreement to notify the Board of any significant change in the operation of the facility.

History

• Authority G.S. 90-185; 90-186; 90-187.1; S.L. 2023-63
• Eff. January 1, 2025.

21 NCAC 66 .1101 general

(a) Housing facilities for dogs and cats shall be structurally sound and maintained to protect the animals from injury, contain the animals, and restrict the entrance of other animals and people.

(b) All light fixtures and electrical outlets in animal areas shall be in compliance with the State Building Code. Electrical appliances, light fixtures, electrical outlets, and electrical cords shall be located or protected in such a way that animals do not have access to them.

(c) Facilities shall have adequate, as defined in Rule .1003 of this Chapter, electric power.

(d) Storage of food and bedding:

(1) food and bedding shall be stored in cabinets and/or sealed containers which adequately protect such supplies against infestation or contamination by vermin and insects;

(2) all open bags of food and edible treats shall be stored in airtight containers with lids;

(3) refrigeration shall be provided for supplies of perishable food including opened cans of food;

(4) clean bedding and laundry shall be: stored in cabinets and/or sealed containers; stored separately from soiled laundry and materials; and stored separately from general housing areas for animals; and

(5) in areas housing animals being observed or treated for contagious disease, bedding shall only be stored in sealed cabinets if that clean laundry is dedicated solely for the use for those specific animals.

(e) The facility shall provide for the daily removal and disposal of animal and food waste, soiled bedding, and debris from the facility, in accordance with local ordinances, to assure the facility will be maintained in a clean and sanitary manner.

(f) Hot and cold running, potable water, as defined in Rule .1003 and compliant with Rule .1106 of this Section, must be available. Facilities such as a washroom, basin, or sink shall be provided to maintain cleanliness among animal caretakers, animals, and animal food and water receptacles.

(g) Each facility shall have the ability to confirm ambient temperature. A functional room thermometer shall be present in each separate area of indoor enclosures, common areas, and exercise areas.

(h) A separate five-foot tall perimeter fence is required if any animal(s) has/have unsupervised access to an outdoor primary enclosure, common area, and/or exercise area. Supervision of animals is required for any animal(s) within any outdoor enclosure, common area, or exercise area without a separate five-foot tall perimeter fence.

(i) A suitable method of drainage, as defined in Rule .1003 of this Chapter, must be installed for the facility.

(j) All areas of a facility are subject to review or inspection by the Board or its authorized representative during normal business hours (8:00 a.m. through 5:30 p.m. Monday through Friday).

(k) All animals in a facility are subject to the requirements of this Section, regardless of ownership.

(l) A facility shall comply with all federal, state, and local laws, rules and ordinances relating to or affecting the welfare of dogs and cats in its facility.

(m) All persons of the facility shall be truthful with the Board during all phases of inspections or investigations.

(n) Neither an applicant for a permit or any agent of a facility may abuse, harass, delay, or obstruct any inspector or State official while inspectors or officials are attempting to discharge their official duties. For the purposes of this Rule, the following definitions apply:

(1) "Abuse" means:

(A) Communicating a threat as defined by G.S. 14-277.1;

(B) Using profane, indecent, or threatening language to any person over the telephone, annoying or harassing by repeated telephoning or making false statements over the telephone as defined by G.S. 14-196;

(C) Cyberstalking as defined by G.S. 14-196.3;

(D) Stalking as defined by G.S. 14-277.3A; and/or

(E) Disorderly conduct as defined by G.S. 14-288.4.

(2) "Harass" means knowingly conduct, including oral, written, or printed communication or transmission, telephone, cellular, or other wireless telephonic communication, facsimile transmission, page messages or transmissions, answering machine or voice mail messages or transmissions, electronic mail messages, or other computerized or electronic transmissions directed at a specific person that torments, terrorizes or terrifies that person and that serves no legitimate purpose.

(o) No dog or cat shall be in a window display, except during business hours, and then only in compliance with standards set forth in this Section.

(p) Battery operated or electrical behavioral control devices, such as shock collars, shock prods, or electrical fences, as well as pinch-collars and prong-collars, may only be used on an animal in a boarding kennel with the specific written consent of the owner of that animal.

(q) All facilities shall be equipped with an operational smoke alarm and carbon monoxide alarm and shall have a means of fire suppression, such as functional fire extinguishers or a sprinkler system on the premises.

(r) All licensed and registered facilities must develop and maintain a plan of action for the continuity of care and/or evacuation of animals in the event of a natural or manmade disaster.

History

• Authority G.S. 90-185; 90-186; S.L. 2023-63
• Eff. January 1, 2025.

21 NCAC 66 .1102 Indoor Facilities

(a) Heating and cooling of indoor facilities:

(1) indoor facilities for dogs and cats shall be adequately heated and cooled to protect the dogs and cats from cold and heat and provide for their health and comfort;

(2) the ambient temperature shall not be allowed to fall below 50 degrees F or exceed 85 degrees F; and

(3) special provisions shall be provided to any animal that cannot maintain its normal body temperature. These special provisions shall be sufficient for the animal to maintain its normal body temperature and shall be documented in the animal's record.

(b) Ventilation of indoor facilities:

(1) indoor housing facilities for dogs and cats shall be adequately ventilated to provide for the health and comfort of the animals at all times; the facilities shall be provided with fresh air by means of windows, doors, vents, and/or air conditioning and shall be ventilated so as to minimize drafts;

(2) air vents and/or air filters shall be cleaned and/or changed as often as necessary to minimize buildup of debris, dust, and biological material to prevent inhibition or restriction of air flow; and

(3) air flow shall be adequate to minimize odors and moisture condensation.

(c) Indoor housing facilities for dogs and cats shall have sufficient illumination to enable routine inspections, maintenance, cleaning and housekeeping of the facility and observation of the animals. Illumination shall provide regular diurnal lighting cycles of either natural or artificial light, uniformly diffused throughout the animal facilities.

(d) Interior building surfaces of indoor facilities with which animals come in contact shall be constructed and maintained so that they are impervious to moisture and can be readily sanitized.

(e) Drainage of indoor housing facility:

(1) a suitable method of drainage shall be installed to rapidly eliminate excess water from an indoor housing facility;

(2) if closed drain systems are used, they shall be equipped with traps and installed to prevent odors and backup of sewage; and

(3) the drainage system shall be constructed with barriers adequate to protect the animals from cross-contamination with urine and fecal material from animals housed in adjacent and/or nearby enclosures and/or exercise areas.

History

• Authority G.S. 90-185; 90-187.1; S.L. 2023-63
• Eff. January 1, 2025.

21 NCAC 66 .1103 outdoor facilities

(a) In outdoor facilities that are subject to this Section, primary enclosures, common areas and walkways with which an animal comes in contact:

(1) shall have groundcover constructed of sealed concrete or other surfaces so long as it is impervious to moisture, and/or;

(2) may use gravel for groundcover so long as it is maintained at a minimum depth of six inches and maintained in a sanitary manner as prescribed in Rule .1107 of this Section.

(b) Exercise areas of outdoor facilities:

(1) shall have flooring or groundcover constructed of sealed concrete or other surfaces impervious to moisture; and/or

(2) use gravel for groundcover so long as it is maintained at a minimum depth of six inches and kept in a sanitary manner; and/or

(3) artificial turf may be allowed so long as it is adequately maintained in good repair, is replaced when damaged, and is cleaned and sanitized in accordance with Rule .1107 of this Section; and/or

(4) may contain established grass so long as the animal(s) do not have access to bare dirt and the grass covered area(s) must be kept properly cleaned and sanitized as prescribed in Rule .1107 of this Section. In the event of a contagious disease outbreak, the sanitation, management, and use of the grass area shall be documented in the veterinarian's written protocol required by Rule .1109(b) and (c) of this Section.

History

• Authority G.S. 90-185; 90-187.1; S.L. 2023-63
• Eff. January 1, 2025.

21 NCAC 66 .1104 Primary enclosures

(a) Primary enclosures and exercise areas shall be constructed so as to prevent contamination from waste and wastewater from animals in other enclosures. All surfaces where an animal comes in contact shall be impervious to moisture, excluding the ground cover options of gravel and grass allowed for in Rule .1103 of this Section.

(b) For primary enclosures and exercise areas placed into service on or after January 1, 2005, no wood shall be within the animal's reach. For primary enclosures and exercise areas in use in a licensed or registered facility prior to January

1, 2005, any damaged wood shall be replaced in a manner that does not permit contact with wood by the animal.

(c) Primary enclosures and exercise areas for dogs and cats shall be structurally sound and maintained in a manner to prevent injury to animals and keep other animals out.

(d) Primary enclosures shall be constructed so as to provide space to allow each dog or cat to walk, turn about freely, stand with their tails erect, and sit or lie in a natural position with their limbs extended without touching other animals within the enclosure, or the sides or top covering of the enclosure.

(e) Exercise areas shall be constructed to provide adequate space to allow each dog or cat to run and express natural play behaviors typical of the species.

(f) The height of a primary enclosure or an exercise area other than a cage shall be no less than five feet tall.

(g) All primary enclosures and exercise areas shall be constructed to prevent the escape of animals.

(h) Each primary enclosure and exercise area shall be provided with a solid resting surface or surfaces adequate to comfortably hold all occupants of the primary enclosure and exercise area at the same time. All resting surfaces shall be of a non-porous or easily sanitized material, such as a solid floor, towel, or a disposable material such as newspaper. The resting surface or surfaces shall be elevated in primary enclosures housing two or more cats.

(i) In addition to Paragraph (b) of this Rule, each dog shall be provided a minimum square footage of floor space equal to the mathematical square of the sum of the length of the dog in inches, as measured from the tip of its nose to the base of its tail, plus six inches, then divide the product by 144. The calculation is: (length of dog in inches + 6) x (length of dog in inches + 6) = required floor space in square inches. Required floor space in square inches ÷ 144 = required floor space in square feet. The calculation shall be expressed in square feet.

(j) Not more than four adult dogs shall be housed or confined in the same primary enclosure or exercise area without supervision. Dogs younger than six months of age shall not be housed, confined, or comingled with adult dogs other than their dams without supervision; this includes any animals owned by the staff or operator of the facility.

(k) If more than four dogs, including animals owned by the staff or operator of the facility, are housed or confined in an exercise area or primary enclosure, then there shall be at least one person constantly supervising each 10 dogs housed or confined within each primary enclosure or exercise area. This supervision shall be conducted from within the exercise area or primary enclosure such that the person(s) has/have immediate access to the animals in the event of an emergency, aggression, or fight between animals.

(l) Pregnant dogs and cats shall be housed singly in a primary enclosure. Nursing dogs and cats shall be housed only with their litter in a primary enclosure until the litter has been weaned. The primary enclosure shall be of sufficient size to allow the dam and all animals in the litter to walk, turn about freely, nurse, to easily stand with their tails erect, and sit or lie in a natural position with their limbs extended without touching other animals within the enclosure, the sides, or top covering of the enclosure, and to leave the whelping/queening area for open exercise.

(m) In addition to Paragraphs (d), (e) and (h) of this Rule, each feline older than six months housed in any primary enclosure or exercise area shall be provided a minimum of four-square feet of floor space which may include elevated resting surfaces. Each feline younger than six months shall be provided 1.5 square feet of floor space.

(n) Not more than 12 cats shall be housed or confined in the same primary enclosure or exercise area.

(o) In all cat primary enclosures and exercise areas, a clean receptacle containing clean litter shall be provided for waste. A minimum of one receptacle per three cats is required for each primary enclosure and exercise area.

(p) Pools in primary enclosures and/or exercise areas:

(1) shall have an ingress-egress area whenever water in a pool is deeper than the height at the shoulder of the shortest dog in the pool;

(2) no dog shall have access to the pool or pool area other than a typical kiddie wading pool without supervision;

(3) facilities shall be constructed, maintained, and managed to protect animals from illness, injury, and death resulting from access to pools or pool areas;

(4) pools with a capacity of less than 100 gallons shall have the water changed and be cleaned and sanitized daily. Pools with a capacity of 100 gallons or more shall have commercially manufactured filtration and cleaning systems installed and the manufacturer recommendations followed for cleaning, sanitation, and water quality; and

(5) typical kiddie wading pools are to be considered accessories for the purposes of cleaning, sanitation, repair, and maintenance.

History

• Authority G.S. 90-185; 90-187.1; S.L. 2023-63
• Eff. January 1, 2025.

21 NCAC 66 .1105 feeding

(a) Dogs and cats older than six months shall be fed at least once each 24-hour period.

(b) Dogs and cats less than six months of age shall be fed at least twice in each 24-hour period. An eight-hour interval between feedings is required if only two feedings are offered in a 24-hour period.

(c) Should a veterinarian prescribe a feeding regime different from the ones described in Paragraphs (a) and (b) of this Rule for a specific animal, documentation of such veterinary care is required and shall include:

(1) the original veterinary directive signed by the veterinarian issuing it;

(2) the printed name of the veterinarian;

(3) the reason for the restriction;

(4) the specific feeding directions;

(5) the origination and review dates of the directive;

(6) documentation by the facility of each veterinary review and renewal of the directive, occurring every 30 days until it is no longer required;

(7) the date of the cessation of the directive; and

(8) documentation by the facility of each feeding as prescribed by the veterinarian.

(d) Food shall be commercially prepared food, which complies with laws applicable to animal feed, or the food shall be provided by the owner.

(e) The food shall be free from contamination, wholesome, palatable, and of sufficient quality and quantity appropriate of the given size, age, and condition of an animal to meet the daily requirements for nutritional value.

(f) Food receptacles shall be accessible to all dogs or cats and shall be located so as to minimize contamination by waste.

(g) For every adult animal, there shall be at least one food receptacle offered. When multiple animals are housed together, caretakers shall observe each animal feeding to ensure that each animal receives adequate feed.

(h) Food receptacles shall be durable and shall be kept clean and sanitized.

(i) Uneaten food within food receptacles shall be discarded within 24 hours or sooner if spoiled or contaminated.

(j) Damaged food receptacles shall be replaced. Disposable food receptacles may be used but shall be discarded after each feeding.

(k) Food and water receptacles in outdoor facilities shall be protected from the elements.

(l) This Rule is applicable only to animals identified within this Section.

History

• Authority G.S. 90-185; 90-186; S.L. 2023-63
• Eff. January 1, 2025.

21 NCAC 66 .1106 watering

(a) Animals, subject to this Subchapter, shall have continuous access to fresh, potable water, except when directed by a veterinarian to limit access.

(b) Veterinary care for a specific animal that requires water to be withheld, given in intervals, or any variation other than continuous access by an animal, can only be prescribed by a veterinarian and shall be documented in writing by the facility. The documentation shall include:

(1) the original veterinary directive signed by the veterinarian issuing it;

(2) the printed name of the veterinarian;

(3) the reason for the restriction;

(4) the specific watering directions;

(5) the origination and review dates of the directive;

(6) the facility shall have the veterinarian review and renew this directive every 30 days until it is no longer required;

(7) the date of the cessation of the directive; and

(8) documentation by the facility of each watering as prescribed by the veterinarian.

(c) Water in receptacles shall be changed daily and whenever visibly soiled.

(d) Watering receptacles shall be durable and kept clean and sanitized.

(e) Damaged receptacles shall be replaced.

History

• Authority G.S. 90-185; 90-187.1; S.L. 2023-63
• Eff. January 1, 2025.

21 NCAC 66 .1107 Sanitation

(a) Waste shall be removed from primary enclosures, exercise areas, and common areas to prevent contamination of the dogs or cats contained therein and to reduce disease hazards and odors. Enclosures and exercise areas for dogs and cats shall be thoroughly cleaned a minimum of two times per day. The animal must be able to walk or lie down without coming in contact with any waste or debris.

(b) When a hosing or flushing method is used for cleaning an enclosure, dogs or cats contained therein shall be removed during the cleaning process, and adequate measures shall be taken to protect the animals in clean enclosures

from being contaminated with water and other wastes.

(c) Cross contamination barriers shall be installed in primary enclosures and be sufficient to prevent feces, urine and cleaning waste water from entering another occupied primary enclosure.

(d) Sanitation shall be as follows:

(1) Prior to the introduction of dogs or cats into empty primary enclosures previously occupied, enclosures and accessories shall be sanitized in the manner provided in Subparagraph (d)(3) of this Rule;

(2) In addition to primary enclosures being properly cleaned a minimum of two times per day, enclosures and accessories shall be sanitized a minimum of once every seven days, in the manner provided in Subparagraph (d)(3) of this Rule, if the same animal is housed in the same enclosure for seven or more days;

(3) Primary enclosures, cages, rooms, hard-surfaced or artificial turf exercise areas, pens, and runs shall be sanitized by:

(A) washing them with hot water (180 degrees F.) and soap or detergent as in a mechanical cage washer; or

(B) removal of visible organic matter, precleaning all soiled surfaces with a detergent or degreaser solution, followed by the application, at the correct concentration, of an animal- safe disinfectant labeled to be effective against common pathogens. The disinfectant is to be left on the surfaces for the time indicated by the manufacturer. After such time, all surfaces shall be thoroughly rinsed to remove all residual chemicals and then the area dried prior to returning the animal(s) to this area; or

(C) cleaning all soiled surfaces with live steam. The area is to be cooled and dried prior to the return of the animal(s).

(4) Common areas, any area accessible to multiple animals, and exercise areas not covered by Subparagraph (d)(3) of this Rule shall be kept clean and sanitary. These areas are to be properly cleaned a minimum of two times per day. Hard and/or impervious surfaces of these areas shall be sanitized a minimum of once every seven days in the manner provided in Subparagraph (d)(3) of this Rule;

(5) Food and water receptacles shall be sanitized daily with hot water, detergent, and disinfectant. The disinfectant shall be used consistent with the manufacturer's directions;

(6) Soiled linens and cloth products shall be mechanically washed with detergent and sanitized;

(7) Any area accessible to multiple animals shall be kept clean and sanitary; and

(8) Fans, including floor fans, ceiling fans, wall fans, and vent fans, shall be kept clean of accumulated debris, dust, and biological material.

(e) Premises, which include the buildings and grounds, shall be kept clean and in adequate repair in order to protect the animals from injury and to facilitate the prescribed husbandry practices set forth in this Rule. Premises shall remain free of accumulations of trash, junk, waste products, and discarded matter. Weeds, grasses, and bushes must be controlled so as to facilitate cleaning of the premises, to improve pest control, and to protect the health and well-being of the animals.

(f) An effective program for the control of insects, ectoparasites, and avian and mammalian pests shall be established

and maintained.

History

• Authority G.S. 90-185; 90-186; 90-187.1; S.L. 2023-63
• Eff. January 1, 2025.

21 NCAC 66 .1108 classification and Separation

Animals housed in the same primary enclosure or confined to an exercise area shall be maintained in

groups, with the following additional restrictions:

(1) Females in season (estrus) shall not be housed in the same primary enclosure or exercise area with intact or neutered males.

(2) In boarding kennels, animals of different owners shall not have contact with other animals, unless written permission is obtained from the animal's owner. The documentation of this written permission shall be kept as part of the animal's record for one year and must be renewed yearly thereafter.

(3) Any dog or cat exhibiting an aggressive disposition shall be housed individually in a primary enclosure. Housing of aggressive animals shall be such that the animals are prevented from biting or injuring another animal or human.

(4) Puppies or kittens less than six months of age shall not be housed in the same primary enclosure with adult dogs or cats other than their dams, except when permanently maintained in breeding colonies, or if requested in writing, by the animals' owner, as in a boarding kennel. Puppies or kittens between 4 and 16 weeks of age shall have daily access to human social interaction in addition to the human interaction during the cleaning and sanitation of the enclosures, excluding animals which pose a danger to humans or other animals.

(5) Dogs shall not be housed in the same primary enclosure or exercise areas with cats, nor shall dogs or cats be housed in the same primary enclosure or exercise areas with any other species of animals. Exceptions are allowed at boarding kennels, if requested in writing by the animals' owner.

(6) All facilities shall designate an isolation area for animals being treated or observed for communicable diseases. Dogs or cats, in isolation that are being treated for a communicable disease, shall be separated from other dogs or cats and other susceptible species of animals, in such a manner as to minimize dissemination of such disease. A sign shall be posted at the cage or isolation area when in use, giving notice of a communicable disease, including the identification of the disease. Accessories, cleaning equipment, and supplies used in isolation areas shall not be used in other areas of the facility.

(7) Animals in long term care must be provided with human interaction other than interaction for enclosure cleaning, same species social interaction, opportunity for play and exercise, and environmental enrichment daily. The provision of these daily interactions and enrichment shall be adequate for the animal's species, age, size and behavior needs. In addition:

(a) The provision of the daily social interactions and enrichment shall be documented in the animal's records and the records maintained for three years; and

(b) Exemptions from these long-term care provisions are allowed only for safety or health reasons and must be approved by a veterinarian. This exemption must be reviewed and renewed every 30 days if the continuation is necessary. Documentation of the exemption must include the reason for the exemption, the name and contact information of the veterinarian authorizing the exemption, the original exemption date and the dates of review and renewal and alternative(s) offered, if any.

(8) All animals shall be confined in primary enclosures or exercise areas. Primary enclosures and exercise areas shall be inspected and in compliance with Rules .1103 and .1104 of this Section before an animal can be confined in the enclosure or area.

History

• Authority G.S. 90-185; 90-187.10; S.L. 2023-63
• Eff. January 1, 2025.

21 NCAC 66 .1109 Veterinary CAre

(a) A written Program of Veterinary Care (PVC), to include disease control and prevention, vaccination, euthanasia, disposition of diseased, ill, injured, infirm or deformed animals, and provision of adequate routine and emergency veterinary care, shall be established by the owner and supervising veterinarian at each facility. The following is required of each PVC:

(1) the PVC for boarding kennels shall be submitted as part of the application and must be approved by the Board;

(2) the facility shall implement and follow the PVC; and

(3) changes to the PVC shall be submitted for approval to the Board within 10 days of the effective date.

(b) If there is an infectious disease outbreak that persists for more than seven days at the facility, the facility owner shall consult with a veterinarian for procedures to mitigate the problem. This consultation shall be documented by the facility.

(c) If there is a disease problem that persists for more than 30 days at the facility, the facility operator shall obtain and follow a veterinarian's written recommendations for correcting the problem. These recommendations shall include, at a minimum: sanitation of primary enclosures, common areas, exercise areas and accessories, and protocols for animal intake, evaluation, isolation, disease recognition and treatment, and euthanasia.

(d) Each dog and cat shall be observed daily by the animal caretaker who has been adequately trained, or is experienced in animal care, or is under the direct supervision of a person who has such training or experience. Sick or diseased, injured, lame, or blind dogs or cats shall be provided with veterinary care.

(e) All animals in a facility shall be in compliance with the North Carolina Rabies Law, G.S. 130A, Article 6, Part 6.

(f) Boarding kennels shall not administer a prescription medication, tranquilizer, sedative, or any pharmaceutical drug designed to calm an animal unless the medication or drug is administered under the direction of or by prescription from the animal's veterinarian, and written permission from the animal's owner. In the event a boarding kennel agrees to administer such medications or substances, the medications shall be in the original container issued by the veterinarian or pharmacy and administered according to label directions. The administration of these medications or substances shall be documented as required by Rule .1001 of this Chapter.

History

• Authority G.S. 90-185; 90-187.10; S.L. 2023-63
• Eff. January 1, 2025
• Amended Eff. September 1, 2025.

21 NCAC 66 .1110 discipline of boarding kennel permits

(a) The Board shall investigate any complaint within its jurisdiction. The investigation and any resulting hearings shall be conducted pursuant to Sections .0600 and .0700 of this Chapter. Following an investigation and the boarding kennel permittee's opportunity to be heard, the Board may:

(1) revoke or suspend a boarding kennel permit issued under this Chapter;

(2) discipline the boarding kennel permittee permitted under this Chapter in accordance with the disciplinary measures set forth in Sections .0600 and .0700 of this Chapter;

(3) deny a boarding kennel permit required by G.S. 90-186(8) and the rules of this Chapter based on violations of Board Rules, including, but not limited to, Rules .1001 - .1004 of this Chapter. For the purpose of this Rule, references to licensee or registrant in the provisions of Sections .0600 and .0700 of this Chapter are treated as references to owner and permittee. References to license are treated as references to boarding kennel permit.

(b) The Board may suspend, revoke, or deny issuance of a boarding kennel permit, without hearing, if:

(1) A veterinary facility has not had a supervising veterinarian or an interim supervising veterinarian serving in that capacity for more than five business days.

(2) The Board obtains a summary emergency order pursuant to the provisions of G.S. 90-186(3).

(3) The owners of the veterinary facility have failed to notify the Board after 10 business days of a change in ownership of the facility or change in the supervising veterinarian.

(c) A boarding kennel permittee shall cease to operate the boarding kennel as of the date the Board notifies the boarding kennel permittee of the revocation of his or her boarding kennel permit. Within 24 hours of receiving notification of revocation, a boarding kennel permittee shall display the following information at the boarding kennel and through any existing medium of communication with the public, such as social media, a telephone answering system, or boarding kennel website:

(1) information that the boarding kennel is closed;

(2) the means by which clients may obtain their animal's medical records; and

(3) notice of the Board's revocation of the boarding kennel permit.

History

• Authority G.S. 90-186; S.L. 2023-63
• Eff. January 1, 2025.

Chapter 68 Addictions Specialist Professional Practice Board

21 NCAC 68 .0101 Definitions

As used in this Chapter, the following terms are defined as:

(1) "Applicant" means a person who submits documentation seeking Board status for registration, certification, or licensure.

(2) "Approved supervisor" means a person who monitors and directs the activities of a substance use disorder professional in the role of a supervisor or a practice supervisor as set out in G.S. 90-113.31A. This is a person who fulfills or is in the process of fulfilling the requirements for this Board designation of approved supervisor pursuant to Rule .0211 of this Chapter by completing its academic, didactic, and experiential requirements.

(3) "Assessment" means identifying and evaluating an individual's strengths, weaknesses, problems, and needs for the development of a treatment or service plan for a substance use disorder.

(4) "Clinical application" means the assumption of professional and ethical responsibilities in the form of clinical supervision in a clinical setting for 300 hours, as well as the utilization of practice dimensions that include:

(a) clinical evaluation;

(b) treatment planning;

(c) referral;

(d) service coordination;

(e) counseling;

(f) education for the individual client, family, or community; and

(g) documentation.

(5) "Clinical setting" means a location where the primary purpose is the delivery of behavioral health care to clients, patients, and consumers.

(6) "Clinical supervision" means clinical oversight required for a substance use disorder or addictions specialist professional that is held at scheduled times or at regular intervals where the practice supervisor or supervisor of record reviews the clinical work of a professional for the purpose of feedback and instruction. This may be conducted electronically via live face-to-face video conducted in real time.

(7) "Clinical supervision specific education" means training that covers the aspects of clinical supervision of a substance use disorder professional or any of the core functions of addictions counseling in their clinical application.

(8) "Client" means an individual who is in receipt of substance use disorder counseling.

(9) "Complainant" means a person who has filed an ethical complaint pursuant to the rules of this Section.

(10) "Consultation" means a meeting for discussion, decision-making, and planning with other service providers for the purpose of providing substance use disorder counseling services.

(11) "Crisis" means a radical change of status event in the course of treatment related to alcohol or drug use that threatens to compromise or destroy the rehabilitation effort.

(12) "Deemed status group" means those persons who are credentialed as clinical addictions specialists because of their membership in a deemed status as defined in G.S. 90-113.31A(15).

(13) "Education" means a service that is designed to inform and teach various groups including clients, families, schools, businesses, churches, industries, civic, and other community groups about the nature of substance use disorders and about available community resources. It also serves to improve the social functioning of recipients by increasing awareness of human behavior and providing alternative cognitive or behavioral responses to life's problems.

(14) "Full-time" means 2,000 hours of substance use disorder professional experience per year.

(15) "General professional skill building" means education provided to enhance the general skills of a substance use disorder professional.

(16) "Hearing panel" means members of a committee designated by the chairperson of the committee to conduct an informal hearing to determine whether the applicant meets the standards required to be maintained for or awarded a credential.

(17) "Impairment" means a mental illness, substance use disorder, chemical dependency, or physical illness that inhibits the ability of the professional to meet the treatment needs of the client and his or her family.

(18) "Letter of reference" means a letter that recommends a person for credentialing.

(19) "Membership in good standing" means a member's credential is not in a state of revocation, lapse, or suspension. However, an individual whose credential is suspended and the suspension is stayed is a member in good standing during the period of the stay.

(20) "Passing score" means the score set and provided by the entity administering the exam indicating successful and satisfactory completion.

(21) "Person served" means an individual who is not a client but is in receipt of substance use disorder prevention counseling.

(22) "Personal service" means the delivery of a document into the hands of the person to whom it is addressed.

(23) "Prevention consultation" means a service provided to other mental health, human service, community planning, development organization, or to individual practitioners in other organizations to assist in the development of insights and skills of the practitioner necessary for prevention of alcohol and drug misuse.

(24) "Prevention performance domains" means areas of professional activities to include:

(a) planning and evaluations;

(b) education and skill development;

(c) community organization;

(d) public and organizational policy; and

(e) professional growth and responsibility.

(25) "Referral" means identifying the needs of an individual that cannot be met by the counselor or agency and assisting the individual in utilizing the support systems and community resources available to transfer services.

(26) "Rehabilitation" means re-establishing the functioning needed for professional competency.

(27) "Reinstatement" means an action where the Board restores registration, certification, or licensure to an applicant after the applicant completes the requirements imposed by the Board.

(28) "Relapse" means a return to the pattern of substance misuse as well as the process during which indicators appear prior to the person's return to the pattern of substance misuse or a re-appearance or exacerbation of physical, psychological, or emotional symptoms of impairment.

(29) "Renewal" means an action by the Board granting a substance use disorder professional a consecutive registration, certification, or licensure based upon the completion of requirements for renewal as prescribed by statute and the rules of the Board.

(30) "Revival" means an action by the Board granting a substance use disorder professional a registration, certification, or licensure following a lapse of registration, certification, or licensure wherein the professional must also meet the requirements for renewal.

(31) "Respondent" means a person who is making application for registration, certification, or licensure by the Board or is registered, certified, or licensed by the Board against whom a complaint has been filed.

(32) "Sexual activity" or "sexual contact" means soliciting or engaging in any activities of a sexual nature, including kissing, fondling, or touching of the body, specifically to the genitals but may include other parts of the body meant to cause sexual arousal.

(33) "Substance use disorder counseling experience " means approved supervised experience that may be full-time, part-time, paid or voluntary, and shall include all of the core functions of addiction counseling as set forth in Rule .0204 of this Chapter as documented by a job description and a supervisor's evaluation.

(34) "Substance use disorder prevention specialist experience" means approved supervised experience that may be full-time, part-time, paid, or voluntary, and shall include the prevention domains referenced by Rule .0206 of this Chapter and as documented by a job description and supervisor's evaluation.

(35) "Substance use disorder specific" means education focused upon alcohol and other drugs and the substance-using population and is provided for a substance use disorder professional by an individual whose education and experience is in the field of alcohol and other drugs.

(36) "Supervised practice" means supervision of the applicant in the knowledge and skills related to substance use disorder professionals.

(37) "Supervisor of record" means the supervisor who is a substance use disorder professional and is primarily responsible for providing applicant or practice supervision to a supervisee, as well as reporting that supervised work experience to the Board.

(38) "Suspension" means a loss of registration, certification, or licensure by a substance use disorder professional or the privilege of making application for registration, certification, or licensure by an applicant for one of these credentials.

History

• Authority G.S. 90-113.30; 90-113.31A; 90-113.31B; 90-113.33; 90-113.40; 90-113.41; 90-113.41A
• Eff. August 1, 1996
• Temporary Amendment Eff. November 15, 1997
• Amended Eff. August 1, 2015; January 1, 2014; June 1, 2011; April 1, 2011; April 1, 2003; August 1, 2002; April 1, 2001; August 1, 2000; August 1, 1998
• Readopted Eff. October 1, 2020
• Amended Eff. July 1, 2022.

21 NCAC 68 .0102 Board Address

(a) Unless otherwise directed, all correspondence shall be mailed to the following address:

North Carolina Addiction Specialist

Professional Practice Board

P.O. Box 10126

Raleigh, NC 27605.

(b) The Board website shall be located at www.ncsappb.org.

History

• Authority G.S. 90-113.30; 90-113.33
• Eff. August 1, 1996
• Amended Eff. August 1, 1998
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0201 Application for Registration

(a) Applications, inquires, and forms shall be obtained from the Board's website, www.ncsappb.org and submitted to the Board for review and approval.

(b) To obtain an application packet, the applicant shall pay a non-refundable fee in the amount of twenty-five dollars ($25.00) through the Board's application found on the website.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.38; 90-113.39; 90-113.40
• Eff. August 1, 1996
• Amended Eff. August 1, 2002
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0202 REGISTRATION PROCESS FOR BOARD Credential

(a) To register, the applicant shall submit the following to the Board:

(1) Completed application provided by the Board;

(2) Documentation of the degree required for a credential;

(3) A signed supervision agreement provided by the Board documenting the proposed supervision process by an applicant supervisor;

(4) An attestation or otherwise signed adherence by the applicant to the ethical standards of the Board;

(5) Documentation of three hours of educational training in ethics;

(6) Completed criminal history record;

(7) Job description evidencing applicant is practicing under the scope of practice for the credential sought;

(8) Current resume;

(9) Completed special needs statement revealing special testing needs on a form provided by the Board if applicable; and

(10) Payment in the amount as set in Rule .0205 that is non-refundable and made payable to the Board.

(b) Once the materials are determined by the Board to be in order the applicant shall be granted registration status.

(c) Registration with the Board shall be for a period as set out in G.S. 90-113.40A.

(d) An applicant shall become a Registrant upon receipt of notification from the Board.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.38; 90-113.39; 90-113.40; 90-113.40A; 90-113.46A
• Eff. August 1, 1996
• Amended Eff. January 1, 2010; April 1, 2003; August 1, 2002
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0203 DESIGNATION AS Alcohol and drug COUNSELOR INTERN

(a) To be designated as an Alcohol and Drug Counselor Intern, a counselor shall:

(1) Submit the requirements for Registration status as described in Rule .0202 of this Chapter, if not submitted previously;

(2) Provide documentation to the Board verifying the completion of 300 hours of supervised practice by a Certified Clinical Supervisor or Clinical Supervisor Intern; and

(3) Achieve a passing score on the Alcohol and Drug Counselor examination developed by the International Certification & Reciprocity Consortium (IC&RC) or its successor organization.

(b) Upon the failure of an applicant to achieve a passing score, the applicant may request a reexamination and pay a non-refundable reexamination fee of one hundred fifty dollars ($150.00) after a period of three months from the date of the failed test.

(c) Once an individual has been designated as an Alcohol and Drug Counselor Intern, they may function as a counselor intern under an approved supervisor at a ratio of one hour of supervision for every 40 hours of practice.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.34; 90-113.38; 90-113.39; 90-113.40; 90-113.41
• Eff. August 1, 1996
• Amended Eff. August 1, 2002; August 1, 2000
• Readopted Eff. April 10, 2019
• Amended Eff. July 1, 2022.

21 NCAC 68 .0204 SUPERVISED PRACTICUM FOR cERTIFIED Alcohol and Drug Counselor AND LICENSED CLINICAL ADDICTIONS SPECIALIST

(a) All applicants for the certified alcohol and drug counselor or the clinical addictions specialist credential shall complete a 300 hour practicum supervised by an applicant supervisor and the practicum shall cover all core functions of addictions counseling as set forth by the International Certification and Reciprocity Consortium which is hereby incorporated by reference and available in the Candidate Guides including subsequent amendments or editions at internationalcredentialing.org. The practicum shall be supervised at a ratio of one hour of supervision for every 10 hours of practice.

(b) Upon completion of the 300 hours of practice, the supervisor shall complete an evaluation reviewing the applicant's development and provide it to the Board, documenting the 300 hours of practice.

(c) The 300 hour practicum of the Certified Alcohol and Drug Counselor and the Certified Prevention Specialist may be completed as part of an academic course of study in a regionally accredited college or university or may be developed in a work setting when supervised by an applicant supervisor. The 300 hour practicum may be completed as part of the three years (or 6,000 hours) of alcohol and drug counseling experience required for certification.

(d) The 300 hour practicum of the Licensed Clinical Addictions Specialist Criteria A applicant shall be completed as part of the required two years postgraduate supervised clinical addictions counseling and does not include the clinical application or practical training completed as a part of the master's degree used to apply for the Licensed Clinical Addictions Specialist.

History

• Authority G.S. 90-113.30; 90-113.31; 90-113.33; 90-113.34; 90-113.39; 90-113.40
• Eff. August 1, 1996
• Amended Eff. June 1, 2011; April 1, 2011; January 1, 2010; August 1, 2002
• Readopted Eff. October 1, 2020
• Amended Eff. July 1, 2022.

21 NCAC 68 .0205 CERTIFIED Alcohol and Drug COUNSELOR CERTIFICATION

Requirements for certification as a Certified Alcohol and Drug Counselor shall be as follows:

(1) Completion of 6,000 hours of paid or volunteer supervised experience as set out in G.S. 90-113.40(a). If the work setting is not exclusively substance use disorder focused, the applicant may accumulate experience proportional to the substance use disorder services performed or as determined and verified by the applicant supervisor;

(2) Board approved education and training of at least 270 clock hours, consisting of:

(a) Substance Use Disorder Specific education and training in the amount of at least 190 hours of substance use disorder specific core competencies, to include the following:

(i) basic alcoholism and drug addiction knowledge;

(ii) screening, intake, orientation, and assessment;

(iii) individual, group, and family counseling and intervention techniques;

(iv) case management, treatment planning, reporting, and record keeping;

(v) crisis intervention skills:

(vi) prevention and client education;

(vii) consultation, referral, and networking that utilizes community resources;

(viii) ethics, legal issues, and confidentiality;

(ix) special populations that include individuals or groups with ethnic, cultural, sexual orientation, and gender characteristics as well as persons dealing with HIV, co-occurring disabilities, persons with criminal justice related issues, and perinatal issues:

(x) physiology and pharmacology of alcohol and other drugs that include the licit and illicit drugs, inhalants, and nicotine;

(xi) psychological, emotional, personality, and developmental issues; and

(xii) traditions and philosophies of 12-step and other recovery support groups;

(b) Up to 80 hours may be directed toward general professional skill building to enhance counselor development;

(c) No more than 67.5 hours may be in-service education received within the applicant's organization by staff of the same organization; and

(d) Of the 270 clock hours, applicants for certification must document six hours of HIV/AIDS/STDS/TB/Bloodborne pathogens training and education, six hours clinical ethics education, and six hours of education to be selected from the following:

(i) nicotine use disorder;

(ii) psychopathology;

(iii) evidence-based treatment;

(iv) substance use disorder issues and older adults;

(v) substance use disorder issues affecting veterans; and

(vi) substance use disorder and domestic violence;

(3) A one hundred fifty dollar ($150.00) exam fee and a two hundred dollar ($200.00) non-refundable certification fee, unless previously paid;

(4) Achieving a passing score on the IC&RC or its successor organization Alcohol and Drug Counselor exam;

(5) Completed evaluation by the applicant's supervisor documenting 6,000 hours of clinical substance use disorder counseling experience and two references from other substance use disorder professionals;

(6) An attestation or otherwise signed adherence by the applicant to the Ethical Standards of the Board as found in Section .0500 of this Chapter;

(7) Documentation of highest level education achieved. Verification of high school graduation or completion of GED may be evidenced by diploma. Applicants presenting baccalaureate or advanced degrees must submit a completed transcript;

(8) Completed registration application found on the Board's website; and

(9) Resume.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.39; 90-113.40
• Eff. August 1, 1996
• Amended Eff. January 1, 2010; August 1, 2002; August 1, 2000
• Readopted Eff. April 10, 2019
• Amended Eff. July 1, 2022.

21 NCAC 68 .0206 PROCESS FOR PREVENTION Specialist CERTIFICATION

(a) The Board shall certify an applicant as a certified prevention specialist as set out in Article 5C of Chapter 90 of the North Carolina General Statutes. A certified prevention specialist's primary responsibilities are to provide substance use disorder information and education, environmental approaches, alternative activities, community organization, networking, and referral to promote personal health and well-being to individuals, families, and communities who may not otherwise be clients receiving substance use disorder treatment.

(b) The requirements for certification are:

(1) Supervised field experience as set out in G.S. 90-113.40(a)(8) in prevention consultation;

(2) 270 hours of academic and didactic training, divided as follows:

(A) 170 hours primary and secondary prevention and in the prevention performance domains; and

(B) 100 hours in substance use disorder specific studies, which includes six hours of HIV/AIDS/STDS/TB/Bloodborne pathogens training and education, six hours professional ethics education, and six hours of education to be selected from the following:

(i) nicotine use disorder;

(ii) psychopathology;

(iii) evidence-based treatment;

(iv) substance use disorder issues and older adults;

(v) substance use disorder issues affecting veterans; and

(vi) substance use disorder and domestic violence;

(3) A minimum of 300 hours of supervised practical training practice hours documented by a certified clinical supervisor, clinical supervisor intern, or certified prevention specialist who has been certified more than three years;

(4) An attestation or otherwise signed adherence by the applicant to the Ethical Standards of the Board as found in Section .0500 of this Chapter; and

(5) An application fee of twenty-five dollars ($25.00), a certification fee of two hundred dollars ($200.00) and an examination fee of one hundred fifty dollars ($150.00).

History

• Authority G.S. 90-113.30; 90-113.31B; 90-113.33; 90-113.38; 90-113.39; 90-113.40; 90-113.41
• Eff. August 1, 1996
• Amended Eff. January 1, 2014; August 1, 2002; April 1, 2001; August 1, 2000
• Readopted Eff. April 10, 2019
• Amended Eff. July 1, 2022.

21 NCAC 68 .0207 Certification or Licensure Period

Certification or licensure is for a period of two years after which renewal is necessary. Failure to renew a credential within 30 business days following the end of the two-year period shall result in a late renewal fee of fifty dollars ($50.00) to be paid by the professional in addition to the renewal fee of one hundred and fifty dollars ($150.00).

History

• Authority G.S. 90-113.30; 90-113.33; 09-113.37A; 90-113.38
• Eff. August 1, 1996
• Amended Eff. January 1, 2010
• Readopted Eff. April 10, 2019.

21 NCAC 68 .0208 RENEWAL REQUIREMENTS FOR Counselor, CriMinal justice addictions professional AND PREVENTION Specialist

(a) In order to renew a certification, a certified alcohol and drug counselor and certified prevention specialist shall:

(1) Complete 60 hours of training recognized by the Board as follows:

(A) A minimum of 50 percent (30 hours) shall be substance use disorder specific.

(B) No more than 25 percent may be in-service education, received within the professional's place of employment by staff of the same employment;

(C) No more than 25 percent may be educational training presented by the renewing professional. A presentation shall be a part of an event recognized by the Board as set out in the rules of this Chapter;

(D) An applicant shall include documentation of each event submitted; and

(E) All applicants shall include three hours of HIV/AIDS/STDS/TB/Bloodborne pathogens training and education, three hours of clinical ethics training and education, and three hours of education to be selected from the list appearing in Rule 21 NCAC 68 .0205(e).

(2) Submit the following:

(A) A completed renewal found on the Board website;

(B) A non-refundable one hundred fifty dollar ($150.00) recertification fee; and

(C) An attestation or otherwise signed adherence by the applicant to the Ethical Standards of the Board as found in Section .0500 of this Chapter.

(b) In order to renew a certification, a certified criminal justice addictions professional shall:

(1) Complete 40 hours of training recognized by the Board as follows:

(A) A minimum of 50 percent (20 hours) shall be substance use disorder specific.

(B) No more than 25 percent may be in-service education, received within the professional's place of employment by staff of the same employment;

(C) No more than 25 percent may be educational training presented by the renewing professional. A presentation shall be a part of an event recognized by the Board as set out in the rules of this Chapter;

(D) An applicant shall include documentation of each event submitted; and

(E) All applicants shall include three hours of HIV/AIDS/STDS/TB/Bloodborne pathogens training and education, three hours of clinical ethics training and education, and three hours of education to be selected from the list appearing in Rule 21 NCAC 68 .0205(e).

(2) Submit the following:

(A) A completed renewal found on the Board website;

(B) A non-refundable one hundred fifty dollar ($150.00) recertification fee; and

(C) An attestation or otherwise signed adherence by the applicant to the Ethical Standards of the Board as found in Section .0500 of this Chapter.

(c) The renewal of a certified criminal justice addictions professional and a certified alcohol and drug counselor shall include a post-certification supervision agreement between a practice supervisor and supervisee. The supervision required by this Rule shall be provided according to G.S. 90-113.37A(b).

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.37A; 90-113.38; 90-113.39
• Eff. August 1, 1996
• Amended Eff. June 1, 2011; April 1, 2011; January 1, 2010; April 1, 2003; August 1, 2002; August 1, 2000
• Readopted Eff. April 10, 2019
• Amended Eff. July 1, 2022.

21 NCAC 68 .0209 Reciprocity

(a) If a counselor, prevention consultant, clinical supervisor, or clinical addictions specialist holds a credential issued by a member board or a successor organization of the International Certification and Reciprocity Consortium (IC&RC) as a certified alcohol and drug counselor, certified prevention consultant, certified clinical supervisor or licensed clinical addictions specialist, the person may transfer this credential to North Carolina by applying a transfer fee paid to the IC&RC or its successor organization.

(b) The reciprocal credential effective date shall remain the same as in the previous state.

(c) At the time when re-credentialing is required, it will be the individual's responsibility to submit an application for re-credentialing.

(d) In the event that the individual's IC&RC member board does not administer the same IC&RC exam required for reciprocal certification or licensing in North Carolina, the applicant shall be required to complete and pass the exam required by the rules of this Chapter and the G.S. 90-113.41.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.36; 90-113.37A
• Eff. August 1, 1996
• Amended Eff. January 1, 2014; August 1, 2000
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0210 conversion

History

• Status: repealed
• Authority G.S. 90-113.30; 90-113.33
• Eff. August 1, 1996
• Repealed Eff. January 1, 2010.

21 NCAC 68 .0211 Process for Clinical Supervisor Certification and Renewal

(a) In order to be certified as a certified clinical supervisor, an applicant shall:

(1) Obtain and maintain a license as a licensed clinical addictions specialist to be eligible for certified clinical supervisor;

(2) Hold a master's or higher degree in a human services field with a clinical application from a regionally accredited college or university;

(3) Submit documentation signed by the certified clinical supervisor of 4000 hours or two years full-time experience in a supervisory role working or volunteer in a clinical setting, supervised at a ratio of one hour of supervision for every 80 hours of practice in the field of alcohol and other drug misuse;

(4) Submit documentation of 30 hours of clinical supervision specific education for initial certification. These hours shall be reflective of clinical supervision domains;

(5) Submit three references. One from a certified clinical supervisor who can attest to supervisory competence and two from either substance use disorder professionals who have been supervised by the candidate or substance use disorder professionals who can attest to the applicant's competence;

(6) Achieve a passing score on the IC&RC or its successor organization's clinical supervisor examination; and

(7) Pay all application fees. A fee of twenty-five dollars ($25.00) shall be submitted to the Board. Also, an applicant shall submit a certification fee of two hundred dollars ($200.00) and an examination fee of one hundred fifty dollars ($150.00).

(b) In order to renew as a certified clinical supervisor, the certified professional shall submit to the Board the following:

(1) A completed renewal found on the Board website with 15 clock hours of continuing education in the field of clinical supervision;

(2) An attestation or otherwise signed adherence by the applicant stating his or her commitment to follow the Board's code of ethical conduct; and

(3) A recertification or renewal fee of one hundred fifty dollars ($150.00).

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.34; 90-113.38; 90-113.40; 90-113.41; 90-114.41A
• Eff. August 1, 1996
• Amended Eff. January 1, 2010; August 1, 2002; August 1, 2000
• Readopted Eff. April 10, 2019.

21 NCAC 68 .0212 Process for Residential Facility Director Certification

History

• Status: repealed
• Authority G.S. 90-113.30; 90-113.33; 90-113.37A; 90-113.38; 90-113.39; 90-113.40
• Eff. August 1, 1996
• Amended Eff. January 1, 2010; August 1, 2002; August 1, 2000
• Readopted Eff. April 10, 2019
• Repealed Eff. July 1, 2022.

21 NCAC 68 .0213 Continuing Education Approval Policy

History

• Status: repealed
• Authority G.S. 90-113.30; 90-113.33; 90-113.38; 90-113.39; 90-113.40; 90-113.37A
• Eff. August 1, 1996
• Amended Eff. January 1, 2010; August 1, 2000
• Repealed Eff. October 1, 2020.

21 NCAC 68 .0214 COLLEGE AND UNIVERSITY SUBSTAnCE USE DISORDER SPECIALTY CURRICULA

(a) A college or university program shall notify the Board of its intent to provide a substance use disorder specialty curricula. Persons completing master's level substance use disorder specialty curricula shall be considered "Criteria C" applicants as defined in G.S. 90-113.40 (c)(3).

(b) Upon notification of the school's intent to provide a substance use disorder specialty curriculum, the Board shall inform the school that the following information shall be needed from the applicant school:

(1) curricula description including number of hours of substance use disorder specific credits;

(2) information as to how the educational requirements for substance use disorder specialty shall be met within the curricula pursuant to G.S. 90-113.41A(a)(2) a.-k.;

(3) names and resume of any faculty who shall be teaching the substance use disorder curricula;

(4) name of the school or college in which the substance use disorder curricula shall be housed and organizational contact information; and

(5) specific guidelines and information on the field experience that shall be required of students including current substance use disorder specific field placements and supervision. A clinical supervisor intern or certified clinical supervisor shall supervise the students enrolled in the substance use disorder specialty curricula described in Rule .0204 of this Section.

(c) The Standards Committee shall review curricula to determine if the proposal meets educational, hour, substance use disorder specific and supervised experience qualifications.

(d) The Standards Committee shall present recommendations to the Board.

(e) The Board shall notify the school of the status of its request and any recommendation.

(f) The curricula shall be submitted for review every three years. A previously approved substance use disorder specialty curricula school may forgo review by notifying the Board that there have been no changes to the course content of the approved curricula.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.39; 90-113.40
• Eff. August 1, 2002
• Amended Eff. April 1, 2011; January 1, 2010
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0215 Verification

History

• Status: repealed
• Authority G.S. 90-113.30; 90-113.33; 90-113.38; 90-113.40
• Eff. August 1, 2002
• Amended Eff. January 1, 2010
• Repealed Eff. October 1, 2020.

21 NCAC 68 .0216 BaCKGROUND INVESTIGATION

(a) Every applicant for Registration pursuant to Article 5C of Chapter 90 of the General Statutes shall complete a fingerprint background check and accompanying release of information meeting the standards set by the State Bureau of Investigation and obtained within 60 days of the date the applicant submits all the prerequisites for his or her credential.

(b) The applicant shall provide any additional information regarding any pending charge or conviction as requested by the Board.

(c) An applicant shall submit a verified statement listing all criminal convictions received by the applicant, subsequent to the date of the application. Failure to make full and accurate disclosure shall be grounds for immediate application denial or other disciplinary action applicable to registration, certification, or licensure pursuant to G.S. 90-113.44.

History

• Authority G.S. 90-113.30; 90-113.31; 90-113.33; 90-113.40; 90-113.41A; 90-113.44
• Temporary Adoption Eff. May 15, 2002
• Temporary Adoption Eff. July 1, 2002
• Eff. April 1, 2003
• Amended Eff. January 1, 2010
• Readopted Eff. December 1, 2020.

21 NCAC 68 .0217 Supervised Practicum for Criminal Justice Addictions Professional Certification

(a) All applicants for the criminal justice addictions professional certification shall complete 300 hours practicum as set forth in G.S. 90-113.40(d1)(2).

(b) The practicum may be completed as part of an academic course of study in a regionally accredited college or university or it may be developed in the work setting as a substance use disorder professional as long as it is supervised by an applicant supervisor. The practicum shall take place within a criminal justice addiction professional setting to include a workplace for law enforcement, the judiciary, or corrections.

History

• Authority G.S. 90-113.31A; 90-113.31B(6); 90-113.40; 90-113.40B
• Eff. January 1, 2010
• Amended Eff. June 1, 2011; April 1, 2011
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0220 Notice to Applicant of Failure to Satisfy Board

When the Board has determined that an application is deficient, the Board shall notify the applicant of its decision and indicate in what respect the applicant has failed to satisfy the Board. The applicant may inquire with the Board if more information is needed to clarify the nature of the deficiency.

History

• Authority G.S. 90-113.33; 90-113.39; 90-113.40
• Eff. April 1, 2001
• Amended Eff. January 1, 2010
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0221 Applicant Hearing

Upon denial, suspension, or revocation of a credential, an applicant may request a hearing upon submission of a written statement detailing the reason for the request. The applicant shall be given a formal hearing before the Board. Notice of the time and place of the public hearing shall be provided to the applicant. The burden of satisfying the Board of the applicant's qualifications for a credential shall be upon the applicant.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.39; 90-113.40
• Eff. April 1, 2001
• Amended Eff. January 1, 2010
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0222 Ethics AND QUality Assurance inquiry

(a) Information that is the basis for an inquiry into the issue of whether the applicant meets the ethical standards of the Board may be referred to the Chairperson of the Quality Assurance Committee for review and further investigation. The Chairperson may pursue the investigation of this matter pursuant to the procedures used to investigate ethics complaints as defined in Rule .0603 of this Section.

(b) Information that is the basis for an inquiry into the issue of whether the credentialed professional meets the ethical standards of the Board shall be referred to the Chairperson of the Ethics Committee for review and further investigation. The Chairperson shall pursue the investigation of this matter pursuant to the procedures used to investigate ethics complaints as defined in Rule .0603 of this Section.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.39; 90-113.40; 90-113.44
• Eff. April 1, 2001
• Amended Eff. January 1, 2010
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0223 Standards AND Quality ASsurance Committee Actions

(a) The Quality Assurance Committee shall take any of the following actions:

(1) review applications for credentialing and re-credentialing; and

(2) recommend or deny candidates for credentialing and re-credentialing.

(b) The Standards Committee shall take any of the following actions:

(1) review curricula requirements for Board approved training events;

(2) review curricula requirements for Board approval of college or university courses; and

(3) recommend changes to curricula to reflect best practices and current trends in substance use disorder treatment and prevention.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.39; 90-113.40
• Eff. April 1, 2001
• Amended Eff. January 1, 2010
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0224 cREDENTIALING Status Denied If Serving Sentence

An individual making application for a credential who is serving any part of a court-ordered sentence, including community service, supervised or unsupervised probation, or making restitution, shall be administratively removed from the credentialing process for additional review. If any person is serving or begins serving such sentence during the course of the credentialing process, this person shall notify the Board. If a driver license revocation or suspension period results from a conviction for a DWI offense or refusal to submit to breathalyzer or blood testing, this period shall not be considered an aspect of an applicant's sentence required to be completed prior to the awarding of a credential.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.39; 90-113.40; 90-113.44
• Eff. April 1, 2001
• Amended Eff. January 1, 2010
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0225 Suspension of Authority and Escrow of Funds

In the event the Board fails to file the reports as required by G.S. 93B-2 and the Board's authority to expend any funds is suspended until such time as the Board files the required reports, the Board shall deposit any fees or funds received during the period of suspension into an escrow account established by the Board solely for this purpose.

History

• Authority G.S. 90-113.30; 90-113.33; 93B-2
• Eff. April 1, 2011
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0226 Armed Services Extension for Credential

Upon receipt of a written request by or on behalf of a credentialed substance use disorder professional who is currently in good standing with the Board, is serving in the Armed Forces of the United States, and to whom G.S. 105-249.2 authorizes an extension of time to file a tax return, the Board shall postpone renewal fees, renewal application deadlines, continuing education requirements, and any other requirements or conditions related to the maintenance of the credential issued by the Board or to the renewal thereof for the same period of time as the extended period of time to file a tax return that is granted pursuant to G.S. 93B-15.

History

• Authority G.S. 90-113.30; 90-113.33; 93B-15
• Eff. April 1, 2011
• Amended Eff. June 1, 2011
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0227 credential BY ENDORSEMENT or reciprocity BASED ON MILITARY SERVICE

(a) Applicants for a substance use disorder professional credential by endorsement or reciprocity based on military service shall have their training honored automatically pursuant to the standards of the International Certification and Reciprocity Consortium (IC&RC). Applicants shall apply for a credential by using the Board's credentialing software, Learning Builder, and submit to the Board:

(1) a reciprocity application form prescribed by the IC&RC and provided by the Board as found at its website: www.ncsappb.org that shall be found accompanying the reciprocity information on the website;

(2) written evidence demonstrating that the applicant has been awarded a military occupational specialty as a substance abuse professional and that the applicant has engaged in practice as a substance use disorder professional for at least 1,500 clinical hours per year during at least two of the five years preceding the date of application; and

(3) a statement disclosing and explaining the commission of any act set out in G.S. 90-113.46A, any disciplinary actions, investigations, malpractice claims, state or federal agency complaints, judgments, settlements, or criminal charges.

(b) All information required shall be received by the Board office.

(c) All applicants shall submit to the Board an electronic copy of the applicant's fingerprints as described on the Board's website.

History

• Authority G.S. 90-113.31A(14); 90-113.33; 90-113.38; 90-113.39; 90-113.46; 90-113.46A; 93B-15.1
• Eff. August 1, 2015
• Readopted Eff. December 1, 2020.

21 NCAC 68 .0228 substance USE DISORDER credential BY ENDORSEMENT or reciprocity BASED ON STATUS AS MILITARY SPOUSE

(a) Applicants for a substance use disorder credential by endorsement or reciprocity based on their status as a military spouse shall have their training honored automatically pursuant to the standards of the International Certification and Reciprocity Consortium (IC&RC). Applicants shall apply for a credential by using the Board's credentialing software, Learning Builder, and submit to the Board:

(1) a reciprocity application form prescribed by the IC&RC and provided by the Board as found at its website: http://www.ncsappb.org that shall be found accompanying the reciprocity information on the website;

(2) written evidence demonstrating that the applicant is married to an active member of the U.S. military and that such applicant:

(A) holds a current substance use disorder credential from another jurisdiction whose standards for the credential are substantially equivalent to or greater than those required for the credential described in G.S. 90, Article 5C, this Chapter, and is the subject of the application; and

(B) has engaged in practice as a substance use disorder professional demonstrating the scope of practice as defined by G.S. 90-113.31B for at least 1,500 hours per year during at least two of the five years preceding the date of application; and

(3) a statement disclosing and explaining the commission of an act set out in G.S. 90-113.46A, any disciplinary actions, investigations, malpractice claims, state or federal agency complaints, judgments, settlements, or criminal charges.

(b) All information required shall be received by the Board office.

(c) All applicants shall submit to the Board an electronic copy of the applicant's fingerprints as described on the Board's website.

History

• Authority G.S. 90-113.31A(14); 90-113.31B; 90-113.33; 90-113.38; 90-113.39; 90-113.46; 90-113.46A; 93B-15.1
• Eff. August 1, 2015
• Readopted Eff. December 1, 2020.

21 NCAC 68 .0301 Scope

The rules in this Section apply to a person seeking licensure as a clinical addictions specialist and a credentialing body of a professional discipline seeking deemed status.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.36; 90-113.40; 90-113.41A
• Temporary Adoption Eff. November 15, 1997
• Eff. August 1, 1998
• Amended Eff. January 1, 2014
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0302 Definitions

History

• Status: repealed
• Authority S.L. 1997, c. 492
• Temporary Adoption Eff. November 15, 1997
• Eff. August 1, 1998
• Repealed Eff. August 1, 2002.

21 NCAC 68 .0303 Application for Deemed Status by Professional Discipline

(a) Any credentialing body of a professional discipline seeking deemed status shall forward to the board a letter of intent with a request to become a deemed status organization.

(b) The credentialing body shall provide the following:

(1) documentation that it meets the requirements of G.S. 90-113.41A;

(2) a copy of the ethical code and statement, if any, it requires its members to sign indicating that the member will comply with the discipline's code of ethics and any substantiating data that supports the ethical process of the professional discipline;

(3) if an examination is required by the credentialing body, documentation describing the exam process each applicant shall pass in order to be awarded the professional group's substance use disorder specialty credential. If the examination for the specialty is not administered by the professional group, the applicant shall pass the Board's exam for licensure.

(c) A professional discipline granted deemed status shall provide the name of any member whose credential is revoked, suspended, or denied within 60 days from the date of action.

(d) The professional discipline, to the extent allowed by its governing law, shall provide any information requested by the Board that has been submitted to the professional discipline regarding the complaint against its member, subsequent to the disposition of the complaint.

(e) If no information has been received by the Board within six months, or the Board is not satisfied with the disposition of the complaint, the Board may initiate its own ethics investigation and may impose disciplinary action.

History

• Authority G.S. 90-113.33; 90-113.41; 90-113.41A
• Temporary Adoption Eff. November 15, 1997
• Eff. August 1, 1998
• Amended Eff. January 1, 2014
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0304 Three-Year Standards Review of Deemed Status Standing

(a) The Standards Committee shall review the standards of each professional discipline every third year as required in G.S. 90-113.41A.

(b) The Standards Committee shall send notice to the professional discipline 90 days in advance of the end of the three-year period following the date deemed status was granted or renewed.

(c) The professional discipline shall report current standards, including an update of all information originally provided to meet the requirements of Rule .0303 of this Section.

(d) The Standards Committee may request further substantiation and explanation of the information provided by the professional discipline if the Committee's review determines it no longer meets the requirements set forth in G.S. 90-113.41A.

History

• Authority G.S. 90-113.33; 90-113.41A
• Temporary Adoption Eff. November 15, 1997
• Eff. January 1, 2014; August 1, 1998
• Amended Eff. January 1, 2014
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0305 licensure REQUIREMENTS FOR Initial applicants for licensed clinical addictions specialist

In addition to meeting the requirements of G.S. 90-113.40, an applicant seeking licensure as a clinical addictions specialist shall submit the following:

(1) Documentation of completion of:

(a) Six hours of HIV/AIDS/STDS/TB/Bloodborne pathogens training and education;

(b) Six hours of clinical ethics training;

(c) Six hours of clinical supervision specific training; and

(d) Six hours selected from the following list:

(i) nicotine use disorder;

(ii) psychopathology;

(iii) evidence-based treatment;

(iv) substance use disorder issues and older adults;

(v) substance use disorder issues and veterans; and

(vi) substance use disorder issues and domestic violence.

All hours listed in this Item may be included in the 180 hours of substance use disorder training required for licensure;

(2) A copy of a substance use disorder specialty certificate or transcript if the applicant is applying under Criteria C as defined in G.S. 90-113.40 (c)(3), or is seeking education credit as described in Item (1) of this Rule under any other criteria outlined in G.S. 90-113.40 (c);

(3) An official transcript of completed masters or other advanced degree in a human services field with a clinical application as found in Rule .0101(5) of this Chapter, if not previously submitted under Item (2) of this Rule;

(4) A completed application found on the Board's website; and

(5) Payment of the following fees:

(a) All applicants who are in the deemed status group shall make payment of a non-refundable application fee of ten dollars ($10.00) and payment of a non-refundable credentialing fee of forty dollars ($40.00).

(b) All other applicants shall make payment of an application fee of twenty-five dollars ($25.00) and payment of a non-refundable certification fee of two hundred dollars ($200.00).

(c) All applicants seeking credentialing pursuant to Criteria A, Criteria B, and Criteria C of G.S. 90-113.40(c) shall make payment of a non-refundable examination fee of one hundred fifty dollars ($150.00). An applicant seeking credentialing pursuant to Criteria D (Deemed Status) who has not completed an examination as required by G.S 90-113.41(b), shall complete and pass the examination at his or her own expense.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.38; 90-113.40; 90-113.41
• Temporary Adoption Eff. November 15, 1997
• Eff. April 1, 1999
• Amended Eff. January 1, 2014; August 1, 2002
• Readopted Eff. April 10, 2019
• Amended Eff. July 1, 2022.

21 NCAC 68 .0306 RENEWAL OF Licensed CLINICAL ADDICTIONS SPECIALIST

(a) An applicant who is in the deemed status group shall submit the following every two years, prior to their license expiration:

(1) A completed application and a copy of the applicant's current substance use disorder certificate or its equivalent from the deemed status professional discipline; and

(2) A non-refundable renewal fee of thirty-five dollars ($35.00).

(b) All other individual applicants shall:

(1) Renew licensure as classified by the criteria for their original licensing every two years.

(2) Document completion of 40 hours of education pursuant to Rule .0401 of this Chapter during the current licensing period. A minimum of 30 hours shall be substance use disorder specific. This education may include a combination of hours, including attending and providing workshops.

(3) Meet re-licensing educational guidelines as a substance use disorder professional as follows:

(A) No more than 25 percent may be in-service education, received within the applicant's organization by staff of the same employment.

(B) No more than 25 percent of workshop presentation with one hour of presentation translating to one hour of education. Workshop presentation shall be pursuant to Rule .0213 of this Chapter.

(C) All applicants shall include three hours of HIV/AIDS/STDS/TB/Bloodborne pathogens training and education, three hours of clinical ethics training and education, and three hours of education to be selected from the list appearing in Rule .0305(1)(d) of this Section.

(4) Submit a completed application with continuing education documented.

(5) Submit a non-refundable one hundred fifty dollar ($150.00) renewal fee.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.37A; 90-113.38; 90-113.39; 90-113.41A
• Temporary Adoption Eff. November 15, 1997
• Eff. August 1, 1998
• Amended Eff January 1, 2014; April 1, 2003; August 1, 2002
• Readopted Eff. April 10, 2019
• Amended Eff. July 1, 2022.

21 NCAC 68 .0307 Revocation of Credential When Change in Status

(a) Any clinical addictions specialist credentialed pursuant to deemed status who is no longer a member in good standing of their professional discipline may be subject to revocation of the credential following an investigation by the Ethics Committee of the Board.

(b) Any clinical addictions specialist who is credentialed pursuant to the deemed status criteria may lose this credential if the professional discipline loses its deemed status standing.

History

• Authority G.S. 90-113.30; 90-113.40; 90-113.41; 90-113.41A
• Temporary Adoption Eff. November 15, 1997
• Eff. August 1, 1998
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0401 Education Approval Policy

(a) The Board shall approve educational events for professional credentialing. One "approved educational hour" is defined as one contact hour of participation in an organized continuing education experience. Continuing education used to meet the credentialing requirements shall be reviewed and approved according to the rules of this Section. If the sponsor does not obtain approval from the Board, the individual participants shall be responsible for supplying all of the required information for each continuing education session at the time of request for credentialing or re-credentialing. Submission of approval requests shall be received 45 days prior to opening day of the event.

(b) Any applicant for training approval shall submit a training approval request form including:

(1) title of course, date, location, individual or organization sponsor, and whether it will be held only once or recurring.

(2) presenter(s) who shall attach a resume outlining expertise in the subject area and content of the session.

(3) a description of the contents of a track, course, seminar, and the type of credit hours being requested to indicate if it is substance use disorder specific, general skill building, or required training pursuant to other specialized credentials including Criminal Justice Addictions Professionals, Clinical Supervisors, or Prevention Specialists.

(4) agenda, to include the breakdown of time including a 15 minute break for every two hours of education and amount of time allowed for meals; and

(5) the sponsor or individual seeking approval shall pay an annual fee as follows:

(A) twenty five dollars ($25.00) for up to 10 hours;

(B) fifty dollars ($50.00) for more than 10 hours and up to 20 hours;

(C) seventy five dollars ($75.00) for more than 20 hours and up to 30 hours;

(D) one hundred dollars ($100.00) for more than 30 hours and up to 40 hours;

(E) one hundred twenty five dollars ($125.00) for more than 40 hours.

(c) Training approved by IC&RC and its member boards and organizations granted deemed status shall be accepted with documentation of completion.

(d) In-service training shall meet the same requirements as set out in Paragraphs (b) and (c) of this Rule. However, if persons who are non-employees of the sponsoring and presenting agency are invited to participate, then it is not considered in-service and Board pre-approval shall be required. The presenting agency or organization may contract with outside trainers to present to their employees and this shall be considered in-service training.

(e) Presenters shall be given one hour of credit for every one hour presented. However, if the original presentation is repeated, hours can only be credited for the original presentation.

(f) The Board may revise or rescind credit hours if information is received documenting that a previously approved event was not presented as it was approved.

(g) In accordance with G.S. 90-113.40(a)(6), the Board shall only grant education hours for college courses in the subject areas of human services, counseling, mental health, and addictions. The Board shall grant 15 contact hours of education for each college or university semester credit; the standard 3 credit semester course shall be equal to 45 contact hours of education.

History

• Authority G.S. 90-113.30; 90-113.40
• Eff. August 1, 1996
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0402 General Training Pre-Approval Guidelines

(a) The rules of this Section shall apply to each approval request for obtaining credit for didactic and academic hours for course, curricula, and training events seeking pre-approval from the Board for professionals to use to meet their educational requirements for initial credentialing or renewal.

(b) The Board shall have the right to review programs by sending a Board member or designee to monitor the event or a portion of the event. When fulfilling this quality assurance role, the designated person shall notify the presenter or training sponsor in writing.

(c) Education hours shall be awarded only for actual hours attended.

(d) Providers of Board approved events shall be required to document attendance at individual events for schools, courses, curricula, and conferences.

(e) Event sponsors shall maintain attendance and evaluation records for a minimum of three years.

History

• Authority G.S. 90-113.30; 90-113.40
• Eff. August 1, 1996
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0403 In-Service Training Event

(a) An in-service event shall be a training session that shall be provided by the applicant's employer for the purpose of professional credentialing and limited to the employees of that agency. The Board shall accept in-service training for professional credentialing and renewal but reserves the right to attend and evaluate the in-service training as described in Rule .0402 of this Section.

(b) An applicant's training in substance use disorder and prevention provided as part of military employment shall be considered in-service training.

History

• Authority G.S. 90-113.30; 90-113.40
• Eff. August 1, 1996
• Readopted Eff. October, 1, 2020.

21 NCAC 68 .0404 Credit Denial or Limitation

The Board may deny credit approval based on failure to provide accurate information to the Board as part of the credit approval application.

History

• Authority G.S. 90-113.30; 90-113.40
• Eff. August 1, 1996
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0405 Sponsor Guidelines

(a) Sponsors or presenters shall submit requests for approval prior to the event and shall allow the Board 45 days for review and approval. Requests by sponsors or presenters submitted after the event has taken place may not be reviewed or approved by the Board.

(b) All approvals from the Board shall include the event approval number.

(c) Sponsors shall be responsible for providing a certificate of attendance which includes the approval number and number of approved education hours.

(d) Any event given on a recurring basis, as in the example of college courses, shall be given approval on a yearly basis. Renewal of credit approval shall be based on notification by the sponsor or presenter documenting no change in course content. Any changes in content or method shall be submitted for review and approval in order to maintain prior approval. When changes have been made in content, method or agenda, the fee shall be the same as for a new event.

History

• Authority G.S. 90-113.30; 90-113.38; 90-113.40
• Eff. August 1, 1996
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0406 Procedures for Approval of Self Study Courses

History

• Status: repealed
• Authority G.S. 90-113.30; 90-113.37; 90-113.38; 90-113.39; 90-113.40
• Eff. August 1, 1996
• Amended Eff. April 1, 2003
• Repealed Eff. October 1, 2020.

21 NCAC 68 .0407 Education Submission Guidelines

(a) The applicant shall provide the event approval number and proper documentation of attendance which includes:

(1) certificate of attendance; or

(2) training cards or sheets signed by a sponsor or presenter.

(b) Documents not acceptable to establish that an applicant has received continuing education are as follows:

(1) canceled checks;

(2) receipts;

(3) letters from supervisors who were non-participants in the course; or

(4) program schedules.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.40
• Eff. August 1, 1996
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0501 Purpose and Scope

(a) The Board may deem violation of these ethical principles of the Board, malpractice, negligence, incompetence, or engaging in conduct that could result in harm or injury to the public, as stated in G.S. 90-113.44(a)(9).

(b) Ethical principles shall provide a standard for the substance use disorder professional in his or her professional roles, relationships, and responsibilities.

(c) Upon submission of an application for a credential, each applicant shall review the ethical principles in these Rules, and agree to uphold the ethical principles of of this Section.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.39; 90-113.40
• Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. February 1, 1996
• Amended Eff. January 1, 2010
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0502 Non-Discrimination

The substance use disorder professional shall not discriminate against clients or other professionals based on race, religion, age, sex, handicaps, national ancestry, sexual orientation, or economic condition.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.40
• Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. February 1, 1996
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0503 Competence

(a) The substance use disorder professional shall employ their knowledge, skill and proficiencies within their scope of practice.

(b) The substance use disorder professional shall respect cultural and ethnic values in order to provide the highest level of care for a client who possesses a diverse or unfamiliar cultural or ethnic background.

(c) The substance use disorder professional shall provide the interpretive services to any client or refer the person for services.

(d) The substance use disorder professional shall assist in eliminating prevention, intervention, treatment, and supervision practices by persons unqualified or unauthorized to practice in the field.

(e) The substance use disorder professional who knows of unethical conduct, as defined by the rules of this Chapter, by a substance use disorder professional shall report such violations to the Board.

(f) The substance use disorder professional shall recognize boundaries and limitations of his or her competencies and not offer services or use techniques outside of his or her professional competencies and scope of practice.

(g) The substance use disorder professional who identifies a need for services outside his or her skill, training or experience shall refer the client to an appropriate professional or shall seek supervision and training to provide the required services for the individual.

(h) The substance use disorder professional shall complete reports and record keeping functions in a manner that supports the client's treatment experience and welfare.

(i) The substance use disorder professional shall recognize the negative impact impairment has on his or her functioning in public and professional performance and shall report the impairment to the Board for investigation and review, which may result in disciplinary or non-disciplinary action.

History

• Authority G.S. 90-113.30; 90-113.36; 90-113.39; 90-113.40; 90-113.43; 90-113.44
• Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. February 1, 1996
• Amended Eff. January 1, 2010; April 1, 2001; August 1, 2000
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0504 LEGAL STANDARDS AND ethical STANDARDS

(a) The substance use disorder professional shall not claim or imply educational, experiential, or professional qualifications or affiliations that the substance use disorder professional does not possess.

(b) The substance use disorder professional shall not use membership on the Board for purposes that are not consistent with the rules of this Chapter. No Board member shall advertise, promise, or provide special treatment to any individual because of membership on the Board or its committees.

(c) The substance use disorder professional shall not lend his or her name to or participate in any professional or business relationship that may knowingly mislead the public.

(d) The substance use disorder professional shall follow all state and federal laws on research with human subjects when he or she engages in such research.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.43; 90-113.44; 90-113.45
• Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. February 1, 1996
• Amended Eff. January 1, 2010; April 1, 2001
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0505 EDUCATION AND training standards

(a) The substance use disorder professional shall be prepared to provide the source for any materials or techniques used when making either public statements or providing education and training.

(b) The substance use disorder professional shall not knowingly make false, deceptive, or fraudulent statements concerning their services, fees, clinical research, or degree of success of their professional services.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.44
• Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. February 1, 1996
• Amended Eff. January 1, 2010; April 1, 2001
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0506 Publication Credit

The substance use disorder professional shall assign credit to all who have contributed to the published material and for the work upon which the publication is based.

(1) The substance use disorder professional shall recognize joint authorship contributions made by several persons to a common project. The author who has made the principal contribution to a publication shall be identified as a first listed.

(2) The substance use disorder professional shall acknowledge, through specific citations, unpublished, as well as published material, that has influenced the research or writing.

(3) The substance use disorder professional who compiles and edits for publication the contributions of others shall list oneself as editor, along with the names of those others who have contributed.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.44
• Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. February 1, 1996
• Amended Eff. October 1, 2020.

21 NCAC 68 .0507 Client Welfare

(a) The substance use disorder professional shall protect the safety and welfare of the client.

(b) The substance use disorder professional shall inform clients of the nature and direction of loyalties and responsibilities and keep all parties participating in the client's care informed of these commitments.

(c) The substance use disorder professional, in the presence of professional conflict, shall be concerned primarily with the welfare of the client.

(d) The substance use disorder professional shall withdraw services only after giving consideration to all factors in the situation and taking care to minimize adverse actual or possible effects.

(e) The substance use disorder professional shall, after minimizing any adverse impact, end a counseling or consulting relationship when the professional knows or should know that the client is not benefiting from services.

(f) The substance use disorder professional who anticipates the cessation or interruption of service to a client shall notify the client and seek the cessation, transfer, referral, or continuation of service in relation to the client's needs and preferences.

(g) The substance use disorder professional shall not use a client in a demonstration that would violate the confidentiality of the client.

(h) The substance use disorder professional shall deliver services in a setting that respects client confidentiality.

(i) The substance use disorder professional shall collaborate with other health care professionals providing treatment or support services to a client.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.39; 90-113.40; 90-113.43; 90-113.44
• Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. February 1, 1996
• Amended Eff. January 1, 2010; April 1, 2001; August 1, 2000
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0508 Confidentiality

(a) The substance use disorder professional shall protect the privacy of current and former clients and shall not disclose confidential information without prior consent.

(b) The substance use disorder professional shall inform the client and obtain written permission for the use of interview material for training purposes and observation of an interview.

(c) The substance use disorder professional shall make provisions for the maintenance of confidentiality and the ultimate disposition of confidential records.

(d) The substance use disorder professional shall disclose confidential information only in accordance with state confidentiality rules found in 10A NCAC 26B and in 42 CFR Part 2.

(e) With prior written consent the substance use disorder professional shall discuss the information obtained in a clinical or consulting relationship only in a professional setting and only for a professional purpose concerned with the case. Written and oral reports shall present only data germane to the purpose of the evaluation.

(f) The substance use disorder professional shall use material in classroom teaching and writing only when the identity of the person involved is disguised to prevent disclosure or documented permission is given by the party or the information is in the public domain.

History

• Authority G.S. 90-113.30; 90-113.43; 90-113.44
• Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. February 1, 1996
• Amended Eff. January 1, 2010; April 1, 2001
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0509 Client Relationships

(a) The substance use disorder professional shall not enter into a client-professional relationship with members of the professional's immediate family. For the purpose of this Rule "immediate family" means spouse, parent, sibling, child, grandparent, grandchild, stepchild, stepparent, parent-in-law, and child-in-law.

(b) The professional shall avoid dual relationships that could impair professional judgment or increase the risk of exploitation of a client. For the purpose of this Rule "dual relationships" includes relationships in a social media setting where the professional and client have access to privileged information including relationships, photographs, and personal thoughts and opinions of the professional and the client.

(c) Sexual activity or sexual contact of a substance use disorder professional with a client shall be restricted as follows:

(1) The substance use disorder professional shall not engage in or solicit sexual activity or sexual contact with a current client.

(2) The substance use disorder professional shall not engage in or solicit sexual activity or sexual contact with a former client for five years after the termination of the counseling or consulting relationship.

(3) The substance use disorder professional shall not engage in or solicit sexual activity or sexual contact with any client the professional knows to be currently in treatment at their own agency or place of professional employment.

(4) The substance use disorder professional shall not knowingly engage in or solicit sexual activity or sexual contact with any identified former client of their own agency or place of professional employment for five years after the termination of the counseling or consulting relationship if both the professional was employed at the agency and the former client was a client of the agency during the same time period.

(5) Because sexual activity with a client is harmful to the client, a substance use disorder professional shall not engage in sexual activities with a former client even after a five-year interval unless the substance use disorder professional who engages in such activity after the five years following cessation or termination of treatment bears the burden of demonstrating that there has been no harm to the client in light of all relevant factors, including the following:

(A) the amount of time that has passed since treatment services were terminated;

(B) the nature and duration of the treatment services;

(C) the circumstances of termination;

(D) the client's personal history;

(E) the client's current mental status;

(F) the likelihood of adverse impact on the client and others; and

(G) any statement made or action taken by the substance use disorder professional during the course of treatment suggesting or inviting the possibility of a post-termination sexual or romantic relationship with the client.

(d) The substance use disorder professional shall not misuse their professional relationship for sexual, financial, or any other personal advantage.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.44
• Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. February 1, 1996
• Amended Eff. February 1, 2010; April 1, 2001; August 1, 2000
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0510 Interprofessional Relationships

(a) The substance use disorder professional shall treat colleagues with respect, courtesy, and fairness and shall afford the same professional courtesy to other professionals.

(b) The substance use disorder professional shall not offer professional services to a client in counseling or consulting with another professional except with the knowledge of the other professional or after the termination of the client's relationship with the other professional.

(c) The substance use disorder professional shall cooperate with the committees of the board and supply requested information unless prohibited by law.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.44
• Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. February 1, 1996
• Amended Eff. April 1, 2001
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0511 Remuneration

(a) The substance use disorder professional shall establish financial arrangements to protect against fraud and deceptive business practices in professional practice and in accord with the best interests of the client or person served, the professional, and of the profession.

(b) The substance use disorder professional shall not send or receive any commission, rebate, or any other form of remuneration for referral of a client or a person served for professional services.

(c) The substance use disorder professional shall not accept a private fee or any other gift or gratuity having a cumulative value of twenty-five dollars ($25.00) or more for professional work with a person who is receiving such services with the professional or through the professional's institution or agency.

(d) The substance use disorder professional shall make available written policies and procedures available to their clients or persons serviced. The substance use disorder professional shall present referral options to the client or person served if available.

(e) A substance use disorder professional shall not use their employer's organization to solicit clients or persons served for one's private practice without written authorization from the employer.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.44
• Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. February 1, 1996
• Amended Eff. February 1, 2010; April 1, 2001; August 1, 2000
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0512 responsibilities OF SUPERVISOR and SUPERVISEE

(a) A professional who has received a credential from the Board and who is serving as a clinical or practice supervisor shall:

(1) be aware of their position with respect to supervisees and therefore not exploit the trust and reliance of such persons;

(2) avoid dual relationships that could impair professional judgment, increase the risk of exploitation, or cause harm to the supervisee. To implement this standard the supervisor shall not:

(A) instruct or supervise a person with whom the supervisor has participated in a sexual activity; a person living in the supervisor's household; or an immediate family member. For the purpose of this Rule, "immediate family member" means spouse, parent, sibling, child, grandparent, grandchild, stepchild, stepparent, parent-in-law, and child-in-law;

(B) provide therapy or therapeutic counseling services to supervisees; or

(C) solicit or engage in sexual activity or contact with supervisees during the period of supervision.

(3) trained in and knowledgeable about supervision methods and techniques;

(4) supervise or consult only within their knowledge, training, and competency; and

(5) guide their supervisee to perform services in accordance with the ethical principles of this Chapter. As authorized by the supervisee's employer, the supervisor shall assign to their supervisees only those tasks or duties that these individuals can be expected to perform, based on the supervisee's education, experience, or training, either independently or with the level of supervision being provided;

(6) withhold confidential information provided by a supervisee except:

(A) as mandated by law;

(B) to prevent harm to a client or other person involved with the supervision;

(C) in educational or training settings where there are multiple supervisors, and then only to other supervisors who share responsibility for the performance or training of the supervisee; or

(D) if consent is obtained.

(7) establish and facilitate a process for providing evaluation of performance and feedback to a supervisee. To implement this process the supervisee shall be informed of the timing of evaluations, methods, and levels of competency expected. Supervision documentation shall be signed by the supervisor and supervisee and include the date, time, duration, method, and topic of the supervision session;

(8) withhold endorsement of supervisees for credentialing, employment, or completion of an academic training program if they believe the supervisees are not qualified for the endorsement. A supervisor shall develop a plan to assist a supervisee who is not qualified for endorsement to become qualified;

(9) make financial arrangements for any remuneration with supervisees and organizations only if these arrangements are in writing. All fees shall be disclosed to the supervisee prior to the beginning of supervision; and

(10) review documentation of previously supervised work experience, provided by the supervisee, for the purpose of credentialing by the Board. The supervisor may verify these hours to the Board if the supervisor deems that the supervision was performed and may include these verified hours in their evaluation to the Board.

(b) The supervisor of record shall provide notice to the office of the Board within 30 days from the date of the last session of clinical supervision that supervision has terminated. Upon receipt of this notice, the Board shall notify the supervisee that they have 30 days to obtain a supervisor to retain the current credential. The supervisee shall add a new supervisor or otherwise update their supervision contract signed and dated by the supervisor and supervisee on file with the Board.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.38; 90-113.39; 90-113.40
• Eff. April 1, 2003
• Amended Eff. January 1, 2014; January 1, 2010
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0601 Grounds for Professional Discipline

The following are grounds for discipline:

(1) fraud or misrepresentation in procuring or maintaining a credential:

(a) acting as to practice, attempt to practice, or to supervise others while representing oneself to be a credentialed substance use disorder professional without being duly credentialed;

(b) falsely representing material fact to procure or maintain a credential, whether by word or conduct;

(c) concealing requested information contained in the application;

(d) attempting to file or filing any false or forged diploma, certificate, affidavit, transcript, identification or qualification;

(e) submitting material which is not the work product of the applicant;

(f) knowlingly assisting another to procure or maintain their credential on the basis of fraud; or

(g) assisting any uncredentialed person to practice as a credentialed substance use disorder professional in violation of this code.

(2) fraud or misrepresentation to the public:

(a) knowlingly make misleading, deceptive, false, or fraudulent misrepresentations in the practice of the profession;

(b) advertising or holding oneself out to the public to provide professional services for which he or she is not credentialed; or

(c) pursuing an illegal practice as set forth in G.S. 90-113.43.

(3) knowlingly make misleading, deceptive, false, or fraudulent representations to the Board;

(4) exploitation of a relationship with client or person served:

(a) entering into a professional relationship in violation of Rule .0509 of this Chapter;

(b) participating in or soliciting sexual activity or sexual contact with a current or former client or client of one's agency in violation of Rule .0509 of this Chapter; and

(c) entering into personal financial arrangements with a client or person served in violation of Rule .0511 of this Chapter.

(5) illegal acts or practices:

(a) violation of Rule .0508 of this Chapter;

(b) conviction for violating any controlled substances law or any driving while impaired law; or

(c) being an accessory to or participating in dishonesty, fraud, misrepresentation, or any other illegal act involving a client or person served.

(6) professional incompetency or failure to meet standards of practice:

(a) failure to follow the standards of skill and competence possessed and applied by professional peers credentialed in this State acting in the same or similar circumstances;

(b) practicing outside their scope of practice.

(c) use of drugs including alcohol to the extent that professional competency is affected or that the professional suffers impairment; or

(d) refusal to seek treatment for chemical dependency or mental health problems which impair professional performance.

(7) In professional relationships, the following are prohibited:

(a) knowingly offering professional services to a client in a professional relationship with another substance use disorder professional except with the knowledge of the other professional or after the termination of the client's relationship by the other professional;

(b) sending or receiving any form of remuneration for referral of clients or persons served for substance use disorder treatment services from the professional to whom the referral was made;

(c) accepting from or charging the client a fee for a referral to another substance use disorder professional;

(d) accepting or charging a fee when no substance use disorder professional services are actually provided; except actual costs for copies and administrative services may be recovered; or

(e) failing to cooperate with the investigations and proceedings of any professional ethics committee unless the failure is within the exercise of the professional's constitutional rights.

History

• Authority G.S. 90-113.33; 90-113.39; 90-113.40; 90-113.42; 90-113.43; 90-113.44; 90-113.45
• Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. February 1, 1996
• Amended Eff. April 1, 2011; August 1, 2000
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0602 Complaint Procedures

(a) Initiation. Any individual with personal knowledge that any person has violated the code of ethics, any other rules of the Board, or G.S. 90, Article 5C may file a complaint against the substance use disorder professional by submitting a complaint through the Ethics Complaint Form found on the Board's website.

(b) Form. The complaint shall be in written or typed format stating the nature of the alleged offense and signed or attested to be true by the complainant. The complaint shall include:

(1) the name, address, and telephone number of the complainant;

(2) the name and address of the person against whom the complaint is made; and

(3) a statement of the facts that describes the allegations against the person.

(c) The complaint shall be investigated as set out in Rule .0603.

(d) Following an investigation of the complaint, the ethics chairperson shall try to reach a settlement through informal procedures pursuant to G.S. 150B-22.

(e) Once the ethics committee concludes there is a basis to schedule a disciplinary hearing before the Board, the committee chairperson shall notify the person against whom the complaint is made. The notice to the respondent shall include the following:

(1) state the section(s) of the code of ethics, other rules of the Board, or G.S. 90, Article 5C which the complaint alleges has been violated;

(2) direct that the respondent reply in writing and by certified mail within 15 days of receipt of this notice; and

(3) inform the respondent that failure to respond in writing within 15 days may result in revocation of credential.

(f) Notice shall be given by regular postage mail, certified mail, or personal service at the last known address of the respondent. If given by certified mail, notice shall be deemed to have been given on the delivery date appearing on the return receipt.

(g) The Board may receive official correspondence in an ethics case through e-mail in order to further the investigation or when the subject of an investigation is unable to use or has been unresponsive to certified mail or other methods of delivery. The Board may use local law enforcement or a private investigator licensed by Private Protective Services Board to personally serve a respondent.

(h) If notice cannot be given either by personal service or by certified mail, a notice that a complaint has been brought against the respondent shall then be given by publication. A party that cannot with due diligence be served by personal delivery or certified mail may be given notice to respond to a complaint by publication. Service of notice by publication shall consist of publishing a notice by publication once a week for three successive weeks in a newspaper that is qualified for legal advertising in accordance with G.S. 1-597 and G.S. 1-598 and circulated in the area where the party to be served is believed by the serving party to be located, or if there is no reliable information concerning the location of the party then in a newspaper circulated in the county of respondent's last address provided to the Board by the respondent. There shall be mailed to the party at or prior to the first publication a copy of the notice to respond by publication to the respondent's last known address. Upon completion of service there shall be filed with the Board by the ethics committee chairperson an affidavit showing the publication and mailing substantially in accordance with the requirement of G.S. 1-75.10(2), the circumstances warranting the use of service by publication, and information, if any, regarding the location of the party served. The notice shall include a statement by the Board that a complaint has been made against the respondent that is scheduled to be heard by the Board within 90 days. The notice shall inform respondent that respondent shall be given 30 days from the date of the last date of publication in which to respond to the service by publication for the purpose of notifying the Board of respondent's whereabouts. Response shall be made in writing to the Board at the address provided by the Board in its notice. If respondent provides the Board with information whereby respondent can be served by the deadline specific in the notice, the Board shall provide notice either personally or by certified mail as provided in Paragraph (g) of this Rule. Failure of respondent notified by publication of a complaint brought by the Board shall be treated as a failure of respondent to reply to the charges.

(i) Failure of the respondent to reply to the charges, including each specific allegation, may be considered an admission of the facts contained in the allegation(s).

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.44; 113.45
• Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. February 1, 1996
• Amended Eff. April 1, 2011; August 1, 1998
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0603 Investigation of Complaint

(a) The Ethics Committee chairperson, in consultation with the executive director or their designee and legal counsel, shall investigate the allegations in the complaint. The chairperson may appoint any person(s) or name a subcommittee to serve as the investigating entity to prepare an investigative report.

(b) The investigating entity may contact the complainant and person against whom the complaint is made.

(c) Upon completion of the investigation, the ethics committee chairperson in consultation with the investigating entity may determine that:

(1) the complaint is without merit. The chairperson shall notify the complainant that the complaint is dismissed and shall notify the respondent of the dismissal; and

(2) upon completion of an investigation wherein the complaint is not dismissed, the Ethics Committee chairperson may:

(A) offer an informal resolution pursuant to G.S. 150B-22;

(B) schedule a meeting with the respondent;

(C) refer the report to the ethics committee or its hearing panel;

(D) schedule a hearing before the Board; or

(E) the chairperson may take a voluntary dismissal of the case where the respondent relinquishes his or her credential for an agreed upon period of time.

(d) The Ethics Committee members or its subcommittees shall review a report referred by the Ethics Committee chairperson and may take any of the following actions:

(1) dismiss the complaint;

(2) remand the matter to the investigating entity in order to obtain additional evidence sufficient upon which to base a decision;

(3) make a written offer of informal resolution;

(4) schedule a meeting with the respondent whereby the dispute may be settled through informal procedures; or

(5) schedule a disciplinary hearing before the Board.

History

• Authority G.S. 90-113.33; 90-113.34; 90-113.44
• Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. February 1, 1996
• Amended Eff. April 1, 2011; August 1, 1998
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0604 Hearing Before Board

(a) A hearing shall be initiated:

(1) at the call of the Ethics Committee chairperson, Ethics Committee, or Ethics Committee hearing panel in the case of a complaint against a credentialed professional; or

(2) by any person pursuant to G.S. 150B, Article 3A on appeal of an agency decision.

(b) The hearing shall be conducted pursuant to G.S. 150B, Article 3A.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.44; 90-113.45
• Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. February 1, 1996
• Amended Eff. April 1, 2011
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0605 Method of Discipline

(a) In the course of the disciplinary investigation or hearing the Board may:

(1) deny a credential;

(2) revoke a credential;

(3) suspend a credential until further order of the Board or for a specified period of time;

(4) admonish, reprimand, or censure the Respondent; or

(5) take other actions not to be considered a disciplinary action, including a letter of caution or letter of warning without the consent of the Respondent.

(b) Disciplinary or other actions by the Board with the Respondent's consent may be stayed while the Respondent satisfies all of the conditions of the consent order.

(c) For the purposes of this Chapter:

(1) "Admonish" means a written warning from the Board to a person making application for certification or licensure by the Board or registered, certified, or licensed by the Board. An admonishment is more severe than a reprimand and less severe than a censure.

(2) "Reprimand" means a written warning from the Board to a person making application for certification or licensure by the Board or registered, certified, or licensed by the Board. A reprimand is more less severe than an admonishment.

(3) "Censure" means a written warning from the Board to a person making application for certification or licensure by the Board or registered, certified, or licensed by the Board. A censure is the most severe level of discipline that allows the professional to continue to practice.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.34; 90-113.43; 90-113.44; 90-113.45
• Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. February 1, 1996
• Amended Eff. April 1, 2011
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0606 Effect of Actions of Court or of Other Professional Groups

(a) If a person credentialed or applying for a credential from the Board has been disciplined by another professional organization or convicted of a felony or a misdemeanor, the Ethics Committee or the Board may take this prior record into consideration when imposing disciplinary sanctions.

(b) When prior discipline is discovered, it shall be referred to the Ethics Committee and shall be treated by the Ethics Committee in the same manner as a complaint, unless previously addressed by the Board or committee of the Board.

(c) The substance use disorder professional shall notify the Board within 30 days from the date of any charges, conviction or finding of guilt, or pleading of nolo contendere for all criminal convictions. This reporting shall include DWI charges, arrests, and convictions but exclude all other traffic convictions pursuant to G.S. 20.

(d) Failure to report these criminal convictions shall be considered a violation of the ethical principles of the Board.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.39; 90-113.40; 90-113.43; 90-113.44; 90-113.45
• Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. February 1, 1996
• Amended Eff. April 1, 2011; April 1, 2003
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0607 Discretion of Board

The following factors may be considered by the Board in determining the nature and severity of the disciplinary sanctions to be imposed:

(1) the relative seriousness of the violation as it relates to assuring the citizens of North Carolina a consistently high standard of professional service and care;

(2) the facts of the particular violation;

(3) any extenuating circumstances or other countervailing considerations;

(4) the number and seriousness of prior violations or complaints:

(5) whether remedial action has previously been taken;

(6) likelihood of reoccurrence; and

(7) other factors which may reflect upon the competency, ethical standards, and professional conduct of the individual.

History

• Authority G.S. 90-113.33; 90-113.43; 90-113.44
• Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. February 1, 1996
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0608 Confidentiality

Except to pursue notification of respondent of a complaint as set out in Rule .0602 of this Section and to share information with the complainant and others involved in the investigation, at no time prior to the release of the final decision by the Board shall any portion of the action or the whole thereof, be made public or be distributed to any persons other than the members and chairperson of the involved committees, the Ethics Committee, and its staff.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.34
• Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. February 1, 1996
• Amended Eff. August 1, 1998
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0609 Petition for Reopening Case

(a) If a party fails to appear, the hearing may proceed without the party. However, if the inquiry is conducted or a decision is reached in an administrative hearing in the absence of a party, or if a dismissal is entered prior to the granting of one continuance to the person petitioning for reopening the case, that party may file a written petition with the Board for a reopening of the case. The petition caption shall be entitled: "Petition for Reopening Hearing of Respondent."

(b) Petitions for reopening a contested case shall not be granted unless the petitioner can show that their failure to appear was due to personal or family medical emergency.

(c) The decision of the Board to grant or deny the petition to reopen shall be in writing and a copy shall be sent to the petitioner and made a part of the record of the hearing.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.34; 90-113.40; 90-113.44; 90-113.45
• Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. February 1, 1996
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0610 Awarding the Credential following denial

(a) Upon a showing that there are circumstances that could establish a basis for reinstatement of a credential following its denial, the Board may reinstate or credential the respondent.

(b) A request for reinstatement of the credential following its denial shall be initiated by the respondent.

(c) To determine that there is a basis reinstating or awarding a credential, the Board may consider:

(1) the nature of the offense;

(2) the severity of the offense;

(3) any resulting harm or injury to the public and its extent;

(4) the length of time since the punishment was imposed; and

(5) restitution made.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.39; 90-113.40; 90-113.44; 90-113.45
• Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
• Eff. February 1, 1996
• Amended Eff. April 1, 2011
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0611 proof of rehabilitation

(a) As used in G.S. 90-113.44 and in the rules of this Chapter, rehabilitation from impairment shall be sustained and continuous for at least six months.

(b) Upon consideration of the evidence evaluated as set forth in Paragraph (c) of this Rule, the required six month period of rehabilitation may be extended pursuant to the treatment recommendations from a Board-approved assessor, and as approved by the Board.

(c) Evidence for consideration shall include:

(1) documentation of treatment history including all assessments, evaluations, treatment, counseling, and group experiences;

(2) complete criminal record;

(3) a comprehensive biopsychosocial and medical assessment that includes evidence of physical, mental, psychological, and social functioning;

(4) medical diagnosis, treatment history and functioning prognosis;

(5) Return to substance use; and

(6) whether or not the respondent cooperated with the Board's investigation, to include self-reporting the violation.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.39; 90-113.40
• Eff. August 1, 2002
• Amended Eff. April 1, 2011
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0615 Informal Proceedings

(a) In addition to formal hearings pursuant to G.S. 90-113.33 and G.S. 90-113.34, the Board may conduct informal proceedings in order to settle certain matters of dispute. A substance use disorder professional practicing pursuant to a credential or other authority granted by the Board may be invited to attend a meeting with the Board or a committee of the Board on an informal basis to discuss matters as the Board may advise in its communication to the person. No public record of such proceeding shall be made nor shall any individual be placed under oath to give testimony. Information discussed by a person in an informal hearing before the Board may be used in a formal hearing against the Respondent if initiated.

(b) Attendance at such an informal meeting shall not be required and is at the discretion of the person so invited. A person invited to attend an informal meeting shall be entitled to have counsel present.

(c) As a result of such informal meeting, the Board may recommend:

(1) actions to be taken by a person;

(2) the person be offered the opportunity to enter into a consent order;

(3) that it institute a formal public hearing concerning a person; or

(4) that it take other public or non-public action, to include disciplinary and non-disciplinary actions.

History

• Authority G.S. 90-113.33; 150B-22; 150B-38(h)
• Eff. April 1, 2001
• Amended Eff. April 1, 2011
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0620 Publication of Ethics Sanctions

Sanctions of admonition, reprimand, censure, suspension, or revocation of a credential shall be published by the Board.

History

• Authority G.S. 90-113.30; 90-113.33; 90-113.42; 90-113.43; 90-113.44
• Eff. August 1, 2002
• Amended Eff. April 1, 2011
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0701 Hearing Before Board: Time Requirement

(a) Upon denial, suspension, or revocation of a credential, the applicant may request a hearing before the Board which will serve as the appeals hearing body.

(b) Requests for an appeals hearing shall be made in writing to the President of the Board within 30 days after receipt of the notification that a credential had been denied or revoked.

History

• Authority G.S. 90-113.30; 90-113.39; 90-113.40
• Eff. August 1, 1996
• Amended Eff. August 1, 2000
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0702 Right to Hearing

(a) When the Board proposes to deny, suspend, or revoke a credential, it shall give notice to the person(s) affected of the right to an administrative hearing.

(b) The notice shall be mailed by certified mail to the person at his or her last known address.

(c) The person affected may assert his or her right to a hearing by mailing to the Board a request for an Administrative Hearing pursuant to Rule .0703 of this Section.

History

• Authority G.S. 90-113.30; 90-113.39; 90-113.40
• Eff. August 1, 1996
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0703 Request for Hearing

(a) Any applicant to be credentialed by this Board who believes their rights, duties or privileges have been affected by the Board's administrative action but who has not received notice of a right to an administrative hearing, may file a formal request for a hearing to determine eligibility to be credentialed.

(b) Before an applicant or credentialed individual may file a request, they shall first attempt to resolve the issue informally with the Board.

(c) The chairperson of the Ethics Committee or their designee may meet with the person accused of an ethical violation, if the accused so chooses, prior to requesting additional information from the complainant.

(d) Subsequent to such informal action, if still dissatisfied, the person affected shall submit a written request to the Board in an envelope bearing the notation "REQUEST FOR ADMINISTRATIVE HEARING." That request shall contain the following information:

(1) name and address of the applicant or credentialed individual;

(2) statement of the action taken by the Board which is challenged;

(3) statement of the way in which the applicant or credentialed individual has been aggrieved; and

(4) statement of request for a hearing.

(e) A request for a hearing shall be acknowledged and a hearing shall be scheduled.

History

• Authority G.S. 90-113.30; 90-113.39; 90-113.40
• Eff. August 1, 1996
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0704 Hearing Requests

(a) The Board shall decide whether to grant a request for a hearing at its next regularly scheduled meeting following receipt of the request.

(b) A denial of a request for a hearing shall be issued following a decision by the Board. Such denial shall contain a statement supporting Board denial of the request.

(c) Approval of a request for a hearing shall be signified by the issuing of a notice pursuant to Rule .0705 of this Section.

History

• Authority G.S. 90-113.30; 90-113.39; 90-113.40
• Eff. August 1, 1996
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0705 Notice of Hearing

Notices of administrative hearings of the Board shall include the following:

(1) the name, position, address, and telephone number of a member, employee, or agent of the Board to contact for further information or discussion;

(2) a statement that failure to inform the office of the Board, within 10 days after notice is received of intent to appear at any hearing or prehearing conference scheduled in the hearing notice shall be deemed a waiver of the right to a hearing;

(3) notice of the date and place of a prehearing conference, if any;

(4) notice of the date of the hearing; and

(5) any other information relevant to informing the party or parties as to the procedure of the hearing.

History

• Authority G.S. 90-113.30; 90-113.39; 90-113.40
• Eff. August 1, 1996
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0706 Who Shall Hear Contested Cases

Administrative hearings shall be heard by the Board or, upon determination by the Board, the Office of Administrative Hearings in accordance with G.S. 150B-40(e). The Chair or their designee shall be responsible for the conduct of a Board hearing.

History

• Authority G.S. 90-113.30; 90-113.39; 90-113.40
• Eff. August 1, 1996
• Amended Eff. August 1, 2000
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0707 Petition for Intervention

(a) Any person seeking to intervene in a contested case shall file a written petition with the Board. The envelope of such request shall bear the notation "PETITION TO INTERVENE IN THE CASE OF (NAME OF CASE)."

(b) The petition shall include the following information:

(1) name and address of petitioner;

(2) business or occupation of petitioner, where relevant;

(3) full identification of the hearing in which petitioner is seeking to intervene;

(4) statutory or non-statutory grounds for intervention or if none, so state;

(5) any claim or defense, in respect of which intervention is sought; and

(6) summary of the arguments or evidence petitioner seeks to present.

(c) The Board shall mail copies of the petition to the parties to the case, with the costs, at the rate of twenty-five cents (0.25) per page, chargeable to the petitioner.

(d) Upon the determination of the Board to allow intervention, notice of that decision shall be issued to all parties as to the petitioner. In cases of discretionary intervention, such notification shall include a statement of any limitations of time, subject matter, or evidence, which are imposed on the intervenor.

(e) Upon the Board's decision to deny intervention, the petitioner shall be notified. Such notice shall be in writing, shall state all reasons for the decision and shall be issued to the petitioner and to all parties.

History

• Authority G.S. 90-113.30; 90-113.39; 90-113.40
• Eff. August 1, 1996
• Readopted Eff. October 1, 2020.

21 NCAC 68 .0708 Types of Intervention

History

• Status: repealed
• Authority G.S. 90-113.30; 90-113.39; 90-113.40
• Eff. August 1, 1996
• Repealed Eff. December 1, 2020.

21 NCAC 68 .0709 Disqualification of Board Member

(a) Self-disqualification of Board Member. If for any reason the Board member determines that factors render them unable to conduct or participate in the hearing and perform all duties in an impartial manner, they shall notify the Board Chair of their disqualification.

(b) Petition for Disqualification. If for any reason any party in a contested case believes that the Board member personally is biased or otherwise unable to conduct or participate in the hearing and perform all duties in an impartial manner, the party may file a sworn, notarized affidavit with the Board. The envelope of such affidavit shall bear the notation: "AFFIDAVIT OF DISQUALIFICATION OF BOARD MEMBER IN THE CASE OF (NAME OF CASE)."

(c) Contents of Affidavit. The affidavit shall state all facts the party deems relevant to the disqualification of the Board member.

(d) Timeliness of Affidavit. An affidavit of disqualification shall be considered timely if filed at least 10 days before commencement of the hearing. Any other affidavit shall be considered timely provided it is filed at the first opportunity after the party becomes aware of the facts which give rise to a reasonable belief that the Board member may be disqualified pursuant to this Rule.

(e) Procedure for Determining Disqualification is as follows:

(1) The Chair of the Board may appoint a member of the Board to investigate the allegations of the affidavit and report his or her findings and recommendations to the Board.

(2) The Board shall decide whether to disqualify the challenged individual.

(3) The person whose disqualification is to be determined shall not participate in the decision but will have the right to furnish information to the Board.

(4) A record of proceedings and the reasons for decisions reached shall be maintained as part of the contested case.

(f) Disqualification or withdrawal of a Board member because of personal bias or otherwise shall not cause the hearing to be postponed unless a quorum is not available.

History

• Authority G.S. 90-113.30; 90-113.39; 90-113.40
• Eff. August 1, 1996
• Readopted Eff. October 1, 2020.

Chapter 69 Soil Scientists

21 NCAC 69 .0101 Authority: Name and Location of Board

The "North Carolina Soil Scientist Licensing Act", G.S. 89F, establishes and authorizes the "North Carolina Board for Licensing of Soil Scientists," hereafter called the "Board." Unless otherwise directed communications shall be addressed to the North Carolina Board for Licensing of Soil Scientists at PO Box 41368, Raleigh, NC 27629-1368.

History

• Authority G.S. 89F-4; 89F-5
• Temporary Adoption Eff. May 15, 1996
• Eff. April 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. January 1, 2015.

21 NCAC 69 .0102 Duties of Officers

History

• Status: expired
• Authority G.S. 89F-5
• Temporary Adoption Eff. May 15, 1996
• Eff. April 1, 1997
• Pursuant to G.S. 150B-21.3A, rule Expired January 1, 2015.

21 NCAC 69 .0103 Seal of the Board

The official seal of the Board is the Seal of the State of North Carolina.

History

• Authority G.S. 89F-5
• Temporary Adoption Eff. May 15, 1996
• Eff. April 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 69 .0104 Fees

Each completed application form shall be accompanied by the prescribed fee. Application fees shall not be refunded regardless of Board approval or disapproval of the application. Fees for services of the Board shall be as follows:

(1) application for license $50.00

(2) license $85.00

(3) renewal of license $85.00

(4) restoration of license $110.00

(5) replacement of license $50.00

(6) licensed soil scientist seal $30.00

(7) application for corporate certificate of licensure (corporations and limited liability corporations) $50.00

(8) renewal of corporate certificate of licensure $25.00

History

• Authority G.S. 55B-10; 55B-11; 57D-2-02; 89F-5; 89F-25; 150B-19
• Temporary Adoption Eff. May 15, 1996
• Eff. April 1, 1997
• Amended Eff. July 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. January 1, 2016; January 1, 2015.

21 NCAC 69 .0201 Application Procedure

(a) All applicants for licensing shall furnish the following:

(1) A legible official copy of their college transcript(s), and verification of graduation sent directly from the institution to the Board;

(2) A record of experience in the practice of soil science including any of the applicant's written reports, maps, published articles or other materials the Board determines are appropriate to document the applicant's experience as a soil scientist;

(3) Four references as defined in G.S. 89F-10(a)(1);

(4) Signed copy of Code of Professional Conduct;

(5) A notarized copy of a completed application form; and

(6) The application fee as prescribed in Rule .0104 of this Chapter.

(b) Applicants for licensing under comity shall submit an application form along with the prescribed fee. The Board may require the submittal of additional information if necessary to determine if the applicant meets the requirements of G.S. 89F.

(c) Applicants for reinstatement of an expired license shall submit a reinstatement application and the prescribed fee.

(d) Applicants for reinstatement of a revoked or suspended license shall submit such information as necessary to determine their eligibility for reinstatement, and shall submit the prescribed fee.

(e) Applicants who do not meet the minimum qualification for education as defined in G.S. 89F-10 but have a specific record of 15 years or more experience in the practice of soil science of a grade and character that indicates to the Board that the applicant is competent to practice soil science shall be admitted to the written examination. The applicant shall show evidence of the practicing experience. Upon passing such examination, the applicant shall be granted a license to practice soil science in this State, provided other requirements of G.S. 89F and the rules in this Chapter are met.

History

• Authority G.S. 89F-5; 89F-9; 89F-10; 89F-12
• Temporary Adoption Eff. May 15, 1996
• Eff. April 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 69 .0202 Expirations and Renewals of Certificates

(a) The annual renewal fee of fifty dollars ($50.00) shall be payable to the Board. The Board shall send to each licensed soil scientist a form that requires the registrant to provide the Board with his business and residential address and to affix the registrant's North Carolina Licensed Soil Scientist seal thereupon. An applicant for renewal shall document continuing education as provided in Section .0300 of this Chapter. The completed forms along with the required fee shall be forwarded to the Board.

(b) All licenses will expire on July 1. Licenses that have not been renewed by September 1st may only be renewed by filing a restoration application and submitting a restoration fee.

(c) The Soil Scientist-in-Training certificate shall not expire and therefore does not have to be renewed.

History

• Authority G.S. 89F-5
• Temporary Adoption Eff. May 15, 1996
• Eff. April 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 69 .0301 Introduction

Every licensee shall meet the continuing professional education requirements of this Section as a condition for license renewal.

History

• Authority G.S. 89F-5
• Temporary Adoption Eff. May 15, 1996
• Eff. April 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 69 .0302 Definitions

Terms used in this Section are defined as follows:

(1) Professional Development Hour (PDH) - One contact hour (nominal) of instruction or presentation.

(2) College/Unit Semester/Quarter Hour - Credit assigned by a college or university for a completed course.

(3) Course/Activity - Any course or activity with a purpose and objective that maintains, improves, or expands the skills and knowledge of the licensee.

(4) Sponsor - Organization or individual that has supplied information on a form furnished by the Board with respect to the organization or individual's ability to provide instruction in "for credit" courses.

(5) Renewal Period for Continuing Professional Education - The period for accumulating the required PDH units shall be three years.

History

• Authority G.S. 89F-5
• Temporary Adoption Eff. May 15, 1996
• Eff. April 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 69 .0303 Requirements

Every licensee shall obtain 45 PDH units during each three year period of licensing. If a licensee exceeds the required number of units in any triennial period, a maximum of 15 PDH units may be carried forward into the subsequent period. Selection of courses and activities which meet the requirements of Rule .0302(3) of this Section shall be the responsibility of the licensee. Licensees have the option of selecting courses other than those offered by sponsors. Post evaluation of courses offered by other than sponsors as defined in Rule .0302(4) of this Section may result in non-acceptance. PDH units may be earned as follows:

(1) Completion of college courses.

(2) Completion of continuing education courses.

(3) Completion of correspondence, televised, videotaped, audio taped, and other short courses/tutorials.

(4) Presenting or attending seminars, in-house courses, workshops, or professional or technical presentations made at meetings, conventions or conferences.

(5) Teaching or instructing in Items (1) through (4) of this Rule.

(6) Authoring published papers, articles, or books.

(7) Active participation in professional or technical societies as defined in Rule .0305 of this Section.

History

• Authority G.S. 89F-5
• Temporary Adoption Eff. May 15, 1996
• Eff. April 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 69 .0304 Units

The conversion of other units of credit to PDH units is as follows:

(1) 1 College or unit semester hour 15 PDH;

(2) 1 College or unit quarter hour 10 PDH;

(3) 1 Hour of professional development in course work, seminars, or professional or technical presentations made at meetings, conventions or conference 1 PDH;

(4) For teaching in Items (1) - (4) of this Rule, PDH credits are doubled*;

(5) Each published paper, article or book 10 PDH;

(6) Active participation in professional and technical society as defined in Rule .0305 of this Section. (Each organization.) 2 PDH.

*Teaching credit is valid for teaching a course or seminar for the first time only.

History

• Authority G.S. 89F-5
• Temporary Adoption Eff. May 15, 1996
• Eff. April 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 69 .0305 Determination of Credit

The Board for Licensing of Soil Scientists shall have final authority with respect to approval of courses, sponsors, credit, PDH value for courses, and other methods of earning credit. PDH credits are not earned until the activity is completed or until the end of each year of service is completed. The following criteria shall be used in determining PDH credits:

(1) Credit for college or community college courses shall be based upon course credit established by the college.

(2) Credit for seminars and workshops, shall be based on one PDH unit for each hour of attendance.

(3) Attendance at programs presented at professional and technical society meetings shall earn PDH units for the actual time of each program with a maximum of 15 for a given meeting.

(4) Credit determination for published papers, articles and books is the responsibility of the licensee with final approval by the Board.

(5) Credit for active participation in professional and technical societies (limited to 2 PDH per organization), requires that a licensee serve as an officer or member of a committee of the organization. PDH credits shall not be earned until the end of each year of service is completed. Credit is not granted for organization membership alone.

History

• Authority G.S. 89F-5
• Temporary Adoption Eff. May 15, 1996
• Eff. April 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 69 .0306 Recordkeeping

(a) Each licensee shall maintain records to be used to support credits claimed. Records required include:

(1) a log showing the type of activity claimed, sponsoring organization, location, duration, instructor's or speaker's name, and PDH credits earned;

(2) attendance verification records in the form of completion certificates, or other documents supporting evidence of attendance.

(b) These records shall be maintained for a period of three years and copies may be requested by the Board for audit verification purposes.

History

• Authority G.S. 89F-5
• Temporary Adoption Eff. May 15, 1996
• Eff. April 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 69 .0307 Exemptions

A licensee shall be granted leniency from the continuing professional development educational requirements for one of the following reasons:

(1) A licensee serving on temporary active duty in the armed forces of the United States for a period of time exceeding 120 consecutive days in a year shall be granted a grace period (equivalent to time served) for obtaining the continuing professional education hours required for that renewal period.

(2) Licensees experiencing physical disability (as defined in G.S. 168A), illness, or other circumstances beyond the control of the licensee as reviewed and approved by the Board may be granted leniency in the time for acquiring continuing educational credits. Supporting documentation shall be furnished to the Board.

(3) Licensees who list their occupation as "Inactive" on the renewal form and who further certify that they are no longer receiving any remuneration from providing professional soil services shall be exempt from the continuing professional education hours required. In the event such a person elects to return to active soil science practice, professional development hours shall be earned in accordance with the requirements of Rule .0308 in this Section before returning to active practice.

History

• Authority G.S. 89F-5
• Temporary Adoption Eff. May 15, 1996
• Eff. April 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 69 .0308 Reinstatement

A licensee may bring an inactive license to active status by obtaining all delinquent PDH units and paying the restoration fee. However, if the total number required to become current exceeds 30, then 30 shall be the maximum number required.

History

• Authority G.S. 89F-5
• Temporary Adoption Eff. May 15, 1996
• Eff. April 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 69 .0401 Code of Professional Conduct

(a) A soil scientist shall conduct his practice in order to protect the public health, safety, life and welfare. The soil scientist shall at all time recognize his primary obligation to protect the life, safety, health, and welfare of the public in the performance of his professional duties.

(b) A soil scientist shall perform his services only in areas of his competence and:

(1) shall undertake to perform assignments only when qualified by education or experience in the specific technical field of soil science involved.

(2) shall not affix his signature or seal to any document dealing with subject matter to which he lacks competence by virtue of education or experience, nor to any such plan or document not prepared under his direct supervisory control except that the soil scientist may affix his seal and signature to documents depicting the work of two or more professionals provided he designates by note under his seal the specific subject matter for which he is responsible.

(c) A soil scientist shall issue public statements only in an objective and truthful manner and:

(1) shall be completely objective and truthful in all professional reports, statements or testimony. He shall include relevant and pertinent information in such reports, statements or testimony.

(2) when serving as an expert or technical witness before any court, commission, or other tribunal, shall express an opinion only when it is founded upon knowledge of the facts in issue, upon a background of technical competence in the subject matter, and upon conviction of the accuracy and propriety of his testimony.

(3) shall issue no statements, criticisms, or arguments on soil science matters connected with public policy which are inspired or paid for by an interested party, or parties unless he has prefaced his comment by identifying himself, by disclosing the identities of the parties on whose behalf he is speaking, and by revealing the existence of any pecuniary interest he may have in the instant matters.

(4) shall not attempt to injure, maliciously or falsely, directly or indirectly, the professional reputation, prospects, practice or employment of another soil scientist, nor shall he criticize another soil scientist's work in public. If he believes that another soil scientist is guilty of misconduct or illegal practice, he shall present such information to the North Carolina Board for Licensing of Soil Scientists.

(d) A soil scientist shall avoid conflicts of interest and:

(1) shall promptly inform his employer or client of any business association, interest, or circumstances, which could influence his judgment or the quality of his services.

(2) shall not solicit or accept financial or other valuable considerations from material or equipment suppliers for specifying their products without full disclosure.

(3) shall not solicit or accept gratuities, directly or indirectly, from contractors, their agents, or other parties dealing with his client or employer in connection with work for which he is responsible.

(4) when in public service as a member, advisor, or employee of a governmental body or department, the soil scientist shall abstain from voting on matters involving services provided by him or his organization in private soil science practices.

(5) shall not solicit or accept a contract from a governmental body on which a principal or officer of his organization serves as a member without full disclosure to affected parties.

(6) shall not attempt to supplant another soil scientist in a particular employment after becoming aware that the other has been selected for the employment.

(e) A soil scientist shall solicit or accept work only on the basis of his qualifications and:

(1) shall compete for professional employment on the basis of qualification and competence for proper accomplishment of the work. He shall not solicit or submit proposals for professional services containing a false, fraudulent, misleading deceptive or unfair statement or claim regarding the cost, quality or extent of services to be rendered.

(2) shall not falsify or permit misrepresentation of his, or his associates', academic professional qualification. He shall not misrepresent or exaggerate his degree of responsibility in or for the subject matter of prior assignments. Brochures or other presentations incident to the solicitation of employment shall not misrepresent pertinent facts concerning employers, employees, joint ventures, or his or their past accomplishments with the intent and purpose of enhancing his qualifications and his work.

(3) shall not knowingly associate with or permit the use of his name or firm name in a business venture by any person or firm which he knows, or has reasons to believe, is engaging in business or professional practices of a fraudulent or dishonest nature.

(4) if the soil scientist has knowledge or reason to believe that another person or firm may be in violation of any of these provisions or of the North Carolina Soil Scientist Licensing Act, he shall present such information to the Board and shall cooperate with the Board in furnishing such further information or assistance as may be required by the Board.

(f) A soil scientist whose professional registration is revoked or suspended by another jurisdiction, shall be subject to disciplines by the Board if the registrant's actions violate G.S. 89F or the rules in this Chapter. Conviction of a felony without restoration of civil rights, or the revocation or suspension of the license of a soil scientist by another jurisdiction, if for a cause which in the State of North Carolina would constitute a violation of G.S. 89F or of these Rules, shall be grounds for a charge of violation of the rules in this Chapter.

History

• Authority G.S. 89F-17
• Temporary Adoption Eff. May 15, 1996
• Eff. April 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 69 .0402 Rules of Conduct of Advertising

(a) A soil scientist shall not make misleading, deceptive or false statements or claims about his professional qualifications, experience or performance in his brochures, correspondence, listings or other public communications.

(b) The prohibitions listed in Paragraph (a) of this Rule include, but are not limited to, the use of statements containing a material misrepresentation of fact or omitting a material fact necessary to keep the statement from being misleading; statements intended or likely to create an unjustified expectation; statements containing prediction of future success; or statements containing an opinion as to the quality of services.

(c) Consistent with the foregoing, a soil scientist may advertise for recruitment of personnel.

(d) Consistent with the foregoing, a soil scientist may prepare articles for the lay or technical press. Such articles shall not imply credit to the author for work performed by others.

History

• Authority G.S. 89F-17
• Temporary Adoption Eff. May 15, 1996
• Eff. April 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

21 NCAC 69 .0501 Improper Practice by Licensee

(a) Duty of the Board. When the Board becomes aware of a complaint, it shall send a "letter of inquiry" to the soil scientist involved and to the complainant. The soil scientist shall reply to this and any other inquiry of the Board within 30 calendar days. Failure to respond shall constitute violation of the rules in this Chapter. After receiving and considering the response from the soil scientist, the Board may send additional letters of inquiry to the soil scientist and other persons involved.

(b) Findings of the Board. Upon consideration of responses to inquiries, the Board shall determine what action shall be taken:

(1) if the Board determines that no disciplinary action is necessary, all parties previously contacted shall be so informed;

(2) if the Board determines that the infraction is deemed minor, then the licensee may be offered a "letter of warning". This "letter of warning" shall note the licensee's acceptance of such action by the Board and shall specify the Board's cause for concern. Other persons previously contacted shall be informed that the Board has acted upon the matter;

(3) if the Board determines that a formal hearing should be held, G.S. 150B is applicable;

(4) if the Board determines that another person involved is licensed by the State, relevant information shall be sent by letter to the respective professional board.

History

• Authority G.S. 89F-5; 89F-18; 89F-20; 89F-22
• Temporary Adoption Eff. May 15, 1996
• Eff. April 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

Earlier captured publisher text

The following text is retained from an earlier capture. Its inclusion does not determine its current legal effect.

Earlier captured 21 NCAC 01 .0102 {#publisher-history-7648102fcf221f84e214-1000000 omnilex-key=us-nc-regs-official--title-21--21 NCAC 01 .0102--publisher-history-7648102fcf221f84e214}

An applicant for licensing seeking a waiver of the requirements of Rule .0101 of this Section shall:

(1) Submit a completed application before December 31, 1994, and

(2) Submit non-refundable fees as required by Rule .0103 of this Section, and

(3) Provide proof of North Carolina residency as of January 1, 1993, and

(4) Fulfill one of the following:

(a) Submit a certified copy, certified by the issuing institution, of a transcript including evidence of graduation from an acupuncture college approved by the Board (an approved acupuncture college is one that is a minimum of two academic years of training and is certified or approved by the state or country in which it operates), or

(b) Submit evidence of successful completion of the Clean Needle Technique (CNT) course and achieve a score of not less than 15 points as outlined in the Sub-items (4)(b)(i) and (ii) of this Rule to satisfy requirements for a Board approved training program.

(i) Submit proof of a score of not less than 70% on the National Commission for the Certification of Acupuncturists examination: 15 points; or

(ii) Training: Accrue 15 points (a minimum of 5 points in both categories in Sub-items (4)(b)(ii)(A) and (B) of this Rule.

(A) Education:

(I) Structured - For each 100 hours of documented completion of a formal training program approved by the Board: 1 point. A formal training program is an acupuncture college certified or approved by the state or country in which it operates.

(II) Apprenticeship - For each 150 hours of supervised apprenticeship training with an acupuncturist [and which is verified by such acupuncturist(s)]: 1 point.

(B) Experience: An applicant must accrue a minimum of five points in any combination of Sub-items (4)(ii)(B)(I) and (II) of this Rule. Acupuncture must comprise at least 90% of the applicant's practice. Treatments for cessation of smoking and weight loss shall not be adequate to satisfy the experience requirements if such therapies comprise more than 40% of the applicant's practice.

(I) Treatment of not fewer than 100 different patients for not less than 2000 patient hours within the last three years prior to application for licensure: 5 points.

(II) Treatment of not fewer than 100 patients for not less than 4000 patient hours within the last three years prior to application for licensure: 10 points.

(5) Submit all correspondence, including application, in writing, typed or printed only, to the North Carolina Acupuncture Licensing Board, P.O. Box 25171, Asheville, NC 28803.

History

• Authority 90-454; 90-455; S.L. 1993, c. 303, s. 3
• Filed as a Temporary Adoption Eff. March 18, 1994 for a Period of 180 Days or Until the Permanent Rule Becomes Effective, Whichever is Sooner
• Eff. August 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

Earlier captured 21 NCAC 01 .0104 {#publisher-history-9abd7b182b0a8ff1dc52-1000001 omnilex-key=us-nc-regs-official--title-21--21 NCAC 01 .0104--publisher-history-9abd7b182b0a8ff1dc52}

In addition to the definitions contained in G.S. 90-451, the following shall apply throughout this Chapter:

(1) "Licensed Acupuncturist" or "Acupuncturist" is the title conveyed by the North Carolina Acupuncture Licensing Board pursuant to Article 30 of Chapter 90 of the North Carolina General Statutes. Licensed Acupuncturists or Acupuncturists may only refer to him or herself as a doctor in the state of North Carolina, if he or she has earned an educational degree of "doctor" or "doctorate" in accordance with G.S. 90-458.

(2) "Acupuncture adjunctive therapies" include the adjunctive therapies listed in G.S. 90-451(3). It also includes stimulation to acupuncture points and channels by any of the following: cupping, thermal methods, magnets, and gwa-sha scraping techniques.

(3) "Acupuncture diagnostic techniques" include the use of observation, listening, smelling, inquiring, palpation, pulse diagnosis, tongue diagnosis, hara diagnosis, physiognomy, five element correspondence, ryodoraku, akabani, and electro-acupuncture.

(4) "Acupuncture needles" mean the same as in 21 CFR 880.5580, which is hereby incorporated by reference, including subsequent amendments and editions, and can be found at https://www.gpo.gov/fdsys/pkg/CFR-2016-title21-vol8/pdf/CFR-2016-title21-vol8-sec880-5580.pdf at no cost. "Acupuncture needles" include solid filiform needles, intradermal, plum blossom, press tacks, and prismatic needles.

(5) "Dietary guidelines" include nutritional counseling and the recommendation of food and supplemental substances.

(6) "Electrical stimulation" includes the treatment or diagnosis of energetic imbalances using TENS, Piezo electrical stimulation, acuscope therapy, auricular therapy devices, percutaneous and transcutaneous electrical nerve stimulation and Class IIIa, 5 milliwatt laser devices. All laser products shall meet the performance standards for light-emitting products as set forth in 21 CFR 1040.10 and 1040.11, including subsequent amendments and editions, which can be found at https://www.gpo.gov/fdsys/pkg/CFR-2012-title21-vol8/pdf/CFR-2012-title21-vol8-part1040.pdf at no cost.

(7) "Herbal medicine" includes tinctures, patent remedies, decoction, powders, diluted herbal remedies, freeze dried herbs, salves, poultices, medicated oils, and liniments.

(8) "Massage and manual techniques" include acupressure, shiatsu, Tui-Na, qi healing, and medical qi gong.

(9) "Therapeutic exercise" includes qi gong, Taoist self-cultivation exercises, dao yin, tai qi chuan, ba gua, and meditative exercises.

(10) "Thermal methods" include moxibustion, hot and cold packs and infrared lamps. The use of infrared heat lamps shall be done in accordance with 21 CFR 890.5500, including subsequent amendments and editions, which can be found at https://www.gpo.gov/fdsys/pkg/CFR-2017-title21-vol8/pdf/CFR-2017-title21-vol8-sec890-5500.pdf at no cost.

History

• Authority G.S. 90-451(3); 90-454
• Eff. July 1, 1995
• Readopted Eff. April 1, 2018.

Earlier captured 21 NCAC 01 .0402 {#publisher-history-90fd8cf6f489651889f7-1000002 omnilex-key=us-nc-regs-official--title-21--21 NCAC 01 .0402--publisher-history-90fd8cf6f489651889f7}

The following procedures shall be followed within the practice of acupuncture:

(1) Practice Setting:

(a) Treatments shall be given in surroundings that provide privacy and confidentiality.

(b) Community acupuncture practices that perform acupuncture treatment in a group setting shall obtain and retain a signed consent waiving the right to a private treatment setting from every patient prior to his or her first treatment.

(c) Every acupuncture office shall be maintained in a clean and sanitary condition at all times, and shall have an accessible bathroom facility.

(d) All applicable OSHA Standards, as amended or replaced, shall be met including those pertaining to blood borne pathogens, which can be found at https://www.gpo.gov/fdsys/pkg/CFR-2017-title29-vol6/pdf/CFR-2017-title29-vol6-sec1910-1030.pdf at no cost.

(e) All acupuncture practice and recordkeeping shall be compliant with all State and federal laws and regulations pertaining to the confidentiality of medical records including security and privacy regulations enacted under HIPAA, as amended or replaced, including 45 C.F.R Part 160, which can be found at https://www.gpo.gov/fdsys/pkg/CFR-2017-title45-vol1/pdf/CFR-2017-title45-vol1-part160.pdf at no cost, and subparts A and E of Part 164, which can be found at https://www.gpo.gov/fdsys/pkg/CFR-2017-title45-vol1/pdf/CFR-2017-title45-vol1-part164-subpartA.pdf and https://www.gpo.gov/fdsys/pkg/CFR-2017-title45-vol1/pdf/CFR-2017-title45-vol1-part164-subpartE.pdf respectively and at no cost.

(2) Prior to treatment, a licensee shall obtain a written or oral medical history that includes the following information:

(a) Current and past conditions, illnesses, treatments, hospitalizations, and current medications, and allergies to medications;

(b) A social history that shall include the use of tobacco, alcohol, caffeine, and recreational drugs;

(c) The names of health practitioners;

(d) The presenting complaints, along with remedies and treatments tried and in progress;

(e) Whether the patient is pregnant and whether the patient has any biomedical devices, such as artificial joints or cardiac pacemaker.

(3) Fees. Information concerning treatment fees shall be made available to the patient prior to treatment.

(4) Guarantees. No express or implied guarantee about the success of treatment shall be given to the patient. Reasonable indication of the length of treatment and usual outcome shall be given to the patient.

(5) Diagnosis:

(a) Licensees shall diagnose each patient employing methods used by the traditions represented in Asian medicine as reflected in Rule .0104(2) of this Chapter and within the context of Accreditation Commission for Acupuncture and Oriental Medcine (ACAOM) educational programs.

(b) All acupuncture diagnostic techniques utilized shall be recorded at each visit.

(6) Treatment. The specifics of all treatment shall be recorded at each visit. Treatments shall be in accordance with Asian and biomedical knowledge obtained in acupuncture training programs.

(7) Medical Records. Dated notes of each patient visit and communication shall be kept seven years. Authorization for release of medical records shall be obtained prior to sharing of any patient information. Medical records shall be released to patient upon receipt of the authorization. G.S. 90-411 sets forth the amounts healthcare providers can charge for copies of patient medical records. In charging patients for their records, licensees shall follow G.S. 90-411 as written, or as subsequently amended.

(8) Failure to Progress:

(a) If a patient fails to respond to treatments, the licensee shall initiate a discussion with the patient about other forms of treatment available or make a referral to another health care professional.

(b) In the case of persistent or unexplained pain, or the unexplained worsening of any condition while receiving treatment, the licensee shall initiate a referral or seek a consultation with other health care providers. In choosing a referral source, the licensee shall give priority to practitioners who have previously seen or treated the patient.

(c) Licensees shall honor and consider all requests by a patient for information about other forms of treatment available or for referral to another health care practitioner.

History

• Authority G.S. 90-411; 90-454
• Eff. August 1, 1995
• Readopted Eff. April 1, 2018.

Earlier captured 21 NCAC 04B .0813 {#publisher-history-db6cba59635b3ce9c908-1000003 omnilex-key=us-nc-regs-official--title-21--21 NCAC 04B .0813--publisher-history-db6cba59635b3ce9c908}

(a) Course sponsors shall not utilize advertising of any type that is false or misleading. In any advertisement for a course, the sponsor shall state the total number of hours of the course and the number of those hours that are Board-approved for continuing education credit.

(b) Any flyers, brochures, or similar materials utilized to promote a continuing education course shall state the fee to be charged and the sponsor's cancellation and fee refund policies.

(c) Upon course approval, course sponsors shall include in course descriptions and promotional materials the information contained in the following illustration: This course [seminar or program] has been approved by the Board for continuing education credit in the amount of __ hours. This course is not sponsored by the Board.

(d) Course sponsors of any course shall provide to any prospective student, upon request, a description of the course content.

History

• Authority G.S. 85B-4(e1)
• Temporary Adoption Eff. January 1, 2000
• Eff. April 1, 2001
• Readopted Eff. July 1, 2020.

Earlier captured 21 NCAC 05 .0401 {#publisher-history-8faf120a7e4071648be9-1000004 omnilex-key=us-nc-regs-official--title-21--21 NCAC 05 .0401--publisher-history-8faf120a7e4071648be9}

(a) Applicants for licensure as an assistant behavior analyst shall provide to the Board a supervisory agreement between the licensed behavior analyst and the licensed assistant behavior analyst.

(b) Applicants for licensure as an assistant behavior analyst shall maintain a copy of the supervisory agreement while supervised. The supervisor of the licensed assistant behavior analyst shall maintain a copy of the signed supervisor agreement, supervision logs, and evaluations for at least seven years following the termination of the supervisory relationship This documentation shall be made available to the Board upon request.

(c) Supervision activities by the licensed behavior analyst include:

(1) Direct observation of the supervisee implementing behavior analytic assessment and intervention procedures with clients in natural environments or training others to implement them, with feedback from the supervisor. The observation may be done in-person, on-site, or using asynchronous or synchronous formats.

(2) One-to-one, live, person-to-person, or synchronous virtual interactions between supervisor and supervisee to review and discuss assessment and treatment plans and procedures, client assessment and progress data and reports, published research, ethical and professional standards and guidelines, professional development needs and opportunities, and relevant laws, regulations, and policies.

(3) Live, person-to-person, or synchronous virtual interactions between a supervisor and a group of supervisees to review and discuss assessment and treatment plans and procedures, client assessment and progress data and reports, published research, ethical and professional standards and guidelines, professional development needs and opportunities, and relevant laws, regulations, and policies.

(4) The frequency and nature of supervision interactions shall be consistent with the supervisory requirements set forth by the certifying entity in the Board Certified Assistant Behavior Analyst (BCaBA) handbook, which is hereby incorporated by reference, including subsequent amendments and editions, and may be found at https://www.bacb.com/ at no cost.

History

• Authority G.S. 90-734; 90-738; 90-732; 90-739
• Eff. February 1, 2023.

Earlier captured 21 NCAC 05 .0501 {#publisher-history-08ef6283dfb4092376f2-1000005 omnilex-key=us-nc-regs-official--title-21--21 NCAC 05 .0501--publisher-history-08ef6283dfb4092376f2}

The Board shall use The Ethics Code for Behavior Analysts, which is hereby incorporated by reference, including subsequent amendments and editions, and may be found at https://www.bacb.com/ at no cost, in determining whether ethical violations have occurred.

History

• Authority G.S. 90-731; 90-734; 90-742
• Eff. February 1, 2023.

Earlier captured 21 NCAC 05 .0601 {#publisher-history-22ddb9012a3c37212546-1000006 omnilex-key=us-nc-regs-official--title-21--21 NCAC 05 .0601--publisher-history-22ddb9012a3c37212546}

(a) Initiation. Any individual with personal knowledge that any person has violated the Code of Conduct, any other rules of this Chapter, or G.S. 90, Article 43, may file a complaint by submitting the Ethics Complaint Form found on the Board's website.

(b) Form. The complaint shall be in typed or handwritten format stating the nature of the alleged offense and signed by the complainant. The complaint shall include:

(1) the name, address, and telephone number of the complainant;

(2) the name and address of the person against whom the complaint is made ("respondent"); and

(3) a statement of the facts that describe the allegations against the person.

(c) The complaint shall be investigated as set out in Rule .0602 of this Section.

(d) Upon completion of the investigation of the complaint, the ethics committee shall take action as set out in Rule .0602 of this Section.

(e) If the ethics committee concludes there is a basis to schedule a disciplinary hearing before the Board, the committee chairperson shall notify the respondent. The notice to the respondent shall include the following:

(1) the sections of the Code of Conduct, other rules of this Chapter, or G.S. 90, Article 43 that the complaint alleges has been violated;

(2) direct that the respondent reply to the Board in writing and by certified mail within 15 days of receipt of this notice; and

(3) inform the respondent that failure to respond in writing within 15 days may result in revocation of a license.

(f) The Board shall issue notice by regular postage mail, certified mail, or personal service at the last known address of the respondent. If given by certified mail, notice shall be deemed to have been given on the delivery date appearing on the return receipt.

(g) The Board may receive correspondence in an ethics case through e-mail in order to conduct the investigation or when the subject of an investigation is unable to use or has been unresponsive to certified mail or other methods of delivery. The Board may use local law enforcement or a private investigator licensed by the Private Protective Services Board to personally serve a respondent.

(h) If notice cannot be given either by regular postage mail, personal service, or by certified mail, a notice that a complaint has been brought against the respondent shall then be given by publication. Service of notice by publication shall consist of publication once a week for three successive weeks in a newspaper that is qualified for legal advertising in accordance with G.S. 1-597 and G.S. 1-598 and circulated in the area where the respondent is believed to be located. The notice shall include a statement by the Board that a complaint has been made against the respondent that is scheduled to be heard by the Board within 90 days. The notice shall inform respondent that respondent shall be given 30 days from the date of the last date of publication in which to respond to the service by publication for the purpose of notifying the Board of respondent's whereabouts. Response shall be made in writing to the Board at the address provided by the Board in its notice. If respondent provides the Board with information whereby he or she can be served by the deadline specified in the notice, the Board shall provide notice either personally or by certified mail as provided in Paragraph (g) of this Rule. Failure of respondent notified by publication of a complaint brought by the Board shall be treated as a failure of respondent to reply to the charges.

(i) Failure of the respondent to reply to the charges, including each specific allegation, may be considered an admission of the facts contained in the allegation(s).

History

• Authority G.S. 90-731; 90-734; 90-742; 90-744; 90-746; 90-747
• Eff. February 1, 2023.

Earlier captured 21 NCAC 06V .0101 {#publisher-history-a509bf7db1fb3f75880a-1000007 omnilex-key=us-nc-regs-official--title-21--21 NCAC 06V .0101--publisher-history-a509bf7db1fb3f75880a}

(a) Each electrolysis office, wherever located, shall:

(1) have a treatment table or other piece of furniture for placing clients for treatment;

(2) have at least one circuline type lamp, halogen lamp, or other type or magnifying lamp;

(3) have hand washing facilities on the same floor and toilet facilities in the same building, both with a supply of either soap or a germicidal skin preparation for washing hands;

(4) have a supply of labeled non-sterile examination gloves, cotton balls and antiseptic product for cleaning client's skin, materials for cleaning instruments and other items, materials for cleaning the workplace or documentation of cleaning contract, paper or cotton towels, and puncture-resistant containers and plastic bags for used materials;

(5) have sterilization equipment and supplies needed for the sterilization methods used;

(6) have a covered trash can and, if linens are used, a laundry bag or closed container for laundry, available to each workplace area;

(7) have storage facilities to contain the equipment, instruments, and supplies of the electrolysis practice;

(8) be inspected annually at each location where the licensee practices; and

(9) be inspected prior to the commencement of practice if the office is relocated.

(b) In addition to the items required in Paragraph (a) of this Rule, each laser practitioner office shall have the following:

(1) all doors leading to laser room shall have laser-specific safety signs displayed in accordance with American National Standard Institute (ANSI) Z136.1 Z136.1, which is incorporated herein by reference, including subsequent amendments or additions, and may be obtained at a cost of two hundred and three dollars ($203.00) from www.lia.org;

(2) no uncovered mirrors or reflective surfaces;

(3) laser safety eyewear that is labeled with the same wavelength and optical density as the laser device operated and that is worn while treatment is administered;

(4) all windows protected from laser beam with either an opaque material or white blinds;

(5) a fire extinguisher in the treatment room;

(6) face masks to be worn while treatment is administered; and

(7) an air filter.

(c) A laser, pulsed-light, or light-based hair removal practice shall be maintained in accordance with local zoning regulations.

(d) Laser, pulsed-light, and light-based devices shall be maintained and operated in accordance with Occupational Safety and Health Administration (OSHA) standards, which are incorporated herein by reference, including subsequent amendments or editions and may be accessed at no cost at https://www.osha.gov/SLTC/laserhazards.

(e) A copy of the current "Supervisory Agreement" shall be available in the office for inspection upon request.

History

• Authority G.S. 88A-6(9); 88A-11.1; 88A-16
• Eff. June 1, 1993
• Amended Eff. September 1, 2010
• Readopted Eff. September 1, 2019
• Recodified from 21 NCAC 19 .0403 Eff. January 1, 2023.

Earlier captured 21 NCAC 06V .0108 {#publisher-history-c8bb7bdfd44687781b66-1000008 omnilex-key=us-nc-regs-official--title-21--21 NCAC 06V .0108--publisher-history-c8bb7bdfd44687781b66}

Electrologists shall comply with the Needlestick Safety and Prevention Act published January 18, 2001 to amend United States Occupational Safety & Health Administration (OSHA) Regulation 29 CFR 1910.1030, which is hereby incorporated by reference including subsequent amendments and editions. Copies may be obtained at no cost at: http://www.osha.gov/SLTC/bloodbornepathogens/.

History

• Authority G.S. 88A-16
• Eff. December 1, 2010
• Readopted Eff. September 1, 2019
• Recodified from 21 NCAC 19 .0410 Eff. January 1, 2023.

Earlier captured 21 NCAC 06V .0109 {#publisher-history-51d40c946b5ecd55361b-1000009 omnilex-key=us-nc-regs-official--title-21--21 NCAC 06V .0109--publisher-history-51d40c946b5ecd55361b}

Electrologists shall comply with the blood-borne pathogens standards contained in the Needlestick Safety and Prevention Act, published in United States Occupational Safety & Health Administration (OSHA). Regulation 29 CFR 1910.1030. which is hereby incorporated by reference including subsequent amendments and editions. Copies may be obtained at no cost at http://www.osha.gov/SLTC/bloodbornepathogens.

History

• Authority G.S. 88A-16
• Eff. December 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Recodified from 21 NCAC 19 .0411 Eff. January 1, 2023.

Earlier captured 21 NCAC 06X .0101 {#publisher-history-f4998d1e97ffaef8ab49-1000010 omnilex-key=us-nc-regs-official--title-21--21 NCAC 06X .0101--publisher-history-f4998d1e97ffaef8ab49}

(a) The course of study for electrolysis shall consist of at least 600 clock hours of instruction in theory and clinical practice as set out in the following table:

(b) The course of study for laser hair removal shall consist of at least 30 clock hours of instruction in theory and clinical practice, with a minimum of 20 hours in practical hands-on instruction and at least 10 hours of basic science (Didactic) instruction in the use of laser and light-based hair removal or reduction devices in the following topics:

(1) biology of hair;

(2) laser and light-based terminology;

(3) laser physics;

(4) types of laser and light-based hair removal devices;

(5) safety and precautions;

(6) tissue interaction;

(7) Fitzpatrick skin typing;

(8) patient history form and consultation;

(9) treatment contraindications;

(10) sterilization procedures;

(11) draping of patient;

(12) pre-treatment and post-treatment care;

(13) photo documentation; and

(14) photosensitive drugs and disorders.

History

• Authority G.S. 88A-6; 88A-19; 88A-19.1
• Eff. June 1, 1993
• Amended Eff. December 1, 2010
• Readopted Eff. September 1, 2019
• Recodified from 21 NCAC 19 .0601 Eff. January 1, 2023.

Earlier captured 21 NCAC 06Y .0102 {#publisher-history-6e22903065404879c42a-1000011 omnilex-key=us-nc-regs-official--title-21--21 NCAC 06Y .0102--publisher-history-6e22903065404879c42a}

(a) The Board shall approve a program or course if it is:

(1) in any subject required by 21 NCAC 06X .0101; and

(2) offered by one of the following entities:

(A) a college or university authorized to grant degrees in this State;

(B) a national professional electrolysis or laser hair practice association;

(C) a school or Continuing Education (CE) provider certified by the Board;

(D) American Society of Laser Medicine (ASLM);

(E) American Academy of Dermatology (AAD); or

(F) an entity providing a program of Certified Medical Education (CME).

(b) The applicant or entity offering the program or course shall provide the Board with the information listed in Paragraph (c) of this Rule and shall certify to the Board the names of all electrologists licensed by the Board who attended the program or course and their actual hours of attendance.

(c) The Board shall not approve a program or course without the following information:

(1) Title, location, and date of the course or courses;

(2) Sponsoring entity;

(3) Course objective and outline of each course's content;

(4) Hours of study for each course topic; and

(5) Name, education, and background of each instructor.

(d) An electrologist or laser hair practitioner seeking credit for a program or course offered by an entity not listed in Paragraph (a) of this Rule may request that the Board approve the course by submitting the application for approval of continuing education as set forth in Rule .0105 of this Section.

(e) The Board shall approve a program or course if requested pursuant to Paragraph (d) of this Rule upon finding that it meets the requirements of G.S. 88A-13. When making this finding, the Board shall consider the criteria set forth in The Continuing Education Unit Criteria and Guidelines, current edition, as adopted by the International Association for Continuing Education and Training (IACET) in conjunction with the American Standards National Institute (ANSI) and incorporated herein by reference including subsequent amendments or editions. Copies of The Continuing Education Unit Criteria and Guidelines, current edition, may be obtained for four hundred ninety-five dollars ($495.00) at http://www.IACET.org.

(f) The Board shall notify the electrologist by first-class mail of the Board's findings and decision regarding the request made pursuant to Paragraph (d) of this Rule.

(g) A change in subject matter, length, or instructor of a course requires reapproval by the Board.

(h) The entity offering the program or course shall either provide to the electrologist or directly to the Board certification of the electrologist's actual hours of attendance after the program or course is complete.

History

• Authority G.S. 88A-6; 88A-12; 88A-13; 88A-18
• Eff. March 1, 1995
• Amended Eff. September 1, 2015; December 1, 2010
• Readopted Eff. September 1, 2019
• Amended Eff. November 1, 2022
• Recodified from 21 NCAC 19 .0702 Eff. January 1, 2023.

Earlier captured 21 NCAC 07A .0101 {#publisher-history-99dd66b04b9516e0c1b2-1000012 omnilex-key=us-nc-regs-official--title-21--21 NCAC 07A .0101--publisher-history-99dd66b04b9516e0c1b2}

The North Carolina Cemetery Commission of the Department of Commerce is located in Raleigh, North Carolina. The mailing address for the Cemetery Commission is 1001 Navaho Drive, Suite 100, Raleigh, North Carolina 27609. The office is open to the public Monday through Friday, 8:00 a.m. to 5:00 p.m., excluding scheduled state holidays.

History

• Authority G.S. 65-49; 65-51; 150B-10
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Amended Eff. September 1, 2007; May 3, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

Earlier captured 21 NCAC 07D .0101 {#publisher-history-4ed6fc09993fd875cf14-1000013 omnilex-key=us-nc-regs-official--title-21--21 NCAC 07D .0101--publisher-history-4ed6fc09993fd875cf14}

(a) Each licensed cemetery shall make a report of deposits to the perpetual care fund by the last day of each month.

(b) The report of deposits shall be made on a form provided by the Commission, the Report of Grave Spaces for the Month of _______________, that shall include:

(1) the deed numbers, listed in numerical order;

(2) the date of deed;

(3) the date of contract;

(4) the purchaser;

(5) the sale price;

(6) the lot number;

(7) the section; and

(8) the number of spaces deeded and amount due trust fund.

(c) This form may be obtained from and shall be returned to:

North Carolina Cemetery Commission

1001 Navaho Drive, Suite 100

Raleigh, North Carolina 27609.

History

• Authority G.S. 65-49; 65-64
• Eff. February 1, 1976
• Readopted Eff. January 16, 1978
• Amended Eff. September 1, 2017; September 1, 2007; May 3, 1993; September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 18, 2018.

Earlier captured 21 NCAC 08A .0102 {#publisher-history-007ece846de8e71523aa-1000014 omnilex-key=us-nc-regs-official--title-21--21 NCAC 08A .0102--publisher-history-007ece846de8e71523aa}

The Board's physical address is Suite 104, 1101 Oberlin Road, Raleigh, North Carolina 27605. The mailing address is Post Office Box 12827, Raleigh, North Carolina 27605-2827. The telephone number is (919) 733-4222. The Board's website is https://nccpaboard.gov.

History

• Authority G.S. 93-12(3)
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. May 1, 1989; April 1, 1987; October 1, 1984; April 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Readopted Eff. June 1, 2026.

Earlier captured 21 NCAC 08M .0105 {#publisher-history-69aaf64c88966c315ee0-1000015 omnilex-key=us-nc-regs-official--title-21--21 NCAC 08M .0105--publisher-history-69aaf64c88966c315ee0}

(a) A CPA or CPA firm providing any of the following services to the public shall participate in a peer review program:

(1) audits;

(2) reviews of financial statements;

(3) compilations of financial statements; or

(4) any engagement to be performed in accordance with the Statements on Standards for Attestation Engagements.

(b) A CPA or CPA firm not providing any of the services listed in Paragraph (a) of this Rule is exempt from peer review until the issuance of the first report provided to a client. A CPA or CPA firm shall register with the peer review program as listed in Paragraph (d) of this Rule within 30 days of the issuance of the first report provided to a client.

(c) A CPA, a new CPA firm, or a CPA firm exempt from peer review that starts providing any of the services in Paragraph (a) of this Rule shall furnish to the peer review program selected financial statements, corresponding work papers, and any additional information or documentation required for the peer review program within 18 months of the issuance of the first report provided to a client.

(d) Enrollment in and completion of the AICPA Peer Review Program, or a program that substantially complies with the AICPA Standards for Performing and Reporting on Peer Reviews, shall be required. The AICPA Standards for Performing and Reporting on Peer Reviews are incorporated by reference, including subsequent amendments and editions. This document may be accessed at https://us.aicpa.org/research/standards/peerreview at no cost.

(e) CPA firms shall not rearrange their structure or act in any manner with the intent to avoid enrollment in peer review.

(f) A CPA firm that does not have offices in North Carolina and that has provided any services as listed in G.S. 93-10(c)(3) to North Carolina clients shall enroll in a peer review program.

(g) Subsequent peer reviews of a CPA firm are due three years and six months from the year end of the 12-month period of the first peer review, unless granted an extension by the peer review program.

(h) All CPA firms enrolled in the AICPA Peer Review Program registered with this Board shall also participate in the AICPA Facilitated State Board Access process and shall not opt out of any part of the process.

(i) The firm shall allow the administrating entity to provide the Board access to the documents and peer review information via a secure website process such as the AICPA Facilitated State Board Access (FSBA).

History

• Authority G.S. 93-10(c); 93-12(8c)
• Eff. January 1, 2004
• Amended Eff. January 1, 2014; February 1, 2011; January 1, 2006
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

Earlier captured 21 NCAC 08N .0209 {#publisher-history-d85739c1cd302029dbdc-1000016 omnilex-key=us-nc-regs-official--title-21--21 NCAC 08N .0209--publisher-history-d85739c1cd302029dbdc}

(a) Generally Accepted Accounting Principles. A CPA shall not express an opinion that financial statements are presented in conformity with generally accepted accounting principles if such statements contain any departure from an accounting principle that has a material effect on the statements taken as a whole, unless the CPA can demonstrate that due to unusual circumstances the financial statements would otherwise have been misleading. In such cases the CPA's report shall describe the departure, the approximate effects thereof, if practicable, and the reasons why compliance with the principle would result in a misleading statement.

(b) Financial Accounting Standards Board Accounting Standards Codification. The Financial Accounting Standards Board Accounting Standards Codification is incorporated by reference, including subsequent amendments and editions and shall be considered generally accepted accounting principles for the purposes of Paragraph (a) of this Rule. This document may be accessed at https://asc.fasb.org at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. July 1, 2010
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

Earlier captured 21 NCAC 08N .0211 {#publisher-history-7f792b9c94718d82f05b-1000017 omnilex-key=us-nc-regs-official--title-21--21 NCAC 08N .0211--publisher-history-7f792b9c94718d82f05b}

(a) Standards for Tax Services. A CPA shall not render services in the area of taxation unless the CPA has complied with both the Statements on Standards for Tax Services and the Treasury Department Circular 230 as defined in this Section. In the event that there is a conflict between the Statements on Standards for Tax Services and Treasury Department Circular 230, the CPA shall comply with Treasury Department Circular 230.

(b) Statements on Standards for Tax Services. The Statements on Standards for Tax Services issued by the AICPA are incorporated by reference, including subsequent amendments and editions. This document may be accessed at https://www.aicpa.org/resources/toolkit/statements-on-standards-for-tax-services at no cost.

(c) Treasury Department Circular 230. The Treasury Department Circular 230 is incorporated by reference, including subsequent amendments and editions. This document may be accessed at https://www.irs.gov/pub/irs-pdf/pcir230.pdf at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. July 1, 2010; February 1, 2006; April 1, 2003
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

Earlier captured 21 NCAC 08N .0215 {#publisher-history-07b3880b273e7f5f3608-1000018 omnilex-key=us-nc-regs-official--title-21--21 NCAC 08N .0215--publisher-history-07b3880b273e7f5f3608}

(a) International Financial Accounting Standards. A CPA shall not express an opinion that financial statements are presented in accordance with international financial accounting standards if such statements contain any departure from an accounting standard that has a material effect on the statements, taken as a whole, unless the CPA can demonstrate that due to unusual circumstances the financial statements would otherwise have been misleading. In such cases, the CPA's report shall describe the departure, the approximate effect thereof if practicable, and the reason why compliance with the standard would result in a misleading statement.

(b) International Financial Accounting Standards consist of the following:

(1) International Financial Reporting Standards (IFRS) issued after 2003;

(2) International Accounting Standards (IAS) issued before 2004;

(3) Interpretations originated from the International Financial Reporting Interpretations Committee (IFRIC) issued after 2003; and

(4) Standing Interpretations Committee (SIC) issued before 2003.

(c) Copies of Standards. Copies of International Financial Accounting Standards issued by IFRS are incorporated by reference, including subsequent amendments and editions. The documents may be accessed at https://www.ifrs.org/issued-standards/list-of-standards/ at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. February 1, 2011
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

Earlier captured 21 NCAC 08N .0304 {#publisher-history-f091fc5da449aac4c9bc-1000019 omnilex-key=us-nc-regs-official--title-21--21 NCAC 08N .0304--publisher-history-f091fc5da449aac4c9bc}

(a) Standards for Consulting Services. A CPA shall not render consulting services unless the CPA has complied with the Statements on Standards for Consulting Services.

(b) Statements on Standards for Consulting Services. The Statements on Standards for Consulting Services including the definition of such services issued by the AICPA are incorporated by reference, including subsequent amendments and editions. This document may be accessed at https://www.aicpa.org/resources/download/statement-on-standards-for-consulting-services-no-1 at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. July 1, 2010; January 1, 2006
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

Earlier captured 21 NCAC 08N .0308 {#publisher-history-3267f8cfb2d2adf64b74-1000020 omnilex-key=us-nc-regs-official--title-21--21 NCAC 08N .0308--publisher-history-3267f8cfb2d2adf64b74}

(a) Standards for Valuation Services. A CPA shall not render valuation services of a business, a business ownership interest, security, or intangible asset unless the CPA has complied with the Statements on Standards for Valuation Services.

(b) Statements on Standards for Valuation Services. The Statements on Standards for Valuation Services, including the definition of such services, issued by the AICPA are incorporated by reference, including subsequent amendments and editions. This document may be accessed at https://www.aicpa.org/resources/download/statement-on-standards-for-valuation-services-vs-section-100 at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. January 1, 2006
• Amended Eff. July 1, 2010
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

Earlier captured 21 NCAC 08N .0309 {#publisher-history-bbc5fff7246824bc09f7-1000021 omnilex-key=us-nc-regs-official--title-21--21 NCAC 08N .0309--publisher-history-bbc5fff7246824bc09f7}

(a) Statement on Standards on Personal Financial Planning Services. A CPA shall not render personal financial planning services unless the CPA has complied with the Statement on Standards on Personal Financial Planning Services.

(b) Statement on Standards on Personal Financial Planning Services. The Statement on Standards on Personal Financial Planning Services, including the definition of such services, issued by the AICPA are incorporated by reference, including subsequent amendments and editions. This document may be accessed at https://aicpa.org/resources/download/statement-on-standards-in-personal-financial-planning-services at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

Earlier captured 21 NCAC 08N .0310 {#publisher-history-5a2aab4a33f639bee474-1000022 omnilex-key=us-nc-regs-official--title-21--21 NCAC 08N .0310--publisher-history-5a2aab4a33f639bee474}

(a) Statement on Standards for Forensic Services. A CPA shall not render forensic services unless the CPA has complied with the Statement on Standards for Forensic Services.

(b) Statement on Standards for Forensic Services. The Statement for Forensic Services, including the definition of such services, issued by the AICPA are incorporated by reference, including subsequent amendments and editions. This document may be accessed at https://www.aicpa.org/resources/download/statement-on-standards-for-forensic-services at no cost.

History

• Authority G.S. 55B-12; 57-D-02); 93-12(9)
• Eff. September 1, 2023.
• Eff. June 1, 2026.

Earlier captured 21 NCAC 08N .0403 {#publisher-history-59344aa1a9273b13e8ef-1000023 omnilex-key=us-nc-regs-official--title-21--21 NCAC 08N .0403--publisher-history-59344aa1a9273b13e8ef}

(a) Standards for Auditing Services. A CPA shall not render auditing services unless the CPA has complied with the applicable generally accepted auditing standards.

(b) Statements on Auditing Standards. The Statements on Auditing Standards issued by the AICPA are incorporated by reference, including subsequent amendments and editions, and shall be considered generally accepted auditing standards for the purposes of Paragraph (a) of this Rule. This document may be accessed at https://us.aicpa.org/research/standards/auditattest/clarifiedsas.html at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. July 1, 2010; February 1, 2006
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

Earlier captured 21 NCAC 08N .0404 {#publisher-history-a62550495e7a2a6a5b48-1000024 omnilex-key=us-nc-regs-official--title-21--21 NCAC 08N .0404--publisher-history-a62550495e7a2a6a5b48}

(a) Standards for Accounting and Review Services. A CPA shall not render accounting and review services unless the CPA has complied with the standards for accounting and review services.

(b) Statements on Standards for Accounting and Review Services. The Statements on Standards for Accounting and Review Services issued by the AICPA are incorporated by reference, including subsequent amendments and editions, and shall be considered as the standards for accounting and review services for the purposes of Paragraph (a) of this Rule. This document may be accessed at https://us.aicpa.org/research/standards/compilationreview.html at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. July 1, 2010; February 1, 2006
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

Earlier captured 21 NCAC 08N .0405 {#publisher-history-98f2d3dd640e48eb0208-1000025 omnilex-key=us-nc-regs-official--title-21--21 NCAC 08N .0405--publisher-history-98f2d3dd640e48eb0208}

(a) Standards for Governmental Accounting. A CPA shall not permit the CPA's name to be associated with governmental financial statements for a client unless the CPA has complied with the standards for governmental accounting.

(b) Statements on Governmental Accounting and Financial Reporting Services. The Statements on Governmental Accounting and Financial Reporting Services issued by the GASB are incorporated by reference, including subsequent amendments and editions, and shall be considered as the standards for governmental accounting for the purposes of Paragraph (a) of this Rule. This document may be accessed at https://www.gasb.org/standards at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1999
• Amended Eff. July 1, 2010; February 1, 2006
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

Earlier captured 21 NCAC 08N .0406 {#publisher-history-c788ea3eb81c055f32c7-1000026 omnilex-key=us-nc-regs-official--title-21--21 NCAC 08N .0406--publisher-history-c788ea3eb81c055f32c7}

(a) Standards for Attestation Services. A CPA shall not render attestation services unless the CPA has complied with the applicable attestation standards.

(b) Statements on Standards for Attestation Engagements. The Statements on Standards for Attestation Engagements issued by the AICPA are incorporated by reference, including subsequent amendments and editions, and shall be considered attestation standards for the purposes of Paragraph (a) of this Rule. This document may be accessed at https://us.aicpa.org/research/standards/auditattest/ssae at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. April 1, 1994
• Amended Eff. July 1, 2010; February 1, 2006
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

Earlier captured 21 NCAC 08N .0409 {#publisher-history-b903b36b2c44642d03e2-1000027 omnilex-key=us-nc-regs-official--title-21--21 NCAC 08N .0409--publisher-history-b903b36b2c44642d03e2}

(a) Standards for Government Audits. A CPA shall not render audit services to a government entity or entity that receives government awards and is required to receive an audit in accordance with Government Auditing Standards unless the CPA has complied with the applicable Generally Accepted Government Auditing Standards.

(b) Government Auditing Standards. The Government Auditing Standards issued by the United States Government Accountability Office are incorporated by reference, including subsequent amendments and editions, and shall be considered Generally Accepted Government Auditing Standards for the purpose of Paragraph (a) of this Rule. This document may be accessed at https://www.gao.gov/yellowbook at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. February 1, 2011
• Readopted Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

Earlier captured 21 NCAC 08N .0410 {#publisher-history-45189615b2886c84858b-1000028 omnilex-key=us-nc-regs-official--title-21--21 NCAC 08N .0410--publisher-history-45189615b2886c84858b}

(a) International Standards on Auditing. A CPA shall not render auditing services that report to comply with international standards unless the CPA has complied with the applicable international standards on auditing.

(b) Statement on International Standards on Auditing. The Statement on International Standards on Auditing issued by the International Auditing and Assurance Standards Board are incorporated by reference, including subsequent amendments and editions, and shall be considered International Standards on Auditing for the purpose of Paragraph (a) of this Rule. This document may be accessed at https://www.iaasb.org/standards-pronouncements at no cost.

History

• Authority G.S. 55B-12; 57D-2-02; 93-12(9)
• Eff. February 1, 2016
• Amended Eff. September 1, 2023
• Readopted Eff. June 1, 2026.

Earlier captured 21 NCAC 10 .0103 {#publisher-history-e8459ff0b19290e4b0c0-1000029 omnilex-key=us-nc-regs-official--title-21--21 NCAC 10 .0103--publisher-history-e8459ff0b19290e4b0c0}

(a) As necessary to meet the requirements of G.S. 90-140, the State Board of Chiropractic Examiners ("Board") shall hold an election for chiropractic candidates for appointment. Notice of the election shall be published on the Board's website at https://ncchiroboard.com at least 30 days in advance of the election.

(b) The election shall be administered by the Board of Chiropractic Examiners. Any member of the Board who is nominated to succeed himself or herself shall be disqualified from conducting the vote in which he or she is a nominee.

(c) Each candidate shall provide two letters of endorsement from chiropractors licensed by the Board. The letters shall be submitted to the Board no less than 21 days before the election.

(d) If less than three candidates are elected, the Board shall provide additional names at the direction of the President of the Board to the Governor, President Pro Tempore of the Senate, and Speaker of the House in order to comply with G.S. 90-140.

History

• Authority G.S. 90-139; 90-140; 90-142
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Amended Eff. January 1, 1983; May 8, 1979
• Legislative Objection Lodged Eff. January 31, 1983
• Curative Amended Eff. February 18, 1983
• Amended Eff. June 1, 1994; December 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2021; January 1, 2020
• Readopted Eff. April 1, 2026.

Earlier captured 21 NCAC 10 .0207 {#publisher-history-334b5c569be0f45ab4f9-1000030 omnilex-key=us-nc-regs-official--title-21--21 NCAC 10 .0207--publisher-history-334b5c569be0f45ab4f9}

(a) Approval of Seminars. Only continuing education seminars approved by the Board shall count towards satisfying the requirements for license renewal. The sponsor and co-sponsors of any proposed seminar shall be responsible for submitting all the information outlined on the Board's Course Application ("Application") to enable the Board to evaluate the seminar in accordance with this Rule. The Application can be found on and must be submitted pursuant to instructions on the Board's website at https://ncchiroboard.com. All applications must reflect that the seminar for which approval is being sought has been previously approved no more than 12 months prior to the date of the seminar by one of the following organizations:

(1) Any chiropractic college recognized by the Council on Chiropractic Education (CCE);

(2) Federation of Chiropractic Licensing Boards, PACE program; or

(3) Any other chiropractic association that can demonstrate an active membership base of at least 200 members.

(b) Applications. In addition to the information set forth in Paragraph (a) of this Rule, all Applications must also contain the following information:

(1) Whether the course's target audience is doctors of chiropractic, certified chiropractic assistants, or x-ray technicians;

(2) The course title;

(3) The beginning and end dates on which the course will be offered;

(4) Whether the course will be offered online or in a physical location;

(5) If the course is offered in a physical location, the cities and states in which the course will be offered;

(6) The manner in which the sponsor or co-sponsor will verify the attendance of licentiates;

(7) The name and contact information of the sponsor and co-sponsor;

(8) The website at which information on the course offering will be available;

(9) The number of continuing education credits that the licentiates can obtain by attending the course; and

(10) Whether the course will provide doctors of chiropractic, certified chiropractic assistants, or x-ray technicians with continuing education credit toward eligibility for licensure renewal, certification, or recertification.

The Application shall be submitted at least 30 days prior to the date of the proposed seminar. Incomplete applications will not be processed.

(c) Duration of Approval. A seminar approval issued by the Board shall expire at the end of the calendar year for which approved. If the sponsor or co-sponsors of an approved seminar wish to repeat the seminar on a date beyond the approval period, a new application shall be submitted to the Board.

(d) Criteria for Approval. The Board's criteria for approving continuing education seminars is as follows:

(1) No practice-building or motivational seminars shall be approved;

(2) No seminar shall be approved that requires attendees, in order to be able to utilize the information presented at the seminar, to purchase equipment or clinical supplies available only through the seminar's instructors, sponsors, or co-sponsors;

(3) Each seminar subject shall pertain to chiropractic licensure in this State; and

(4) Each instructor shall submit a curriculum vitae or the equivalent demonstrating that he or she has an educational background in, or professional experience with, the subject or subjects he or she is scheduled to teach.

(e) Duties of Seminar Sponsor. Sponsors and co-sponsors of any approved continuing education seminar shall:

(1) Disclose on all brochures and advertising materials the name and address of each sponsor and co-sponsor and whether each sponsor and co-sponsor is a for-profit or not-for-profit entity;

(2) Be liable for all expenses incurred in holding the seminar;

(3) Give notice to the Board of any material changes in the seminar, including date, location, subject matter, or instructors; and

(4) Provide an agent at the seminar site who shall:

(A) Monitor and report the attendance of each person attending the seminar, in accordance with the method identified in the Course Application submitted for the course;

(B) Supervise the agenda and prohibit the presentation of any subject matter not approved by the Board; and

(C) Complete and submit to the Board a post-seminar review summarizing any problems experienced and any variance between the application for approval and the seminar as presented.

(f) Sanction for Non-Compliance. By applying for seminar approval, each sponsor and co-sponsor agrees to admit to the seminar at no charge a representative of the Board for the purpose of observing compliance with this Rule. If the Board determines that a sponsor or co-sponsor has falsified the application for approval, has failed to keep attendance, has allowed the seminar as presented to vary from the agenda as set forth in the application, or has failed to adhere to any other provision of this Rule, the Board shall refuse to approve future seminar applications from the offending sponsor or co-sponsor or from any principal who is a partner or shareholder in the offending sponsor or co-sponsor.

History

• Authority G.S. 90-142; 90-143.2; 90-143.4; 90-155
• Eff. January 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2021; January 1, . 2020
• Readopted Eff. April 1, 2026.

Earlier captured 21 NCAC 10 .0208 {#publisher-history-d6ad0e36dd4f84aa6e47-1000031 omnilex-key=us-nc-regs-official--title-21--21 NCAC 10 .0208--publisher-history-d6ad0e36dd4f84aa6e47}

(a) Acupuncture is defined as a form of health care developed from traditional and modern Chinese medical concepts that employ acupuncture diagnosis and treatment, and adjunctive therapies and diagnostic techniques, for the promotion, maintenance, and restoration of health and the prevention of disease. To perform acupuncture, a licentiate shall take the National Board of Chiropractic Examiners Acupuncture Examination, receive a passing score of 375 or greater, and certify to the Board that he or she has met the instruction prerequisites for the National Board of Chiropractic Examiners Acupuncture Examination, as set forth by the National Board of Chiropractic Examiners on its website at https://www.mynbce.org/acupuncture/.

(b) Prior to performing acupuncture, a licentiate or applicant for licensure must provide the Board with the following:

(1) An official transcript from an acupuncture program accredited by an accrediting body recognized by the U.S. Department of Education demonstrating eligibility to sit for the National Board of Chiropractic Examiners Acupuncture Examination; and

(2) Proof of successful completion of the acupuncture examination described in this Rule.

(c) Licentiates holding an active license as of December 31, 2022 and who have received prior approval from the Board to perform acupuncture are not required to meet the requirements of this Rule. However, if a licentiate grandfathered under this rule subsequently allows his or her license to lapse or if the license is subsequently subject to active suspension or placed in a status other than active, the licentiate shall be required to comply with this Rule before being permitted to perform acupuncture.

History

• Authority G.S. 90-142; 90-143; 90-151
• Eff. February 1, 2004
• Amended Eff. July 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2022
• Readopted Eff. April 1, 2026.

Earlier captured 21 NCAC 10 .0213 {#publisher-history-ce70cf80e548630769c7-1000032 omnilex-key=us-nc-regs-official--title-21--21 NCAC 10 .0213--publisher-history-ce70cf80e548630769c7}

(a) Designation. The Board shall classify Certified Chiropractic Assistants as follows:

(1) Level 1 – Clinical

(2) Level 2 – X-ray

For purposes of this Rule, a Certified Chiropractic Assistant – Level 1 is the same as a "chiropractic clinical assistant" as defined in G.S. 90-143.4(a). For purposes of this Rule, a Certified Chiropractic Assistant – Level 2 is the same as a "diagnostic imaging technician" as defined in G.S. 90-143.2 and may be referred to as a "radiologic technologist", "X-ray tech", and "X-ray technician."

(b) Application Procedure. Anyone seeking to be certified as a Chiropractic Assistant shall submit an application found on the Board's website at https://ncchiroboard.com. All applicants shall:

(1) Be at least 18 years of age;

(2) Demonstrate that he or she graduated from high school or the equivalent;

(3) Submit an application fee of thirty-five dollars ($35.00); and

(4) Submit an application containing the following information:

(A) the applicant's name, residential address, phone number, email address, and date of birth;

(B) the applicant's educational history and degree attainment;

(C) the applicant's employment history;

(D) whether the applicant now has or has ever had an addiction to, or dependency on, alcohol or other controlled substances;

(E) whether the applicant has ever been convicted of a felony;

(F) whether any criminal charges or criminal investigations, if known, are pending against the applicant;

(G) the email address of a person, known by but not related to the applicant, to complete character reference statements on forms prescribed by the Board; and

(H) a copy of the applicant's government-issued identification document, such as a driver's license or passport.

(c) New Applicants – Level 1.

(1) Education. In addition to the requirements set forth in Paragraph (b) of this Rule, new applicants shall submit evidence of completion of a clinical assistant education program at least 24 hours in length, of which at least 6 hours shall be in-person didactic training with an instructor or instructors who, based on education and experience, are competent to teach the portion of the curriculum they have been assigned. Credit for online coursework shall not exceed 18 hours, and all online coursework shall precede didactic training. The education program shall provide instruction in the five subjects set forth in G.S. 90-143.4(c) to enable its graduates to satisfy all applicable standards of care. To obtain approval of an education program, the program sponsor shall submit to the Board, at least 60 days prior to the proposed starting date, all instructional materials to be used in the program, including a syllabus of the didactic training, and a curriculum vitae for each instructor.

(2) Examination. The proficiency examination for new applicants shall assess both academic knowledge and practical skills acquired through education programs and shall be administered at least four times per year on dates and at locations to be announced by the Board at least 30 days in advance and published on the Board's website at https://ncchiroboard.com. The minimum passing score on the examination is 75 percent.

(d) New Applicants – Level 2.

(1) Education. In addition to the requirements set forth in Paragraphs (b) and (c) of this Rule, new applicants shall complete a radiological technologist education program at least 50 hours in length, of which at least 6 hours shall be in-person didactic training with an instructor or instructors who, based on education and experience, are competent to teach the portion of the curriculum they have been assigned, and completion of the practical requirement as set forth in Subparagraph (d)(2) of this Rule. The education program shall provide instruction in the five subjects set forth in G.S. 90-143.2 to enable its graduates to satisfy all applicable standards of care governing the production of X-rays. To obtain approval of an education program, the program sponsor shall submit to the Board, at least 60 days prior to the proposed starting date, all instructional materials to be used in the program, including a syllabus of the didactic training and a curriculum vitae for each instructor. Any person registered as "active" with the American Chiropractic Registry of Radiologic Technologists shall be deemed to have satisfied the educational requirements of this Paragraph.

(2) Practical Requirement. Upon completion of the training set forth in Subparagraph (d)(1) of this Rule, a person desiring certification as a Certified Chiropractic Assistant – Level 2 shall undergo a Practical Examination within six months of completing the written examination required in Paragraph (c)(2) of this Rule, whereby the person is evaluated by his or her program sponsor on the following competencies while performing x-ray examinations under the in-person observation of a sponsor for four different patients:

(A) Image quality;

(B) Marking sides of the body;

(C) Technique input to controller;

(D) Tube/focal film distance;

(E) Bucky/tube alignment;

(F) Patient positioning;

(G) Gonad shielding;

(H) Ability to name additional views in the series;

(I) Collimation;

(J) Anatomy viewed; and

(K) Technique calculated for measurement of patient.

(3) The person must complete and score at least 64 total points on each of the Thoracic Spine, Lumbar Spine, and Cervical Spine Practical Examinations. The person shall submit written documentation of the Practical evaluation on a form prescribed by the Board that is available on the Board's website at https://ncchiroboard.com/certified-chiropractic-assistant-level-2-xray/. The person completing the Practical evaluation shall provide on the form the following information:

(A) The name and Certified Chiropractic Assistant number of the candidate;

(B) The date of the evaluation;

(C) The sponsoring doctor's name;

(D) The name and address of the sponsoring doctor's office;

(E) The signatures of the sponsoring doctor and the candidate; and

(F) Scoring of the candidate's competencies for the criteria set forth in Subparagraph (d)(2)(A) through (K) of this Rule.

(4) Examination. The competency examination shall be administered at least three times per year. The Board shall publish on its website, https://ncchiroboard.com, the date, time, and location of the examination at least 30 days in advance. The minimum passing score is 75 percent.

(e) Reciprocity Applicants. A "reciprocity applicant" means an applicant who is currently certified or registered as a clinical assistant or X-ray technician in another state whose requirements for certification or registration are substantially similar to or more stringent than the requirements for certification in North Carolina. A reciprocity applicant shall submit a copy of the applicant's current certification or registration as a clinical assistant in a state with which North Carolina reciprocates and shall also submit written confirmation from the state's certifying authority or registrar that the applicant is in good standing in that state. Applicants for reciprocity shall pay the application fee set forth in Rule .0803(a)(1) of this Chapter.

(f) Certification Expiration and Renewal. Starting with certifications issued or renewed on or after July 1, 2022, a certificate of competency shall expire on June 30th of the second year following the year in which it was issued unless otherwise renewed. A Level 1 certificate holder seeking to renew shall submit evidence that the applicant has completed six hours of Board-approved continuing education. A Level 2 certificate holder shall complete six hours of education applicable to a Level 1 renewal plus six hours in radiologic technology. A certificate of attendance or completion issued by the course sponsor and filed with the Board shall constitute prima facie evidence that the applicant has completed the number of hours recited in the certificate. The applicant shall pay to the Board a renewal fee in the amount of fifty dollars ($50.00).

(g) Lapsed Certificates. If a certificate of competency has lapsed due to non-renewal and the lapse does not exceed 60 days, the certificate holder may obtain reinstatement by making up the accrued deficiency in continuing education. If the lapse is greater than 60 days, no make-up continuing education shall be required, but the certificate holder shall re-take and pass the proficiency examination for new applicants. Regardless of the length of lapse, a certificate holder seeking reinstatement shall pay the renewal fee set forth in Paragraph (f) of this Rule.

(h) Exemptions. Graduates of accredited chiropractic colleges and students enrolled in accredited chiropractic colleges who are serving college-sponsored preceptorships in North Carolina are deemed by the Board to have satisfied all requirements imposed by this Rule and shall be deemed competent to perform the duties of a clinical assistant. Any person who qualifies for exemption and who works as a clinical assistant in this state for more than 180 days shall submit the application pursuant to this Rule and note the claim of exempt status. Exempt persons shall not be required to pay a certification fee. For the purposes of this Rule, "accredited" shall mean colleges accredited by the Council on Chiropractic Education.

(i) Displaying Certificate. The holder of a Level 1 certificate issued pursuant to this Rule shall display the certificate in the chiropractic clinic in which the holder is employed in a location where the certificate may be viewed by patients. The holder of a Level 2 certificate issued pursuant to this Rule shall display the certificate in the x-ray room of the chiropractic clinic in which the holder is employed in a location where the certificate may be viewed by patients.

History

• Authority G.S. 90-142; 90-143.2; 90-143.4; 90-154.3
• Eff. July 1, 2014
• Amended Eff. April 1, 2018
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. January 1, 2022; January 1, 2020
• Readopted Eff. April 1, 2026.

Earlier captured 21 NCAC 10 .0215 {#publisher-history-2249ed76695370d02bb4-1000033 omnilex-key=us-nc-regs-official--title-21--21 NCAC 10 .0215--publisher-history-2249ed76695370d02bb4}

(a) General. Pursuant to G.S. 93B-8.1(b6), any person with a criminal history may petition the Board at any time for a predetermination of whether the individual's criminal history will likely disqualify the individual from obtaining a license, in accordance with this Rule. The Petition form may be found on the Board's website at https://ncchiroboard.com.

(b) Petition Procedure. To petition the Board under this Rule, a person must submit to the Board's office a petition for predetermination that contains all of the following information:

(1) The person's name;

(2) The last four digits of the person's social security number;

(3) The person's current residential address;

(4) The person's current mailing address;

(5) A nationwide criminal history record report from the criminal records reporting service currently under contract with the Board;

(6) For each crime identified in the criminal history record report, the following information:

(A) Whether the crime was a felony or misdemeanor;

(B) The date that the crime occurred;

(C) The date the person was convicted of, or plead guilty or nolo contendere to, the crime;

(D) The age of the person at the time of the crime;

(E) The circumstances surrounding the commission of the crime;

(F) The sentence imposed for the crime;

(G) The period of time during which the person was incarcerated for the crime;

(H) The period of time during which the person was on probation or parole for the crime;

(I) Any documentation related to the person's rehabilitation or employment since the date of the crime;

(J) Whether the person has undergone any rehabilitative drug or alcohol treatment since the date of the crime;

(K) Whether a Certificate of Relief has been granted regarding the crime, pursuant to G.S. 15A 173.2; and

(L) Any affidavits or other written documents, including character references, for the person.

(7) An affirmation under oath that the person has read the Instructions for Submitting a Petition for Predetermination and the statutes and rules governing the practice of chiropractic and that the information contained in the petition is true and accurate.

Incomplete petitions shall not be considered by the Board. If incomplete petitions received by the Board are not made complete within 30 days of receipt, the incomplete petitions will be returned to the person from whom the request was made.

(c) Petition Fee. A non-refundable petition fee of forty-five dollars ($45.00) shall accompany each petition. This fee shall be paid by credit card through the Board's website at https://ncchiroboard.com. Cash shall not be accepted.

(d) Delegation of Authority for Predetermination. The Board delegates authority for rendering predeterminations under this Rule to the Disciplinary Review Committee, as set forth in Rule .0503 of this Chapter.

History

• Authority G.S. 90-142; 90-143.3; 90-154; 93B-8.1
• Eff. January 1, 2020
• Readopted Eff. April 1, 2026.

Earlier captured 21 NCAC 10 .0501 {#publisher-history-f7d291bddd777e9e1dcb-1000034 omnilex-key=us-nc-regs-official--title-21--21 NCAC 10 .0501--publisher-history-f7d291bddd777e9e1dcb}

Any person who has reason to believe that a Doctor of Chiropractic has violated the laws governing chiropractic may file a complaint with the Board. Anyone wishing to file a complaint shall file a form with the Board office that contains the following information:

(1) the complainant's name and contact information;

(2) the name and contact information of the person about which the complainant wishes to file the complaint;

(3) a narrative of the facts about which the complainant wishes to complain; and

(4) the complainant's signature and the date on which the complaint is made.

The complaint form can be found on the Board's website at https://ncchiroboard.com/complaint-filing-process.

History

• Authority G.S. 90-142; 90-154
• Eff. February 1, 1976
• Readopted Eff. January 27, 1978
• Amended Eff. December 1, 1988; January 1, 1983; December 20, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. January 1, 2020
• Readopted Eff. April 1, 2026.

Earlier captured 21 NCAC 12A .0202 {#publisher-history-f0066ea0196bbda2657c-1000035 omnilex-key=us-nc-regs-official--title-21--21 NCAC 12A .0202--publisher-history-f0066ea0196bbda2657c}

(a) A general contractor shall be certified in one of the following five classifications:

(1) Building Contractor. This classification covers all building construction and demolition activity including: commercial, industrial, institutional, and all residential building construction. It includes installation of solar panels; parking decks; all site work, grading and paving of parking lots, driveways, sidewalks, and gutters; storm drainage, retaining or screen walls, and hardware and accessory structures; and indoor and outdoor recreational facilities including natural and artificial surface athletic fields, running tracks, bleachers, and seating. It also covers work done under the specialty classifications of S(Concrete Construction), S(Insulation), S(Interior Construction), S(Marine and Freshwater Construction), S(Masonry Construction), S(Roofing), S(Metal Erection), S(Swimming Pools), S(Asbestos), S(Wind Turbine), and S(Sign/Billboard).

(A) For the purposes of providing disaster relief assistance pursuant to a declaration of a state of an emergency, this classification also includes construction of non-publicly maintained bridges for contractors holding an unlimited license, as defined in G.S. 87-10(a1), and has been pre-qualified by the North Carolina Public Safety, Emergency Management Division. The pre-qualification process can be found at: https://connect.ncdot.gov/business/Prequal/Pages/default.aspx.

(B) For the purposes of this Rule, a "declaration of a state of an emergency" shall be defined as in Chapter 166A, Article 1A, Part 4 of the N.C. General Statutes.

(C) For the purposes of this Rule, a "non-publicly maintained bridge" shall be defined as a bridge that is not maintained by the State, Federal government, a municipality, or a county.

(2) Residential Contractor. This classification covers all construction and demolition activity pertaining to the construction of residential units that are required to conform to the Residential Building Code adopted by the Building Code Council pursuant to G.S. 143-138; all site work, driveways, sidewalks, and water and wastewater systems ancillary to the aforementioned structures and improvements; and the work done as part of such residential units under the specialty classifications of S(Insulation), S(Interior Construction), S(Masonry Construction), S(Roofing), S(Swimming Pools), and S(Asbestos). This classification also covers the installation of solar panels on residential units that are required to conform to the residential building code.

(3) Highway Contractor. This classification covers all highway construction activity including: demolition, grading, paving of all types, installation of exterior artificial athletic surfaces, relocation of public and private utility lines ancillary to a principal project, bridge construction and repair, culvert construction and repair, parking decks, sidewalks, curbs, gutters and storm drainage. It also includes installation and erection of guard rails, fencing, signage, and ancillary highway hardware; covers paving and grading of airport and airfield runways, taxiways, and aprons, including the installation of fencing, signage, runway lighting and marking; and work done under the specialty classifications of S(Boring and Tunneling), S(Concrete Construction), S(Marine and Freshwater Construction), S(Railroad Construction), H(Grading and Excavating), S(Metal Erection), and S(Sign/Billboard).

(4) Public Utilities Contractor. This classification includes demolition and operations that are the performance of construction work on water and wastewater systems and on the subclassifications of facilities set forth in G.S. 87-10(b)(3). The Board shall issue a license to a public utilities contractor that is limited to any of the subclassifications set forth in G.S. 87-10(b)(3) for which the contractor qualifies. A public utilities contractor license covers work done under the specialty classifications of S(Boring and Tunneling), PU(Communications), PU(Fuel Distribution), PU(Electrical-Ahead of Point of Delivery), PU(Water Lines and Sewer Lines), PU(Water Purification and Sewage Disposal), and S(Swimming Pools).

(5) Specialty Contractor. This classification covers all construction operation and performance of contract work outlined as follows:

(A) H(Grading and Excavating). This classification covers the digging, moving, and placing of materials forming the surface of the earth, excluding air and water, in such a manner that the cut, fill, excavation, grade, trench, backfill, or any similar operation may be executed with the use of hand and power tools and machines used for these types of digging, moving, and material placing. It covers work on earthen dams and the use of explosives used in connection with all or any part of the activities described in this Subparagraph. It also includes clearing and grubbing, and erosion control activities.

(B) S(Boring and Tunneling). This classification covers the construction of underground or underwater passageways by digging or boring through and under the earth's surface, including the bracing and compacting of such passageways to make them safe for the purpose intended. It includes preparation of the ground surfaces at points of ingress and egress.

(C) PU (Communications). This classification covers the demolition and installation of the following:

(i) all types of pole lines, and aerial and underground distribution cable for telephone systems;

(ii) aerial and underground distribution cable for cable TV and master antenna TV systems capable of transmitting R.F. signals;

(iii) underground conduit and communication cable, including fiber optic cable; and

(iv) microwave systems and towers, including foundations and excavations where required, when the microwave systems are being used for the purpose of transmitting R.F. signals; and installation of PCS or cellular telephone towers and sites.

(D) S(Concrete Construction). This classification covers the construction, demolition, and installation of foundations, pre-cast silos, and other concrete tanks or receptacles, prestressed components, and gunite applications, but excludes bridges, streets, sidewalks, curbs, gutters, driveways, parking lots, and highways.

(E) PU(Electrical-Ahead of Point of Delivery). This classification covers the construction, installation, alteration, maintenance, or repair of an electrical wiring system, including sub-stations or components thereof, which is or is intended to be owned, operated, and maintained by an electric power supplier, such as a public or private utility, a utility cooperative, or any other properly franchised electric power supplier, for the purpose of furnishing electrical services to one or more customers. This classification includes the construction of solar arrays.

(F) PU(Fuel Distribution). This classification covers the construction, installation, alteration, maintenance, or repair of systems for distribution of petroleum fuels, petroleum distillates, natural gas, chemicals, and slurries through pipeline from one station to another. It includes all excavating, trenching, and backfilling in connection therewith. It covers the installation, replacement, and removal of above ground and below ground fuel storage tanks.

(G) PU(Water Lines and Sewer Lines). This classification covers demolition and construction work on water and sewer mains, water service lines, and house and building sewer lines, as defined in the North Carolina State Building Code, and covers water storage tanks, lift stations, pumping stations, and appurtenances to water storage tanks, lift stations, and pumping stations. It includes pavement patching, backfill, and erosion control as part of construction.

(H) PU(Water Purification and Sewage Disposal). This classification covers the demolition and performance of construction work on water and wastewater systems; water and wastewater treatment facilities; and all site work, grading, and paving of parking lots, driveways, sidewalks, curbs, and gutters that are ancillary to such construction of water and wastewater treatment facilities. It covers the work done under the specialty classifications of S(Concrete Construction), S(Insulation), S(Interior Construction), S(Masonry Construction), S(Roofing), and S(Metal Erection) as part of the work on water and wastewater treatment facilities.

(I) S(Insulation). This classification covers the installation, alteration, or repair of materials classified as insulating media used for the non-mechanical control of temperatures in the construction of residential and commercial buildings. It does not include the insulation of mechanical equipment, and lines and piping that are ancillary to the building.

(J) S(Interior Construction). This classification covers the installation and demolition of acoustical ceiling systems and panels, load bearing and non-load bearing partitions, lathing and plastering, flooring and finishing, interior recreational surfaces, window and door installation, and installation of fixtures, cabinets, and millwork. It includes the removal of asbestos and replacement with non-toxic substances.

(K) S(Marine and Freshwater Construction). This classification covers all marine and freshwater demolition and construction and repair activities and all types of marine and freshwater construction and demolition in deep-water installations and in harbors, inlets, sounds, bays, channels, canals, rivers, lakes, ponds, or any navigable waterway; it covers dredging, construction, and installation of pilings, piers, decks, slips, docks, and bulkheads. It does not include other structures that may be constructed on docks, slips, and piers.

(L) S(Masonry Construction). This classification covers the demolition and installation, with or without the use of mortar or adhesives, of the following:

(i) brick, concrete block, gypsum partition tile, pumice block, or other lightweight and facsimile units and products common to the masonry industry;

(ii) installation of fire clay products and refractory construction; and

(iii) installation of rough cut and dressed stone, marble panels and slate units, and installation of structural glazed tile or block, glass brick or block, and solar screen tile or block.

(M) S(Railroad Construction). This classification covers the demolition, building, construction, and repair of railroad lines including:

(i) the clearing and filling of rights-of-way;

(ii) shaping, compacting, setting, and stabilizing of road beds;

(iii) setting ties, tie plates, rails, rail connectors, frogs, switch plates, switches, signal markers, retaining walls, dikes, fences, and gates; and

(iv) construction and repair of tool sheds and platforms.

(N) S(Roofing). This classification covers the installation, demolition, and repair of roofs and decks on residential, commercial, industrial, and institutional structures requiring materials that form a water-tight and weather-resistant surface. The term "materials" for purposes of this Subparagraph includes cedar, cement, asbestos, clay tile and composition shingles, all types of metal coverings, wood shakes, single ply and built-up roofing, protective and reflective roof and deck coatings, sheet metal valleys, flashings, gravel stops, gutters and downspouts, and bituminous waterproofing, including torch down roof systems. Any insulation material installed as a component of a torch down roofing system shall be included as work covered under this classification.

(O) S(Metal Erection). This classification covers:

(i) the field fabrication, demolition, erection, repair, and alteration of architectural and structural shapes, plates, tubing, pipe and bars, not limited to steel or aluminum, that are or may be used as structural members for buildings, equipment, and structure; and

(ii) the layout, assembly and erection by welding, bolting, riveting, or fastening in any manner metal products as curtain walls, tanks of all types, hoppers, structural members for buildings, towers, stairs, conveyor frames, cranes and crane runways, canopies, carports, guard rails, signs, steel scaffolding as a permanent structure, rigging, flagpoles, fences, steel and aluminum siding, bleachers, fire escapes, and seating for stadiums, arenas, and auditoriums.

(P) S(Swimming Pools). This classification covers the construction, demolition, service, and repair of all swimming pools. It includes:

(i) excavation and grading;

(ii) construction of concrete, gunite, fiberglass, metal-walled with liner, steel-walled with liner, and plastic-type pools, pool decks, and walkways, and tiling and coping; and

(iii) installation of all equipment including pumps, filters, and chemical feeders. It does not include direct connections to a sanitary sewer system or to portable water lines, nor the grounding and bonding of any metal surfaces or the making of any electrical connections.

(Q) S(Asbestos). This classification covers renovation or demolition activities involving the repair, maintenance, removal, isolation, encapsulation, or enclosure of Regulated Asbestos Containing Materials (RACM) for any commercial, industrial, or institutional building, whether public or private. It also covers all types of residential building construction involving RACM during renovation or demolition activities. This specialty is required only when the cost of asbestos activities as described herein are equal to or exceed forty thousand dollars ($40,000).

(R) S(Wind Turbine). This classification covers the construction, demolition, installation, and repair of wind turbines, wind generators, and wind power units. It includes assembly of blades, generator, turbine structures, and towers. It also includes ancillary foundation work, field fabrication of metal equipment, and structural support components.

(S) S(Sign/Billboard). This classification covers the construction, renovation, installation, repair, erection, or demolition of any structural signs or billboards, as used in G.S. 136-128(3), that are permanently annexed to real property and as defined in Article 11 of Chapter 136 of the N.C. General Statutes.

(b) An applicant may be licensed in more than one classification of general contracting provided the applicant meets the qualifications for the classifications, which includes passing the examinations for the classification requested by the applicant. The license granted to an applicant who meets the qualifications for all of the classifications set forth in the rules of this Section shall be designated "unclassified."

History

• Authority G.S. 87-1; 87-4; 87-10
• Eff. February 1, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. June 1, 1994; June 1, 1992; May 1, 1989; January 1, 1983
• Temporary Amendment Eff. February 18, 1997
• Amended Eff. April 1, 2014; June 1, 2011; September 1, 2009; April 1, 2004; April 1, 2003; August 1, 2002; April 1, 2001; August 1, 2000; August 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. September 1, 2019; April 1, 2018
• Recodified from 21 NCAC 12 .0202 Eff. January 2, 2020
• Temporary Amendment Eff. December 2, 2025
• Amended Eff. April 1, 2026; September 1, 2025; December 1, 2023; January 1, 2023; January 1, 2022.

Earlier captured 21 NCAC 12A .0211 {#publisher-history-005b68f04b1e25a2d70d-1000036 omnilex-key=us-nc-regs-official--title-21--21 NCAC 12A .0211--publisher-history-005b68f04b1e25a2d70d}

(a) If a project consists of the construction or alteration of one or more buildings that fall under the requirements of the North Carolina Building Code, all structures and units on the same parcel of land shall be considered as a single project.

(b) If a project consists of the construction or alteration of one or more buildings that fall under the requirements of the North Carolina Residential Code, only structures and units on the same parcel of land shall be considered as one project.

(c) The North Carolina State Building Code standards are hereby incorporated by reference, including subsequent amendments and editions. The current Code may be found online at http://www.ncdoi.com/OSFM/Engineering_and_Codes/Default.aspx?field1=Codes_-_Current_and_Past&user=State_Building_Codes.

History

• Authority G.S. 87-1; 87-4; 87-10
• Eff. August 11, 2009
• Amended Eff. April 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016
• Amended Eff. April 1, 2018
• Recodified from 21 NCAC 12 .0211 Eff. January 2, 2020.

Earlier captured 21 NCAC 14B .0605 {#publisher-history-0301d89bad5359a1dd06-1000037 omnilex-key=us-nc-regs-official--title-21--21 NCAC 14B .0605--publisher-history-0301d89bad5359a1dd06}

(a) All cosmetology licenses expiring on and after October 1, 2013 shall pay the renewal fee of thirty-nine dollars ($39.00) as required by G.S. 88B-20 and complete 24 hours of continuing education as required by G.S. 88B-21 to be eligible for license renewal.

(b) Upon renewal of a license expiring October 1, 2010, the Board shall issue a new license with staggered expiration dates. Licensees shall be divided into renewal groups by first digit of license number and shall pay prorated fees for renewal as follows:

History

• Authority G.S. 88B-20; 88B-21
• Eff. August 1, 1998
• Amended Eff. August 1, 2010
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

Earlier captured 21 NCAC 14D .0103 {#publisher-history-08a4f4be38c9c232e06b-1000038 omnilex-key=us-nc-regs-official--title-21--21 NCAC 14D .0103--publisher-history-08a4f4be38c9c232e06b}

A continuance shall be granted to all parties only upon showing of good cause. In determining whether to grant such motions, the Board shall consider the Guidelines for Resolving Scheduling Conflicts adopted by the State-Federal Judicial Council of North Carolina accessible at https://www.ca4.uscourts.gov/docs/pdfs/north-carolina-scheduling-conflict-guidelines.pdf?sfvrsn=d9bafe07_0. Motions for a continuance must be in writing and received in the office of the Board no less than 14 calendar days before the hearing date. A motion for a continuance filed less than 14 calendar days from the date of the hearing shall be denied unless the reason for the motion could not have been ascertained earlier. Motions for continuance shall be ruled on by the Board chair or designated presiding officer.

History

• Authority G.S. 150B-38(h); 150B-40
• Eff. February 1, 1976
• Amended Eff. January 1, 1989; April 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

Earlier captured 21 NCAC 14D .0105 {#publisher-history-0031447266c265a43a5e-1000039 omnilex-key=us-nc-regs-official--title-21--21 NCAC 14D .0105--publisher-history-0031447266c265a43a5e}

The Board shall make a decision on whether to reopen the petitioner's case based upon the merits of the petition or other pertinent information in the Board's possession. In determining whether to grant such motions, the Board shall consider the Guidelines for Resolving Scheduling Conflicts adopted by the State-Federal Judicial Council of North Carolina accessible at https://www.ca4.uscourts.gov/docs/pdfs/north-carolina-scheduling-conflict-guidelines.pdf?sfvrsn=d9bafe07_0. Motions to reopen must be in writing and received in the office of the Board no less than 14 calendar days before the hearing date. A motion to reopen filed less than 14 calendar days from the date of the hearing shall be denied unless the reason for the motion could not have been ascertained earlier. Motions for continuance shall be ruled on by the Board chair or designated presiding officer. A copy of the decision will be sent to the petitioner and made a part of the permanent record of the contested case.

History

• Authority G.S. 150B-38
• Eff. February 1, 1976
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Readopted Eff. April 1, 2026.

Earlier captured 21 NCAC 14H .0403 {#publisher-history-42a068a71e244fbde71f-1000040 omnilex-key=us-nc-regs-official--title-21--21 NCAC 14H .0403--publisher-history-42a068a71e244fbde71f}

(a) Disinfectant, as applicable in this Subchapter, is defined as a disinfectant that is EPA registered as effective against:

(1) bacteria including Staphylococcus aureus, MRSA, and pseudomonas aeruginosa;

(2) viruses including HIV, Hepatitis B and C;

(3) fungi including Trichophyton mentagrophytes; and

(4) human Coronavirus or SARS-CoV-2.

(b) Infection Control rules that apply to towels and cloths are as follows:

(1) clean protective capes, drapes, linens, and towels shall be used for each patron;

(2) after a protective cape has been in contact with a patron's neck it shall be placed in a clean, closed container until laundered with soap and hot water and dried in a heated dryer. Capes that cannot be laundered and dried in a heater dryer may be disinfected in accordance with the manufacturer directions; and

(3) after a drape, linen, or towel has been in contact with a patron's skin it shall be placed in a clean, container until laundered with soap and hot water and dried in a heated dryer.

(c) Any paper or nonwoven protective drape or covering shall be discarded after one use.

(d) There shall be a supply of clean protective drapes, linens, and towels at all times. Wet towels used in services shall be prepared fresh each day. Unused, prepared wet towels shall be laundered daily.

(e) Clean drapes, capes, linens, towels and all other supplies shall be stored in a clean area.

(f) Bathroom facilities shall be kept clean.

(g) All implements shall be cleaned and disinfected after each use in the following manner:

(1) They shall be washed with warm water and a cleaning solution and scrubbed to remove debris and dried.

(2) They shall be disinfected with disinfectant that is mixed and used according to the manufacturer's directions and manufacturer's contact time. They shall be rinsed with hot tap water and dried with a clean towel before their next use. They shall be stored in a clean, closed cabinet or container until they are needed.

(3) If the implement is shears, a razor, or not immersible, it shall be cleaned by wiping it with a clean cloth moistened or sprayed with a disinfectant used in accordance with the manufacturer's directions.

(h) All disinfected non-electrical implements shall be stored in a clean, closed cabinet or clean, closed container.

(i) All disinfected electrical implements shall be stored in a clean area separate from other clean implements.

(j) Disposable and porous implements and supplies shall be discarded after use or upon completion of the service.

(k) Product that comes into contact with the patron shall be discarded upon completion of the service.

(l) Containers with open faces may be covered or closed with plastic wrapping. Disinfected implements shall not be stored with any implement or item that has not been disinfected. Implements that have not been disinfected shall be stored in a container and labeled as soiled.

(m) Lancets, disposable razors, and other sharp objects shall be disposed in puncture-resistant containers.

(n) All creams, lotions, wax, cosmetics, and other products dispensed to come in contact with patron's skin shall be kept in clean, closed containers and shall conform in all respects to the requirements of the Federal Food, Drug, and Cosmetic Act as set forth in 21 U.S.C. 9 accessible at https://uscode.house.gov/view.xhtml?path=/prelim@title21/chapter9/subchapter6&edition=prelim. Any product apportioned for use and removed from original containers shall be distributed in a sanitary manner that prevents contamination of product or container. Any product dispensed in portions into another container shall be dispensed into a clean container and applied to patrons by means of a disinfected or disposable implement or other clean methods. Any product dispensed in portions not dispensed into another container shall be used immediately and applied to patrons by means of a disinfected or disposable implement or other clean methods. No product dispensed in portions may be returned to the original container.

(o) As used in this Rule, "whirlpool" or "footspa" means any basin using circulating water.

(p) After use by each patron each whirlpool or footspa shall be cleaned and disinfected as follows:

(1) all water shall be drained and all debris removed from the basin;

(2) the basin shall be disinfected by filling the basin with water and circulating a surfactant or enzymatic soap with a disinfectant used according to manufacturer's instructions through the unit for 10 minutes;

(3) the basin shall be drained and rinsed with clean water; and

(4) the basin shall be wiped dry with a clean towel.

(q) At the end of the day each whirlpool or footspa shall be cleaned and disinfected as follows:

(1) the screen shall be removed and all debris trapped behind the screen removed;

(2) the screen and the inlet must be washed with surfactant, enzymatic soap, or detergent and rinsed with clean water;

(3) before replacing the screen it shall be totally immersed in disinfectant in accordance to the manufacturer's instructions;

(4) the inlet and area behind the screen shall be cleaned with a brush and surfactant soap and water to remove all visible debris and residue; and

(5) the spa system shall be flushed with low sudsing surfactant, enzymatic soap, and warm water for at least 10 minutes and then rinsed and drained.

(r) A record shall be made of the date and time of each cleaning and disinfecting as required by this Rule including the date, time, reason, and name of the staff member who performed the cleaning. This record shall be made for each whirlpool or footspa and shall be kept and made available for at least 90 days upon request by either a patron or inspector.

(s) The water in a vaporizer machine shall be emptied daily and the unit disinfected daily after emptying.

(t) The area where services are performed that come in contact with the patron's skin including treatment chairs, treatment tables, and beds shall be disinfected between patrons.

(u) A manufacturers label for all products, cleaners, and disinfectant concentrate shall be available at all times. If a concentrate bottle is emptied, it shall remain available until a new bottle is available.

(v) When mixed disinfectant concentrate is placed in a secondary container such as a spray bottle, tub, or jar, that container shall be labeled to indicate what chemical is in the container. SDS sheets shall be available for all disinfectants in use at all times.

(w) Disinfectants shall be stored and disposed of in accordance with all local, State, and federal requirements.

(x) The cabinet and supplies of a towel warmer machine shall be emptied daily and the unit dried daily after emptying.

History

• Authority G.S. 88B-2; 88B-4; 88B-14
• Eff. April 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. April 1, 2023; September 1, 2021; September 1, 2020; October 1, 2019; March 1, 2018
• Readopted April 1, 2026.

Earlier captured 21 NCAC 14H .0504 {#publisher-history-1a7cf78dc5bfeb8ef8a8-1000041 omnilex-key=us-nc-regs-official--title-21--21 NCAC 14H .0504--publisher-history-1a7cf78dc5bfeb8ef8a8}

The system of grading the sanitary rating of cosmetic art schools and shops based on the rules set out in this Subchapter shall be as follows, setting out areas to be inspected and considered, and the maximum points given for compliance:

History

• Authority G.S. 88B-2; 88B-4; 88B-14; 88B-23; 88B-26
• Eff. April 1, 2012
• Amended Eff. August 1, 2014
• Readopted Eff. January 1, 2016
• Amended Eff. April 1, 2023; September 1, 2018
• Readopted Eff. April 1, 2026.

Earlier captured 21 NCAC 14T .0501 {#publisher-history-fb069b78fde4f7b98083-1000042 omnilex-key=us-nc-regs-official--title-21--21 NCAC 14T .0501--publisher-history-fb069b78fde4f7b98083}

All cosmetic art schools shall submit to the Board the completed, original Board form as defined in Rule .0502(a), (t), and (v) of this Subchapter for each student including enrollment, transfer, withdrawal and graduation. Cosmetic art student forms shall be submitted to the Board within the required time frame established in the following table.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Amended Eff. December 1, 2023
• Readopted Eff. April 1, 2026.

Earlier captured 21 NCAC 14T .0607 {#publisher-history-7a3af64866a5b30b89b1-1000043 omnilex-key=us-nc-regs-official--title-21--21 NCAC 14T .0607--publisher-history-7a3af64866a5b30b89b1}

(a) A cosmetologist teacher training course shall consist of at least 800 hours of instruction in theory and practical application, divided as follows:

(b) Trainees shall receive a minimum of 150 hours of guided or independent theory prior to providing any instruction in a cosmetic art classroom.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• Readopted Eff. January 1, 2016
• Amended Eff. April 1, 2023; October, 1, 2019
• Readopted Eff. April 1, 2026.

Earlier captured 21 NCAC 14T .0608 {#publisher-history-eab91d9ef3abac063aa0-1000044 omnilex-key=us-nc-regs-official--title-21--21 NCAC 14T .0608--publisher-history-eab91d9ef3abac063aa0}

(a) An esthetician teacher training course shall consist of at least 650 hours of instruction in theory and practical application, divided as follows:

(b) Trainees shall receive a minimum of 120 hours of guided or independent theory prior to providing any instruction in a cosmetic art classroom.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• *Readopted Eff. January 1, 2016 *
• Amended Eff. April 1, 2023; October 1, . 2019
• Readopted Eff. April 1, 2026.

Earlier captured 21 NCAC 14T .0609 {#publisher-history-5ce8a0d81ef69917a4af-1000045 omnilex-key=us-nc-regs-official--title-21--21 NCAC 14T .0609--publisher-history-5ce8a0d81ef69917a4af}

(a) A manicurist teacher training course shall consist of at least 320 hours of instruction in theory and practical application, divided as follows:

(b) Trainees shall receive a minimum of 115 hours of guided or independent theory prior to providing any instruction in a cosmetic art classroom.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• Readopted Eff. January 1, 2016
• Amended Eff. April, 1, 2023; October 1, 2019
• Readopted Eff. April 1, 2026.

Earlier captured 21 NCAC 14T .0610 {#publisher-history-3052e30b8d557b97bf64-1000046 omnilex-key=us-nc-regs-official--title-21--21 NCAC 14T .0610--publisher-history-3052e30b8d557b97bf64}

(a) A natural hair care teacher training course shall consist of at least 320 hours of instruction in theory and practical application, divided as follows:

(b) Trainees shall receive a minimum of 115 hours of guided or independent theory prior to providing any instruction in a cosmetic art classroom.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. January 1, 2012
• Readopted Eff. January 1, 2016
• Amended Eff. April 1, 2023; October 1, 2019
• Readopted Eff. April 1, 2026.

Earlier captured 21 NCAC 14T .0701 {#publisher-history-527b7dfc2c54c23c21e7-1000047 omnilex-key=us-nc-regs-official--title-21--21 NCAC 14T .0701--publisher-history-527b7dfc2c54c23c21e7}

(a) No individual shall be given credit for any hours earned in a cosmetic art school before the date the school is granted a license, before the student is enrolled, or after graduation or withdrawal of the student without a new enrollment.

(b) All cosmetic art schools shall submit hours of operation per cosmetic art discipline to the Board. Any changes to the hours of operation shall be submitted to the Board. A school shall be considered open by the Board when cosmetic art instruction, services, or performances are provided.

(c) Students may be required to clean and disinfect work areas, reception areas, implements, and the dispensary. Students shall not be required to perform maintenance as defined in 21 NCAC 14T .0201.

(d) All cosmetic art schools shall adhere to all Board Sanitation Rules located in 21 NCAC 14H.

(e) Cosmetic art schools may permit students to leave the cosmetic art school during instructional time to visit on-campus libraries and other educational resource rooms such as computer labs for research and study under the supervision of a cosmetic art instructor.

(f) Cosmetic art schools shall use the following grading scale for minimum passing grades:

(g) Cosmetic art schools may adopt a higher grading scale.

(h) In order to graduate, all students shall meet the minimum school and Board requirements as set forth in Rules .0602-.0610 of this Subchapter.

(i) Written examination shall be administered in the cosmetic art curriculum.

(j) Students present at school shall be supervised by a cosmetic art teacher. If a guest lecturer is leading a class, at least one cosmetic art teacher shall be present in the lecture.

(k) All cosmetic art schools shall provide:

(1) One teacher for every 25 students enrolled in the practice department;

(2) One teacher for every 20 students during practical work on live models in the clinic department; and

(3) Each cosmetic art teacher may have up to five teacher trainees, in addition to the ratios set forth in Subparagraphs (k)(1) and (2) of this Rule.

(l) In theory classes, the teacher-student ratio may exceed the ratios established in this Rule. A teacher may administer instruction to up to 10 students in practice and clinic departments at the same time.

(m) At no time can any one teacher be simultaneously responsible for teaching students in a theory class and monitoring students in practice or on the clinic floor.

(n) In cases of change in teaching staff, the school shall notify the Board of the change in writing prior to beginning instruction. A change in teaching staff includes any substitution for the regularly scheduled teacher and any change, scheduled or otherwise, in the list of teachers last given to the Board.

(1) All courses in a cosmetic art school shall be taught by an onsite licensed cosmetology teacher, and student performances completed on the clinic floor shall be supervised by an onsite cosmetology teacher, except as follows:

(A) manicuring courses, theory, and performances shall be taught by either an onsite licensed cosmetology teacher or an onsite licensed manicurist teacher;

(B) natural hair care courses, theory, and performances shall be taught by either an onsite licensed cosmetology teacher or an onsite licensed natural hair care teacher;

(C) esthetics courses, theory, and performances shall be taught by either an onsite licensed cosmetology teacher or an onsite licensed esthetician teacher.

(2) A licensed cosmetologist not licensed as a cosmetology teacher may substitute for a cosmetology, esthetician, natural hair care, or manicurist teacher; a licensed manicurist not licensed as a manicurist teacher may substitute for a manicurist teacher; a licensed natural hair care specialist not licensed as a natural hair care teacher may substitute for a natural hair care teacher; and a licensed esthetician not licensed as an esthetician teacher may substitute for an esthetician teacher.

(o) In no event may any cosmetic art licensee substitution last for more than 15 consecutive working days per year per teacher. If any teacher substitution is 16 consecutive days or longer, the school shall provide a new cosmetic art teacher.

(p) Enrolled students may earn a maximum of 10 hours per day per discipline of cosmetic art and a maximum of 48 hours per week per discipline. Online education can be earned in addition to the maximum daily and weekly hours. A student enrolled in more than one cosmetic art discipline may not earn hours or complete performances concurrently.

(q) The Board shall certify student hours for any North Carolina cosmetic art school that is closed. The Board shall not certify student hours between any North Carolina open cosmetic art schools. The Board shall certify student hours earned at North Carolina cosmetic art schools to other state boards and schools open outside of the state of North Carolina as set forth in Rule .0502 of this Subchapter.

History

• Authority G.S. 88B-2; 88B-4; 88B-16
• Eff. February 1, 2012
• Amended Eff. August 1, 2014; June 1, 2013; October 1, 2012
• Readopted Eff. January 1, 2016
• Amended Eff. April 1, 2023; March 1, 2022; October 1, 2019; December 1, 2016
• Readopted Eff. April 1, 2026.

Earlier captured 21 NCAC 16H .0106 {#publisher-history-99bf72fa13e089c4d222-1000048 omnilex-key=us-nc-regs-official--title-21--21 NCAC 16H .0106--publisher-history-99bf72fa13e089c4d222}

(a) All instructors of a dental radiology course shall successfully complete a Board-approved instructor's course that covers the following topics:

(1) foundational concepts of teaching including developing a syllabus, establishing course objectives, adjusting to different learning styles, and developing grading criteria;

(2) a review of basic radiography, including:

(A) radiation history and physics;

(B) radiography techniques;

(C) radiography errors;

(D) radiography equipment, including hand-held devices;

(E) patient protection; and

(F) anatomy;

(3) a review of sanitation, sterilization, and infection control standards and techniques, including the Rules in Subchapter 16J;

(4) guidance on educational activities designed for the laboratory portion of the dental radiography course including demonstrations of shadow casting, paralleling technique, patient shielding and safe operator distancing; evaluation of occupational dose limits, and labeling diagrams of radiography equipment;

(5) administration of written examinations to students;

(6) examination of students' clinical skills in the laboratory including:

(A) evaluation and correction of student errors in radiographs;

(B) explanation of the physics and geometry of bisecting and paralleling techniques; and

(C) demonstration and explanation to students of inaccuracies in angulation;

(7) a review of the requirements set forth in the following:

(A) 21 NCAC 16H .0105 of this Section;

(B) 10A NCAC 15;

(C) The Radiation Protection Guide for medical, dental, and veterinary arts published by the Radiation Protection Section of the Division of Health Services of the North Carolina Department of Health and Human Services available at no cost at https://radiation.ncdhhs.gov/xray/documents/healartsprog.pdf;

(D) The Hand-Held Dental X-Ray Guide published by the Radiation Protection Section of the Division of Health Services of the North Carolina Department of Health and Human Services available at no cost at https://radiation.ncdhhs.gov/xray/documents/handhelddentgud.pdf; and

(E) Entrance Skin Exposure Facts - Dental published by the Radiation Protection Section of the Division of Health Services of the North Carolina Department of Health and Human Services available at no cost at https://radiation.ncdhhs.gov/xray/documents/eseguide.pdf

(b) The instructor course may apply toward fulfillment of the continuing education requirements, including the requirements of 21 NCAC 16H .0105(b)(6)(B), and all existing dental radiology instructors must successfully complete the instructor course on or before December 31, 2028.

(c) Beginning on January 1, 2029, all instructors must complete a Board-approved instructor's course before teaching a dental radiology course.

History

• Authority G.S. 90-29(c)(12); 90-48
• Eff. August 1, 2026.

Earlier captured 21 NCAC 16H .0203 {#publisher-history-a1c62d62df748b91aa25-1000049 omnilex-key=us-nc-regs-official--title-21--21 NCAC 16H .0203--publisher-history-a1c62d62df748b91aa25}

(a) A Dental Assistant II may perform all acts or procedures that may be performed by a Dental Assistant I as set forth in 21 NCAC 16H .0201. In addition, a Dental Assistant II may be delegated the following functions to be performed under the direct control and supervision of a dentist who shall be responsible for any and all consequences or results arising from the performance of such acts and functions, provided that the dentist first examined the patient and prescribed the procedure:

(1) taking impressions for study models and opposing casts that may be used for the construction of temporary or permanent dental appliances, adjustable orthodontic appliances, nightguards and the repair of dentures or partials;

(2) applying sealants to teeth that do not require mechanical alteration prior to the application of such sealants;

(3) inserting matrix bands and wedges;

(4) placing cavity bases and liners;

(5) placing and removing rubber dams;

(6) cementing temporary restorations using temporary cement;

(7) applying acid etch materials and rinses;

(8) applying bonding agents;

(9) removing periodontal and surgical dressings;

(10) removing sutures;

(11) placing and removing gingival retraction cord;

(12) removing excess cement with hand scaler supragingivally;

(13) flushing, drying, and temporarily closing root canals or pulpotomies;

(14) placing and removing temporary restorations;

(15) placing and tying in or untying and removing orthodontic arch wires, ligature wires, or lock pins;

(16) inserting interdental spacers;

(17) fitting (sizing) orthodontic bands or brackets;

(18) applying dentin desensitizing solutions;

(19) performing extra-oral adjustments that affect function, fit, or occlusion of any restoration or appliance;

(20) initially forming and sizing orthodontic arch wires and placing arch wires after final adjustment and approval by the dentist;

(21) polishing the clinical crown, pursuant to Paragraph (b) of this Rule using only:

(A) a hand-held brush and polishing agents; or

(B) a combination of a slow speed handpiece (not to exceed 10,000 rpm) with attached rubber cup or bristle brush, and polishing agents;

(22) exposing radiographs and cone beam images;

(23) polishing removable appliances extra-orally;

(24) preparing and loading amalgam in carrier;

(25) measuring pulse, blood pressure, and temperature;

(26) using micro-etcher extra-orally;

(27) placing a throat shield in oropharynx during administration of general anesthesia;

(28) delivering dentures to patient for insertion, provided the dentist approves the denture placement; or

(29) removing or replacing healing abutments or cover screws for implants that may be accessed supragingivally.

(b) A Dental Assistant II shall complete a course in coronal polishing identical to that taught in an ADA accredited dental assisting program, or by a licensed North Carolina hygienist or dentist lasting at least seven clock hours before using a slow speed handpiece with rubber cup or bristle brush attachment. The course shall include instruction on dental morphology, the periodontal complex, operation of handpieces, polish aids, and patient safety. A list of ADA accredited programs offering courses in coronal polishing, which is incorporated by reference along with its subsequent amendments and editions, is available at no cost on the American Dental Association's website at http://www.ada.org/en/coda/find-a-program. A coronal polishing procedure shall not be represented to the patient as a prophylaxis. No coronal polishing procedure may be billed as a prophylaxis unless the dentist has performed an evaluation for calculus, deposits, or accretions and a dentist or dental hygienist has removed any substances detected.

History

• Authority G.S. 90-29(c)(9); 90-41; 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. August 1, 2016; April 1, 2015; January 1, 2014; September 1, 2009; September 1, 2008; August 1, 2000; October 1, 1996; January 1, 1994; May 1, 1989; October 1, 1985; March 1, 1985
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. April 1, 2018.

Earlier captured 21 NCAC 16J .0101 {#publisher-history-ff05dfcd700b48e83fb9-1000050 omnilex-key=us-nc-regs-official--title-21--21 NCAC 16J .0101--publisher-history-ff05dfcd700b48e83fb9}

(a) The premises of a dental facility shall be kept free of rubbish and any substances that create a hazard, as follows:

(1) all floors shall be free of obstacles to cleaning;

(2) reception areas, hallways, treatment areas, office facilities, and other walking surfaces shall be free of obstruction;

(3) all equipment and instruments that have been used for patient dental care shall be handled in accordance with Rule .0103 of this Subchapter; and

(4) solid wastes and medical wastes shall be handled and disposed of in accordance with 15A NCAC 18A .1300, which is incorporated by reference, including subsequent amendments.

(b) The premises shall be kept free of all insects and vermin.

(c) Water shall be piped under pressure to all equipment and fixtures where the use of water is required. The water supply shall meet the requirements in 15A NCAC 18A .1700 or 15A NCAC 18C, which are incorporated by reference, including subsequent amendments.

(d) All plumbing shall comply with applicable local plumbing ordinances and with the North Carolina State Plumbing Code, which is incorporated by reference, including subsequent amendments and editions, and is available at no cost online at https://www.ncosfm.gov/codes/codes-current-and-past.

(e) Comfortable and sanitary conditions for patients and employees shall be maintained at all times, as follows:

(1) floors, including carpeted areas, shall be kept clean, dry, odor free, and in good repair;

(2) walls and ceilings shall be kept clean and in good repair;

(3) doors, windows, and window treatments shall be kept clean and in good repair;

(4) equipment, furniture, and light fixtures, including in reception areas, shall be kept clean and in good repair;

(5) rooms shall be heated, cooled, and ventilated to maintain a temperature between 65°F (19°C) and 85°F (30°C), and ventilation equipment shall be kept clean and in good repair; and

(6) moisture shall be controlled such that there is no evidence of microbial growth on interior surfaces and objects.

(f) All liquid and human waste, including floor wash water, shall be disposed of through trapped drains into a public sanitary sewer system in localities where such system is available. In localities where a public sanitary system is not available, liquid and human waste shall be disposed of in accordance with 15A NCAC 18A .1300 and 15A NCAC 18C.

(g) There shall be functioning toilet facilities on the premises of every dental office. The toilet facilities and fixtures shall be kept clean and in good repair, and shall conform to standards set out in 15A NCAC 18A .1300.

(h) No animals shall be allowed in any area of a dental office where clinical work is being performed, except service animals in accordance with G.S. 168-4.2 and the Americans with Disabilities Act, or certified facility dogs. For purposes of this Rule, a "certified facility dog" shall be defined as a dog that is trained and certified by a program that is accredited by or a member of Assistance Dogs International, Animal Assisted Intervention International, or a similar organization whose purpose is to promote standards of training, placement, and utilization of assistance dogs (an "assistance dog program"). While in the dental office, the facility dog shall be handled by a dentist, dental hygienist, dental assistant, or other employee designated by the dentist who is trained and certified by an assistance dog program.

(i) For purposes of this Rule, "clean" means washed and free from dirt, grime, bodily fluids or tissue, foreign material, or unwanted matter. "Good repair" means capable of being cleaned and used for its intended purpose in a safe manner.

History

• Authority G.S. 90-41(a)(23); 90-48
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. April 1, 2015; May 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2021.

Earlier captured 21 NCAC 16J .0103 {#publisher-history-a8a70f67b2f8dfebe769-1000051 omnilex-key=us-nc-regs-official--title-21--21 NCAC 16J .0103--publisher-history-a8a70f67b2f8dfebe769}

(a) All instruments or equipment used in the treatment of dental patients shall be sterilized according to manufacturer specifications.

(b) All settings in which licensees engage in the practice of dentistry or dental hygiene ("dental settings") shall comply with the recommendations and guidelines of the Centers for Disease Control and Prevention ("CDC") for infection prevention and control directed at or applicable to dental settings. The CDC recommendations and guidelines are incorporated by reference, including subsequent amendments and editions, and are available at no cost online at https://www.cdc.gov.

(c) All licensees are responsible for utilizing and maintaining sterilization and infection control techniques and precautions as required by this Rule to prevent the cross contamination and transmission of infection to all persons.

History

• Authority G.S. 90-41(a)(23); 90-48; 90-233(a5)
• Eff. September 3, 1976
• Readopted Eff. September 26, 1977
• Amended Eff. February 1, 2008; May 1, 1991
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2021.

Earlier captured 21 NCAC 16Q .0103 {#publisher-history-839c91e452cdedbfe676-1000052 omnilex-key=us-nc-regs-official--title-21--21 NCAC 16Q .0103--publisher-history-839c91e452cdedbfe676}

(a) Before administering general anesthesia, moderate conscious sedation, or moderate pediatric conscious sedation ("anesthesia or moderate sedation"), or supervising a CRNA to administer or an RN employed to deliver anesthesia or moderate sedation, a dentist shall hold an unexpired permit issued by the Board in accordance with this Subchapter permitting the dentist to administer that level of sedation.

(b) Before performing sedation procedures in a facility other than a hospital or credentialed surgery center, the permit holder shall ensure that the Board has been notified that the permit holder intends to administer anesthesia or moderate sedation at the facility and shall ensure that the facility has passed a facility inspection by the Board in accordance with this Subchapter. For purposes of these Rules, "credentialed surgery center" means a surgical facility accredited by the Joint Commission on Accreditation of Healthcare Organizations, the Accreditation Association for Ambulatory Health Care, or the American Association for Accreditation of Ambulatory Surgery Facilities.

(c) The permit holder shall ensure that the facility where the sedation procedure is to be performed meets the following requirements at the time of the procedure:

(1) The permit holder shall ensure the facility is equipped as follows and that the following listed equipment is immediately available and accessible from the operatory and recovery rooms:

(A) an operatory of size and design to permit access of emergency equipment and personnel and to permit emergency management;

(B) a CPR board or dental chair suitable for providing emergency treatment;

(C) lighting as necessary for the procedure to be performed, and back-up lighting;

(D) suction equipment as necessary for the procedure to be performed, including non-electrical back-up suction;

(E) positive pressure oxygen delivery system, including full face masks for small, medium, and large patients, and back-up E-cylinder portable oxygen tank apart from the central system;

(F) small, medium, and large oral and nasal airways;

(G) a blood pressure monitoring device;

(H) an EKG monitor;

(I) a pulse oximeter;

(J) an automatic external defibrillator (AED);

(K) a capnograph;

(L) a precordial or pretracheal stethoscope;

(M) a thermometer;

(N) vascular access set-up as necessary for the procedure to be performed, including hardware and fluids;

(O) a laryngoscope with working batteries;

(P) intubation forceps and advanced airway devices;

(Q) tonsillar suction with back-up suction;

(R) syringes as necessary for the procedure to be performed; and

(S) tourniquet and tape.

(2) The permit holder shall ensure all monitoring and other equipment in the facility receives preventive maintenance no less frequently than once per year, including safety and function checks per the manufacturers' recommendations. The permit holder shall maintain documentation of all preventive maintenance performed, and shall ensure equipment is replaced upon its expiration or as clinically required.

(3) The permit holder shall ensure the following unexpired drugs are immediately available and are accessible from the operatory and recovery rooms:

(A) epinephrine;

(B) atropine;

(C) an antiarrhythmic;

(D) an antihistamine;

(E) an antihypertensive;

(F) a bronchodilator;

(G) an antihypoglycemic agent;

(H) a vasopressor;

(I) a corticosteroid;

(J) an anticonvulsant;

(K) appropriate reversal agents;

(L) nitroglycerine; and

(M) an antiemetic.

(4) The permit holder shall maintain written emergency and patient discharge protocols accessible from the operatory and recovery rooms. The written emergency manual shall include a protocol for activation of emergency management services for life-threatening complications along with the information set out in Rule .0101(17) of this Section.

(5) The permit holder shall satisfy any additional facility requirements applicable to the level of the permit, as set out in Rule .0202, .0206, .0302, or .0405 of this Subchapter.

(d) The permit holder shall ensure that the following staffing, education, and training requirements are met prior to performing a sedation procedure:

(1) The permit holder shall provide training to familiarize all auxiliaries in the treatment of clinical emergencies including the following, and shall review and practice responding to clinical emergencies with all auxiliaries as a team and in person every six months;

(A) airway obstruction;

(B) allergic reactions;

(C) angina pectoris;

(D) apnea;

(E) bradycardia;

(F) bronchospasm;

(G) cardiac arrest;

(H) convulsions;

(I) emesis and aspiration;

(J) hypertension;

(K) hypoglycemia;

(L) hypotension;

(M) hypoventilation and respiratory arrest;

(N) hypoxemia and hypoxia;

(O) laryngospasm;

(P) myocardial infarction; and

(Q) syncope.

(2) All auxiliaries in the facility shall be BLS certified.

(3) Except as set out in Subparagraph (d)(4) of this Rule, the permit holder performing the surgery or other dental procedure shall ensure that an RN or a BLS-certified auxiliary is dedicated to patient monitoring and recording anesthesia or sedation data throughout the sedation procedure.

(4) The requirement set out in Subparagraph (d)(3) of this Rule shall not apply if the permit holder or an additional sedation provider is dedicated to patient care and monitoring regarding anesthesia or moderate sedation throughout the sedation procedure and is not performing the surgery or other dental procedure. The additional sedation provider shall be:

(A) a dentist holding a permit or mobile permit in satisfaction of this Subchapter to administer the anesthesia or sedation level at the facility where the sedation procedure is performed;

(B) an anesthesiologist licensed and practicing in accordance with the rules of the North Carolina Medical Board; or

(C) a CRNA licensed and practicing in accordance with the rules of the North Carolina Board of Nursing, under the supervision and direction of the permit holder who shall ensure the level of sedation administered does not exceed the level of the sedation allowed by the permit holder's permit.

(5) The permit holder shall satisfy any additional staffing, education, and training requirements applicable to the level of the permit, as set out in Rule .0202, .0302, or .0405 of this Subchapter.

(e) Before starting any sedation procedure, the permit holder shall conduct a pre-operative patient evaluation which shall include the following:

(1) evaluating the patient for health risks relevant to the potential sedation procedure;

(2) evaluating the patient's food and fluid intake following the ASA guidelines for pre-operative fasting applicable to elective procedures involving the administration of anesthesia or moderate sedation. The ASA guidelines are incorporated by reference, including subsequent amendments and editions, and may be accessed at https://www.asahq.org at no cost; and

(3) satisfying any additional requirements for pre-operative patient evaluation and procedures applicable to the level of the permit, as set out in Rule .0202, .0302, or .0405 of this Subchapter.

(f) During the sedation procedure:

(1) Prescriptions intended to accomplish procedural sedation, including enteral dosages, shall be administered only under the direct supervision of the permit holder.

(2) If IV sedation is used, IV infusion shall be administered before the start of the procedure and maintained until the patient is ready for discharge.

(3) Capnography shall be used to monitor patients unless an individual patient's behavior or condition prevents use of capnography. In that event, the permit holder shall document in the sedation record the clinical reason capnography could not be used.

(4) The permit holder shall ensure the patient's baseline vital signs are taken and recorded, including temperature, SPO2, blood pressure, and pulse.

(5) The permit holder shall ensure the patient's blood pressure, oxygen saturation, ET CO2 (unless capnography cannot be used), pulse, and respiration rates ("vital sign information") are monitored continuously in a manner that enables the permit holder to view vital sign trends throughout the procedure.

(6) The permit holder shall ensure the intraoperative vital sign information is recorded on the anesthesia or sedation record contemporaneously throughout the procedure in intervals of five minutes or less for patients over twelve years old, and in intervals of ten minutes or less for pediatric patients twelve years old or younger.

(7) The permit holder shall satisfy any additional requirements for operative procedures applicable to the level of the permit, as set out in Rule .0202, .0302, or .0405 of this Subchapter.

(g) Post-operative monitoring and discharge shall include the following:

(1) The permit holder or an auxiliary under his or her direct supervision shall monitor the patient's post-operative vital sign information until the patient is recovered and is ready for discharge from the office. Recovery from anesthesia or moderate sedation shall include documentation of the following:

(A) stable cardiovascular function;

(B) uncompromised airway patency;

(C) patient arousable and protective reflexes intact;

(D) state of hydration within normal limits;

(E) patient can talk, if applicable;

(F) patient can sit unaided, if applicable;

(G) patient can ambulate with minimal assistance, if applicable; and

(H) for a special needs patient, the pre-sedation level of responsiveness or the level as close as possible for that patient shall be achieved.

(2) Before allowing the patient to leave the office, the permit holder shall determine that the patient has met the recovery criteria set out in Subparagraph (g)(1) of this Rule and the following discharge criteria:

(A) oxygenation, circulation, activity, skin color, and level of consciousness are stable and have been documented;

(B) explanation and documentation of written post-operative instructions have been provided to the patient or a person responsible for the patient at time of discharge; and

(C) a person authorized by or responsible for the patient is available to transport the patient after discharge.

(h) The permit holder shall maintain the following in the patient treatment records for 10 years:

(1) the patient's current written medical history, including known allergies and previous surgeries;

(2) a pre-operative assessment as set out in Paragraph (e) of this Rule;

(3) consent to the procedure and to the anesthesia or sedation, signed by the patient or guardian, identifying the procedure and its risks and benefits, the level of anesthesia or sedation and its risks and benefits, and the date signed;

(4) the anesthesia or sedation record that shall include:

(A) the patient's baseline vital signs and intraoperative vital sign information as set out in Subparagraphs (f)(4)-(6) of this Rule;

(B) the printed or downloaded vital sign information from the capnograph. A permit holder's failure to maintain capnograph documentation, except as set out in Subparagraph (f)(3) of this Rule, shall be deemed a failure to monitor the patient as required pursuant to this Subchapter;

(C) procedure start and end times;

(D) gauge of needle and location of IV on the patient, if used;

(E) the total amount of any local anesthetic administered during the procedure;

(F) any analgesic, sedative, pharmacological, or reversal agent, or other drugs administered during the procedure, including route of administration, dosage, strength, time, and sequence of administration, with separate entries for each increment of medication that is titrated to effect;

(G) documentation of complications or morbidity, and clinical responses; and

(H) status of patient upon discharge, including documentation of satisfying the requirements set out in Paragraph (g) of this Rule; and

(5) any additional documentation applicable to the level of the permit, as set out in Rule .0202, .0302, or .0405 of this Subchapter.

History

• Authority G.S. 90-28; 90-30.1; 90-31.1; 90-48
• Eff. June 17, 2024.

Earlier captured 21 NCAC 16Q .0301 {#publisher-history-04c1c99cb54011a5ef81-1000053 omnilex-key=us-nc-regs-official--title-21--21 NCAC 16Q .0301--publisher-history-04c1c99cb54011a5ef81}

(a) Before a dentist licensed to practice in North Carolina may administer or supervise a CRNA employed to administer, or an RN employed to deliver, moderate conscious sedation, the dentist shall obtain a permit from the Board by completing the application requirements in this Rule and paying a fee of three hundred seventy-five dollars ($375.00) that includes the one-hundred dollar ($100.00) application fee and the two-hundred seventy-five dollar ($275.00) inspection fee. The permit shall be renewed annually and shall be displayed with the current renewal at all times in the facility of the permit holder where it is visible to patients receiving treatment.

(b) The permit holder shall provide supervision to any CRNA employed to administer, or an RN employed to deliver, sedation, and shall ensure that the level of the sedation does not exceed the level of the sedation allowed by the permit holder's permit.

(c) A dentist applying for a permit to administer moderate conscious sedation shall provide documentation of the following:

(1) Training that may consist of either:

(A) Course: Completion of 60 hours of Board approved didactic training in intravenous conscious sedation, and 30 hours of clinical training that shall include a record of the applicant's individual management of all aspects of intravenous moderate sedation for a minimum of 20 live patients, under supervision of the course instructor. BLS training shall not count toward the required hours. Course training shall meet the requirements of the American Dental Association Guidelines for Teaching Pain Control and Sedation to Dentists and Dental Students for moderate sedation that are hereby incorporated by reference, including subsequent amendments and editions. The guidelines may be found at https://www.ada.org/-/media/project/ada-organization/ada/ada-

org/files/resources/library/oral-health topics/ada_sedation_teaching_guidelines.pdf at no charge. The course director shall provide a written certification of the applicant's competence in moderate sedation techniques and medications, and in rescuing patients from a deeper level of sedation than moderate, including managing the airway, intravascular or intraosseous access, and use of reversal medications; or

(B) Program: Completion of a pre-doctoral dental or postgraduate program that included intravenous conscious sedation training equivalent to that defined in Part (c)(1)(A) of this Rule;

(2) Unexpired ACLS certification; and

(3) All auxiliaries involved in sedation procedures that have unexpired BLS certification.

(d) All applicants for a moderate conscious sedation permit shall be in good standing with the Board.

(e) Prior to issuance of a moderate conscious sedation permit, the applicant shall pass an evaluation and a facility inspection. The applicant shall be responsible for passing the evaluation and inspection of his or her facility.

(f) A dentist who holds a moderate conscious sedation permit shall not (i) intentionally administer deep sedation; (ii) otherwise administer medications in a manner that induces deep sedation more than two times in one year; or (iii) administer reversal agents without documented clinical justification.

(g) A moderate conscious sedation permit holder may provide moderate conscious sedation at the office of another licensed dentist, regardless of the permit, if any held, by the hosting dentist. The moderate conscious sedation permit holder shall ensure that the facility where the moderate conscious sedation is administered has been inspected and complies with the requirements set out in Rules .0103 and .0302 of this Subchapter. The moderate conscious sedation permit holder shall also obtain an itinerant moderate conscious sedation permit and comply with the requirements of Rule .0304 of this Section.

History

• Authority G.S. 90-30.1; 90-39; 90-48
• Eff. February 1, 1990
• Amended Eff. April 1, 2001; August 1, 2000; January 1, 1994
• Temporary Amendment Eff. December 11, 2002
• Amended Eff. June 1, 2017; July 1, 2010, July 3, 2008; August 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. December 1, 2025; August 1, 2024; February 1, 2019; August 1, 2018.

Earlier captured 21 NCAC 16V .0101 {#publisher-history-8d6d7ca449f3d5b07e9d-1000054 omnilex-key=us-nc-regs-official--title-21--21 NCAC 16V .0101--publisher-history-8d6d7ca449f3d5b07e9d}

Unprofessional conduct by a dentist as set out in G.S. 90-41(a)(26) shall include the following:

(1) having professional discipline imposed, including the denial of licensure, by the dental licensing authority of another state, territory, or country. For purposes of this Rule, the surrender of a license under threat of disciplinary action shall be considered the same as if the licensee had been disciplined;

(2) presenting false or misleading testimony, statements, omissions, or records in any communication to the Board or the Board's investigators, employees, or agents regarding any matter subject to the provisions of the Dental Practice Act or Dental Hygiene Act;

(3) being convicted of or entering a plea of guilty or nolo contendere to any charge for a crime that is violent or sexual in nature;

(4) violating any order of the Board previously entered in a disciplinary hearing, or failing to comply with a subpoena of the Board;

(5) conspiring with any person to commit an act, or committing an act that would coerce, intimidate, or preclude any patient or witness from testifying against a licensee in any disciplinary hearing, or retaliating in any manner against any patient or other person who testifies or cooperates with the Board during any investigation under the Dental Practice or Dental Hygiene Acts;

(6) failing to identify to a patient, patient's guardian, or the Board the name of an employee, employer, contractor, or agent who renders dental treatment or services upon request;

(7) prescribing, procuring, dispensing, or administering any controlled substance for personal use, which does not include those prescribed, dispensed, or administered by a practitioner authorized to prescribe them;

(8) pre-signing blank prescription forms or using pre-printed or rubber stamped prescription forms containing the dentist's signature or the name of any controlled substance;

(9) forgiving the co-payment provisions of any insurance policy, insurance contract, health prepayment contract, health care plan, or nonprofit health service plan contract by accepting the payment received from a third party as full payment, unless the dentist discloses to the third party that the patient's payment portion will not be collected;

(10) failing to provide radiation safeguards required by the State Department of Health and Human Services, the federal Occupational and Safety Health Administration, the Food and Drug Administration, or the Environmental Protection Agency;

(11) having professional connection with or lending one's name to the unlawful practice of dentistry, including as set forth in G.S. 90-41(a)(9);

(12) using the name of any deceased or retired dentist on any office door, directory, stationery, bill heading, or any other means of communication any time after one year following the death or retirement from practice of said dentist;

(13) failing to comply with any provision of any contract or agreement with the Caring Dental Professionals Program;

(14) failing to submit a truthful response to a notice of complaint filed against the licensee with the Board, or to any related request, accompanied by a signed verification on a form provided by the Board with the notice or request, within the time allowed by the Board;

(15) failing to notify the Board of a change in current primary physical address, which shall be either a personal address or a business address at the licensee's election, within 10 business days;

(16) permitting more than two dental hygienists for each licensed dentist in the office to perform clinical hygiene tasks, as set forth in G.S. 90-233(b);

(17) failing to produce diagnostic radiographs or other treatment records on request of the Board or its investigator;

(18) soliciting employment of potential patients in person or by telephone or permitting or directing another to do so;

(19) giving or accepting anything of value in exchange for a promise to refer or referral of potential patients;

(20) failing to offer 30 days of emergency care upon dismissing a patient from a dental practice;

(21) withholding or refusing to complete a treatment procedure for an existing patient conditioned upon payment of an outstanding balance;

(22) using protected health information, as defined by 45 CFR 160.103, to solicit potential patients;

(23) making misleading or untruthful statements for the purpose of procuring potential patients, or directing or allowing an employee or agent to do so;

(24) committing any act that results in harm to a patient, employee, or independent contractor in connection with the provision of dental services and violates State or federal statutes, rules, or regulations, such as the Health Insurance Portability and Accountability Act;

(25) refusing to permit a Board agent or employee to conduct a sterilization inspection;

(26) acquiring any controlled substance from any source by fraud, deceit or misrepresentation;

(27) practicing outside the scope of dentistry, as set forth in G.S. 90-29;

(28) committing any act that violates State or federal statutes or regulations governing controlled substances; and

(29) committing any act that would constitute civil assault or civil battery in connection with the provision of dental services. The North Carolina Pattern Jury Instructions for Civil 800.50, Assault, and for Civil 800.51, Battery, are hereby incorporated by reference, including subsequent amendments and editions. These documents may be accessed at no cost at https://www.sog.unc.edu/resources/microsites/north-carolina-pattern-jury-instructions/north-carolina-pattern-jury-instructions-civil-cases.

History

• Authority G.S. 90-22(a); 90-28; 90-29; 90-40; 90-40.1; 90-41; 90-48; 90-223(b)
• Eff. August 1, 1998
• Amended Eff. August 1, 2016; July 1, 2015; October 1, 2001; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. July 1, 2022; November 1, 2019.

Earlier captured 21 NCAC 16V .0102 {#publisher-history-67935f08d306991514dc-1000055 omnilex-key=us-nc-regs-official--title-21--21 NCAC 16V .0102--publisher-history-67935f08d306991514dc}

Unprofessional conduct by a dental hygienist as set out in G.S. 90-229(a)(12) shall include the following:

(1) having professional discipline imposed, including the denial of licensure, by the dental hygiene licensing authority of another state, territory, or country. For purposes of this Rule, the surrender of a license under threat of disciplinary action shall be considered the same as if the licensee had been disciplined;

(2) presenting false or misleading testimony, statements, omissions, or records in any communication to the Board or the Board's investigators, employees, or agents regarding any matter subject to the provisions of the Dental Practice Act or Dental Hygiene Act;

(3) being convicted of or entering a plea of guilty or nolo contendere to any charge for a crime that is violent or sexual in nature;

(4) violating an order of the Board previously entered in a disciplinary hearing or failing to comply with a subpoena of the Board;

(5) conspiring with any person to commit an act, or committing an act that would coerce, intimidate, or preclude any patient or witness from testifying against a licensee in any disciplinary hearing, or retaliating in any manner against any patient or other person who testifies or cooperates with the Board during any investigation under the Dental Practice or Dental Hygiene Acts;

(6) failing to identify to a patient, patient's guardian, an employer, or the Board the name of any person or agent who renders dental treatment or services upon request;

(7) procuring, dispensing, or administering any controlled substance for personal use except those prescribed, dispensed, or administered by a practitioner authorized to prescribe them;

(8) acquiring any controlled substance from any pharmacy or other source by misrepresentation, fraud or deception;

(9) having professional connection with or lending one's name to the illegal practice of dental hygiene, including as set forth in G.S. 90-229(a)(11);

(10) failing to comply with any provision of any contract or agreement with the Caring Dental Professionals Program;

(11) failing to submit a truthful response to a notice of complaint filed against the licensee with the Board, or to any related request, accompanied by a signed verification on a form provided by the Board, within the time allowed by the Board;

(12) failing to notify the Board of a change in current primary physical address, which shall be either a personal address or a business address at the licensee's election, within 10 business days;

(13) working in a clinical hygiene position if the ratio of hygienists to licensed dentists present in the office is greater than 2:1, as set forth in G.S. 90-233(b);

(14) soliciting employment of potential patients in person or by telephone or permitting or directing another to do so;

(15) giving or accepting anything of value in exchange for a promise to refer or referral of potential patients;

(16) using protected health information, as defined by 45 CFR 160.103, to solicit potential patients;

(17) making misleading or untruthful statements for the purpose of procuring potential patients or assisting another to do so;

(18) committing any act that results in harm to a patient in connection with the provision of dental services and violates State or federal statutes, rules, or regulations, such as the Health Insurance Portability and Accountability Act;

(19) practicing outside the scope of dental hygiene, as defined in G.S. 90-221(a);

(20) committing any act that violates State or federal statutes or regulations governing controlled substances; and

(21) committing any act that would constitute civil assault or civil battery in connection with the provision of dental hygiene services. The North Carolina Pattern Jury Instructions for Civil 800.50, Assault, and for Civil 800.51, Battery, are hereby incorporated by reference, including subsequent amendments and editions. These documents may be accessed at no cost at https://www.sog.unc.edu/resources/microsites/north-carolina-pattern-jury-instructions/north-carolina-pattern-jury-instructions-civil-cases.

History

• Authority G.S. 90-29; 90-221; 90-223; 90-229
• Eff. August 1, 1998
• Amended Eff. August 1, 2016; July 1, 2015; October 1, 2001; August 1, 2000; September 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. July 1, 2022; November 1, 2019.

Earlier captured 21 NCAC 16Y .0104 {#publisher-history-e67b55d596be52352e89-1000056 omnilex-key=us-nc-regs-official--title-21--21 NCAC 16Y .0104--publisher-history-e67b55d596be52352e89}

(a) Holders of a valid intern permit who are currently licensed in Canada or a U.S. territory or state may practice under direction of one or more dentists with a current and valid North Carolina license. The directing dentist shall be responsible for all consequences or results arising from the permit holder's practice of dentistry.

(b) Holders of a valid intern permit who are not currently licensed in Canada or a U.S. territory or state may work only under supervision of one or more dentists with a current and valid North Carolina license. The supervising dentist shall be responsible for all consequences or results arising from the permit holder's practice of dentistry.

(c) Holders of any valid intern permit under this Rule who are required to be on-call, either in-person or by electronic means, in an emergency setting may practice under the direction or supervision of a dentist following the accrediting standard of the Commission on Dental Accreditation (CODA).

(d) For purposes of this Rule, the acts of a permit holder are deemed to be under the direction of a licensed dentist when performed in a locale where a licensed dentist is not always required to be physically present during the performance of the acts that are being performed pursuant to the dentist's order, control, and approval.

(e) For purposes of this Rule, the acts of a permit holder are deemed to be under the supervision of a licensed dentist when performed in a locale where a licensed dentist is physically present during the performance of the acts that are being performed pursuant to the dentist's order, control, and approval.

(f) The CODA accrediting standard and its subsequent amendments and editions, which are incorporated herein by reference, are published on the American Dental Association's website located at http://www.ada.org/en/coda/policies-and-guidelines/policy-and-procedure-manual, and are available at no cost.

History

• Authority G.S. 90-28; 90-29.4
• Eff. August 1, 2002
• Amended Eff. November 1, 2017; July 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

Earlier captured 21 NCAC 17 .0104 {#publisher-history-cbda7856e91bc629c70f-1000057 omnilex-key=us-nc-regs-official--title-21--21 NCAC 17 .0104--publisher-history-cbda7856e91bc629c70f}

(a) Each applicant for initial licensure shall file a completed application with the Board. Application forms are available at www.ncbdn.org.

(b) A complete application shall be:

(1) typed;

(2) signed by the applicant affirming that the information on the application is true and releasing to the Board information pertaining to the application;

(3) accompanied by the application, issuance, and criminal history record check fees; and

(4) accompanied by evidence, statements, or documents demonstrating the applicant meets the applicable requirements specified in G.S. 90-357.5 and this Rule and the applicant is not in violation of G.S. 90-363.

(c) Applicants shall submit a completed application to the North Carolina Board of Dietetics/Nutrition via its website at www.ncbdn.org.

(d) The Board shall not review an application until the applicant pays the application fee. The fee may be paid online via credit card, or by check or money order mailed to: North Carolina Board of Dietetics/Nutrition, 1135 Kildaire Farm Road, Suite 200, Cary, NC 27511.

(e) Examination information for each of the examinations the Board recognizes may be found on the following websites:

(1) Information regarding the Registered Dietitian Nutritionist examination offered by the Commission on Dietetic Registration may be found at: https://www.cdrnet.org/program-director/student-instructions.

(2) Information regarding the Certified Nutrition Specialist examination offered by the Board for Certification of Nutrition Specialists may be found at: https://theana.org/certify/CNScandidate.

(3) Information regarding the Diplomate of the American Clinical Board of Nutrition examination offered by the American Clinical Board of Nutrition may be found at: https://www.acbn.org/apply.

(f) Before cancelling an application, the Executive Director shall send notice to an applicant who does not complete the application that lists the additional materials required. An incomplete application shall be valid for a period of four months from the date the application is filed with the Board. Four months after submission of an application, if the application and any required documentation has not been completed by the applicant, the application shall be considered cancelled due to failure to complete. Complete applications that the Board determines require additional evidence under Paragraph (m) of this Rule shall be eligible for consideration for the timeline set forth in that Paragraph.

(g) Applicants providing evidence of current registration as a Registered Dietitian Nutritionist by the CDR in G.S. 90-357.5(a)(2) shall submit a photocopy of the applicant's registration identification card, or a copy of a CDR Credential Verification certificate certifying that the applicant is a Registered Dietitian Nutritionist.

(h) Applicants providing evidence of completing academic requirements in G.S. 90-357.5(a)(1) shall either:

(1) Submit transcripts and a verification statement that includes the original signature of the Program Director of a college or university where the course of study was accredited by the ACEND as meeting the competency requirements of the most current edition of the Accreditation Standards for Nutrition and Dietetic Didactic Programs; or

(2) Submit documentation, including official transcripts, demonstrating the course of study met the competency requirements of the most current edition of the ACEND Accreditation Standards for Nutrition and Dietetic Didactic Programs, which is hereby incorporated by reference. Copies of these standards may be obtained at no charge from ACEND's website at: https://www.eatrightpro.org/acend/accreditation-standards-fees-and-policies/2022-standards-and-templates.

(i) Applicants providing evidence of completing academic requirements in G.S. 90-357.5(c) shall submit documentation, including official transcripts, demonstrating completion of the requirements stated in G.S. 90-357.5(c)(1).

(j) Applicants providing evidence of completing a Board-approved internship or documented, supervised practice experience in G.S. 90-357.5(a)(1)(b) shall either:

(1) Submit a verification statement that includes the original signature of the Program Director of a documented, supervised practice experience that has been accredited by the ACEND as meeting the competency requirements of the most current edition of the Accreditation Standards for Nutrition and Dietetics Internship Programs; or

(2) Submit documentation demonstrating at least 1000 hours of documented, supervised practice experience, meeting the competency requirements of the most current edition of the Accreditation Standards for Nutrition and Dietetics Internship Programs issued by ACEND. The scope of activities may include alternate supervised experiential learning such as simulation, case studies, and role playing, but must also include at least 750 hours of direct supervised experiential learning. The 1000 hours must be concurrent with or following completion of the academic requirements for licensure and need not be a paid experience.

(k) The following shall be necessary for applicant's submitting proof of completion of a Board-approved internship or a documented, supervised practice experience in nutrition services under Subparagraph (j)(2) of this Rule;

(1) If there shall be more than one supervisor or facility for different parts of the supervised practice experience, information and verification of each part, as provided in Subparagraphs (2) and (3) of this Paragraph, is required.

(2) The applicant shall provide to the Board for each supervisor/facility:

(A) the name and address of the facility providing the supervised practice experience;

(B) the name, address, phone, and title of the supervisor who supervised the supervised practice experience;

(C) a summary of nutrition services performed, along with dates and hours spent performing them;

(D) evidence that the supervisor met the requirements stated in G.S. 90-357.5(a)(1)(b) at the time of supervision; and

(E) an attestation that the supervisor is not related to, married to, or domestic partners with the supervisee.

(3) Each supervisor shall:

(A) regularly, commensurate with the care provided, observe the provision of nutrition care services by the student or trainee supervised, and evaluate, authorize, and approve all nutrition care services of the student or trainee supervised;

(B) maintain primary responsibility for and control over all nutrition care services performed by the student or trainee, including clinical record keeping;

(C) ensure the student or trainee is designated throughout the supervised practice experience by a title that indicates the individual's status as a student or trainee;

(D) verify that the applicant participated in nutrition services under his or her supervision, stating the total number of hours;

(E) provide a summary of the nutrition services completed under his or her supervision; and

(F) provide an evaluation of the applicant for the Board to be able to assess the applicant's performance in completion of the competencies required by ACEND.

(l) Applicants providing evidence of completing a Board-approved internship or documented, supervised practice experience in G.S. 90-357.5(c)(2) must submit documentation demonstrating at least 1000 hours of documented, supervised practice experience, meeting the requirements as stated in G.S. 90-357.5(c)(2). The scope of activities may include alternate supervised experiential learning such as simulation, case studies, and role playing, but must also include at least 750 hours of direct supervised experiential learning. The 1000 hours must be concurrent with or following completion of the academic requirements for licensure and need not be a paid experience. Learning experiences must prepare students to provide nutrition care services for various populations of diverse cultures, genders, and across the life cycle, which may include infants, children, adolescents, adults, pregnant/lactating females, and older adults and to be able to competently formulate actionable medical nutrition therapies and interventions, education, counseling, and ongoing care for the prevention, modulation, and management of a range of acute and chronic medical conditions, including:

(1) underweight, overweight, malnutrition, and obesity;

(2) cardiometabolic;

(3) endocrine;

(4) immune and autoimmune; and

(5) gastrointestinal disorders.

(m) The following shall be necessary for proof of completion of a Board-approved internship or a documented, supervised practice experience in nutrition services under Paragraph (l) of this Rule:

(1) If there shall be more than one supervisor or facility for different parts of the supervised practice experience, information and verification of each part, as provided in Subparagraphs (2) and (3) of this Paragraph, is required.

(2) The applicant shall provide to the Board for each supervisor/facility:

(A) the name and address of the facility providing the supervised practice experience;

(B) the name, address, phone, and title of the supervisor who supervised the supervised practice experience;

(C) a summary of nutrition services performed, along with dates, and hours spent performing them;

(D) evidence that the supervisor met the requirements as stated in G.S. 90-357.5(c)(2) at the time of supervision; and

(E) an attestation that the supervisor is not related to, married to, or domestic partners with the supervisee.

(3) Each supervisor shall:

(A) regularly, commensurate with the care provided, observe the provision of nutrition care services by the student or trainee supervised, and evaluate, authorize, and approve all nutrition care services of the student or trainee supervised;

(B) maintain primary responsibility for and control over all nutrition care services performed by the student or trainee, including clinical record keeping;

(C) ensure the student or trainee is designated throughout the supervised practice experience by a title that indicates the individual's status as a student or trainee;

(D) verify that the applicant participated in nutrition services under his or her supervision, stating the total number of hours;

(E) provide a summary of the nutrition services completed under his or her supervision; and

(F) provide an evaluation of the applicant for the Board to be able to assess the applicant's performance in the provision of nutrition services, as defined in 21 NCAC 17 .0101(12), to address, at a minimum, the acute and chronic medical conditions listed in Paragraph (l) of this Rule.

(n) Applicants who have obtained his or her education outside of the United States and its territories shall:

(1) Have his or her academic degrees evaluated by a Board-approved foreign credential evaluating service as equivalent to a baccalaureate or higher degree conferred by a U.S. college or university accredited by the regional accrediting agencies recognized by the Council on Higher Education Accreditation and the U.S. Department of Education; and

(2) All documents submitted in a language other than English shall be accompanied by a certified translation thereof in English from a Board-approved translation service.

(3) The following foreign credential evaluating and translation services are Board-approved:

(A) Academic and Professional International Evaluation, Inc., which may be found at: www.apie.org;

(B) Academic Credentials Evaluation Institute, Inc., which may be found at: https://www.acei-global.org/;

(C) American Education Research Corporation, Inc., which may be found at: http://www.aerc-eval.com/;

(D) Association of International Credential Evaluators, Inc., which may be found at: www.aice-eval.org;

(E) Bruscan Educational Information Services, which may be found at: http://www.bruscan.com/;

(F) Center for Educational Documentation, Inc., which may be found at: http://www.cedevaluations.com/;

(G) Education Credential Evaluators, Inc., which may be found at: www.ece.org;

(H) Educational Perspectives, which may be found at: https://www.edperspective.org/;

(I) Foundation for International Services, Inc., which may be found at: https://www.fis-web.com/;

(J) International Education Research Foundation, which may be found at: www.ierf.org;

(K) Josef Silny & Associates, which may be found at: http://www.jsilny.org/;

(L) SpanTran: The Evaluation Company, which may be found at: https://www.spantran.com/; or

(M) World Education Services, Inc., which may be found at: https://www.wes.org/.

(o) If the Board determines that the application does not demonstrate satisfaction of the requirements specified in G.S. 90-357.5 and this Rule, the Board shall notify the applicant in writing. The notification shall include what is required to demonstrate the applicant meets the statutory requirements, and the applicant shall be:

(1) offered the ability to place the application on hold for a time period of up to one year from the date of the letter providing the Board's determination, so long as such a request is made in writing within 30 days of the date of the letter. During this hold time, the applicant may provide other evidence demonstrating the applicant satisfied the requirements the Board determined were not met;

(2) offered the opportunity to appear for an interview before the Board. At any time during that interview, the applicant may stop the interview, and request to have all or any part of requested information provided in writing; and

(3) offered the ability to withdraw the application so long as such a request is made in writing within 30 days of the date of the letter. The applicant will be allowed to apply for licensure at a later time.

(p) If an applicant who received the notice specified in Paragraph (o) of this Rule does not provide a written response to the Board within 30 days of the date of the notification requesting that he or she be granted an interview or his or her application be placed on hold or withdrawn, or after the opportunity for an interview the Board determines the applicant has still not demonstrated satisfaction of the requirements specified in G.S. 90-357.5 and this Rule and the applicant has not requested his or her application be placed on hold or withdrawn, the Board shall issue the applicant an official rejection as provided in G.S. 90-358.

(q) A rejected applicant shall have 60 days from the date of official rejection to request a contested case hearing in accordance with the rules of this Chapter.

History

• Authority G.S. 90-356; 90-357.5; 90-357.6; 90-358
• Temporary Adoption Eff. March 19, 1992 for a Period of 180 Days to Expire on September 13, 1992
• Eff. June 1, 1992
• Recodified from 21 NCAC 17 .0004 Eff. February 1, 1995
• Amended Eff. December 1, 2011; July 18, 2002; March 1, 1996
• Readopted Eff. August 1, 2019
• Amended Eff. January 1, 2023.

Earlier captured 21 NCAC 17 .0109 {#publisher-history-6d28fbea21a78ac2dda6-1000058 omnilex-key=us-nc-regs-official--title-21--21 NCAC 17 .0109--publisher-history-6d28fbea21a78ac2dda6}

(a) An applicant shall be issued a license based on compliance with requirements stated in G.S. 90-357.5 and the rules in this Chapter.

(b) A licensee shall notify the Board of any change in the licensee's personal or professional mailing address within 30 days of that change.

(c) Licenses shall expire on March 31 of every year. A license for an LDN or LN shall be issued for a period of one year beginning April 1 and ending March 31. If an LDN or LN license is initially granted, reinstated, or reactivated between January 1 and March 31, the license shall be granted from the time of issuance through March 31 of the following year.

(d) At least 30 days prior to the expiration date of the license, the Board shall send the licensee written notice via USPS or electronic mail of the amount of renewal fee due, and instructions on how the licensee may renew online at www.ncbdn.org. Each applicant for renewal shall file a completed application with the Board.

(e) A licensee's renewal application must be submitted online prior to the expiration date. The licensee's renewal fee must also be received or postmarked prior to the expiration date in order to avoid the late renewal fee. If the fee is mailed, it must be sent to the mailing address provided in 21 NCAC 17 .0104(d). The licensee shall be responsible for filing any change of email or physical address where renewal notices are to be sent. Failure to receive renewal notice due to the licensee's failure to file change of addresses with the Board shall not be justification for late renewal.

(f) Renewal applications shall require licensees attest that the information on the application is true and complete. The applicant shall provide a written explanation and all available court documents evidencing the circumstances of any pending charge or conviction, not previously made known to the Board, if requested by the Board. The Board shall use these documents when determining if a license should be renewed under G.S. 90-363.

(g) Applicants for renewal of licenses shall provide documentation of having met continuing education requirements by submitting:

(1) Verification of current certification as a Registered Dietitian Nutritionist by the CDR, and verification of compliance with CDR's continuing education requirements. The continuing education standards required to maintain certification are contained in the "Professional Development Portfolio Guide," which is hereby incorporated by reference including subsequent amendments and editions of reference material. Copies of this standard may be obtained at no charge from CDR's website at: https://www.cdrnet.org/pdp/professional-development-portfolio-guide;

(2) A summary of continuing education on the form provided by the Board documenting completion of 75 hours of continuing education for a five year period. The continuing education hours must meet the standards contained in the "Professional Development Portfolio Guide." Documentary evidence for continuing education activities shall include the following for each activity:

(A) the name of provider/sponsor;

(B) the name of accrediting organization;

(C) the title of the activity;

(D) the date attended;

(E) the continuing education hours earned; and

(F) a record of attendance or participation;

(3) Verification of current certification as a Certified Nutrition Specialist by the BCNS, and verification of compliance with BCNS's continuing education requirements. The continuing education standards required to maintain certification are listed on the Board for Certification of Nutrition Specialists' website, which is hereby incorporated by reference including subsequent amendments or editions of reference material. Copies of this standard may be obtained at no charge from the BCNS's website at: https://theana.org/certify/currentCNS/recertification; or

(4) Verification of current certification as a Diplomate, American Clinical Board of Nutrition by the ACBN, and verification of compliance with ACBN's continuing education requirements. The continuing education standards required to maintain certification are listed on the American Clinical Board of Nutrition's website, which is hereby incorporated by reference including subsequent amendments or editions of reference material. Copies of this standard may be obtained at no charge from the ACBN's website at: https://www.acbn.org/policiesprocedures.pdf.

(h) The Board shall furnish a renewal license to each licensee who meets all renewal requirements by the expiration date.

(i) The Board shall renew a license upon the payment of a late fee within 60 days of the expiration date. If the license has been expired for 60 days or less, the license may be renewed by submitting the online license renewal form, the renewal and late fee, and verification of current certification as a Registered Dietitian Nutritionist, Certified Nutrition Specialist, Diplomate, American Clinical Board of Nutrition, or, if following the requirements of Subparagraph (g)(2) of this Rule, continuing education documentation to the Board, postmarked on or before the end of the 60-day grace period.

History

• Authority G.S. 90-356; 90-362; 90-363
• Temporary Adoption Eff. March 19, 1992 for a Period of 180 Days to Expire on September 13, 1992
• Eff. June 1, 1992
• Recodified from 21 NCAC 17 .0009 Eff. February 1, 1995
• Amended Eff. February 1, 2021; December 1, 2011; July 18, 2002; February 1, 1995
• Readopted Eff. August 1, 2019.

Earlier captured 21 NCAC 18A .1801 {#publisher-history-0e241d719973ff5f31be-1000059 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18A .1801}

[No text]

Earlier captured 21 NCAC 18A .1801 {#publisher-history-0e241d719973ff5f31be-1000060 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18A .1801-1983}

[No text]

Earlier captured 21 NCAC 18A .1802 {#publisher-history-0e241d719973ff5f31be-1000061 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18A .1802}

[No text]

Earlier captured 21 NCAC 18A .1802 {#publisher-history-0e241d719973ff5f31be-1000062 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18A .1802-1984}

[No text]

Earlier captured 21 NCAC 18A .1803 {#publisher-history-0e241d719973ff5f31be-1000063 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18A .1803}

[No text]

Earlier captured 21 NCAC 18A .1803 {#publisher-history-0e241d719973ff5f31be-1000064 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18A .1803-1985}

[No text]

Earlier captured 21 NCAC 18A .1804 {#publisher-history-0e241d719973ff5f31be-1000065 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18A .1804}

[No text]

Earlier captured 21 NCAC 18A .1804 {#publisher-history-0e241d719973ff5f31be-1000066 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18A .1804-1986}

[No text]

Earlier captured 21 NCAC 18A .1805 {#publisher-history-0e241d719973ff5f31be-1000067 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18A .1805}

[No text]

Earlier captured 21 NCAC 18A .1805 {#publisher-history-0e241d719973ff5f31be-1000068 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18A .1805-1987}

[No text]

Earlier captured 21 NCAC 18A .1806 {#publisher-history-3b3852e2901ecb5bf2d7-1000069 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18A .1806-1988}

21 NCAC 18A .1807 EXPERIENCE

Earlier captured 21 NCAC 18A .1808 {#publisher-history-9c1d9c9a4bd7f536c52d-1000070 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18A .1808-1989}

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 150B-11(1)
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

Earlier captured 21 NCAC 18A .1809 {#publisher-history-9c1d9c9a4bd7f536c52d-1000071 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18A .1809-1990}

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 150B-11(1)
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

Earlier captured 21 NCAC 18A .1810 {#publisher-history-9c1d9c9a4bd7f536c52d-1000072 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18A .1810-1991}

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 150B-11(1)
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

Earlier captured 21 NCAC 18A .1811 {#publisher-history-9c1d9c9a4bd7f536c52d-1000073 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18A .1811-1992}

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 150B-11(1)
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

Earlier captured 21 NCAC 18A .1812 {#publisher-history-9c1d9c9a4bd7f536c52d-1000074 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18A .1812-1993}

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 150B-11(1)
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

Earlier captured 21 NCAC 18B .0304 {#publisher-history-2c330f8e0ef322bfdf5c-1000075 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18B .0304--publisher-history-2c330f8e0ef322bfdf5c}

(a) "Point of delivery" and other terms related thereto are defined as follows:

(1) Consumer's Premises. A "consumer's premises" is any publicly or privately owned building, structure, land or facility to which electric energy is being furnished.

(2) Consumer's Wiring. A "consumer's wiring" is the portion of a wiring system that is located at or on the consumer's premises and for which the consumer has full responsibility for ownership, operation and maintenance. This wiring is considered to be beyond the point of delivery.

(3) Electric Power Supplier. An "electric power supplier" is a public utility company, a private utility company, an electric membership co-op, a municipal utility or any other entity that furnishes electric energy for private or public use.

(4) Electric Power Supplier's Wiring. An "electric power supplier's wiring" is the portion of a wiring system that is located either off, at, or on the consumer's premises and for which the electric supplier has full responsibility for ownership, operation and maintenance. This wiring is considered to be ahead of the point of delivery.

(5) Point of Delivery. The "point of delivery," as used in G.S. 87-43.1(1), is the point where an electric power supplier's wiring terminates in the supplier's delivery of electrical energy to a consumer's wiring at or on the consumer's premises.

(6) Service Point. The "service point" in a wiring system, defined in the National Electrical Code as the point of connection between the facilities of the serving utility and the premises wiring, is construed to be the same as the point of delivery.

(b) Special Conditions. Where conditions of service or other circumstances require that a portion of an electric power supplier's owned, operated and maintained equipment, such as metering and load control equipment, be installed within the consumer's wiring, such installation shall be construed to be beyond the point of delivery, and the installation of such equipment is required to be made by a licensee of the Board. This provision does not prohibit an electric power supplier from installing its metering and load control equipment in the enclosures for such equipment or removing same from such enclosures.

(c) Rulings. Where conditions of service or other circumstances are such that the definition of point of delivery and the related terms in this Rule are not strictly applicable, either in whole or in part, a special limited ruling will be issued by the Board on request of any part of interest.

(d) Illustration. The point of delivery and service point in a wiring system and the application of the North Carolina Electrical Contracting Licensing Act are further defined in the following illustration:

POINT OF DELIVERY

G.S. CH. 87, ART. 4

SERVICE POINT

NEC, NFPA 70

<-------------------AHEAD----------------------------------------------BEYOND------------------->

Wiring on this side is that Wiring on this side is that

portion of a wiring system portion of a wiring system

for which the electric power for which the consumer has

supplier has the responsibility the responsibility for

for ownership, operation and ownership, operation and

maintenance, including any maintenance, including any

overhead, underground, overhead, underground,

inside or outside wiring. inside or outside wiring.

---

LICENSE REQUIREMENTS LICENSE REQUIREMENTS

Wiring installations on this Wiring installations on this

side are exempted from the side are covered by the

North Carolina Electrical North Carolina Electrical

Contracting Licensing Act. Contracting Licensing Act

Parties of interest are and, pursuant to the

referred to the North provisions of said act,

Carolina Licensing Board persons, firms or corporations

for General Contractors for installing, maintaining,

applicable licensing altering or repairing such

requirements. wiring are required to

hold an appropriate

license issued by the

State Board of Examiners of

Electrical Contractors.

---

History

• Authority G.S. 87-39; 87-42; 87-43.1(1)
• Eff. October 1, 1988
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

Earlier captured 21 NCAC 18B .1107 {#publisher-history-998db78e15be0ef17395-1000076 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18B .1107--publisher-history-998db78e15be0ef17395}

Approved course sponsors and instructors who state in their advertisements, brochures or other course descriptions that a particular course meets the requirement of the North Carolina State Board of Examiners of Electrical Contractors for continuing education shall so state exactly as follows:

This course, when offered during fiscal year _____, meets the requirements of the North Carolina State Board of Examiners of Electrical Contractors for ____ contact hours of continuing education credit. This course is not sponsored by the Board.

History

• Authority G.S. 87-42; 87-44.1
• Eff. October 1, 1990
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. February 2, 2016.

Earlier captured 21 NCAC 21 .0303 {#publisher-history-14adb40de9f1cd2cfa43-1000077 omnilex-key=us-nc-regs-official--title-21--21 NCAC 21 .0303--publisher-history-14adb40de9f1cd2cfa43}

(a) The board shall grant inactive status to a licensee if:

(1) the licensee submits a letter in writing to the Board before the current license has expired, requesting inactive status; and

(2) at the time the letter request is submitted, the licensee's license has not been suspended, surrendered, or revoked.

The Board shall notify the licensee that he or she has been granted inactive status or the reason the request was not granted.

(b) If the licensee seeking inactive status be the person identified as the North Carolina licensed geologist for a corporation registered with the Board, another licensee who meets the statutory requirements shall be identified in order to maintain the professional corporation's registration with the Board. If this is not done before the licensee is granted inactive status, the Board shall suspend the professional corporation's registration and shall send notification of this suspension to the professional corporation by certified mail the same day the licensee is notified that the request for inactive status was granted.

(c) A geologist or registered corporation with an inactive or suspended license shall not engage in the public practice of geology in North Carolina.

(d) A geologist with an inactive license shall no longer seal and certify documents with his or her seal.

(e) The Board shall maintain a list of all inactive licensees.

(f) Any reference to an inactive geologist on a letter, title, sign, card, or devise shall list such geologist as "Retired Geologist" or "N.C. Geology License No. __ (inactive)."

(g) An individual who wishes to convert their license from inactive to active status shall submit an application for reinstatement, proof of 12 hours of continuing education taken in the 12 months prior to the reinstatement request, and payment of the reinstatement fee set forth in Rule .0107 of this Chapter.

(h) In no case shall an individual remain on inactive status for more than five years without permission of the Board. If an individual has been on inactive status for five years and does not request additional time to hold an inactive license, the license shall expire.

(i) A geologist who has been granted inactive status is not required to fulfill continuing education requirements.

History

• Authority G.S. 89E-4; 89E-5
• Eff. June 1, 2017.

Earlier captured 21 NCAC 21 .0513 {#publisher-history-0abf26cce54ff1860e40-1000078 omnilex-key=us-nc-regs-official--title-21--21 NCAC 21 .0513--publisher-history-0abf26cce54ff1860e40}

(a) Self-disqualification. If for any reason a Board member determines that personal bias or other factors render him or her unable to participate in a contested case hearing and perform all duties in an impartial manner, he or she shall submit, in writing, to the Board, his or her disqualification and the reasons.

(b) Petition for Disqualification. If for any reason any party in a contested case believes that a Board member is personally biased or otherwise unable to participate in a contested case hearing and perform all duties in an impartial manner, the party may file a sworn, notarized affidavit with the Board. The title of such affidavit shall bear the notation: AFFIDAVIT OF DISQUALIFICATION OF BOARD MEMBER IN THE CASE OF [name of case].

(c) Contents of Affidavit. The affidavit shall state all facts the party deems relevant to the disqualification of the Board member.

(d) Timeliness and Effect of Affidavit. An affidavit of disqualification shall be considered timely if filed ten days before the commencement of the hearing or at the first opportunity after the party becomes aware of facts set forth in the affidavit. Where a petition for disqualification is filed less than ten days before or during the course of a hearing, the hearing shall continue with the challenged Board member sitting. Petitioner shall have the opportunity to present evidence supporting his or her petition, and the petition and any evidence relative thereto presented at the hearing shall be made a part of the record. The Board, before rendering its decision, shall decide whether the evidence justifies disqualification. In the event of disqualification, the disqualified member shall not participate in further deliberation or decision of the case.

(e) Procedure for Determining Disqualification:

(1) the Board shall appoint a Board member to investigate the allegations of the affidavit;

(2) the investigator shall report to the Board the findings of the investigation;

(3) the Board shall decide whether to disqualify the challenged individual;

(4) the person whose disqualification is to be determined shall not participate in the decision but may be called upon to furnish information to the other members of the Board;

(5) when a Board member is disqualified prior to the commencement of the hearing or after the hearing has begun, such hearing shall continue with the remaining members sitting provided that the remaining members still constitute a majority of the Board; and

(6) if three or more members of the Board are disqualified pursuant to this Rule, the Board shall petition the Office of Administrative Hearings to appoint an administrative law judge to hear the contested case pursuant to G.S. 150B-40(e).

History

• Authority G.S. 89E-20; 150B-11; 150B-38; 150B-40
• Eff. February 1, 1986
• Amended Eff. April 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. June 1, 2017.

Earlier captured 21 NCAC 21 .0803 {#publisher-history-ce9c2429c91bf9aff175-1000079 omnilex-key=us-nc-regs-official--title-21--21 NCAC 21 .0803--publisher-history-ce9c2429c91bf9aff175}

(a) Any person wishing to submit a petition requesting the adoption, amendment, or repeal of a rule (the "proposed rule") by the Board shall file the petition with the Board. The first page of the petition shall clearly bear the notation: RULEMAKING PETITION RE and then [state the subject area]. The Petition shall contain the following information:

(1) the text of the proposed rule for adoption or amendment;

(2) a statement of the reasons for adoption or amendment of the proposed rule or the repeal of an existing rule;

(3) a statement of the proposed rule's effect on existing rules or orders;

(4) the name and address of the petitioner; and

(5) a request to present the petition to the Board, if desired.

(b) In its review of the proposed rule, the Board shall consider whether it has authority to adopt the rule; the effect of the proposed rule on existing rules, programs, and practices; probable costs and cost factors of the proposed rule; and the impact of the rule on the public and licensees. The petitioner may include the following information with the request:

(1) the statutory authority for the agency to promulgate the rule;

(2) a statement of the effect of the proposed rule(s) on existing practices in the area involved, including the cost for persons affected by the proposed rule;

(3) a statement explaining the computation of the cost;

(4) a description, including the names and addresses, if known, of those most likely to be affected by the proposed rule; and

(5) documents and data supporting the proposed rule.

(c) An original and eight copies of the petition and supporting documents shall be filed with the Board.

(d) Filings that do not contain the information required by this Rule shall not be accepted and shall be returned by the Chair to the person making the filing.

History

• Authority G.S. 89E-5; 150B-20
• Eff. February 1, 1986
• Amended Eff. April 1, 2003.
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. June 1, 2017.

Earlier captured 21 NCAC 21 .1102 {#publisher-history-3459349f96fe93085e09-1000080 omnilex-key=us-nc-regs-official--title-21--21 NCAC 21 .1102--publisher-history-3459349f96fe93085e09}

(a) The geologist shall not make exaggerated, misleading, `deceptive, or false statements or claims about his or her professional qualifications, experience, or performance in his or her brochures, correspondence, listing, or other public communications.

(b) The prohibitions listed in this Rule include the use of statements that contain a material misrepresentation of fact or omitting a material fact necessary to keep the statement from being misleading; statements intended or likely to create an unjustified expectation, statements containing prediction of future success, or statements containing an opinion as to the quality of services.

(c) Consistent with the foregoing, the geologist may advertise for the recruitment of personnel.

(d) Consistent with the foregoing, the geologist may prepare articles for the lay or technical press. Such articles shall not imply credit to the author for work performed by others.

History

• Authority G.S. 89E-5; 89E-16
• Temporary Adoption Eff. November 24, 1999
• Eff. August 1, 2000
• Pursuant to G.S. 21.3A, rule is necessary without substantive public interest Eff. December 16, 2014
• Amended Eff. June 1, 2017.

Earlier captured 21 NCAC 23 .0208 {#publisher-history-0b434f05b03a3ac6118f-1000081 omnilex-key=us-nc-regs-official--title-21--21 NCAC 23 .0208--publisher-history-0b434f05b03a3ac6118f}

(a) An individual who wishes to make a complaint alleging violation of G.S. 89G or the Board's rules shall submit a complaint form online through the Board's website (http://www.nciclb.org ) or by printing the form from the Board's website and mailing it to the Board office at P.O. Box 41421 Raleigh, N.C. 27629. The following information shall be included in the complaint form:

(1) date of complaint;

(2) complainant name;

(3) complainant mailing address;

(4) complainant contact number;

(5) alleged violator name;

(6) location of violation site, including city;

(7) date alleged violation was noted;

(8) how complainant became aware of alleged violation;

(9) description of the work being performed; and

(10) statement that the information provided by the complainant is true and accurate to the best of his or her knowledge.

(b) The Board shall not respond to or investigate anonymous complaints or inquiries.

(c) The Board office shall administratively close any complaint that:

(1) is anonymously submitted;

(2) is withdrawn by the complainant at any stage of the investigation; or

(3) is submitted more than two years after the irrigation system was completed by a licensee of the Board.

(d) If the complaint is not administratively closed pursuant to Paragraph (c) of this Rule, the Board's Investigative Committee shall determine whether further investigation is necessary to resolve the complaint based on the type and nature of the complaint. If further investigation is necessary, the Investigative Committee shall refer the matter to the Board's investigator.

(e) Upon completion of the investigation into the complaint, the Investigative Committee shall:

(1) find that there is probable cause to believe a violation occurred and send the respondent a notice of violation; or

(2) find that there is no probable cause to believe a violation occurred and send the respondent and complainant notification of the same.

(f) If the Investigative Committee finds that there is probable cause to believe a violation occurred, then the complaint shall be resolved in the following manner:

(1) settlement agreement; or

(2) hearing in accordance with the rules of this Section and as required by G.S. 150B, Article 3A.

History

• Authority G.S. 89G-2; 89G-5; 89G-11; 89G-12; 150B
• Eff. November 1, 2016
• Amended Eff. July 1, 2018.

Earlier captured 21 NCAC 25 .0103 {#publisher-history-431cd2f11af5794e9f4f-1000082 omnilex-key=us-nc-regs-official--title-21--21 NCAC 25 .0103--publisher-history-431cd2f11af5794e9f4f}

(a) The Board's mailing address is: 701 Exposition Place, Suite 206, Raleigh, NC 27615

(b) The Board's e-mail address is: ncitlb@caphill.com

(c) The Board's telephone number is: 919-779-5709.

(d) The Board's website is: http://www.ncitlb.org.

History

• Authority G.S. 90D-6
• Eff. March 21, 2005
• Amended Eff. February 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017
• Amended Eff. April 1, 2025; December 1, 2020.

Earlier captured 21 NCAC 25 .0203 {#publisher-history-caad53c3c1725eb46594-1000083 omnilex-key=us-nc-regs-official--title-21--21 NCAC 25 .0203--publisher-history-caad53c3c1725eb46594}

(a) The Board shall not review a license application until the appropriate license fee has been paid pursuant to the following fee schedule:

(b) These fees shall be nonrefundable and shall be paid by cash or by cashier's check, certified check, or money order made payable to the North Carolina Interpreter and Transliterator Licensing Board.

(c) The Board shall waive the license application renewal fee for any individual who is currently licensed by and in good standing with the Board if the individual is serving in the armed forces of the United States and if G.S. 105-249.2 grants the individual an extension of time to file a tax return. The waiver shall be in effect for any period that is disregarded under Section 7508 of the Internal Revenue Code in determining the taxpayer's liability for a federal tax.

History

• Authority G.S. 90D-6(6); 90D-10(b); 93B-15
• Eff. March 21, 2005
• Amended Eff. May 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

Earlier captured 21 NCAC 25 .0207 {#publisher-history-2419574890cb1e20b8d1-1000084 omnilex-key=us-nc-regs-official--title-21--21 NCAC 25 .0207--publisher-history-2419574890cb1e20b8d1}

(a) A mentoring or training program is approved by the Board if it meets each of the following criteria:

(1) The program is operated by a school accredited by the Southern Association of Colleges and Schools, or any other accrediting agency recognized by the U.S. Department of Education;

(2) Each mentor or trainer used by the program:

(A) Holds a valid National Association of the Deaf ("NAD") level 4 or 5 certification; or

(B) Is nationally certified by the Registry of Interpreters for the Deaf, Inc. ("RID"); or

(C) Has a national certification recognized by the National Cued Speech Association ("NCSA"); or

(D) Holds a quality assurance North Carolina Interpreter Classification System ("NCICS") level A or B classification in effect on January 1, 2000;

(3) Each mentor or trainer used by the program has five years of professional experience as an interpreter or transliterator following graduation from an accredited Interpreter Training Program or following the date on which the mentor or trainer received the certification or classification specified in Subparagraph (b)(2) of this Rule; provided that, until July 1, 2008, a deaf person who is certified as an interpreter by RID may serve as a mentor or trainer without five years of professional experience;

(4) Each mentor or trainer used by the program is currently licensed by the Board; and

(5) The students being mentored or trained always work under the supervision of a mentor or trainer who meets the qualifications set out in Subparagraphs (a)(2) through (a)(4) of this Rule.

(b) A student in a mentoring or training program approved by the Board must obtain a license from the Board before the person provides interpreting or transliterating services for a fee or other consideration outside of the approved mentoring or training program.

(c) As used in Subparagraph (a)(3) of this Rule, the phrase "has five years of professional experience as an interpreter or transliterator" means that the mentor or trainer has provided interpreter or transliterator services for persons other than family members and friends, for a fee or other consideration, for a total of 60 consecutive or nonconsecutive months. Each full month of full-time or part-time employment as an interpreter or transliterator --- or as a teacher of interpreting or transliterating --- shall be counted toward the required 60 months of experience.

(d) As used in Subparagraph (a)(5) of this Rule, the phrase "always work[s] under the supervision of a mentor or trainer" means that a mentor or trainer is routinely available to observe and critique the student's performance, to answer questions, and to demonstrate proper technique. It does not mean that the student is always accompanied by the mentor or trainer.

History

• Authority G.S. 90D-4(b)(2); 90D-6
• Eff. March 21, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

Earlier captured 21 NCAC 25 .0301 {#publisher-history-090658f998f7567e9d11-1000085 omnilex-key=us-nc-regs-official--title-21--21 NCAC 25 .0301--publisher-history-090658f998f7567e9d11}

(a) The Board hereby adopts and incorporates by reference the Code of Ethics adopted by The Registry of Interpreters for the Deaf, Inc., including all subsequent amendments and editions of that code.

(b) A copy of the code may be obtained free of charge from the Board. The code may also be viewed on-line at RID's web page at: http://www.rid.org/.

History

• Authority G.S. 90D-6; 90D-7(a)(2); 90D-12
• Eff. March 21, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

Earlier captured 21 NCAC 25 .0405 {#publisher-history-ec48eb6fc30cc294796a-1000086 omnilex-key=us-nc-regs-official--title-21--21 NCAC 25 .0405--publisher-history-ec48eb6fc30cc294796a}

Upon the request of any consumer, a licensee shall give the consumer a business card that bears:

(1) the licensee's name; and

(2) the licensee's license number in the following format: "NCITLB License # [number]".

History

• Authority G.S. 90D-2; 90D-4(a); 90D-6(2) and (7)
• Eff. March 21, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

Earlier captured 21 NCAC 26 .0315 {#publisher-history-e64204b4e8f187a3ce04-1000087 omnilex-key=us-nc-regs-official--title-21--21 NCAC 26 .0315--publisher-history-e64204b4e8f187a3ce04}

(a) Landscape architectural entities from other states may be granted certificates of registration for practice in this State upon receipt by the Board of a completed application, fees, the submission of a certified copy of its corporate charter, or other corresponding documents, amended as may be necessary to ensure compliance with all requirements of Chapter 55B, the Professional Corporation Act of the State of North Carolina, and the payment of the firm application fee. In addition to the other requirements as set out in G.S. 89A-2(a1), out-of-state (or "foreign") entities shall, prior to registration, receive from the Secretary of State of North Carolina a certificate of authority to do business within the State. A certificate for filing for a certificate of authority shall be obtained from the Board prior to submitting the application to the Secretary of State.

(b) An out-of-state entity may be permitted to practice landscape architecture within the State of North Carolina provided that it complies with G.S. 55B. If an out-of-state entity offers landscape architectural services, then it shall comply with requirements set forth in G.S. 89A. An out-of-state entity shall have at least one officer or director licensed in the State as a landscape architect. Two-thirds of the issued and outstanding shares of the out-of-state corporations shall be held by a landscape architect, architect, geologist, soil scientist, engineer, or land surveyor licensed to practice the profession in a jurisdiction of the United States. However, the entity shall designate at least one landscape architect who is licensed in the State of North Carolina to be in responsible charge for the entity's practice of landscape architecture within the State of North Carolina. Notwithstanding the requirements of this Rule, an individual landscape architect who is licensed under G.S. Chapter 89A, et seq., may practice as an individual.

(c) An out-of-state limited liability company may practice landscape architecture, if the limited liability company complies with G.S. Chapter 57D and at least one member and one manager or member/manager is licensed as a landscape architect, architect, geologist, soil scientist, engineer, or land surveyor to comply with Paragraph (a) of this Rule.

(d) An out of state limited liability partnership may practice landscape architecture, if the limited liability partnership complies with G.S. 59-84.2, and at least one partner is licensed in this State as an individual pursuant to Rule .0301 of this Section.

(e) If the Board has not received the annual firm renewal fee and completed application on or before June 30th, the firm registration shall expire and be deemed delinquent. The firm registration may be renewed at any time within

Earlier captured 21 NCAC 28B .0402 {#publisher-history-6961c5e9b59363fbfb9a-1000088 omnilex-key=us-nc-regs-official--title-21--21 NCAC 28B .0402--publisher-history-6961c5e9b59363fbfb9a}

(a) A licensee shall complete in-person seven continuing education units (CEUs) during the year preceding renewal. At least three of the seven CEUs must be technical credits and at least two of the seven CEUs must be business credits. If the information provided by the licensee or continuing education provider to the Board as required by this Section is unclear, the Board may request additional information from a licensee or continuing education provider in order to assure compliance with continuing education requirements.

(b) For the purposes of this Rule:

(1) "technical credits" are defined as credits relating to the subject matter of landscape contracting as described in G.S. 89D-11(3) and Rules .0502 through .0511 in this Subchapter. The rules shall be grouped as follows:

(A) Group A: topics covered in Rules .0502, .0503, .0510, and .0511 in this Subchapter;

(B) Group B: topics covered in Rules .0504 and .0506 in this Subchapter;

(C) Group C: topics covered in Rules .0507 through .0509 in this Subchapter;

(D) Group D: topics covered in Rule .0505; and

(2) "business credits" are defined as credits relating to general business practices, including business planning, contracts, liability exposure, human resources, basic accounting, financial statements, and safety.

(c) CEUs shall be determined as follows:

Green Industry Board members and NC Landscape Contractors Licensing Board members may earn no more than five hours per CE year (three technical credits and two business credits) for Green Industry or Landscape Licensing board service.

(d) No more than two CEU credits shall be given for qualifying teaching or instructing in one year.

(e) Credit shall not be given in increments of less than .5 CEUs. Breaks in courses shall not be counted towards CEU credit.

(f) Requests for pre-approval as set forth in Rule .0405 of this Subchapter shall be submitted at least 45 days prior to the first day of the course or event.

(g) All continuing education shall be taken in-person by the individual receiving credit.

(h) A licensee shall not take the same CEU course within two consecutive licensing years.

(i) A licensee licensed less than 12 months shall not be subject to continuing education requirements for the initial renewal date as set forth in this Rule.

History

• Authority G.S. 89D-15(2); 89D-15(4); 89D-15(12); 89D-20(b)
• Temporary Adoption Eff. January 1, 2016
• Eff. September 1, 2016
• Amended Eff. April 1, 2023; July 1, 2021; June 1, 2019.

Earlier captured 21 NCAC 29 .0206 {#publisher-history-9c5391a6fd3446a5facb-1000089 omnilex-key=us-nc-regs-official--title-21--21 NCAC 29 .0206--publisher-history-9c5391a6fd3446a5facb}

(a) Applicants with disabilities as defined by Title II of the Americans with Disabilities Act of 1990 (ADA), 42 U.S.C. 12131(2), which is hereby incorporated by reference, including subsequent amendments and editions, available at no cost at https://www.ada.gov/law-and-regs/ada/#subchapter-ii---public-services-title-ii and documented by a licensed medical professional shall be administered the NC Locksmith Licensing Exam under conditions that shall minimize the effect of the disabilities on their testing performance. Special test administrations shall be as comparable as possible to a standard testing administration.

(b) Applicants desiring to request testing accommodations under the ADA shall provide the following information to the Board at least 30 days prior to the desired testing date:

(1) the type of accommodation requested;

(2) a description of the limitations caused by the applicant's medical conduction;

(3) the manner in which the applicant's limitations impact the applicant's ability to take the examination required for licensure by the Board;

(4) whether the applicant previously has been provided with a testing accommodation; and

(5) medical certification from the applicant's treating healthcare provider attesting to the accuracy of the information provided by the applicant as set forth in Paragraph (b) of this Rule.

(c) The Board shall approve the requested testing accommodations if the Board determines that the requested testing accommodation constitutes a reasonable accommodation under the ADA.

History

• Authority G.S. 74F-6; 74F-7
• Eff. November 1, 2007
• Readopted Eff. June 1, 2017
• Amended Eff. June 1, 2026.

Earlier captured 21 NCAC 30 .0102 {#publisher-history-84e8237ef1b19b88bf56-1000090 omnilex-key=us-nc-regs-official--title-21--21 NCAC 30 .0102--publisher-history-84e8237ef1b19b88bf56}

In addition to the definitions set forth in G.S. 90-622(1) through (5), the following definitions apply:

(1) Classroom hours of supervised instruction. -- Student learning activities in a training program that is conducted in the physical presence of an instructor who meets the qualifications of Rule .0612.

(2) Generally accepted psychometric principles and standards. -- Standards for Educational and Psychological Testing (1999, American Psychological Association, American Educational Research Association, National Council on Measurement in Education), and Principles of Fairness: An Examining Guide for Credentialing Boards (Revised 2002, Council on Licensure, Enforcement, and Regulation, National Organization for Competency Assurance) which are hereby incorporated by reference, including subsequent amendments and editions. Copies of the standards may be obtained from The American Psychological Association at 750 First Street, NE, Washington, DC 20002-4242 or online at http://www.apa.org/science/standards.html.

(3) Gross negligence. -- The intentional failure to perform a manifest duty in reckless disregard of the consequences as affecting the life or property of another.

(4) Incompetency. -- Conduct that evidences a lack of ability, fitness or knowledge to apply principles or skills of the profession of massage and bodywork therapy.

(5) Licensee. -- A person who holds a valid license issued by the Board to engage in the practice of massage and bodywork therapy.

(6) Malpractice. -- Conduct in variance with the Standards of Practice set forth in Section .0500 that results in harm to a client or that endangers the health or safety of a client.

(7) Place of business. -- The primary street location where the licensee provides massage and bodywork therapy. If the licensee provides massage and bodywork therapy only at the location of clients, then it shall be the residence street address of the licensee.

(8) Practice Act. -- Article 36, Chapter 90 of the North Carolina General Statutes: The North Carolina Massage and Bodywork Therapy Practice Act.

(9) Reciprocity. -- Pursuant to G.S. 90-630, a provision which shall apply to practitioners of massage and bodywork therapy qualified pursuant to Rule .0304 who reside outside the State.

(10) Therapeutic, educational, or relaxation purposes. -- Pursuant to G.S. 90-622(3), that which is intended to positively affect the health and well-being of the client, and that does not include sexual activity, as defined in Rule .0508.

History

• Authority G.S. 90-622; 90-626(9)
• Temporary Adoption Eff. February 15, 2000
• Eff. April 1, 2001
• Amended Eff. September 1, 2008; September 2, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 12, 2014.

Earlier captured 21 NCAC 32B .1360 {#publisher-history-5325452bae985df4a255-1000091 omnilex-key=us-nc-regs-official--title-21--21 NCAC 32B .1360--publisher-history-5325452bae985df4a255}

(a) "Reactivation" applies to a physician who has held a physician license in North Carolina, and whose license has been inactive for up to one year except as set out in Rule .1704(e) of this Subchapter. Reactivation is not available to a physician whose license became inactive either while under investigation by the Board or because of disciplinary action by the Board.

(b) In order to reactivate a Physician License, an applicant shall:

(1) submit a completed application which can be found on the Board's website in the application section at http://www.ncmedboard.org/licensing, attesting under oath that the information on the application is true and complete, and authorizing the release to the Board of all information pertaining to the application;

(2) supply a certified copy of the applicant's birth certificate if the applicant was born in the United States or a certified copy of a valid and unexpired US passport. If the applicant does not possess proof of U.S. citizenship, the applicant shall provide information about the applicant's immigration and work status which the Board shall use to verify the applicant's ability to work lawfully in the United States; Those applicants who are not present in the US and who do not plan to practice physically in the US shall include a statement to that effect in the application.

(3) submit a FSMB Board Action Data Bank report;

(4) submit documentation of CME obtained in the last three years;

(5) submit two completed fingerprint record cards supplied by the Board;

(6) submit a signed consent form allowing search of local, state, and national files for any criminal record;

(7) pay to the Board the a non-refundable fee pursuant to G.S. 90-13.1(a), plus the cost of a criminal background check; and

(8) upon request, supply any additional information the Board deems necessary to evaluate the applicant's competence and character, if the Board needs more information to complete the application.

(c) An applicant may be required to appear in person for an interview with the Board or its agent to evaluate the applicant's competence and character.

(d) Notwithstanding the above provisions of this Rule, the licensure requirements established by rule at the time the applicant first received his or her equivalent North Carolina license shall apply. Information about these Rules is available from the Board.

History

• Authority G.S. 90-8.1; 90-9.1; 90-12.1A; 90-13.1; 90-14(a)(11a)
• Eff. August 1, 2010
• Amended Eff. September 1, 2014
• Pursuant to G.S. 150B-21.3A rule is necessary without substantive public interest Eff. March 1, 2016.

Earlier captured 21 NCAC 32S .0227 {#publisher-history-cb87a34eb07dd941efa2-1000092 omnilex-key=us-nc-regs-official--title-21--21 NCAC 32S .0227--publisher-history-cb87a34eb07dd941efa2}

(a) For purposes of G.S. 90-1.1(4d), "consistent and meaningful participation in the design and implementation of health services to patients" means that a physician on the team:

(1) provides health services to patients in the team-based setting or team-based practice;

(2) is available, whether in person or by telecommunication, for collaboration, consultation, or referral during the times the team-based physician assistant is performing medical acts, tasks, or functions;

(3) participates in determining and documenting of how the team will continuously function, including (i) the roles of each member of the team; (ii) the manner in which the team will collaborate, consult, and refer; (iii) a continuous process for ensuring patient safety; and (iv) implementation of any quality improvement measures. These records and documents shall be shared and acknowledged by all team members. The records and documents shall be provided to the Board upon request. For purposes of this section, "team" shall refer to team-based physician assistants and physicians; and

(4) is engaged in shared governance within the organization that enables site-based decision-making.

(b) For purposes of G.S. 90-9.3A(a)(2), "clinical practice experience" means direct patient care as a physician assistant performing medical acts, tasks, and functions, including diagnosing, treating, and prescribing.

(c) For purposes of G.S. 90-9.3A(a)(b), in determining whether team-based physician assistants have appropriately collaborated, consulted, and referred to members of the health care team, the Board will take into consideration all documents and records under Subparagraph (a)(3) of this Rule. These records and documents shall be made available to the Board if requested.

(d) Prior to practicing as a team-based physician assistant, a physician assistant shall submit to the Board a registration for a Team-Based Practice , by logging into their Licensure Gateway account at https://portal.ncmedboard.org/index.aspx, that includes the following information:

(1) the physician assistant's name, mailing address, and telephone number;

(2) the address of all the team-based settings in which the physician assistant practices;

(3) an attestation, signed by the physician assistant, under oath and affirmation that the physician assistant:

(A) has at least 4,000 documented hours of clinical practice experience as a licensed physician assistant. Documentation shall be made available to the Board if requested;

(B) has at least 1,000 documented hours of clinical practice experience within each specified medical specialty area of practice in which the team-based physician assistant will be practicing. Documentation shall be made available to the Board if requested; and

(C) will be working in a team-based setting or team-based practice as defined by G.S. 90-1.1(4d).

(e) The physician assistant shall not commence practice as team-based physician assistant until they receive acknowledgement from the Board, or confirm on its website, that the Board has received and processed the Team-Based Practice Registration. The Team-Based Practice Registration is limited to the medical specialty and team-based setting registered with the Board. A team-based physician assistant shall notify the Board of any changes to the information required in Subparagraphs (d)(1) and (d)(2) of this Rule within 60 days of the change. Physician assistants shall update all information under Paragraph (d) when the team-based physician assistant changes team-based practices under a different employer or their medical specialty before initiating practice.

(f) A team-based physician assistant who changes employment to a medical practice that does not qualify as a team-based setting, or who changes to a specialty practice area, within which they do not have 1,000 hours of practice in a specialty practice area shall be subject to the requirements of Rules .0203, .0212(2), .0212(4)(c), and .0213 of this Section.

(g) The team-based physician assistant shall ensure that in the team-based setting:

(1) the physician assistant practices within the scope of their education, experience, competence, as well as within the functions of the team as established in Subparagraph (a)(3) of this Rule;

(2) that there are physicians who have consistent and meaningful participation in the design and implementation of health services to patients as defined in Paragraph (a) of this Rule; and

(3) that there are means for collaboration, consultation, and referral, as indicated by the patient's condition, as well as the education, experience, and competencies of the physician assistant, and the applicable standard of care.

(h) Nothing in this Rule requires a physician assistant to be in the same physical location as a physician on the team.

(i) For purposes of G.S. 90-9.3A(c), "supervised" or "supervision" shall mean that a physician is accountable to the Board for the team-based physician assistant who performs medical acts, tasks, and functions in a perioperative setting. A perioperative setting includes all patient care that is provided at a hospital, surgical center, or the office of a health care provider from the time of the patient's admission to the time of the patient's discharge from the surgical suite. The supervising physician shall ensure that the team-based physician assistant is qualified by their education, training, and experience to perform medical acts, tasks, and functions within the perioperative setting. The supervising physician must have written protocols to determine the team-based physician assistant's scope of practice in the perioperative setting when the physician is present onsite or remote.

(j) For purposes of G.S. 90-18.1(e2), "supervised" or "supervision" shall mean that a physician is accountable to the Board for the team-based physician assistant who provides final interpretations of plain film radiographs, or X-rays. The supervising physician shall ensure that the team-based physician assistant is qualified by their education, training, and experience to provide final interpretations of plain film radiographs, or X-rays. Nothing in this Paragraph shall be construed to require a team-based physician assistant to comply with Rules .0203, .0212(2), .0212(4)(c), and .0213 of this Section. For purposes of this Paragraph, a plain film radiograph includes a Dual-Energy X-Ray Absorptiometry ("DEXA") scan.

(k) For purposes of G.S. 90-18.1(e2), a physician assistant's use of portable point-of-care ultrasonography for purposes of clinical evaluation shall not be construed as the physician assistant performing a final interpretation of diagnostic imaging studies.

(l) For purposes of G.S. 90-18.1(c), "supervision" for compounding and dispensing shall mean compliance with Rules .0203, .0212(2), .0212(4)(c), and .0213 of this Section.

(m) The requirements set out in Rules .0203, .0212(2), .0212(4)(c), and .0213 of this Section shall not apply to a team-based physician assistant at any registered team-based setting or practice where the team-based physician assistant is offering services within their registered medical specialty.

History

• Authority G.S. 90-1.1; 90-5.1(a)(3); 90-9.3A; 90-18.1
• Eff. August 1, 2026.

Earlier captured 21 NCAC 32W .0116 {#publisher-history-49946701736e9010e4e1-1000093 omnilex-key=us-nc-regs-official--title-21--21 NCAC 32W .0116--publisher-history-49946701736e9010e4e1}

(a) The Board shall waive requirements for licensure in the circumstances set forth in G.S. 90-12.5.

(b) There are two ways for anesthesiologist assistants to practice under this Rule:

(1) Hospital to Hospital Credentialing: An anesthesiologist assistant who holds an unrestricted license in good standing to practice as an anesthesiologist assistant in another U.S. state, territory, or district and has unrestricted hospital credentials and privileges in any U.S. state, territory, or district may practice at a licensed North Carolina hospital upon the following terms and conditions:

(A) the licensed North Carolina hospital shall verify all anesthesiologist assistant credentials and privileges;

(B) the licensed North Carolina hospital shall keep a list of all anesthesiologist assistants coming to practice and shall provide this list to the Board within 10 days of each anesthesiologist assistant practicing at the licensed North Carolina hospital. The licensed North Carolina hospital shall also provide the Board a list of when each anesthesiologist assistant has stopped practicing at the hospital under this Rule within 10 days after each anesthesiologist assistant has ceased practicing under this Rule;

(C) all anesthesiologist assistants practicing under this Rule shall be authorized to practice in North Carolina and deemed to be licensed in North Carolina and the Board shall have jurisdiction under G.S. 90-14(a) over all anesthesiologist assistants practicing under this Rule for all purposes set forth in or related to Article 1 of Chapter 90 of the North Carolina General Statutes, and the Board shall retain jurisdiction over any and all anesthesiologist assistants after they have stopped practicing under this Rule;

(D) anesthesiologist assistants may practice under this section for the shorter of:

(i) 30 days from the date the anesthesiologist assistant has started practicing under this Rule; or

(ii) a statement is made by an appropriate authority that the emergency or disaster declaration has been withdrawn or ended and, at such time, the license issued shall become inactive; and

(E) anesthesiologist assistants practicing under this Rule shall not receive any compensation outside of their customary compensation for the provision of medical services during a disaster or emergency.

(2) Limited Emergency License: An anesthesiologist assistant who holds an unrestricted license in good standing to practice as an anesthesiologist assistant in another U.S. state, territory, or district may apply for a limited emergency license on the following conditions:

(A) the applicant must complete an application;

(B) the Board shall verify that the anesthesiologist assistant holds an unrestricted license in good standing to practice in another U.S. state, territory, or district;

(C) in response to a declared disaster or state of emergency and in order to best serve the public interest, the Board may limit the anesthesiologist assistant's scope of practice;

(D) the Board shall have jurisdiction under G.S. 90-14(a) over all anesthesiologist assistants practicing under this Rule for all purposes set forth in or related to Article 1 of Chapter 90 of the North Carolina General Statutes, and the Board shall retain jurisdiction over any and all anesthesiologist assistants after they have stopped practicing under this Rule;

(E) this license shall be in effect for the shorter of:

(i) 30 days from the date the anesthesiologist assistant has started practicing under this Rule; or

(ii) a statement is made by an appropriate authority that the emergency or disaster declaration has been withdrawn or ended and, at such time the license issued shall become inactive; and

(F) anesthesiologist assistants holding limited emergency licenses shall not receive any compensation outside of their customary compensation for the provision of [medical services during a disaster or emergency.

History

• Authority G.S. 90-5.1(a)(3); 90-12.5; 90-14(a)
• Emergency Adoption Eff. October 2, 2018
• Emergency Adoption Exp. Eff. December 14, 2018
• Eff. July 1, 2019.

Earlier captured 21 NCAC 33 .0111 {#publisher-history-18d879e61ac47ca35aee-1000094 omnilex-key=us-nc-regs-official--title-21--21 NCAC 33 .0111--publisher-history-18d879e61ac47ca35aee}

(a) In order to maintain an approval to practice midwifery, a CNM shall meet the requirements of the Certificate Maintenance Program of the AMCB, including continuing education requirements. These requirements are hereby incorporated by reference, including subsequent amendments or editions, and may be accessed at no cost at: https://www.amcbmidwife.org/certificate-maintenance-program/purpose-objectives.

(b) Prior to prescribing Controlled Substances (Schedules II, IIN, III, IIIN, IV, V) defined by the State and Federal Controlled Substances Act, CNMs shall complete a minimum of one CE hour within the preceding 12 months on one or more of the following topics:

(1) Controlled substances prescription practices;

(2) Prescribing controlled substances for chronic pain management;

(3) Recognizing signs of controlled substance abuse or misuse; or

(4) Non-opioid treatment options as an alternative to controlled substances.

(c) CNMs who complete the federally required training under the Medication Access and Training Expansion Act (MATE) shall be deemed in compliance with the controlled substance prescribing requirements of this rule for the two year CE period in which the MATE training is completed.

(d) The CNM shall maintain documentation of all CE completed within the previous five years and provide a copy of all Certificates of Completion from the CE to the Committee upon request.

History

• Authority: G.S. 90-5.1; 90-14(a)(15); 90-178.5(2); S.L. 2015-241, s. 12F .16(b)
• Eff. March 1, 2017
• Readopted Eff. November 1, 2018
• Temporary Amendment Eff. October 1, 2023
• Temporary Amendment Exp. Eff. July 12, 2024
• Amended Eff. October 1, 2024.

Earlier captured 21 NCAC 34B .0202 {#publisher-history-bada80268bbdb6106006-1000095 omnilex-key=us-nc-regs-official--title-21--21 NCAC 34B .0202--publisher-history-bada80268bbdb6106006}

(a) Applicants to take the examination administered by the International Conference of Funeral Service Examining Boards, Inc. ("ICFSEB") for a license shall apply for examination registration through the ICFSEB website, available at https://theconferenceonline.org/apply-now/.

(b) Applicants must submit an Exam Eligibility Form to the Board contemporaneously with their application for examination registration as set forth in Paragraph (a) of this Rule. All Exam Eligibility Forms shall include:

(1) The applicant's full name, residential address, phone number, and email address;

(2) The license type for which the applicant is seeking eligibility;

(3) The name of each college or university attended by the applicant, the dates of attendance, and the graduation date and degree(s) obtained, if any; and

(4) Whether the applicant has requested that a certified transcript from each college or university attended by the applicant be sent to the Board and, if so, the date on which the applicant ordered the transcript.

(c) Applications for licensure as a funeral service licensee, embalmer, or funeral director shall be made on applications available on the Board's website at ncbfs.org. Applications not completed within ninety (90) days following submission to the Board shall be denied. All applications for such licensure shall contain the following:

(1) The applicant's full name, date of birth, place of birth, sex, and social security number;

(2) The applicant's email address, residential address, mailing address, and phone number(s);

(3) The name and address of the applicant's current employer and past employers over the three years preceding the application, to include the dates of employment and nature of the work performed by the applicant;

(4) Whether the applicant is applying for a funeral service license, a funeral director license, or embalmer license;

(5) The name of each college or university attended by the applicant, the dates of attendance, and the graduation date and degree(s) obtained, if any;

(6) A certified transcript from each college or university at which the applicant attended courses toward his or her attainment of the educational degree required for the type of license sought, as set forth in G.S. 90-210.25(a)(1), (2), (3);

(7) Official score reports showing passage of the required examination for the type of licensure sought pursuant to G.S. 90-210.25(a)(1), (2), (3) that are provided to the Board by the examination testing provider;

(8) Whether the applicant has ever been certified, licensed, or registered to practice funeral service by the Board or by another occupational licensing board and, if so, the type of credential, the jurisdiction of issuance, the issuance date, the expiration date, and any examinations taken to obtain the credential;

(9) Whether the applicant has been denied a credential in another state and, if so, the jurisdiction and the reason for the denial of the credential;

(10) Whether the applicant has been convicted of a felony or misdemeanor crime and, if so, a statement providing the jurisdiction, charge, date of disposition, and sentence imposed of each conviction;

(11) Whether the applicant has any criminal charges currently pending and, if so, the nature of the charge and the jurisdiction in which the charge is pending;

(12) Whether the applicant has had an occupational or business license suspended or revoked by any local, state, or federal agency and, if so, a statement providing the reason for the action and the date, location, and circumstances of any violation that led to action against the license;

(13) Whether any court, board, agency, or professional organization has found the applicant guilty of misconduct, unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the tribunal and the date of the finding;

(14) Whether the applicant has any charges pending before any court, board, agency, or professional organization for unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, the tribunal in which the charge is pending;

(15) Whether, within the preceding two years, the applicant has been the subject of any investigation for employee misclassification and, if so, the results of the investigation;

(16) The applicant's notarized signature to certify that:

(A) he or she has prepared and read the application;

(B) the information provided in the application is true;

(C) the applicant has read and understands the public notice statement on employee misclassification that is set forth in the application and has disclosed any investigations for employee misclassification, and its results, over the preceding two year period, as prescribed by G.S. 143-789; and

(D) he or she understands that any credential issued shall be governed by the provisions of Article 13A, Chapter 90 of the North Carolina General Statutes and the rules promulgated by the Board; and

(17) The application fee, as prescribed by G.S. 90-210.28 and 21 NCAC 34A .0201. If the application fee is dishonored by the licensee's drawee bank for any reason, the Board shall suspend the license until the renewal fees and non-sufficient fund charges are paid.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(1),(2), (3); 143-789
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. January 1, 2009; October 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. February 1, 2026.

Earlier captured 21 NCAC 34B .0301 {#publisher-history-32e2f879487d01f0cd54-1000096 omnilex-key=us-nc-regs-official--title-21--21 NCAC 34B .0301--publisher-history-32e2f879487d01f0cd54}

History

• Status: expired
• Authority G.S. 90-210.23(a); 90-210.25(a)(1),(2),(3),(5); 150B-11(1)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004; August 1, 1988
• Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

Earlier captured 21 NCAC 34B .0401 {#publisher-history-39ab2e7e55d4bc536463-1000097 omnilex-key=us-nc-regs-official--title-21--21 NCAC 34B .0401--publisher-history-39ab2e7e55d4bc536463}

The Board shall cause at least eight hours of continuing education courses to be offered to the licensees annually, either directly or through other organizations or persons procured for such purpose. Information about Board-approved courses shall be posted on the Board's website at ncbfs.org.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(5)
• Eff. February 1, 1976
• Readopted Eff. September 27, 1977
• Amended Eff. November 1, 2004; November 1, 1994; September 1, 1979
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
• Amended Eff. February 1, 2026.

Earlier captured 21 NCAC 34B .0411 {#publisher-history-4601afd48b13393959c6-1000098 omnilex-key=us-nc-regs-official--title-21--21 NCAC 34B .0411--publisher-history-4601afd48b13393959c6}

(a) Mortuary Science College Courses – Courses covering subjects required by G.S. 90-210.25(a)(1)e1., (2)e1., and (3)e1. and 2 that are offered for academic credit by a mortuary science college approved by the Board or accredited by the American Board of Funeral Service Education shall be approved activities unless the course is taken to obtain a funeral director, embalmer, or funeral service license. Computation of CE credit for such courses shall be as prescribed in 21 NCAC 34B .0415. No more than five CE hours in any year may be earned by such courses except in the cases of an inactive licensee who is seeking to earn enough CE credit to return to active status or an individual whose license has lapsed and who is seeking to reinstate the license. No credit is available for mortuary science college courses attended prior to becoming an active licensee of the North Carolina Board of Funeral Service, except in the case of an inactive licensee who is seeking to earn enough CE credits to return to an active status.

(b) Approval – CE activities shall be approved upon the written application of a sponsor, other than an accredited sponsor, or of an active licensee on an individual program basis. An application for the approval of such CE courses and programs shall meet the following requirements:

(1) The application and supporting documentation, including one complete set of the written materials to be distributed at the course or program, shall be submitted at least 30 days prior to the date on which the course or program is scheduled.

(2) The application shall be submitted on a form furnished by the Board. The form shall require the applicant to furnish the name and address of the course sponsor, the title, date, length, and location of the course, and any other information the Board deems necessary as required by law.

(3) The application shall be accompanied by a course outline or brochure that describes the content, identifies the teachers, lists the time devoted to each topic and shows each date and location at which the course or program will be offered.

(4) The application shall include a calculation of the total number of CE hours using the method prescribed in 21 NCAC 34B .0415.

(c) Course Quality – The application and written materials provided shall reflect that the program to be offered meets the requirements of 21 NCAC 34B .0409. Written materials consisting merely of an outline without citation or explanatory notations shall not be sufficient for approval. Any sponsor, including an accredited sponsor, who expects to conduct a CE activity for which suitable written materials will not be made available to all attendees may obtain approval for that activity only by application to the Board at least 30 days in advance of the presentation showing why written materials are not suitable or readily available for such a program.

(d) Records – Sponsors, including accredited sponsors, shall within 30 days after the course is concluded:

(1) furnish to the Board a list in alphabetical order, on electronic media if available, of the names of all North Carolina attendees and their North Carolina Board of Funeral Service license numbers;

(2) furnish to the Board a complete set of all written materials distributed to attendees at the course or program.

(e) Announcement – Accredited sponsors and other sponsors who have approval for courses may include in their brochures or other course descriptions the information contained in the following illustration:

This course [or seminar or program] has been approved by the North Carolina Board of Funeral Service for continuing education credit in the amount of ____ hours. This course is not sponsored by the Board.

(f) Notice - Sponsors not having approval shall make no representation concerning the approval of the course for CE credit by the Board. The Board shall mail a notice of its decision on CE activity approval requests within 15 days of their receipt. Approval thereof shall be deemed if the notice is not mailed within 30 days. This automatic approval will not operate if the sponsor contributes to the delay by failing to provide all information requested by the Board or if the Board notifies the sponsor that the matter has been tabled and the reason therefore.

(g) Facilities - Sponsors must provide a facility conducive to learning with sufficient space for taking notes. Sponsors must also ensure the following requirements are met:

(1) Access to the facility shall be controlled so that attendees actually attend the entire program or portion of the program for which they are seeking credit. Attendees who are late or who leave early shall not be given credit for the portion of the program that they missed.

(2) All licensees who attend a program and desire credit for attendance must present their license pocket card to gain admission to the program.

(3) The individual or organization conducting the continuing education program must use registration sign in/sign out sheets to ensure attendance by all participants.

(4) The reading of outside material, such as newspapers and magazines, is prohibited during a CE program.

(5) Cell phones and other disruptive devices must be turned off or switched to a silent mode of operation during instructional periods of the CE program.

(6) Persons obtaining CE hours for license reinstatement shall be provided a temporary card, valid for one year from the date of issue, from the Board in order to be allowed entrance to CE programs.

(h) Course Materials - In addition to the requirements of 21 NCAC 34B .0411(d) and (f) above, sponsors, including accredited sponsors, and active licensees seeking credit for an approved activity shall furnish upon request of the Board a copy of all materials presented and distributed at a CE course or program.

(i) Non-funeral service Educational Activities - Approval of courses shall not be given for general and personal educational activities. For example, the following types of courses shall not receive approval:

(1) courses within the normal college curriculum such as English, history, and social studies;

(2) courses that deal with sales and advertising only and would not further educate a licensee as to his or her product knowledge and development of funeral procedures and management models designed to increase the level of service provided to the consumer.

History

• Authority G.S. 90-210.23(a); 90-210.25(a)(5)
• Eff. July 1, 2005
• Amended Eff. March 1, 2008
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

Earlier captured 21 NCAC 36 .0202 {#publisher-history-89f04c0e66ae898ff190-1000099 omnilex-key=us-nc-regs-official--title-21--21 NCAC 36 .0202--publisher-history-89f04c0e66ae898ff190}

(a) A licensee who submits a request for inactive status shall be granted such status by the Board if the licensee:

(1) holds an active unencumbered license issued by the Board; and

(2) is not currently the subject of an investigation by the Board for possible violation of the Nursing Practice Act or rules promulgated thereunder.

(b) An applicant whose licensure status is inactive or retired and who desires to resume the practice of nursing in North Carolina shall:

(1) submit a completed application for reinstatement, stating that the information on the application is true and complete, and authorizing the release to the Board of all information pertaining to the application. Application is posted on the Board's website at www.ncbon.com;

(2) have no pending court conditions as a result of any misdemeanor or felony convictions. The applicant shall provide a written explanation and all investigative reports or court documents evidencing the circumstances of the crimes if requested by the Board. The Board shall use these documents when determining if a license should be denied pursuant to G.S. 90-171.48 and 90-171.37;

(3) self-certify that the applicant is of mental and physical health necessary to competently practice nursing;

(4) submit the licensure application fee, as established in G.S. 90-171.27(b);

(5) attest to having completed continuing competence requirements and submit evidence of completion if requested by the Board, as specified in Rule .0232(b) of this Section; and,

(6) complete a criminal background check in accordance with G.S. 90-171.48.

In the event any of the above-required information indicates a concern about the applicant's qualifications, an applicant may be required to appear in-person for an interview with the Board if more information is needed to evaluate the application.

(c) An applicant whose license has been inactive or retired for a period of five years or more shall also submit:

(1) self-certification that the applicant is of mental and physical health necessary to competently practice nursing; and

(2) evidence of

(A) satisfactory completion of a Board-approved refresher course; or

(B) proof of an active license in another jurisdiction within the last five years or an active license in another country within the last five years if the individual was originally licensed by national licensure examination in the United States.

(d) If a refresher course is required, an applicant shall apply for reinstatement of an active license within one year of completing the refresher course. The application for reinstatement shall include verification from the provider of the refresher course that the applicant has satisfactorily met both theory and clinical objectives.

(e) An applicant who has retired from the practice of nursing may request and be granted by the Board retired nurse status if the applicant:

(1) holds an active unencumbered license issued by the Board;

(2) is not currently the subject of an investigation by the Board for alleged violation of the Nursing Practice Act; and

(3) pays the application fee, pursuant to G.S. 90-171.27(b).

(f) While remaining on retired status, an applicant shall not practice nursing in North Carolina and shall not be subject to payment of the license renewal fee.

(g) An applicant may use the title "Retired Registered Nurse" or "Retired Licensed Practical Nurse" after issued retired status.

(h) An applicant whose licensure status is retired shall not be eligible to vote in Board elections.

(i) Any license issued shall be issued for the remainder of the biennial period.

History

• Authority G.S. 90-171.21; 90-171.23(b) 90-171.27(b);90-171.36; 90-171.36A; 90-171.37; 90-171.43
• Eff. February 1, 1976
• Legislative Objection [(g)] Lodged Eff. June 16, 1980
• Legislative Objection [(g)] Removed Eff. July 1, 1981
• Amended Eff. November 1, 2008; January 1, 2004; January 1, 1996; January 1, 1990; May 1, 1982; January 1, 1980
• Readopted Eff. January 1, 2019.

Earlier captured 21 NCAC 37D .0604 {#publisher-history-1e548df05869d1dccfd5-1000100 omnilex-key=us-nc-regs-official--title-21--21 NCAC 37D .0604--publisher-history-1e548df05869d1dccfd5}

Every candidate for a nursing home administrator's license shall be required to pass the licensing examinations in accordance with the National Association of Long Term Care Administrator Boards standards which are referenced under "Scaled Scores" in the NAB Exam Candidate Handbook, which can be found at: https://www.nabweb.org/seeking-licensure/exam-candidate-handbook.

History

• Authority G.S. 90-285
• Eff. February 1, 1976
• Readopted Eff. October 1, 1977; December 15, 1977
• Amended Eff. May 1, 1989
• Transferred and Recodified from 21 NCAC 37A .0801 Eff. April 1, 1996
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 22, 2014
• Amended Eff May 1, 2023.

Earlier captured 21 NCAC 38 .0308 {#publisher-history-06a8adec3d1ce78c90c7-1000101 omnilex-key=us-nc-regs-official--title-21--21 NCAC 38 .0308--publisher-history-06a8adec3d1ce78c90c7}

Pursuant to G.S. 90-270.76(a)(2) the Board adopts by reference the Occupational Therapy Code of Ethics (2005) of the American Occupational Therapy Association, including subsequent amendments and editions. Copies of the American Occupational Therapy Association Code of Ethics may be obtained online at http://www.aota.org at no cost. To the extent the Occupational Therapy Code of Ethics might conflict with the North Carolina Occupational Therapy Practice Act or the Rules of the North Carolina Board of Occupational Therapy, the North Carolina Occupational Therapy Practice Act or the Rules of the North Carolina Board of Occupational Therapy shall take precedent.

History

• Authority G.S. 90-270.69(4)
• Eff. December 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 23, 2016.

Earlier captured 21 NCAC 39 .0102 {#publisher-history-1b6ed79b9bd2d0c2838e-1000102 omnilex-key=us-nc-regs-official--title-21--21 NCAC 39 .0102--publisher-history-1b6ed79b9bd2d0c2838e}

(a) The levels of certification for on-site wastewater contractors are as follows:

(b) Point-of-sale inspectors and private compliance inspectors are certified to inspect all on-site wastewater systems referenced in Paragraph (a) of this Rule.

(c) Evaluators certified by the Board pursuant to G.S. 130A-336.2(a) shall comply with the standards set forth in G.S. 130A-336.2.

History

• Authority G.S. 90A-72; 90A-74; 90A-77; 130A-336.2
• Eff. February 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2021;.
• Readopted Eff. November 1, 2025.

Earlier captured 21 NCAC 39 .0301 {#publisher-history-703c29fe844bef334c3e-1000103 omnilex-key=us-nc-regs-official--title-21--21 NCAC 39 .0301--publisher-history-703c29fe844bef334c3e}

(a) Application fees are as follows:

(b) Application fees shall not be pro-rated.

(c) The fee for re-instatement of a revoked or suspended certification is five hundred dollars ($500.00).

(d) The fee for certificate replacement or duplication is twenty-five dollars ($25.00).

(e) The fee for late renewal is twenty-five dollars ($25.00). This fee is charged if the renewal request is received after November 15.

(f) The fee for each returned check is twenty-five dollars ($25.00).

(g) All fees are non-refundable.

History

• Authority G.S. 25-3-506; 90A-72(a); 90A-74; 90A-75; 90A-77(f); 90A-78(b); 130A-336.2
• Eff. February 1, 2011
• Amended Eff. January 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2021
• Readopted Eff. November 1, 2025.

Earlier captured 21 NCAC 39 .0601 {#publisher-history-b82ccbc4df2e112b5fab-1000104 omnilex-key=us-nc-regs-official--title-21--21 NCAC 39 .0601--publisher-history-b82ccbc4df2e112b5fab}

(a) Every certified on-site wastewater contractor, point-of-sale inspector, private compliance inspector, or evaluator shall obtain Professional Development Hours (PDH) units before each renewal of his or her certification, as described in the following table:

(b) The certified on-site wastewater contractor, point-of-sale inspector, private compliance inspector, or evaluator shall select courses and activities that have been approved as set out in Rule .0602 of this Chapter.

(c) Only PDH approved by the Board pursuant to Rule .0602 shall qualify as continuing education required to renew a certification, as set forth in G.S. 90A-78.

(d) Each on-site wastewater contractor, point-of-sale inspector, private compliance inspector, or evaluator shall attend at least 85 percent of the class in order to receive credit. Any attendee present for less time shall not receive credit for the class. The class provider or authorized representative shall certify by affidavit or attestation that each class attendee meets the requirement of this Paragraph.

(e) PDH received annually in excess of required PDH shall not be carried forward for future requirements.

(f) PDH shall expire fifteen months after completion.

History

• Authority G.S. 90A-72; 90A-74; 90A-77; 90A-78; 90A-79; 130A-336.2
• Eff. February 1, 2011
• Amended Eff. January 1, 2016; January 1, 2013
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
• Amended Eff. June 1, 2021
• Readopted Eff. November 1, 2025.

Earlier captured 21 NCAC 42A .0101 {#publisher-history-bf89f0570f0da811cd16-1000105 omnilex-key=us-nc-regs-official--title-21--21 NCAC 42A .0101--publisher-history-bf89f0570f0da811cd16}

The Board mailing address is 521 Yopp Rd., Suite 214 #444, Jacksonville, NC 28540. The Board's phone number is (910) 285-3160; its toll free number is (800) 426-4457 (in-state only); and its fax number is (910) 285-4546. The email address is info@ncoptometry.org and its website is www.ncoptometry.org.

History

• Authority G.S. 90-117.5
• Eff. February 1, 1976
• Readopted Eff. May 30, 1978
• Amended Eff. October 1, 1994; April 1, 1993; June 1, 1989; September 30, 1981
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015
• Amended Eff. January 1, 2023.

Earlier captured 21 NCAC 42E .0103 {#publisher-history-85688b94146fc3f276ad-1000106 omnilex-key=us-nc-regs-official--title-21--21 NCAC 42E .0103--publisher-history-85688b94146fc3f276ad}

(a) All prescription forms shall conform to 21 NCAC 46 .2301 and shall include the name, address, state licensure number, and the Drug Enforcement Administration number of the prescriber, if applicable. The provisions of 16 C.F.R. 315.2 and 16 C.F.R. 456.1(g) are hereby incorporated by reference, including subsequent amendments and editions. The provisions of the Code of Federal Regulations (C.F.R.) cited in this rule may be accessed at no charge at https://www.ecfr.gov/current/title-16. The optometrist shall be responsible for implementing appropriate safeguards, including but not limited to the optometrist keeping a physical prescription pad in his or her personal possession or under lock and key at all times and password-protecting his or her electronic prescription form, within his or her practice to prevent the unauthorized use of his or her prescription forms, and shall immediately notify the Board upon determining that prescription blanks might be missing or misused.

(b) Any optometrist licensed by the Board who wishes to dispense drugs pursuant to G.S. 90-127.4 must first register with the North Carolina Board of Pharmacy pursuant to G.S. 90-85.26B.

(c) Any optometrist licensed by the Board shall provide their patients a copy of his or her eyeglass prescription, once such prescription is determined and finalized, consistent with Federal Trade Commission regulations. The provisions of 16 C.F.R. 456.2(a) are hereby incorporated by reference, including subsequent amendments and editions. An expiration date of not less than one year from the date of the prescribing examination shall appear on every such prescription. The prescription may show a statement of caution or a disclaimer if such a statement or disclaimer is supported by documented patient records.

(d) Any optometrist licensed by the Board shall provide their patients a copy of his or her contact lens prescription, once determined and finalized, consistent with Federal Trade Commission regulations. The provisions of 16 C.F.R. 315.4 are hereby incorporated by reference, including subsequent amendments and edition. A prescription for contact lenses shall explicitly state that it is for contact lenses and specify the lens type and all specifications necessary for the ordering and fabrication of the lenses. Words or phrases such as "OK for contact lenses", "fit with contact lenses", "contact lenses may be worn", or similar wording do not constitute a contact lens prescription. The prescriber cannot write the contact lens prescription until all the requirements of a satisfactory fit of contact lenses have been determined by the prescriber. All contact lenses used in the determination of a contact lens prescription are considered to be diagnostic lenses. An expiration date of not less than one year from the date of the prescribing examination shall appear on every such prescription unless there is a medical justification for a shorter duration. If the prescriber has such a medical justification, the prescriber must document the medical reason for the shorter expiration date in the patient's medical record consistent with Federal Trade Commission regulations. The provisions of 16 C.F.R. 315.6(a)(3) and (b)(1) are hereby incorporated by reference, including subsequent amendments and editions. If a patient is not adhering to appropriate regimens of care and follow-up with regard to the continuing use of contact lenses, the prescribing optometrist may terminate optometric care for that patient and notify the patient that he or she is terminating such relationship and the reasons for doing so.

(e) An optometrist shall provide a copy of a requesting patient's eyeglass prescription or contact lens prescription so long as the requested prescription has not expired.

History

• Authority G.S. 90-114; 90-117.5; 90-127.2; 90-127.3; 90-127.4
• Eff. June 1, 1989
• Amended Eff. April 1, 1993
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015
• Amended Eff. June 1, 2024.

Earlier captured 21 NCAC 42K .0203 {#publisher-history-b0eaaf7fa5ae8bd2ae36-1000107 omnilex-key=us-nc-regs-official--title-21--21 NCAC 42K .0203--publisher-history-b0eaaf7fa5ae8bd2ae36}

There is no particular form required for a rule-making petition. However, the petitioner should include the following:

(1) an indication of the subject area to which the petition is directed [for example: "This is a petition to conduct rule-making to amend (rule number)"];

(2) either a draft of the proposed rule or a summary of its contents, or an identification of the rule to be amended or repealed;

(3) reasons for the proposal;

(4) the effect of the proposal on existing rules and practices;

(5) any data supporting the proposal; and

(6) the name and address of each petitioner.

History

• Authority G.S. 150B-20
• Eff. June 1, 1989
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

Earlier captured 21 NCAC 46 .1820 {#publisher-history-6515b08169fbfb5eebf5-1000108 omnilex-key=us-nc-regs-official--title-21--21 NCAC 46 .1820--publisher-history-6515b08169fbfb5eebf5}

All pharmacists must comply with the American Pharmacist Association Code of Ethics, which is hereby incorporated by reference, along with all subsequent amendments or editions. A copy of the Code of Ethics is available free of charge on the Board's website at http://ncbop.org/lawandrules.htm. Any contrary conduct is unprofessional conduct under G.S. 90-85.38.

History

• Authority G.S. 90-85.3A; 90-85.6; 90-85.15A; 90-85.15B; 90-85.22; 90-85.26; 90-85.26A; 90-85.32; 90-85.33; 90-85.34; 90-85.38; 90-85.44; S.L. 2021-110, s. 4.(a)
• Eff. July 1, 2022.

Earlier captured 21 NCAC 46 .2801 {#publisher-history-9a90c26a8777c7a0ede9-1000109 omnilex-key=us-nc-regs-official--title-21--21 NCAC 46 .2801--publisher-history-9a90c26a8777c7a0ede9}

(a) A pharmacy may dispense a compounded drug preparation to a patient only pursuant to a prescription that is valid and complies with all requirements of the law, including 21 NCAC 46 .1801. In advance of dispensing the compounded drug preparation, a pharmacy shall prepare the compounded drug preparation only:

(1) upon the pharmacy's receipt of a valid prescription order for an individual patient; or

(2) in anticipation of a prescription order based on an established history of receiving prescription orders for the compounded drug preparation. Any compounded drug preparation prepared in anticipation of a prescription order shall not be dispensed until the pharmacy receives a valid prescription order for an individual patient.

(b) Compounded drug preparations shall not be offered to other entities for resale.

(c) A pharmacy may supply compounded drug products to practitioners authorized by law to prescribe drugs for those practitioners to administer to those practitioners' patients. Such compounding for office use shall comply with applicable federal law.

(d) The preparation, labeling, and dispensing of non-sterile compounded drug preparations shall comply with the standards established by United States Pharmacopeia chapter <795>, including all United States Pharmacopeia chapters and standards incorporated into chapter <795> by reference and including all subsequent amendments and editions of the same, governing both the non-sterile compounded drug preparations and the physical and environmental conditions under which non-sterile compounded drug preparations are prepared, labeled, and dispensed.

(e) The preparation, labeling, and dispensing of sterile compounded preparations shall comply with standards established by United States Pharmacopeia chapter <797>, including all United States Pharmacopeia chapters and standards incorporated into chapter <797> by reference and including all subsequent amendments and editions of the same, governing both the sterile compounded products and the physical and environmental conditions under which sterile compounded products are prepared, labeled, and dispensed.

(f) A pharmacy that prepares, labels, or dispenses sterile compounded preparations shall maintain a reference library in the pharmacy including the current United States Pharmacopeia standards and references on the compatibility, stability, storage, handling, and preparation of compounded drugs. These references may be either hard copy or electronically accessible.

(g) In a pharmacy where compounded drug preparations are prepared, labeled, or dispensed, the pharmacist-manager or the pharmacist-manager's designated pharmacist shall be knowledgeable in the specialized functions of preparing, labeling, and dispensing compounded drug preparations. If the pharmacist-manager chooses to designate another pharmacist for this purpose, the pharmacist-manager shall notify the Board on the pharmacy's permit application and within 15 days of any change in the designation. Notwithstanding the pharmacist-manager's designation of another pharmacist as knowledgeable in the specialized functions of preparing, labeling, and dispensing compounded drug preparations, the pharmacist-manager shall be responsible for ensuring the pharmacy's compliance with all statutes, rules, and standards that govern such activities.

(h) In addition to complying with all recordkeeping and labeling requirements specified or referred to by United States Pharmacopeia chapters <795> or <797>, a pharmacy that prepares, labels, or dispenses compounded drug preparations shall create and maintain a record-keeping system that enables the pharmacy immediately upon request to identify every compounded drug preparation prepared, labeled, or dispensed in the past three years. This recordkeeping system may be created and maintained electronically in compliance with 21 NCAC 46 .2508.

(i) The pharmacist-manager of a pharmacy that prepares, labels, or dispenses compounded drug preparations shall comply with all quality assurance requirements and standards of United States Pharmacopeia chapters <795> and <797>.

(j) Between January 1 and March 31 of each year, any pharmacy permitted by the Board that has prepared, labeled, or dispensed any compounded drug (for any patient or other person, either within or outside North Carolina) during the immediately preceding calendar year shall update all information regarding its services in the National Association of Boards of Pharmacy's e-Profile Connect system at https://dashboard.nabp.pharmacy.

(k) In addition to the requirements of this Section, the compounding of radiopharmaceutical drug products shall comply with Section .2700 of this Chapter.

(l) United States Pharmacopeia chapters <795> or <797> may be inspected at the offices of the Board during its normal hours of operation. Copies also may be obtained from the U.S. Pharmacopeial Convention (www.usp.org), as a free download as of the effective date of the last amendment to this Rule.

History

• Authority G.S. 90-85.6; 90-85.21A; 90-85.26; 90-85.32
• Eff. October 1, 1990
• Amended Eff. January 1, 2015; April 1, 2003
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. August 1, 2021.

Earlier captured 21 NCAC 48E .0110 {#publisher-history-5d50baad5efe55a08b82-1000110 omnilex-key=us-nc-regs-official--title-21--21 NCAC 48E .0110--publisher-history-5d50baad5efe55a08b82}

(a) This Rule shall apply to a physical therapist who has graduated from a program located outside the United States that has not been accredited by the Commission of Accreditation of Physical Therapy Education (CAPTE) or its successor, in accordance with G.S. 90-270.95(2), and does not hold an active license in another state or territory of the United States.

(b) All application forms and supporting documents shall be completed in English or accompanied by an English translation.

(c) For the applicant's educational credential to be determined substantially equivalent to that obtained by an applicant for licensure pursuant to G.S. 90-270.95(2), the applicant shall meet the standards of the Federation's most recent Coursework Tool (CWT) for Physical Therapists at https://www.fsbpt.org/FreeResources/RegulatoryResources/CourseworkTools(CWT).aspx. These coursework tools are incorporated by reference, including subsequent amendments and editions. Individuals wishing to obtain a copy may call the Federation at 703-299-3100 or download a copy from the Federation's website at no cost. Copies of the coursework tools are on file at the Division located at 8300 Health Park Suite 233, Raleigh, NC 27615 and are available for public inspection during regular business hours.

(d) The applicant shall make arrangements to have the credentials evaluated by the Foreign Credentialing Commission on Physical Therapy or a service that has a physical therapist consultant on staff and that is authorized to use the Federation's CWTs for physical therapists referred to in Paragraph (c) of this Rule. The Board shall review an applicant's educational program and shall consider the findings of the credentialing service.

(e) The applicant shall provide the following information to the Board:

(1) proof that the applicant has demonstrated English language proficiency by meeting the most recent Test of English as a Foreign Language (TOEFL) score requirement as defined by the Federation. This test is incorporated by reference, including subsequent amendments and editions. Individuals wishing to register for the TOEFL shall contact Examination Testing Service (http://www.ets.org/toefl/). The cost of this examination is posted on the ETS website. The TOEFL is an examination that is owned by ETS and is not available for public review; or

(2) documentation for exemption pursuant to 8 CFR 212.15 (http://www.uscis.gov/). 8 CFR 212.15 is incorporated by reference, including subsequent amendments and editions. Individuals wishing to obtain a copy at no cost may call the United States Citizenship and Immigration Service National Customer Service Center at 1-800-375-5283 or 1-800-767-1833 (TDD) toll free. A copy of 8 CFR 212.15 is on file at the Division located at 8300 Health Park Suite 233, Raleigh, NC 27615 and is available for public inspection during regular business hours.

(f) An applicant for licensure shall provide a complete set of fingerprints at the applicant's expense in order to obtain a criminal history record check in accordance with G.S. 90-270.96 and G.S. 143B-964.

History

• Authority G.S. 90-270.92; 90-270.95; 90-270.97; 90-270.98; 143B-964; 150B-21.6(2)
• Eff. December 30, 1985
• Amended Eff. November 1, 1991; August 1, 1991
• Temporary Amendment Eff. July 21, 1995, for a period of 180 days or until the permanent Rule becomes effective, whichever is sooner
• Amended Eff. February 1, 2015; December 1, 2006; November 1, 2004; August 1, 2002; August 1, 1998; February 1, 1996; October 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. May 1, 2020; September 1, 2019; November 1, 2018.

Earlier captured 21 NCAC 48E .0111 {#publisher-history-f6991351e6f9fb7b27bb-1000111 omnilex-key=us-nc-regs-official--title-21--21 NCAC 48E .0111--publisher-history-f6991351e6f9fb7b27bb}

(a) This Rule shall apply to a physical therapist who has graduated from a program located outside the United States that has not been accredited by the Commission of Accreditation of Physical Therapy Education (CAPTE) or its successor, in accordance with G.S. 90-270.95(2), and holds an active physical therapist license in another state or territory of the United States.

(b) All application forms and supporting documents shall be completed in English or accompanied by an English translation.

(c) For the applicant's educational credentials to be determined substantially equivalent to an educational program accredited pursuant to G.S. 90-270.95(2), the applicant shall meet the standards of the Federation's Coursework Tool (CWT) https://www.fsbpt.org/FreeResources/Regulatory Resources/CourseworkTools(CWT).aspx for the applicant's year of graduation. This coursework tool is incorporated by reference, including subsequent amendments and editions. Individuals wishing to obtain a copy may call the Federation at 703-299-3100 or download a copy from the Federation's website at no cost. A copy of the coursework tool is on file at the Division located at 8300 Health Park Suite 233, Raleigh, NC 27615 and is available for public inspection during regular business hours.

(d) The applicant shall make arrangements to have the credentials evaluated by the Foreign Credentialing Commission on Physical Therapy or a service that has a physical therapist consultant on staff and that is authorized to use the Federation's CWTs for physical therapists referred to in Paragraph (c) of this Rule. The Board shall review an applicant's educational program and shall consider the findings of the credentialing service.

(e) The applicant shall provide the following information to the Board:

(1) proof that the applicant has demonstrated English language proficiency by meeting the most recent Test of English as a Foreign Language (TOEFL) score requirement as defined by the Federation. This test is incorporated by reference, including subsequent amendments and editions. Individuals wishing to register for the TOEFL shall contact Examination Testing Service (http://www.ets.org/toefl/). The cost of this examination is posted on the ETS website. The TOEFL is an examination that is owned by ETS and is not available for public review; or

(2) documentation for exemption pursuant to 8 CFR 212.15 (http://www.uscis.gov/). 8 CFR 212.15 is incorporated by reference, including subsequent amendments and editions. Individuals wishing to obtain a copy at no cost may call the United States Citizenship and Immigration Service National Customer Service Center at 1-800-375-5283 or 1-800-767-1833 (TDD) toll free. A copy of 8 CFR 212.15 is on file at the Division located at 8300 Health Park Suite 233, Raleigh, NC 27615 and is available for public inspection during regular business hours.

(f) An applicant for licensure shall provide a complete set of fingerprints at the applicant's expense in order to obtain a criminal history record check in accordance with G.S. 90-270.96 and G.S. 143B-964.

History

• Authority G.S. 90-270.92; 90-270.95; 90-270.95(2); 90-270-97; 90-270.98; 143B-964; 150B-21.6(2)
• Eff. February 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. May 1, 2020; September 1, 2019; November 1, 2018.

Earlier captured 21 NCAC 48E .0112 {#publisher-history-6264087533dc1c3eb997-1000112 omnilex-key=us-nc-regs-official--title-21--21 NCAC 48E .0112--publisher-history-6264087533dc1c3eb997}

(a) This Rule shall apply to a physical therapist assistant who has graduated from a program located outside the United States that has not been accredited by the Commission of Accreditation of Physical Therapy Education (CAPTE) or its successor, in accordance with G.S. 90-270.95(3), and holds an active physical therapist assistant license in another state or territory of the United States.

(b) All application forms and supporting documents shall be completed in English or accompanied by an English translation.

(c) For the applicant's educational credentials to be determined substantially equivalent to that obtained by an applicant for licensure pursuant to G.S. 90-270.95(3), the applicant shall meet the standards of the Federation's most recent Coursework Tool (CWT) for Physical Therapist Assistants https://www.fsbpt.org/FreeResources/Regulatory Resources/CourseworkTools(CWT).aspx for the applicant's year of graduation. This coursework tool is incorporated by reference, including subsequent amendments and editions. Individuals wishing to obtain a copy may call the Federation at 703-299-3100 or download a copy from the Federation's website at no cost. A copy of the coursework tool is on file at the Division located at 8300 Health Park Suite 233, Raleigh, NC 27615 and is available for public inspection during regular business hours.

(d) The applicant shall make arrangements to have the credentials evaluated by the Foreign Credentialing Commission on Physical Therapy or a service that has a physical therapist consultant on staff and that is authorized to use the Federation's CWTs for physical therapist assistants referred to in Paragraph (c) of this Rule. The Board shall review an applicant's educational program and shall consider the findings of the credentialing service.

(e) The applicant shall provide the following information to the Board:

(1) proof that the applicant has demonstrated English language proficiency by meeting the most recent Test of English as a Foreign Language TOEFL score requirement as defined by the Federation. This test is incorporated by reference, including subsequent amendments and editions. Individuals wishing to register for the TOEFL shall contact Examination Testing Service (http://www.ets.org/toefl/). The cost of this examination is posted on the ETS website. The TOEFL is an examination that is owned by ETS and is not available for public review; or

(2) documentation for exemption pursuant to 8 CFR 212.15 (http://www.uscis.gov/). 8 CFR 212.15 is incorporated by reference, including subsequent amendments and editions. Individuals wishing to obtain a copy at no cost may call the United States Citizenship and Immigration Service National Customer Service Center at 1-800-375-5283 or 1-800-767-1833 (TDD) toll free. A copy of 8 CFR 212.15 is on file at the 8300 Health Park Suite 233, Raleigh, NC 27615 and is available for public inspection during regular business hours.

(f) An applicant for licensure shall provide a complete set of fingerprints at the applicant's expense in order to obtain a criminal history record check in accordance with G.S. 90-270.96 and G.S. 143B-964.

History

• Authority G.S. 90-270.92; 90-270.95; 90-270.97; 90-270.98; 143B-964; 150B-21.6(2)
• Eff. February 1, 2015
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. May 1, 2020; September 1, 2019; November 1, 2018.

Earlier captured 21 NCAC 48E .0510 {#publisher-history-c13e438e00934fc4c2ed-1000113 omnilex-key=us-nc-regs-official--title-21--21 NCAC 48E .0510--publisher-history-c13e438e00934fc4c2ed}

(a) This Rule shall apply to a physical therapist assistant who has graduated from a program located outside the United States that has not been accredited by the Commission of Accreditation of Physical Therapy Education (CAPTE) or its successor, in accordance with G.S. 90-270.95(3).

(b) All application forms and supporting documents shall be completed in English or accompanied by an English translation.

(c) For the applicant's educational credentials to be determined substantially equivalent to that obtained by an applicant for licensure pursuant to G.S. 90-270.95(3), the applicant shall meet the standards of the most recent Federation's Coursework Tool (CWT) for Physical Therapist Assistants https://www.fsbpt.org/FreeResources/Regulatory Resources/CourseworkTools(CWT).aspx. This coursework tool is incorporated by reference, including subsequent amendments and editions. Individuals wishing to obtain a copy may call the Federation at 703-299-3100 or download a copy from the Federation's website at no cost. A copy of the coursework tool is on file at the Division located at 8300 Health Park Suite 233, Raleigh, NC 27615 and is available for public inspection during regular business hours.

(d) The applicant shall make arrangements to have the credentials evaluated by the Foreign Credentialing Commission on Physical Therapy or a service that has a physical therapist consultant on staff and that is authorized to use the Federation's CWTs for physical therapist assistants referred to in Paragraph (c) of this Rule. The Board shall review an applicant's educational program and shall consider the findings of the credentialing service.

(e) The applicant shall provide the following information to the Board:

(1) proof that the applicant has demonstrated English language proficiency by meeting the most recent Test of English as a Foreign Language TOEFL score requirement as defined by the Federation. This test is incorporated by reference, including subsequent amendments and editions. Individuals wishing to register for the TOEFL shall contact Examination Testing Service (http://www.ets.org/toefl/). The cost of this examination is posted on the ETS website. The TOEFL is an examination that is owned by ETS and is not available for public review; or

(2) documentation for exemption pursuant to 8 CFR 212.15 (http://www.uscis.gov/). 8 CFR 212.15 is incorporated by reference, including subsequent amendments and editions. Individuals wishing to obtain a copy at no cost may call the United States Citizenship and Immigration Service National Customer Service Center at 1-800-375-5283 or 1-800-767-1833 (TDD) toll free. A copy of 8 CFR 212.15 is on file at the 8300 Health Park Suite 233, Raleigh, NC 27615 and is available for public inspection during regular business hours.

(f) An applicant for licensure shall provide a complete set of fingerprints at the applicant's expense in order to obtain a criminal history record check in accordance with G.S. 90-270.96 and G.S. 143B-964.

History

• Authority G.S. 90-270.92; 90-270.95; 90-270.97; 90-270.98; 143B-964; 150B-21.6(2)
• Eff. May 1, 2020.

Earlier captured 21 NCAC 48G .0105 {#publisher-history-00ae7b4cc6a6bd377939-1000114 omnilex-key=us-nc-regs-official--title-21--21 NCAC 48G .0105--publisher-history-00ae7b4cc6a6bd377939}

As used in this Subchapter, the following definitions apply:

(1) "Approved provider" means an entity that has been approved by the Board to provide continuing competence activities for licensees as provided in the rules in this Section.

(2) "Clinical Practice" means physical therapy consultation or patient care or client management or the supervision thereof.

(3) "Contact Hour" means at least 50 consecutive minutes of engagement in a continuing competence activity. Two segments of at least 25 consecutive minutes each is equivalent to one contact hour. Breaks and meals are not included in contact hours.

(4) "Continuing Competence" means the licensee's ongoing activities to augment knowledge, skills, behaviors, and abilities related to the practice of physical therapy.

(5) "Continuing Education" means courses of study designed to provide learning experiences for physical therapy licensees.

(6) "Documentation" means evidence of completion of continuing competence activities.

(7) "Jurisprudence Exercise" is an online set of questions concerning the Physical Therapy Practice Act, Board rules and Position Statements posted on the Board's website at http://www.ncptboard.org.

(8) "Licensee" means a physical therapist or physical therapist assistant licensed in North Carolina.

(9) "Peer-reviewed" means judged by an independent panel of experts having special knowledge or skills in a particular field of study.

(10) "Point" means a unit of continuing competence.

(11) "Registered" means enrollment in a continuing competence activity.

(12) "Reporting period" means a 25 month period commencing on January 1 during which the licensee must complete all continuing competence requirements. Points earned by a licensee may be counted toward completion during one reporting period only.

History

• Authority G.S. 90-270.92
• Eff. January 1, 2009
• Amended Eff. January 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

Earlier captured 21 NCAC 48G .0109 {#publisher-history-b93d5c39ac70273a8b3e-1000115 omnilex-key=us-nc-regs-official--title-21--21 NCAC 48G .0109--publisher-history-b93d5c39ac70273a8b3e}

(a) Continuing Education activities are eligible for points as follows:

(1) A registered attendee at courses or conferences offered live in real time by approved providers earns one point for each contact hour. The maximum number of points allowed during any reporting period shall be 29. The maximum number of points allowed during any reporting period for an interactive course offered through electronic media shall be 15. Credit shall not be given for the same course or conference more than once during any reporting period. The licensee shall retain the Certificate of Attendance issued by the approved provider.

(2) For registered participation in an academic course related to physical therapy offered for credit in a post-baccalaureate program unless the course is required for licensure, one semester hour earns 15 points, and the maximum number of points allowed during any reporting period shall be 29. The licensee shall obtain a letter grade of "C" or better, or "P" if offered on a pass/fail basis. Credit shall not be given for the same course more than one time. The licensee shall retain a transcript published by the approved provider or furnished by the academic institution.

(3) For attendance or participation in an activity related to physical therapy for which no assessment is received, two contact hours earns one point. The maximum number of points allowed during any reporting period shall be five. Credit shall not be given for the same activity more than one time. The licensee shall retain a certificate of completion, or if that is not available, a summary of the objectives of the activity and the time spent in the activity.

(4) For registered participation in a non-interactive course offered by an approved provider by videotape, satellite transmission, webcast, DVD, or other electronic media, one hour of participation earns one point. The maximum number of points allowed during any reporting period shall be 10. Credit shall not be given for the same course more than once during a reporting period. The licensee shall retain a certificate of completion provided by the course provider.

(5) For participation in a study group consisting of at least three licensees conducted either live or in real time through electronic media, whose purpose is to advance the knowledge and skills of the participants related to the practice of physical therapy, two hours of participation in the study group earns one point. The maximum number of points allowed during any reporting period shall be 10. The licensee shall retain a biography of each participant, a statement of the goals of the study group, attendance records for each participant, assignments for each participant and an analysis by each participant specifying the knowledge and skills enhanced by participating in the study group.

(6) For participation in a self-designed home study program for the purpose of advancing the knowledge and skill of the participant related to the practice of physical therapy, three hours of home study earns one point. The maximum number of points allowed for home study during any reporting period shall be five. The licensee shall retain a description of the plans and objectives of the me study, an analysis of the manner in which the plans and objectives were met, and a certification of the time spent on the project.

(7) For participation in continuing education required by credentialed residencies and fellowships, one point shall be granted for each contact hour. The maximum number of points for each reporting period shall be 29. The licensee shall retain the certificate of attendance issued by the American Physical Therapy Association ("APTA") credentialed residency or fellowship.

(8) For completion of a home study physical therapy program furnished by an approved provider, one hour of home study earns one point. The maximum number of points during any one reporting period allowed shall be 10. The licensee shall retain a certificate of completion issued by the approved provider.

(b) Points are awarded for advanced training as follows:

(1) For fellowships conferred by organizations credentialed by the APTA in a specialty area of the practice of physical therapy, 10 points shall be awarded for each full year of clinical participation, up to a maximum of 20 points per reporting period for this activity. The licensee shall retain the certificate conferred on the licensee or evidence that all requirements of the fellowship program have been met.

(2) For completion of a residency program in physical therapy offered by an APTA credentialed organization, 10 points shall be awarded for each full year of clinical participation, up to a maximum of 20 points per reporting period for this activity. The licensee shall retain the certificate conferred on the licensee or evidence that all requirements of the residency program have been met.

(3) For specialty certification or specialty recertification by the American Board of Physical Therapy Specialization ("ABPTS"), 20 points shall be awarded upon receipt of such certification or recertification during any reporting period. The licensee shall retain evidence from ABPTS that the certification or recertification has been granted.

(4) For a physical therapist assistant, Advanced Proficiency designation by the APTA for the PTA earns 19 points per reporting period. The licensee shall retain evidence from APTA that the designation has been awarded.

(c) Achieving a passing score on the Federation's Practice Review Tool ("PRT") earns 10 points. Taking the PRT without achieving a passing score earns five points. The licensee shall retain the certificate of completion and performance report. Points shall be awarded only one time for any specific practice area.

(d) Clinical Education activities are eligible for points as follows:

(1) For completion of a course offered by an approved provider for a licensee to become a Credentialed Clinical Instructor recognized by APTA, one course hour earns one point, and the maximum number of points awarded during any reporting period shall be 29. The licensee shall retain a credential certificate issued by the approved provider. Credit for completing the same course shall be given only once.

(2) For enrollment in a course offered by APTA for a licensee to become a Credentialed Clinical Instructor Trainer, one course hour earns one point, and the maximum number of points awarded during any reporting period shall be 29. The licensee shall retain a Trainer certificate issued by APTA. Credit for completing the same course shall be given only once.

(3) For serving as a Clinical Instructor for a physical therapist or physical therapist assistant student, resident, or fellow for a period of at least 80 hours, 40 hours of direct on-site supervision earns one point, and the maximum number of points awarded during any reporting period shall be eight. The licensee shall retain verification of the clinical affiliation agreement with the accredited educational program for the student supervised and a log showing the number of hours spent supervising the student.

(e) Presenting or teaching for an accredited physical therapy educational program; a transitional Doctor of Physical Therapy ("DPT") program; an accredited program for health care practitioners licensed under the provisions of Chapter 90 of the North Carolina General Statutes; or a state, national, or international workshop, seminar or professional health care conference earns two points for each hour of presentation or teaching. The licensee shall retain written materials advertising the presentation or teaching, or other evidence of the date, subject, goals and objectives of the presentation, and any written materials prepared by the licensee. A maximum of six points shall be allowed during any reporting period, and credit shall not be given for teaching or presenting the same subject matter more than one time during any reporting period.

(f) Research and published books or articles shall be eligible to accumulate up to a maximum of 15 points as follows:

(1) Submission of a request to a funding agency for a research grant as a Principal or Co-Principal Investigator earns 10 points. The licensee shall retain a copy of the research grant that shall include the title, an abstract, the funding agency, and the grant period. Points shall be awarded only one time during any reporting period.

(2) Having a research grant funded as a Principal Investigator or Co-Principal Investigator earns 10 points. The licensee shall retain a copy of the research grant that shall include the title, an abstract, the funding agency, the grant period and documentation of the funding received in a given period. Points shall be awarded only one time during a reporting period.

(3) Service as a Grants Reviewer earns one point for each two hours of grant review and a maximum of five points shall be allowed. The licensee shall retain a description of all grants reviewed and any reports generated in connection with the reviews, including the dates of service, the agency for whom the review was performed, and the hours spent on the grant review. Points shall be awarded only once for each grant reviewed during the reporting period.

(4) The author or editor of a book published by a third party entity dealing with a subject related to the practice of physical therapy earns 10 points. The licensee shall retain a copy of the published book and a list of consulted resources. Points shall be awarded only one time during any reporting period.

(5) The author or editor of a chapter in a book published by a third party entity dealing with a subject related to the practice of physical therapy earns five points. The licensee shall retain a copy of the published book and a list of consulted resources. Points shall be awarded only one time during any reporting period.

(6) The author of a published peer-reviewed article relating to the practice of physical therapy earns 10 points. The licensee shall retain the article, names and employers of the reviewers, and a list of consulted resources. Points shall be awarded only one time during any reporting period.

(7) The author of a published non peer-reviewed article or book-review or abstract relating to the practice of physical therapy earns four points. The licensee shall retain the article and a list of consulted resources. Each article, book-review, or abstract shall count one time only. A maximum of four points shall be awarded during any reporting period.

(8) The author of a published peer-reviewed abstract, book review, or peer-reviewed abstract for a poster or presentation related to the practice of physical therapy to a professional health care group earns five points for a presentation, up to a maximum of 15 points during any reporting period, and credit for the same poster or presentation shall not be awarded more than one time. The licensee shall retain a copy of the poster or presentation and a list of consulted resources.

(g) Clinical practice shall be eligible for points as follows:

(1) For each year during the reporting period that a licensee is engaged in clinical practice for 1,750 hours or more, three points shall be awarded. The licensee shall retain certification from the employer(s) for whom the services were performed including year and hours worked or document practice hours as the owner of a practice.

(2) For each year during the reporting period that a licensee is engaged in clinical practice for at least 1,000 hours but less than 1,750 hours, two points shall be awarded. The licensee shall retain a certification from the employer(s) for whom the services were performed including year and hours worked or document practice hours as the owner of a practice.

(3) For each year during the reporting period that a licensee is engaged in clinical practice for at least 200 hours but less than 1,000 hours, one point shall be awarded. The licensee shall retain a certification from the employer(s) for whom the services were performed including year and hours worked or document practice hours as the owner of a practice.

(h) Professional Self-Assessment earns five points for completion of an approved Reflective Practice Exercise. This exercise shall be approved if it is a process for a licensee to evaluate current professional practice abilities, to establish goals to improve those abilities, to develop a plan to meet those goals, and to document that the objectives are being accomplished. The licensee shall retain evidence of completion of all elements of the Reflective Practice Exercise. Points shall be awarded only one time during any reporting period.

(i) Workplace Education shall be eligible for points as follows:

(1) Presentation or attendance at an in-service session related to the practice of physical therapy, including health care issues related to the practice of physical therapy, shall be allowed. The licensee shall retain a roster or certificate of attendance signed by a representative of the employer. Two hours of attendance earns one point. One hour of presentation earns one point. A maximum of five points may be earned during any one reporting period. Credit for the same in-service shall not be granted more than one time.

(2) Presentation or attendance at an in-service session devoted to general patient safety, emergency procedures, or governmental regulatory requirements shall be allowed. The licensee shall retain a roster or certificate of attendance signed by a representative of the employer. Two contact hours of in-service are equivalent to one point, which shall be the maximum credit granted during any reporting period. Credit for the same in-service shall not be granted more than one time during any reporting period.

(j) Professional Service shall be eligible for points as follows:

(1) Participation in a national physical therapy or interdisciplinary (including physical therapy) organization as an officer or chair of a physical therapy services committee, physical therapy services task force member, or delegate to a national assembly earns five points for each full year of participation, up to a maximum of 10 points during any reporting period. The licensee shall retain organizational materials listing the licensee's participation, a statement of the responsibilities of the position, and a summary of the activities of the licensee.

(2) Participation in a state physical therapy or interdisciplinary (including physical therapy) organization as an officer or chair of a physical therapy services committee earns four points for each full year of participation, up to a maximum of eight points during any reporting period. The licensee shall retain organizational materials listing the licensee's participation, a statement of the responsibilities of the position, and a summary of the activities of the licensee.

(3) Participation in a local or regional physical therapy or interdisciplinary (including physical therapy) organization as an officer or chair of a physical therapy service committee earns two points for each full year of participation, up to a maximum of four points during any reporting period. The licensee shall retain organizational materials listing the licensee's participation, a statement of the responsibilities of the position, and a summary of the activities of the licensee.

(4) Participation as a member of a physical therapy professional organization committee involved with physical therapy services earns one point for each full year of participation, up to a maximum of two points during any reporting period. The licensee shall retain organizational materials listing the licensee's participation, a statement of the responsibilities of the committee, and a summary of the work of the committee.

(5) Participation in unpaid volunteer service to the general public and healthcare professionals related to physical therapy earns one point for at least 20 hours spent on service activities during each year, up to a maximum of two points during any reporting period. The licensee shall retain published materials describing the service activity.

(6) Membership in the APTA for one year earns one point. A point may be earned for each year of membership during the reporting period. The licensee shall retain proof of membership in the APTA.

(7) Membership in an APTA Section for one year earns one-half point. The licensee shall retain proof of membership in the APTA Section. Points shall not be awarded for membership in more than one Section.

(8) Selection by the Federation for participation as an item writer of exam questions for the National Physical Therapy Examination (NPTE) or by the American Board of Physical Therapy Specialties (ABPTS) earns five points for each year of participation. The licensee shall retain documentation of participation by the Federation or ABPTS.

(9) Participation in clinical research, clinical trials, or research projects related to the practice of physical therapy earns 1 point for each hour of participation, up to a maximum of 10 hours per reporting period. The licensee shall retain a log of hours of participation including date, activity performed, location of the research, and primary investigator.

(k) During each reporting period, every licensee shall complete a jurisprudence exercise provided by the Board. The jurisprudence exercise shall be available online at the Board's website, at http://www.ncptboard.org and a certificate of completion shall be issued to a licensee at the conclusion of the exercise, at which time one point shall be awarded to the licensee. The maximum number of points allowed during a reporting period is three.

History

• Authority G.S. 90-270.92
• Eff. January 1, 2009
• Amended Eff. April 1, 2015; February 1, 2015; January 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. May 1, 2020.

Earlier captured 21 NCAC 48G .0110 {#publisher-history-7995bf8ff3a61bc2ff8c-1000116 omnilex-key=us-nc-regs-official--title-21--21 NCAC 48G .0110--publisher-history-7995bf8ff3a61bc2ff8c}

(a) Each licensee shall submit a completed Continuing Competence Reporting Form with an application for license renewal. The form shall be found on the Board's website at http://www.ncptboard.org.

(b) Licensees shall retain evidence of compliance with continuing competence requirements for a period of four years following the end of the reporting period for which credit is sought for an activity.

(c) Documentary evidence for continuing education activities shall include the following for each activity:

(1) name of approved provider;

(2) name of accrediting organization;

(3) title;

(4) date;

(5) hours for presentation; and

(6) record of attendance or participation by provider.

(d) The Board shall conduct random audits to ensure continuing competence compliance. Within 30 days from receipt of an Audit Notice from the Board, the licensee shall furnish the Board with the documentary evidence required by Rule .0109 of this Section showing completion of the points required for the audited reporting period.

(e) Requests for extensions of time for up to an additional 30 days to respond to the Audit Notice shall be submitted to and granted by the Board's Executive Director. For circumstances beyond the control of the licensee related to physical or medical hardship sustained by the applicant or his or her immediate family, the Board shall grant an additional period of time to respond to the Audit Notice.

(f) If the results of the audit show a licensee has not completed the required points, and the number of additional points needed by the licensee is 10 or fewer, the licensee shall complete the remaining points within 90 days from the date the Board notifies the licensee by electronic communication or U.S. Postal Service mail of the deficiency. For circumstances beyond the control of the licensee or for personal hardship, the Board shall grant an additional period of time to respond to the Audit Notice.

(g) Failure to respond to the Board's Audit Notice in a timely fashion, or failure to provide the necessary documentary evidence of compliance pursuant to this Rule shall subject the licensee to disciplinary action pursuant to 21 NCAC 48G .0601(a)(10).

History

• Authority G.S. 90-270.92
• Eff. January 1, 2009
• Amended Eff. February 1, 2015; January 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018.

Earlier captured 21 NCAC 50 .0202 {#publisher-history-7664bd1b5ac4522e83a6-1000117 omnilex-key=us-nc-regs-official--title-21--21 NCAC 50 .0202--publisher-history-7664bd1b5ac4522e83a6}

Forms may be obtained on request from the State Board of Examiners of Plumbing, Heating and Fire Sprinkler Contractors, 1109 Dresser Court, Raleigh, North Carolina, 27609, or via document download from the Board's official website at http://www.nclicensing.org.

History

• Authority G.S. 87-18
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. January 1, 2010; January 1, 2003; June 11, 1998; April 1, 1991
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

Earlier captured 21 NCAC 50 .0306 {#publisher-history-4658b06c14d1c5b3f951-1000118 omnilex-key=us-nc-regs-official--title-21--21 NCAC 50 .0306--publisher-history-4658b06c14d1c5b3f951}

(a) All applicants for licensure or examination shall submit an application, setting forth the information required in G.S. 87-21 and the rules of this Chapter, on a form available on the Board website, http://www.nclicensing.org. or at the Board office. The application shall require the following information:

(1) Licensure and exam type requested;

(2) Last name, first name, and middle name of applicant;

(3) Date of application;

(4) Social Security Number;

(5) Date of Birth;

(6) Mailing address;

(7) Telephone numbers;

(8) Email address;

(9) Applicant's dated signature;

(10) Any tax documents evidencing experience as an employee of a licensed contractor;

(11) Experience description including number of hours of experience claimed and whether the experience involved maintenance, installation, or repair;

(12) Experience verification with notarized signature of current or former employers;

(13) Exam fee (credit card, check, or money order);

(14) Whether the applicant has ever been charged or convicted of a crime and description of the same;

(15) Whether the applicant is incarcerated, paroled, or on probation;

(16) Signed authorization for a criminal background check;

(17) License type and number if applicant holds other licenses issued by Board;

(18) Whether the applicant requests to take the examination outside of North Carolina;

(19) Signed authorization for release of social security number to the United State Social Security Administration for purposes of verification of social security number; and

(20) If applicable, any military or military spouse experience claimed.

(b) Applicants for a plumbing or heating examination shall present evidence when submitting an application to establish completion of two years of full-time experience in the installation, maintenance, service, or repair of plumbing or heating systems related to the category for which a license is sought, whether or not a license was required for the work performed. Applicants for a fuel piping examination shall present evidence when submitting an application to establish completion of one year of experience in the installation, maintenance, service, or repair of fuel piping, whether or not a license was required for the work performed. Up to one-half of the experience may be in academic or technical training related to the field of endeavor for which examination is requested. The Board shall prorate part-time work of less than 40 hours per week or part-time academic work of less than 15 semester or quarter hours.

(c) The Board shall issue a license certificate bearing the license number assigned to the qualifying individual.

(d) Fire Sprinkler Installation Contractors shall meet experience requirements in accordance with the National Institute for Certification in Engineering Technologies (NICET) examination criteria.

(e) Applicants for examination or licensure in the Fire Sprinkler Inspection Technician classification shall submit evidence adequate to establish that the applicant has either:

(1) 4000 hours of experience in inspection and testing of previously installed fire sprinkler systems, consistent with NFPA-25: Standard for the Inspection Testing and Maintenance of Water-Based Fire Protection Systems of the National Fire Protection Association, adopted by the North Carolina Building Code, which is hereby incorporated by reference, including all subsequent editions and amendments, as a full-time employee of a Fire Sprinkler Inspection Contractor or fire insurance underwriting organization. The document may be accessed free of charge at http://www.nfpa.org/codes-and-standards/;

(2) 4000 hours of experience as a full-time employee of a hospital, manufacturing, government, or university facility under direct supervision of Fire Sprinkler Inspection Contractor or a Fire Sprinkler Inspection Technician involved in inspection and testing of previously installed fire sprinkler systems, consistent with NFPA 25: Standard for the Inspection, Testing, and Maintenance of Water-Based Fire Protection Systems of the National Fire Protection Association, which is hereby incorporated by reference, including all subsequent editions and amendments. The document may be accessed free of charge at http://www.nfpa.org/codes-and-standards/;

(3) 4000 hours of experience in installation of fire sprinkler systems as a full-time employee of a Fire Sprinkler Installation Contractor; or

(4) a combination of 4000 hours of experience in any of the categories listed in this Paragraph.

(f) Applicants for licensure in the Fire Sprinkler Inspection Contractor classification shall meet experience requirements in accordance with the National Institute for Certification in Engineering Technologies (NICET) or the Academy Certification Exams (ACE) certification criteria.

(g) Applicants for initial licensure in the Limited Fire Sprinkler Maintenance Technician classification shall submit evidence of 2000 hours experience at the place for which license is sought as a full-time maintenance employee in facility maintenance with experience in periodic maintenance of fire protection systems, as described in Rule .0515 of this Chapter. Applicants who have held a Limited Fire Sprinkler Maintenance Technician license previously are not required to demonstrate experience in addition to the experience at the time of initial licensure, but shall submit a new application if relocating to a new location.

(h) Applicants for licensure in the Residential Fire Sprinkler Installation Contractor classification shall hold an active Plumbing Class I or Class II Contractor license issued by the Board for a minimum of two years and shall document attendance at a 16-hour course approved by the Board pursuant to the Rules in this Chapter covering NFPA 13D: Standard for the Installation of Sprinkler Systems in One-and Two-Family Dwellings and Manufactured Homes, which is hereby incorporated by reference, including all subsequent editions and amendments. The document may be accessed free of charge at http://www.nfpa.org/codes-and-standards/. Residential Fire Sprinkler Installation Contractors shall maintain a Plumbing Contractor license as a condition of renewal of the Residential Fire Sprinkler Installation Contractor license.

(i) Applicants for Licensure as a plumbing or heating Class I technician shall present evidence adequate to establish 3000 hours of full-time experience in the installation, maintenance, service, or repair of plumbing or heating systems related to the category for which a technician license is sought, whether or not a license was required for the work performed. Applicants for a license as a plumbing or heating Class II technician shall present evidence adequate to establish 2500 hours of full-time experience in the installation, maintenance, service, or repair of plumbing or heating systems related to the category for which a technician license is sought, whether or not a license was required for the work performed. Applicants for a license as a fuel piping Class I technician shall present evidence adequate to establish 1500 hours of experience in the installation, maintenance, service, or repair of fuel piping, whether or not a license was required for the work performed. Applicants for a license as a fuel piping Class II technician shall present evidence adequate to establish 1500 hours of experience in the installation, maintenance, service, or repair of fuel piping, whether or not a license was required for the work performed. Up to one-half of the experience may be in academic or technical training related to the field of endeavor for which the examination is requested.

(j) Applicants for a Restricted Limited Plumbing Contractor license shall present evidence at the time of application to establish 1500 hours of full-time experience in the installation, maintenance, service, or repair of plumbing systems, whether or not a license was required for the work performed. Up to one-half of the experience may be in academic or technical training related to the field of endeavor for which examination is requested. The Board shall prorate part-time work of fewer than 40 hours per week or part-time academic work of less than 15 semester or quarter hours.

(k) In lieu of the requirements of Paragraph (j) of this Rule, applicants for a Restricted Limited Plumbing Contractor License who present a current active License from the North Carolina Irrigation Contractor Licensing Board may take the examination, provided the applicant demonstrates that he or she holds certification as a Backflow Inspector from one of the municipalities in North Carolina, or demonstrates 500 hours of experience in the maintenance, service, or repair of components of plumbing systems.

(l) Applicants for license based on completion of an apprenticeship program as described in G.S. 93B-8.6(b) shall meet the same experience and training requirements for the category of license sought as is set forth in this Rule.

(m) Applicants for licensure as a Limited Plumbing Water Heater Replacement Contractor shall present evidence at the time of application to establish that they have held a heating or fuel piping technician or contractor license for a minimum of two years, are in good standing with the Board, and has attended and completed a 6-hour course approved by the Board that covers North Carolina State Residential Plumbing codes requirements, sizing, and installation techniques that relate to the replacement of existing potable water heaters.

History

• Authority G.S. 87-18; 87-21(b)
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. January 1, 2004; July 1, 2003; August 1, 2002; July 1, 1998; September 1, 1994
• November 1, 1993; April 1, 1991; May 1, 1990
• Temporary Amendment Eff. August 31, 2004
• Amended Eff. April 1, 2014; July 3, 2012; January 1, 2010; June 1, 2006; March 1, 2005
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. June 1, 2026; October 1, 2024; July 1, 2020; April 1, 2018.

Earlier captured 21 NCAC 50 .0414 {#publisher-history-01ed9ff1c3e780379d80-1000119 omnilex-key=us-nc-regs-official--title-21--21 NCAC 50 .0414--publisher-history-01ed9ff1c3e780379d80}

In lieu of the supervision required by Rule .0505 of this Chapter, the holder of the qualifications upon which a license is based shall personally examine all work performed in reliance upon the license at completion and before the work is placed in service to assure that the installation, replacement, or repair is performed in compliance with the current edition of the North Carolina State Building Codes which is hereby incorporated by reference including all subsequent editions and amendments, and the manufacturers installation instructions, where the work will not be examined and approved by a person holding qualification from the Code Officials Qualification Board. The State Building Code may be accessed at http://www.NCDOI.com/OSFM/Engineering.

History

• Authority G.S. 87-18; 87-21(b)(2)(c); 87-25; 87-26
• Eff. February 1, 2017.

Earlier captured 21 NCAC 50 .0518 {#publisher-history-620341bf30d0e61b2417-1000120 omnilex-key=us-nc-regs-official--title-21--21 NCAC 50 .0518--publisher-history-620341bf30d0e61b2417}

Licensure in the Restricted Limited Plumbing Contractor classification is required of persons who do not possess a license as a plumbing contractor, but contract install, repair or replace:

(1) exterior building sewer piping, as defined in the North Carolina Plumbing Code, which is hereby incorporated by reference including all subsequent editions and amendments. The document can be accessed at http://www.NCDOI.com/OSFM/engineering.

(2) exterior water service piping two inch diameter or less, as defined in the North Carolina Plumbing Code;

(3) exterior backflow preventers connected to water service piping two inches in diameter or less; or

(4) water filtration systems or components of water filtration systems that filter, treat, condition or remove impurities from potable water by means of a fine physical barrier or membrane, a chemical process or a biological process, and which are installed on a water distribution line or water service piping, as defined in North Carolina State Plumbing Code.

History

• Authority G.S. 87-18; 87-21
• Eff. April 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

Earlier captured 21 NCAC 52 .0201 {#publisher-history-3c63e01b1527ec93082c-1000121 omnilex-key=us-nc-regs-official--title-21--21 NCAC 52 .0201--publisher-history-3c63e01b1527ec93082c}

(a) Any applicant for a license to practice podiatry shall submit a written application to the executive secretary of the board. Such Application for Examination or Application of Reciprocity shall be made on a form provided from the board's website (http://www.ncbpe.org) or from the board's office as set forth in Rule .0101 of this Chapter. The application shall require the following information:

(1) Application type (Regular, Temporary Military, Clinical Residency);

(2) Date of Application;

(3) Social Security Number;

(4) Drug Enforcement Administration License Number (DEA), if any;

(5) National Provider Number (NPI), if any;

(6) Last name, first name, and middle name;

(7) Mailing address, including city, state, and zip code;

(8) Telephone number and type (home, mobile, business);

(9) Email address;

(10) Whether or not a U.S. citizen;

(11) Whether or not the applicant has or is serving in the military, awarded an MOS in podiatry and date, whether or not the applicant's spouse is currently serving in the military, and dates of service;

(12) Education (high school, college or university, graduate or professional, residencies, internships, fellowship training), including name and location of institution, dates attended, graduation completion, major and minor, and type of degree received;

(13) Whether or not the applicant intends to practice in North Carolina upon licensure;

(14) Whether or not the applicant has been licensed in another state or territory and, if so, state or territory, date of issue, expiration date, disciplinary actions (if any), and how license was obtained;

(15) Whether or not the licensee has ever had a license revoked, suspended, denied, or cancelled; denied the privilege of taking an exam; dropped, suspended, warned, placed on scholastic or disciplinary probation, expelled, or requested to resign from any school, college, or university, or advised by any such school of institution to discontinue studies therein; been a defendant in a legal action involving professional liability (malpractice), been named in a malpractice suit, had a professional liability claim paid on the applicant's behalf or paid such a claim; been a patient for the treatment of mental illness; been addicted to drugs or alcohol; or been convicted of a felony; and any explanation regarding such information that the applicant wishes to present to the board.

(16) Whether or not the applicant has previously taken the North Carolina exam and when;

(17) Whether or not the applicant requires special disability accommodations to take the board's examination;

(18) The reasons why the applicant is applying for licensure in North Carolina;

(19) A list of three references;

(20) Applicant's oath;

(21) A passport-quality photograph taken within 60 days prior to the date of the application; and

(22) Applicant's signature.

(b) Applicants shall furnish the board with proof that the applicant meets the educational and examination requirements set forth in G.S. 90-202.5(a)

(c) The application shall be accompanied by a non-refundable application fee of three hundred fifty dollars ($350.00).

(d) Applications shall also be notarized by a Notary Public in good standing.

History

• Authority G.S. 90-202.5; 90-202.6; 90-202.7
• Eff. February 1, 1976
• Amended Eff. June 1, 2011; April 1, 2005; January 1, 2005; December 1, 1988
• Readopted Eff. September 1, 2016
• Amended Eff. May 1, 2017.

Earlier captured 21 NCAC 52 .0207 {#publisher-history-543fef140e7e0efba7d7-1000122 omnilex-key=us-nc-regs-official--title-21--21 NCAC 52 .0207--publisher-history-543fef140e7e0efba7d7}

(a) The executive secretary of the board shall mail to the last known address of each license holder each year a form on which to apply for renewal of his or her license. The renewal application shall be pre-populated with information contained in the board's licensee database with a space for corrections or additions with regard to the following information about the licensee:

(1) Social security number;

(2) National Provider Number (NPI), if any;

(3) Drug Enforcement Administration License Number (DEA), if any;

(4) Marital status;

(5) Name;

(6) NC license number;

(7) Birthdate;

(8) Other states licensed in and license numbers;

(9) Home address and phone number;

(10) Business address and phone number;

(11) Preferred mailing address (business or home);

(12) Email address:

(13) Whether or not the licensee would like to receive email correspondence from the board;

(14) Medicare provider number;

(15) Present practice status (e.g., active, teaching, retired, residency, other);

(16) Principal setting of practice (e.g., hospital, nursing home, free-standing clinic, group, practitioner's office, nonfederal health facility, military facility, Veteran's Administration medical facility, school, other);

(17) Form of employment (e.g., self-employed as a solo practitioner or non-solo practitioner, or employee of individual practitioner, partnership or group, government, other);

(18) National board certifications (American Board of Podiatric Surgery, American Board of Foot and Ankle Surgery, American Board of Lower Extremity Surgery, and American Board of Multiple Specialties in Podiatry);

(19) Hospital staff privileges (hospital, location, date privileges began, type of privileges), any denial of such privileges, and the reason for such denial since last renewal application;

(20) Whether or not the licensee performs amputations, ankle surgery, or clubfoot procedures;

(21) Whether or not the licensee is granted specialty privileges by the board for amputations, ankle surgery, or clubfoot procedures;

(22) Continuing Medical Education (CME) credits earned in the previous license year, pursuant to G.S. 90-202.11 and S.L. 2015-241, s. 12F, 16(c);

(23) Whether or not the licensee has ever had a license revoked, suspended, denied, or cancelled; been a defendant in a legal action involving professional liability (malpractice), been named in a malpractice suit, had a professional liability claim paid on the applicant's behalf or paid such a claim; been a patient for the treatment of mental illness; been addicted to drugs or alcohol; or been convicted of a felony; and any explanation regarding such information that the applicant wishes to present to the board;

(24) Original signature;

(25) Date of renewal application; or

(26) Desire not to renew license.

(b) The renewal form and accompanying documents shall be returned to the board's offices as set forth in Rule .0101 with the original signatures of the licensed podiatrist. The penalties for failure to comply with this Rule are specified in G.S. 90-202.10.

(c) If the licensee does not receive his or her renewal application from the board directly, the licensee may obtain a generic copy, without the pre-populated information, from the board's website at http://www.ncbpe.org or by contacting the board's office as set forth in Rule .0101 of this Chapter.

History

• Authority G.S. 90-202.4(g); 90-202.10; 90-202.11; S.L. 2015-241, s. 12F, 16(c)
• Eff. February 1, 1976
• Amended Eff. April 1, 2013; January 1, 2005; December 1, 1988
• Readopted Eff. September 1, 2016
• Amended Eff. May 1, 2017.

Earlier captured 21 NCAC 52 .0208 {#publisher-history-18d0cc1c3a3460e18c0e-1000123 omnilex-key=us-nc-regs-official--title-21--21 NCAC 52 .0208--publisher-history-18d0cc1c3a3460e18c0e}

(a) A requirement for issuance of the annual renewal certificate shall be certification to the Board of proof of compliance with the continuing education provisions of G.S. 202.11.

The Board shall notify all podiatrists that 25 hours of continuing education are required annually, including one hour of controlled substances prescribing practices.

(b) General CME policy - 25 hours per year as follows:

(1) Completion of 25 hours of Continuing Medical Education (CME) is required per year (July 1-June 30) for renewal of licensure. CME credits shall not be carried over from the previous licensure year.

(2) It shall be the responsibility of the individual podiatrist to ascertain in advance if the courses he or she attends have received proper approval from the certifying organizations, and comply with the Standards, Requirements, and Guidelines for Approval of Sponsors of Continuing Education in Podiatric Medicine of the Council on Podiatric Medical Education (http://www.cpme.org/education/content.cfm?ItemNumber=2440&navItemNumber0=2249), including subsequent amendments and editions. The website may be accessed at no charge. The Board shall respond in writing, within 45 days of receipt by the Board of all needed documentation, with approval or denial to individuals requesting approval of CME courses and credit hours. Decisions by the Board are the final agency decision and may be appealed as set out in G.S. 150B-23.

(3) Certificates of completion of courses other than those sponsored by the NC Foot and Ankle Society (NCF&AS) shall be submitted to the Board online using the Board's contracted electronic continuing education tracking system. Completion certificates shall be typed and contain the following information:

(A) Podiatrist's name;

(B) Course name, location, and date;

(C) Number of hours CME completed;

(D) Signature of seminar chairperson; and

(E) Name of certifying or sponsoring agency.

(4) A licensed podiatrist participating in the second or third year of a medical residency or fellowship may submit a letter signed by the podiatric residency or fellowship director stating the podiatrist's name and dates of residency. This shall substitute for the 25-credit hour requirement and CME certificate required by this Rule.

(5) The Board shall retain access to the CME documentation with the individual podiatrist's license renewal information.

(c) Category 1: Minimum requirement 20 hours per year, as follows:

(1) CME credit shall be granted for attendance at educational seminars offered by the North Carolina Foot & Ankle Society (NCF&AS). The number of qualifying hours of continuing education shall be determined and approved by the Board in advance based on the standards in G.S. 90-202.11. NCF&AS shall submit to the Board a list of individuals who attended its CME events and earned credits.

(2) CME credit shall be granted for attendance at educational seminars offered by other national, state, and podiatric education providers, as certified by the Council on Podiatric Medical Education (CPME) of the American Podiatric Medical Association (APMA). The number of qualifying hours of continuing education shall be determined and approved by the Board.

(3) Lecturers shall be granted one hour of credit for each hour of CPME- or APMA- approved lectures given, but such credit shall be limited to one hour for each discrete topic. A brief summary of the content of each lecture shall be submitted to the Board for approval.

(4) Category 1 is limited to live in person educational seminars offered by NCF&AS or by sponsors pre-approved by CPME: http://www.cpme.org (CPME 700: "Approved Sponsors of Continuing Education in Podiatry"). (APMA or CPME-approved online or journal courses are considered Category 2.)

(5) Since CPME evaluates only CME conducted in the United States, North Carolina-licensed podiatrists practicing outside the United States, or participating in a foreign fellowship or other short-term residency abroad may apply to the Board, to have their continuing medical education credits from their country of practice considered and evaluated by the Board on an individual basis.

(d) Category 2: A maximum of only 5 of the total 25 CME hours per year shall be allowed as follows:

(1) CME credit shall be allowed for educational programs approved for Category 1 credit by the American Medical Association (AMA) and the American Osteopathic Association (AOA) or their affiliated organizations.

(2) CME credit shall be allowed for courses approved by North Carolina Area Health Education Centers (AHEC).

(3) Online or medical journal courses approved by CPME are permitted.

(4) For courses not pre-approved by AHEC, AOA, or AMA, all requests for CME approval must contain a timeline and course description and be submitted to the Board for approval.

(e) Waiver for Certified Illness, Medical Condition, Natural Disaster, or Undue Hardship. The Board may waive the continuing education requirement for license renewal in the following cases that preclude a licensed podiatrist from completing his or her CME requirement within the 18-month timeframe from July 1 of the year of the last license or renewal issuance through December 31 of the following year:

(1) An unexpected illness or medical condition certified by a letter from a licensed physician, nurse practitioner (NP), or physician assistant (PA) regarding the licensee or the licensee's parents, spouse, children and other persons dependent upon the podiatrist for daily living supports; or

(2) An undue hardship (such as active military service or natural disaster).

In such cases, the Board shall issue a conditional license predicated on the licensee acquiring all of the required continuing education credits in a mutually-agreeable timeframe, but no later than 24 months after December 31 of the year following the latest year of license or renewal issuance. Requests for CME waiver shall be received by the Board before the end of the grace period deadline for license renewal. The Board may require additional information when necessary to confirm the need for exemption to support the licensee's claim. The Board shall notify the licensee of its decision in writing within 45 days of receipt by the Board of all needed documentation.

History

• Authority G.S. 90-202.4(g); 90-202.11; S.L. 2015-241, s. 12F.16(b) and (c)
• Eff. February 1, 1976
• Amended Eff. June 1, 2013; October 1, 2012; February 1, 2012; November 1, 2011; June 1, 2011; December 1, 1988
• Readopted Eff. March 1, 2016
• Amended Eff. April 1, 2024.

Earlier captured 21 NCAC 52 .0212 {#publisher-history-0ee346b090a8aa79ea75-1000124 omnilex-key=us-nc-regs-official--title-21--21 NCAC 52 .0212--publisher-history-0ee346b090a8aa79ea75}

(a) The Board shall grant surgical specialty privileges to podiatrists in the areas of amputation, ankle surgery, and club foot correction.

(b) Application for such privileges shall be made upon a form provided by the board (available from the board's website at http://www.ncbpe.org) along with two copies of the applicants' surgery logs, both of which shall be highlighted in different colors (one color per specialty area, i.e. amputations, ankle surgeries, and club foot corrections).

(c) The application shall request the following information from the licensee:

(1) Name;

(2) Address;

(3) License number;

(4) Telephone;

(5) Number of years, type, and location of post-graduate training;

(6) Board certification(s) type and year;

(7) Whether or not a Fellow of the American College of Foot & Ankle Surgeons and year of bestowal;

(8) Other postgraduate continuing medical education;

(9) Hospital affiliation(s), privileges, dates, and whether or not surgical or non-surgical;

(10) Surgery center affiliations, privileges, dates, and whether or not surgical or non-surgical;

(11) Teaching appointments, locations, years of affiliation, and type of appointment;

(12) Which privilege(s) the applicant is applying for (e.g., ankle surgery, amputations, surgical correction of clubfoot);

(13) Signature; and

(14) Date of application.

History

• Authority G.S. 90-202.2
• Eff. June 1, .2011
• Readopted Eff. September 1, 2016.

Earlier captured 21 NCAC 52 .0213 {#publisher-history-48a0defc013eed465637-1000125 omnilex-key=us-nc-regs-official--title-21--21 NCAC 52 .0213--publisher-history-48a0defc013eed465637}

(a) The Board may issue a temporary license to practice podiatry to any podiatrist for licensure in accordance with this Rule while the podiatrist resides in North Carolina and is participating in a podiatric medical education and training clinical residency ("clinical residency") or fellowship located in North Carolina and approved by the Council of Podiatric Medical Education (CPME). Such CPME-approved clinical residency or fellowship shall be established and conducted in accordance with rules established in the most current version of "Standards and Requirements for Approval of Podiatric Medicine and Surgery Residencies" (CPME 320) and the "JJRC and CPME Residency Requirements" available from the CPME web site at http://www.cpme.org/residencies/content.cfm?ItemNumber=2444&navItemNumber=2245, or "Standards and Requirements for Approval of Podiatric Fellowships" (CPME 820) available from the CPME web site at http://www.cpme.org/fellowships/content.cfm?ItemNumber=2442&navItemNumber=2247. A list of approved clinical residencies is available from the CPME website at http://www.cpme.org/residencies/ResidenciesList.cfm?navItemNumber=2242. A list of approved fellowships is available from the CPME website at http://www.cpme.org/fellowships/content.cfm?ItemNumber=2441&navItemNumber=2246.

(b) In order to be approved by the Board for a temporary resident's or fellowship's training license, an applicant shall submit a completed temporary license application, available from the Board's website at http://www.ncbpe.org/content/licensure-exam. The application shall include the following:

(1) type of application (Regular, Temporary Military, or Temporary Clinical Residency or Fellowhip);

(2) date of application;

(3) Social Security Number;

(4) full name (last name, first name, and middle name, if applicable);

(5) mailing address;

(6) city, state, and zip code;

(7) telephone number (e.g., home, mobile, and business);

(8) email address;

(9) date of birth;

(10) whether or not a U.S. citizen;

(11) military service for self and spouse, if applicable;

(12) education (high school, college/university, graduate or professional, and residencies/internships/fellowships), including name and location of institution, dates attended, whether graduated or completed, major/minor, and type of degree;

(13) previous licensure in another state or territory, including date of issue, date of expiration, whether or not there were any disciplinary actions, and how license was obtained (examination, temporary, or reciprocity);

(14) whether the applicant has had any of the following situations and explain such instances:

(A) had a license revoked, suspended, or cancelled;

(B) denied a license;

(C) denied the privilege of taking an examination;

(D) dropped, suspended, warned, placed on scholastic or disciplinary probation, expelled or requested to resign from any school, college, or university, or advised by any school or institution to discontinue studies therein;

(E) been a defendant in a legal action involving professional liability (malpractice), been named in a malpractice suit, had a professional liability claim paid on the applicant's behalf or paid such a claim;

(F) been a patient for treatment of mental illness;

(G) been addicted to alcohol or drugs; or

(H) been convicted of a felony;

(15) whether the applicant has taken the North Carolina licensure examination previously, and if so, the date;

(16) whether the applicant will need any special accommodations and what those needs are;

(17) the applicant's reasons for applying for temporary license and future plans for practicing in the state; and

(18) an attestation under oath before a notary that the information on the application is true and complete an authorization of the release to the Board of all information pertaining to the application.

(c) Such temporary application shall also require inclusion of the following additional documentation, which may be sent to the Board either together with the application or separately:

(1) documentation of legal name change, if applicable;

(2) a photograph, approximately two inches by two inches;

(3) proof of an education equivalent to four years of instruction in a high school (e.g., copy of the diploma or a letter from the high school);

(4) transcript of pre-podiatry college studies from an accredited college or university showing a minimum of two years of study;

(5) copy of college diploma;

(6) proof of graduation from a podiatry school accredited by CPME, a listing of such accredited podiatry schools is available from http://www.cpme.org/colleges/content.cfm?ItemNumber=2425&navItemNumber=2240 (e.g., a copy of the diploma or a letter from the school);

(7) official transcript of podiatry school studies sent directly from the institution to the Board;

(8) an appointment letter from the residency or fellowship program director, or his appointed agent, of the CPME-approved residency or fellowship program, listing the beginning and ending dates of the program;

(9) a signed consent on the application allowing a search of local, state, and national records for any criminal record;

(10) official copy of the grade letters from the National Board of Podiatric Medical Examiners (NBPME) sent directly from NBPME to the Board that the applicant has taken and passed within three attempts:

(A) APMLE Part I; and

(B) APMLE Part II; and

(11) upon request, supply any additional information the Board deems necessary to evaluate the applicant's competence and character, including appearing in person for an interview with the Board or its agent to evaluate the applicant's competence and character, if the Board needs more information to complete the application.

(d) Upon evaluation of the application, the Board shall either approve the application and issue a temporary license or deny the application within 30 days of receipt of the completed application based upon the information provided in accordance with this Rule, unless an interview is necessary. If the Board deems an interview necessary pursuant to Subparagraph (c)(11) of this Rule, the Board shall issue the decision to grant or deny the application within 30 days following the interview. If the Board denies the application, it shall notify the applicant the reasons for the denial.

(e) A temporary license is valid only while the licensee is participating in the clinical residency or fellowship program and shall not be extended beyond the length of training.

(f) A podiatrist holding a temporary license to practice in a clinical residency or fellowship program shall practice only within the confines of that program and under the supervision of its director.

History

• History Note Authority G.S. 90-202.5(b); 90-202.6; 93B-15.1
• Eff. October 1, 2014.

Earlier captured 21 NCAC 52 .0301 {#publisher-history-f42227c33e68bf27e544-1000126 omnilex-key=us-nc-regs-official--title-21--21 NCAC 52 .0301--publisher-history-f42227c33e68bf27e544}

No podiatrist or group of podiatrists may operate in the State of North Carolina as a professional corporation without first obtaining from the board a certificate of registration as set forth in G.S. 55B-10:

http://www.ncga.state.nc.us/EnactedLegislation/Statutes/HTML/BySection/Chapter_55B/GS_55B-10.html. Each corporate registrant shall pay a separate registration fee of twenty-five dollars ($25.00) per year for each separate establishment where podiatric services are performed.

History

• Authority G.S. 55B-10; 90-202.4(g)
• Eff. February 1, 1976
• Amended Eff. June 1, 2011; December 1, 1988
• Readopted Eff. September 1, 2016.

Earlier captured 21 NCAC 52 .0302 {#publisher-history-f6fee9841a6c5fe1d363-1000127 omnilex-key=us-nc-regs-official--title-21--21 NCAC 52 .0302--publisher-history-f6fee9841a6c5fe1d363}

Annual renewal of a professional podiatry corporate registration shall be as set forth in G.S. 55B-11:

http://www.ncga.state.nc.us/EnactedLegislation/Statutes/HTML/BySection/Chapter_55B/GS_55B-11.html.

History

• Authority G.S. 55B-11; 90-202.4(g)
• Eff. February 1, 1976
• Amended Eff. June 1, 2011; December 1, 1988
• Readopted Eff. September 1, 2016.

Earlier captured 21 NCAC 52 .0303 {#publisher-history-a3dc2d4bb2b463b67f7a-1000128 omnilex-key=us-nc-regs-official--title-21--21 NCAC 52 .0303--publisher-history-a3dc2d4bb2b463b67f7a}

Penalties for non-renewal of a professional podiatry corporation certificate of registration shall be as set forth in G.S. 55B-11: http://www.ncga.state.nc.us/EnactedLegislation/Statutes/HTML/BySection/Chapter_55B/GS_55B-11.html.

History

• Authority G.S. 55B-11; 90-202.4(g)
• Eff. December 1, 1988
• Amended Eff. June 1, 2011
• Readopted Eff. September 1, 2016.

Earlier captured 21 NCAC 52 .0409 {#publisher-history-f9d98d7102747c64c79b-1000129 omnilex-key=us-nc-regs-official--title-21--21 NCAC 52 .0409--publisher-history-f9d98d7102747c64c79b}

(a) Any person may file a complaint, pursuant to G.S. 150B, Article 3A, against a licensed podiatrist with the board by completing the online complaint form on the board website, http://www.ncbpe.org or by providing a completed hardcopy complaint form to the Board, which may be obtained from the board's offices as listed in Rule .0101 of this Chapter.

(b) The complaint shall set forth the name and contact information of the podiatrist against whom the complaint is lodged, a summary of the facts of the complaint, the complainant's name, mailing address and phone number, and whether or not a copy of the complaint may be sent to the podiatrist about whom the complaint is lodged. Within 14 days of a hardcopy complaint received by the board, a receipt notification shall be sent to the complainant by mail. If an online complaint has been submitted to the board, an electronic receipt notification shall automatically be generated and emailed to the board's Executive Secretary and the complainant. A copy of the complaint shall be sent to the respondent named in the complaint, if so authorized by the complainant; otherwise, the complaint shall be filed in the podiatrist's file for future reference. Should the complaint be sent to the podiatrist, said podiatrist shall respond to the complaint in writing to the board within 45 days of receipt of the complaint and provide the board with a copy of the complainant's medical records pursuant to any board request.

(c) At such time as a complaint is received at the board's office and authorization given by the complainant to share the complaint with the podiatrist against whom the complaint is lodged, the Executive Secretary shall notify the board's appointed Grievance Committee members with a copy of the complaint. A Grievance Committee member who does not have a conflict of interest as defined in G.S. 138A-36(a) shall be assigned to conduct an investigation to determine if probable cause exists that a violation of the Podiatry Practice Act (G.S. 90-202.8) may have occurred. After review, if the Grievance Committee determines that further investigation is required to determine if probable cause exists, an outside investigator may be retained with the board's permission.

(d) If the Grievance Committee member determines that no probable cause exists that there was a violation of the Podiatry Practice Act, the Grievance Committee member shall submit a summary of his investigation and conclusion first to the remaining members of the Grievance Committee, and if the members concur, to the board for approval. If the decision is approved by the board at a regularly called meeting of the board, both the complainant and respondent shall be notified of the disposition of the case within 14 days of the board's decision.

(e) If the Grievance Committee determines that probable cause of a violation of the Podiatry Practice Act does exist, the Committee shall notify the board and an administrative hearing in compliance with Article 3A of G.S. 150B shall be scheduled. The complainant and the respondent shall be given Notice of the Hearing and the disposition of the case.

History

• Authority G.S. 90-202.4; 90-202.8; 150B-3
• Eff. April 1, 2017.

Earlier captured 21 NCAC 52 .0611 {#publisher-history-9e47a2c82b239297aeab-1000130 omnilex-key=us-nc-regs-official--title-21--21 NCAC 52 .0611--publisher-history-9e47a2c82b239297aeab}

(a) The Board shall issue the following items in accordance with applicable state statutes and this Chapter's administrative rules:

(1) Certificate of Licensure;

(2) Licensure Renewal Card;

(3) Temporary License Certificate; and

(4) Certificate of Corporate Registration.

(b) The Board shall provide and require use of the following application forms that may be obtained from the Board's web site, http://www.ncbpe.org:

(1) Licensure Renewal Application;

(2) Disclaimer Form;

(3) Corporate Registration Application;

(4) Corporate Registration Renewal;

(5) Specialty Credentialing Application;

(6) CME (Continuing Medical Education) Submission Form;

(7) Recommendation Form; and

(8) License Application (Regular, Temporary, Military, Reciprocity).

History

• Authority G.S. 55B-10; 55B-11; 90-202.4(g); 90-202.6; 90-202.7; 90-202.9; 90-20.10; 90-202.11
• Eff. June 1, 2011
• Amended Eff. October 1, 2014
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 28, 2014
• Amended Eff. November 1, 2015.

Earlier captured 21 NCAC 53 .0204 {#publisher-history-9757451a63b6349889d9-1000131 omnilex-key=us-nc-regs-official--title-21--21 NCAC 53 .0204--publisher-history-9757451a63b6349889d9}

A Professional Disclosure Statement is a printed document that includes the following information:

(1) name of licensee or applicant;

(2) the licensee's or applicant's highest relevant degree, year degree received, discipline of degree, and name of institution granting the degree;

(3) names and numbers of all relevant credentials licenses, certificates, or registrations;

(4) number of years of counseling experience;

(5) description of services offered and populations served;

(6) length of sessions, specific fee or range of fees charged per session, if no fee is charged, a statement to that effect, and methods of payments for services, including information about billing or insurance reimbursement;

(7) an explanation of confidentiality, including responsibilities and exceptions such as, child or elder abuse, court order;

(8) a statement of procedure for registering complaints, including the full name, address, and telephone number of the Board's office;

(9) signature and date spaces for both the client and licensee; and

(10) level of licensure and whether the licensee is under supervision. If under supervision, include name of supervisor.

A current copy of this statement shall be provided to each client prior to the performance of professional counseling services. An updated Professional Disclosure Statement shall be submitted at the time of renewal to the Board's office at 2-C Terrace Way, Greensboro, NC 27403 or electronically by uploading on the Board's website at https://portal.ncblcmhc.org/. The counselor shall retain a file copy of the Professional Disclosure Statement signed by each client.

History

• Authority G.S. 90-334; 90-343
• Eff. July 1, 1994
• Amended Eff. July 1, 2014; January 1, 2010; July 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2022; March 1, 2022; January 1, 2020 (S.L. 2019-240), s.3.(k).

Earlier captured 21 NCAC 53 .1001 {#publisher-history-bde8bcd80a9fb3421539-1000132 omnilex-key=us-nc-regs-official--title-21--21 NCAC 53 .1001--publisher-history-bde8bcd80a9fb3421539}

(a) The following definitions apply to this Section:

(1) "Applicant" means a person who has submitted an application to the Board, paid the application fee, and received confirmation of receipt of the application from the Board.

(2) "Board" means the North Carolina Board of Licensed Mental Health Counselors as defined in G.S. 90-330(1a).

(3) "Former Licensee" means a person who formerly held a license issued by the Board and whose license was not permanently surrendered, revoked, or suspended.

(4) "Impairment" means a condition or disorder caused by substance use, burnout, compassion fatigue, or other mental health issue that hinders professional competence or the ability to provide or supervise clinical mental health counseling services with reasonable skill and safety, in accordance with G.S. 90-340(11).

(5) "Imminent danger" means any condition, disorder, conduct, or practice that poses a risk of death or serious physical, mental, or emotional harm if not abated.

(6) "Independent Provider" means a mental health or medical provider that the Program has recommended as a service provider to a Participant or a Potential Participant but is not employed by or affiliated with the Program.

(7) "Licensee" means a person holding an active license issued by the Board.

(8) "Monitoring" means oversight by Program staff, volunteers, and Independent Providers of Participant's compliance with a Recovery Plan, the purpose of which is to support the Participant's well-being, recovery from Impairment, and ability to practice clinical mental health counseling with reasonable skill and safety in accordance with G.S. 90-340(11).

(9) "Participant" means a Licensee, Former Licensee, Potential Applicant, or an Applicant who has executed a Participation Agreement.

(10) "Participation Agreement" means a written assessment, treatment, or monitoring contract or agreement between the Program and a Participant.

(11) "Potential Applicant" means a person who has completed a qualifying graduate training program as defined in Rule .0701 of this Chapter and provides an attestation of their intention to apply for licensure by the Board within two years. The attestation form is available on the Board's website at https://www.ncblcmhc.org/Licensure/Applying.

(12) "Potential Participant" means a Licensee, Former Licensee, Potential Applicant, or an Applicant about whom information concerning suspected impairment has been provided to the Board or the Program, including an individual the Board has referred to the Program, or an individual who has self-referred to the Program.

(13) "Program" means an impaired professionals program established by the Board or with whom the Board has an agreement or otherwise made arrangements to provide Screening and Monitoring to Potential Participants or Participants who have or may have an Impairment.

(14) "Recovery Plan" means a comprehensive strategy to address a Participant's Impairment, including Monitoring and Recovery Services.

(15) "Recovery Services" mean services provided to Participants or Potential Participants from Independent Providers, including assessment, substance testing, referrals, treatment, and follow-up care.

(16) "Screening" means to meet with a Potential Participant, conduct an investigation of a Potential Participant, gather pertinent personal, professional, physical, and mental health information, and interview collateral sources, when necessary, to determine if a potential Impairment exists and, if so, provide recommendations for a Recovery Plan.

History

• Authority G.S. 90-334(l); G.S. 90-340
• Eff. February 1, 2026.

Earlier captured 21 NCAC 56 .0501 {#publisher-history-b3649a5acf8539673b1d-1000133 omnilex-key=us-nc-regs-official--title-21--21 NCAC 56 .0501--publisher-history-b3649a5acf8539673b1d}

(a) Education. Pursuant to G.S. 89C-13, the Board shall consider the education of an applicant in determining eligibility for certification as an Engineer Intern or licensure as a Professional Engineer. Certain terms describing the educational requirements found in G.S. 89C-13 are defined as follows:

(1) "An EAC/ABET accredited program" is a program accredited by the Engineering Accreditation Commission (EAC) of the Accreditation Board for Engineering and Technology (ABET). A list of accredited programs can be found on ABET's website at https://www.abet.org.

(2) "An engineering curriculum or related science curriculum of four years or more" is a curriculum including non-ABET accredited engineering degrees or related science degrees. The curriculum may also include a bachelor's degree in engineering technology, whether or not accredited by the Engineering Technology Accreditation Commission (ETAC) of ABET.

(3) "A master's degree in engineering from an institution that offers EAC/ABET accredited programs" and "an earned doctoral degree in engineering from an institution that offers EAC/ABET accredited programs" are graduate degrees in engineering from an institution which offers EAC/ABET accredited undergraduate programs.

(4) Educational programs "approved by the Board as being of satisfactory standing" include foreign degrees equivalent to the National Council of Examiners for Engineering and Surveying (NCEES) Engineering Education Standard, which includes subsequent amendments and is incorporated by reference. A copy of the applicable standard is available at no cost at https://ncees.org/ncees-services/credentials-evaluations/. Foreign degrees shall be considered substantially equivalent only after the Board obtains an evaluation report from the Credentials Evaluations Service of NCEES evaluating the foreign degree.

(b) Experience. Pursuant to G.S. 89C-13, the Board shall consider the experience of an applicant in determining eligibility for certification as an Engineer Intern or licensure as a Professional Engineer.

(1) Required Experience. In evaluating experience, the Board shall consider an applicant's total experience record and its progressive nature. Experience shall be of a progressive engineering nature obtained after graduation from a program that meets the criteria set forth in G.S. 89C-13 and defined in Paragraph (a) of this Rule. Not less than half of required engineering experience shall be gained under the responsible charge of a licensed Professional Engineer, or if not, the applicant shall submit a written explanation to the Board explaining why the experience should be considered acceptable. Experience gained under the technical supervision of an unlicensed individual shall be considered based upon the engineering education and experience credentials of the unlicensed supervisor. Experience gained in the armed services, typically while serving in an engineering or engineering related group, shall be accepted only if substantially equivalent to civilian work.

(2) Definition. "Progressive experience" requires that during the period of time provided as experience, an applicant made a practical utilization of acquired knowledge and demonstrated continuous improvement, growth, and development in the utilization of that knowledge as revealed in the complexity and technical detail of the work product or work record. The applicant shall demonstrate continuous assumption of greater individual responsibility for the work product over that period of time. The progressive experience on engineering projects shall demonstrate an increasing quality and responsibility that shows the Board that the applicant is competent to practice engineering.

(3) Credit for Experience. In evaluating progressive engineering experience, the Board shall give credit for experience in the following areas of work:

(A) One year of credit shall be granted for graduate schooling or research in an engineering program resulting in award of a master's degree from an institution that offers EAC/ABET-accredited programs;

(B) Two years of credit shall be granted for graduate schooling or research in an engineering program resulting in award of an earned doctoral degree in engineering from an institution that offers EAC/ABET-accredited programs. If an applicant has earned both a master's and doctoral degree in engineering from an institution that offers EAC/ABET accredited programs, the applicant shall receive only two years of credit.

(C) A maximum of two years of credit shall be granted for progressive land surveying experience; and

(D) Teaching of engineering subjects at the university level in an engineering program offering a four-year or more degree approved by the Board.

The Board shall not accept combinations of the categories in this Subparagraph as fulfilling all the necessary statutory experience requirements.

(4) An exception to the requirement in Subparagraph (b)(1) of this Rule that experience be obtained after graduation is for the long-established practice qualification of 20 years or more, as provided for in G.S. 89C-13(a3).

(5) Other experience is considered if it is:

(A) Experience obtained prior to graduation as part of an ABET accredited engineering program shown on the transcript, with a maximum credit of one year; or

(B) Experience obtained in a foreign country that is performed under direct supervision of a Professional Engineer licensed with a member Board of the National Council of Examiners for Engineering and Surveying (NCEES).

History

• Authority G.S. 89C-10; 89C-13
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2014; August 1, 2011; May 1, 2009; August 1, 2002; August 1, 2000; August 1, 1998; November 2, 1992; April 1, 1989; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. February 1, 2026; July 1, 2020.

Earlier captured 21 NCAC 56 .0502 {#publisher-history-e48e5e56e1e42ff8e41d-1000134 omnilex-key=us-nc-regs-official--title-21--21 NCAC 56 .0502--publisher-history-e48e5e56e1e42ff8e41d}

(a) General. A person desiring to become certified as an Engineer Intern or licensed as a Professional Engineer shall apply to the Board.

(b) Application. The appropriate application may be accessed on the Board's website. Applicants may access the Engineer Intern certification forms at https://www.ncbels.org/application/engineer-intern-certification/. Applicants may access the Professional Engineer licensure forms at https://www.ncbels.org/applications/professional-engineers/.

(c) Applicable Forms:

(1) Engineer Intern Certification Form. After passing the Fundamentals of Engineering examination, an applicant may apply to the Board to become certified as an "Engineer Intern." This form requires the applicant to set forth their personal history, educational background, engineering experience, and character references. The applicant shall submit a 2-inch by 2-inch passport style photograph adequate for current identification purposes.

(2) Professional Engineer Form. All persons, including comity applicants and certified Engineer Interns, shall apply for licensure using the Professional Engineer Form. This form requires the applicant to set forth their personal and educational background, engineering experience, and character references. The applicant shall submit a 2-inch by 2-inch passport style photograph adequate for current identification purposes.

(3) Supplemental Form. All persons applying for licensure as a Professional Engineer shall submit the Supplemental Form, which requires the applicant to list all engineering experience.

(4) Reference Forms:

(A) Persons applying for certification as an Engineer Intern shall submit to the Board the names of three individuals, one of whom is a professional engineer, who are familiar with the applicant's work, character, and reputation. Persons applying for licensure as a Professional Engineer shall submit to the Board the names of five individuals, three of whom are professional engineers, who are familiar with the applicant's work, character, and reputation.

(B) Applicants may access Engineer Intern certification reference forms and Professional Engineer licensure reference forms at the websites listed above in Paragraph (b) of this Rule. The applicant shall distribute the reference forms to the persons listed on the application as references. To be considered, completed reference forms shall be received by the Board from the person providing the reference within one year of application.

(C) The reference form provides the individual evaluating the applicant the opportunity to state the evaluating individual's profession, knowledge of the applicant, and information concerning the applicant's engineering experience, character, and reputation.

(d) Fees:

(1) Engineer Intern Certification Form. No application fee is required to become certified as an "Engineer Intern."

(2) Professional Engineer Form. The application fee of one hundred dollars ($100.00) is payable with the filing of the application.

(3) Comity. The licensure fee of one hundred dollars ($100.00) is payable with the filing of the application.

(4) Examination. The examination fee for any applicant is payable to the National Council of Examiners for Engineering and Surveying (NCEES) at the time of registering to take the exam in accordance with G.S. 89C-14.

(e) The Board shall accept the records maintained by the National Council of Examiners for Engineering and Surveying (NCEES) as evidence of licensure in another jurisdiction. For comity licensure, the Board shall accept the NCEES record in lieu of the applicant completing the experience, education, and references sections of the application. A comity application, with or without a NCEES record, shall be administratively approved by the Executive Director without waiting for the next regular meeting of the Board. The Executive Director's approval shall be based upon evidence of current licensure in another jurisdiction with comparable qualifications, the required references, and the comity applicant's disciplinary record in other jurisdictions. Each administrative approval shall be reported to the Board at its next regular meeting for final approval.

(f) Model Law Engineer. The term "Model Law Engineer" refers to a person who meets the requirements of this Section by meeting the requirements of NCEES, has a current NCEES record on file, and is designated as a "Model Law Engineer." A "Model Law Engineer" application shall be administratively approved by the Executive Director based upon the designation, without waiting for the next regular meeting of the Board, at which time the action shall be reported to the Board for final approval.

(g) Personal interview. During the application process, Board members shall interview the applicant if the members have questions regarding the applicant's education, experience, or character.

History

• Authority G.S. 89C-10; 89C-13; 89C-14; 89C-15
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. May 1, 1994; November 2, 1992; April 1, 1989; December 1, 1984
• RRC Objection due to lack of Statutory Authority Eff. November 17, 1994
• Amended Eff. August 1, 2014; May 1, 2009; August 1, 2002; August 1, 2000; August 1, 1998; January 1, 1995
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. April 1, 2025; May 1, 2024.

Earlier captured 21 NCAC 56 .0602 {#publisher-history-2ac5f9e8dfcf3d3833ed-1000135 omnilex-key=us-nc-regs-official--title-21--21 NCAC 56 .0602--publisher-history-2ac5f9e8dfcf3d3833ed}

(a) General. A person desiring to become certified as a Surveyor Intern or licensed as a Professional Land Surveyor shall apply to the Board.

(b) Application. The appropriate application may be accessed on the Board's website. Applicants may access the Surveyor Intern certification forms at https://www.ncbels.org/application/land-surveyor-intern-certification/. Applicants may access the Professional Land Surveyor licensure forms at https://www.ncbels.org/applications/professional-land-surveyor/.

(c) Application Forms:

(1) Surveyor Intern Certification Form. After passing the Fundamentals of Surveying examination, an applicant may apply to the Board to become certified as a " Surveyor Intern." This form requires the applicant to set forth their personal history, educational background, surveying experience, character references, and exhibit. The applicant shall submit a 2-inch by 2-inch passport style photograph adequate for current identification purposes.

(2) Professional Land Surveyor Form. All persons, including comity applicants and certified Surveyor Interns, shall apply for licensure using the Professional Land Surveyor form. This form requires the applicant to set forth their personal and educational background, surveying experience, character references, and exhibit. The applicant shall submit a 2-inch by 2-inch passport style photograph adequate for current identification purposes.

(3) Supplemental Form. All persons applying for licensure as a Professional Land Surveyor shall submit the Supplemental Form, which requires the applicant to list all surveying experience.

(4) Reference Forms:

(A) Persons applying for certification as a Surveyor Intern shall submit to the Board the names of three individuals, one of whom is a professional land surveyor, who are familiar with the applicant's work, character, and reputation. Persons applying for licensure as a Professional Land Surveyor shall submit to the Board the names of five individuals, three of whom are professional land surveyors, who are familiar with the applicant's work, character, and reputation.

(B) Applicants may access Surveyor Intern certification reference forms and Professional Land Surveyor licensure reference forms at the websites listed above in Paragraph (b) of this Rule. The applicant shall distribute the reference forms to the persons listed on the application as references. To be considered, completed reference forms shall be received by the Board from the person providing the reference within one year of application.

(C) The reference form provides the individual evaluating the applicant the opportunity to state the evaluating individual's profession, knowledge of the applicant, and information concerning the applicant's surveying experience, character, and reputation.

(d) Fees:

(1) Surveyor Intern Certification Form. No application fee is required to become certified as a "Surveyor Intern."

(2) Professional Land Surveyor Form. The application fee of one hundred dollars ($100.00) is payable with the filing of the application.

(3) Comity. The licensure fee of one hundred dollars ($100.00) is payable with the filing of the application.

(4) Examination. The examination fee for any applicant shall be payable to the National Council of Examiners for Engineering and Surveying (NCEES) at the time of registering to take the exam in accordance with G.S. 89C-14.

(e) The Board shall accept the records maintained by the National Council of Examiners for Engineering and Surveying (NCEES) as evidence of licensure in another jurisdiction. For comity licensure, the Board shall accept the NCEES record in lieu of the applicant completing the experience, education, and references sections of the application. A comity application, with or without a NCEES record, shall be administratively approved by the Executive Director without waiting for the next regular meeting of the Board. The Executive Director's approval shall be based upon evidence of current licensure in another jurisdiction with comparable qualifications, the required references, the comity applicant's disciplinary record in other jurisdictions, and whether the applicant passed the state-specific exam. Each administrative approval shall be reported to the Board for at its next regular meeting for final approval.

(f) Personal Interview. During the application process, Board members shall interview the applicant if the members have questions regarding the applicant's education, experience, or character.

History

• Authority G.S. 89C-10; 89C-13; 89C-14; 89C-15
• Eff. February 1, 1976
• Readopted Eff. September 29, 1977
• Amended Eff. August 1, 2014; May 1, 2009; August 1, 2002; August 1, 2000; August 1, 1998; May 1, 1994; April 1, 1989; January 1, 1982
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. May 1, 2025.

Earlier captured 21 NCAC 56 .1604 {#publisher-history-2c502a448348fbc057b3-1000136 omnilex-key=us-nc-regs-official--title-21--21 NCAC 56 .1604--publisher-history-2c502a448348fbc057b3}

(a) The size of a map shall be such that all details are legible on a copy.

(b) Any lines that are not actually surveyed shall be indicated on the map and a statement included revealing the source of information from which the line is derived.

(c) All surveys based on the North Carolina grid system shall contain a statement identifying the coordinate system referenced datum used.

(d) All plats (maps), unless marked as "Preliminary Plat - Not for recordation, conveyances, or sales" shall be sealed, signed, and dated by the Professional Land Surveyor and shall contain the following:

(1) An accurately positioned north arrow coordinated with any bearings shown on the plat. Indication shall be made as to whether the north index is true, magnetic, North Carolina grid ('NAD 83' and realization (date of adjustment of coordinate system) or 'NAD27'), or is referenced to old recorded deed or recorded plat bearings. If the north index is magnetic or referenced to old recorded deed or recorded plat bearings, the date and the source (note if not determined) shall be indicated.

(2) The azimuth or courses and distances of every property line surveyed shall be shown. Distances shall be in feet or meters and decimals thereof. The number of decimal places shall be appropriate to the class of survey required in Rule .1603 of this Section.

(3) All plat lines shall be horizontal or grid measurements. All lines shown on the plat shall be correctly plotted to the scale shown. Enlargements of portions of a plat are not required to be to scale. Where the North Carolina grid system is used, the combined grid factor shall be shown on the face of the plat. If grid distances are used, they shall be shown on the plat.

(4) Where a boundary is formed by a curved line, the following data shall be given: actual survey data or a series of subchords with bearings and distances around the curve. If standard curve data is used, the bearing and distance of the long chord (from point of curvature to point of tangency) shall be shown on the face of the plat.

(5) Where a subdivision of land is set out on the plat, all streets and lots shall be accurately plotted with dimension lines indicating widths and all other information pertinent to retracing all lines in the field. This shall include bearings and distances to form a continuous closure of the entire perimeter.

(6) Control corners, and all other corners that are marked by monument or natural object shall be identified on all plats, and all corners of adjacent owners along the boundary lines of the subject tract that are marked by monument or natural object shall be shown.

(7) The surveyor shall show one of the following (or note if could not be determined):

(A) The names of adjacent land owners;

(B) The lot, block, parcel, and subdivision designations; or

(C) Other legal reference.

(8) All visible and apparent rights-of-way, easements, watercourses, utilities, roadways, and other such improvements shall be accurately located where crossing or forming any boundary line of the property shown.

(9) Tie lines as required and defined in Rule .1602(g) of this Section shall be accurately shown on the face of the plat, whether or not the plat is to be recorded.

(10) A vicinity map (location map) shall appear on the face of the plat.

(11) Each map shall contain:

(A) the property designation;

(B) the name of owner or prospective owner;

(C) the location (including township, county, and State);

(D) the date or dates the survey was conducted;

(E) a scale of the drawing listed in words or figures;

(F) a bargraph;

(G) the title source; and

(H) a legend depicting nomenclature or symbols not otherwise labeled.

(12) Any map not certified for recording under G.S. 47-30, and all reports of survey, shall contain this certificate signed by the Professional Land Surveyor in substantially the following form:

"I certify that this map was drawn under my supervision from an actual survey made under my supervision (deed description recorded in Book ______, page ______ or other reference source ____________________); that the boundaries not surveyed are indicated as drawn from information in Book ______, page ______ or other reference source ____________________; that the ratio of precision or positional accuracy is ___________________; and that this map meets the requirements of The Standards of Practice for Land Surveying in North Carolina (21 NCAC 56. 1600)."

This ______ day of __________, 2.

Seal __________________________________________

Professional Land Surveyor

History

• Authority G.S. 89C-10; 89C-16; 89C-20
• Eff. July 1, 1989
• Amended Eff. August 1, 2014; May 1, 2009; August 1, 2000; August 1, 1998; February 1, 1996; November 2, 1992; January 1, 1992
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. July 1, 2020.

Earlier captured 21 NCAC 56 .1605 {#publisher-history-42c3e275f5d10a91e26e-1000137 omnilex-key=us-nc-regs-official--title-21--21 NCAC 56 .1605--publisher-history-42c3e275f5d10a91e26e}

(a) General. Vertical control surveys are defined as measurements taken by surveying methods (differential leveling, trigonometric leveling, and global positioning surveys) to determine elevation with respect to vertical datum, usually National Geodetic Vertical Datum of 1929 (NGVD29) or North American Vertical Datum of 1988 (NAVD88). Global Position Surveys shall only be used to obtain Class C surveys. For the purpose of specifying minimum allowable surveying standards, the following three general classifications of vertical control surveys are established.

(1) For Class A vertical control surveys in North Carolina, the vertical error in feet shall not exceed 0.10 times the square root of the number of miles run from the reference datum.

(2) For Class B vertical control surveys in North Carolina, the vertical error in feet shall not exceed 0.20 times the square root of the number of miles run from the reference datum.

(3) For Class C vertical control surveys in North Carolina, the vertical error in feet shall not exceed 0.30 times the square root of the number of miles run from the reference datum. The vertical error in global position surveys shall not exceed five centimeters relative to the referenced benchmark(s) at the 95 percent confidence level (2 sigma) accuracy as defined in Federal Geographic Data Committee Standards.

(b) A certificate, substantially in the following form, shall be affixed to all maps or reports:

" I, ______________________, certify that this vertical control survey was completed to the Class ___ standard [(21 NCAC 56.1605(a)] under my direct and responsible charge from an actual survey made under my supervision."

History

• Authority G.S. 89C-10; 89C-20
• Eff. November 2, 1992
• Amended Eff. August 1, 2011; August 1, 2002; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

Earlier captured 21 NCAC 56 .1606 {#publisher-history-e8caa40cabea05c977e7-1000138 omnilex-key=us-nc-regs-official--title-21--21 NCAC 56 .1606--publisher-history-e8caa40cabea05c977e7}

(a) General.

(1) "Topographic surveys" are defined as surveys that have as their major purpose the determination of the configuration (relief) of the earth (ground) and the location of natural or artificial objects thereon.

(2) "Planimetric mapping" is defined as producing a map that presents the horizontal positions only for the features represented. This is distinguished from a topographic map by the omission of relief in measurable form.

(3) "Airborne and spaceborne surveys" are defined as the use of photogrammetry, LIDAR, IFSAR, or other similar measurement technologies for obtaining reliable information about physical objects and the environment, including terrain surface, through the process of recording, measuring, and interpreting images and patterns of electromagnetic radiant energy and other phenomena. This Rule establishes minimum allowable photogrammetric production procedures and standards for photogrammetric mapping and digital data production.

(b) Production procedures for topographic and planimetric mapping surveys shall be in accordance with the standards established by Part 3 of the Federal Geographic Data Committee (FGDC) Geospatial Positioning Accuracy Standard and applicable extensions and revisions. These standards are incorporated by reference including subsequent amendments and editions. The material is available from the FGDC at www.fgdc.gov at no cost. Reporting accuracy shall be in accordance with Part 1 of the FGDC geospatial standards.

(c) Topographic or planimetric maps, orthophotos, and related electronic data, unless marked as "Preliminary Map," shall meet one of the below classes, as contractually specified to FGDC Standards, or National Agriculture Imagery Program of the US Department of Agriculture (NAIP) Standards, or to State adopted base mapping standards for horizontal and vertical accuracies. The NAIP imagery standards are incorporated by reference including subsequent amendments and editions and may be accessed free of charge at http://www.fsa.usda.gov/Internet/FSA_File/naip_info_sheet_2013.pdf. In the absence of a specified standard, the surveyor shall conform the survey to the requirements for a Class B survey.

(1) For horizontal accuracy, the five general classifications are:

(A) Class AA surveys. For Class AA surveys in North Carolina, the relative accuracy shall be equal to or no less than 0.033 meter (0.10 feet);

(B) Class A surveys. For Class A surveys in North Carolina, the relative accuracy shall be equal to or less than 0.5 meter (1.64 feet);

(C) Class B surveys. For Class B surveys in North Carolina, the relative accuracy shall be equal to or less than 1.0 meter (3.28 feet);

(D) Class C surveys. For Class C surveys in North Carolina, the relative accuracy shall be equal to or less than 2 meters (6.56 feet); and

(E) Class D surveys. For Class D surveys in North Carolina, the relative accuracy shall be equal to or less than 5 meters (16.40 feet).

(2) For vertical accuracy, the three general classifications are:

(A) Urban and suburban vertical control surveys (Class A). Urban and suburban vertical control surveys include lands that lie within or adjoin a town or city. For Class A vertical control surveys in North Carolina, the vertical error in feet shall not exceed 0.10 times the square root of the number of miles run from the reference datum.

(B) Other vertical control surveys (Class B). Other vertical control surveys include all lands which are not covered by Class A as described in Part (A) of this Subparagraph. For Class B vertical control surveys in North Carolina, the vertical error in feet shall not exceed 0.20 times the square root of the number of miles run from the reference datum.

(C) Trigonometric vertical control surveys (Class C). Trigonometric vertical control surveys shall be used for vertical control for aerial and topographic mapping. The vertical error in feet shall not exceed 0.3 times the square root of the number of miles run from the reference datum.

(d) When the resulting product is a digital (electronic) data set, or a map or document that consists of more than one sheet or otherwise cannot be certified, a project report shall be certified. The report shall be marked "Preliminary" if applicable.

(e) Ground control for topographic and planimetric mapping projects shall be in North Carolina State Plane Coordinate System grid coordinates and distances when the project is tied to grid. A minimum of one permanent project vertical control point shall be shown.

(f) The project map or report shall contain the following information:

(1) Date of original data acquisition;

(2) Altitude of sensor and sensor focal length, as applicable;

(3) Date of document or data set compilation;

(4) If hard copy product is produced, the maps shall contain a north arrow, map legend, final document scale, including bargraph, and contour interval, as applicable;

(5) Coordinate system for horizontal and vertical denoting SI or English units (i.e., NAD83, assumed, or other coordinate system);

(6) A list or note showing the control points used for the project. The minimum data shown for each point shall include: physical attributes (e.g. iron rod, railroad spike), latitude and longitude (or X and Y Grid coordinates), and elevation, as applicable;

(7) If other data is included, the source and accuracy of those items shall be indicated;

(8) For topographic maps or data sets, contours in areas obscured by man-made or natural features shall be uniquely identified or enclosed by a polygon identifying the obscured area. The accuracies of the contours or of features in this obscured area shall be noted "No reliance is to be placed on the accuracy of these contours;"

(9) A vicinity map depicting the project location on the first sheet of all hard copy maps or in the report accompanying digital files; and

(10) The name of the client for whom the project was conducted.

(g) Nothing in this Rule shall be construed to negate or replace the relative accuracy standards found in Rules .1601 through .1608 of this Section.

(h) A certificate, substantially in the following form, shall be affixed to all maps or reports:

" I, , certify that this project was completed under my direct and responsible charge from an actual survey made under my supervision; that this (insert as appropriate: ground, airborne or spaceborne) survey was performed at the ___ percent confidence level to meet Federal Geographic Data Committee Standards; that this survey was performed to meet the requirements for a topographic/planimetric survey to the accuracy of Class ____ and vertical accuracy when applicable to the Class ___ standard, and that the original data was obtained on _____(date); that the survey was completed on _(date)__; that contours shown as [broken lines] may not meet the stated standard; and all coordinates are based on____________________________ 'NAD 83' and realization (date of adjustment of coordinate system) or 'NAD 27' and all elevations are based on ________________ (NGVD 29, NAVD 88, or other)."

(i) Documents transmitted electronically shall have the computer-generated seal removed from the original file and a copy of the project report shall be certified and sent to the client. The electronic data shall have the following inserted in lieu of the signature and date:

"This document originally issued and sealed by (name of sealer), (license number), on (date of sealing). This electronic media shall not be considered a certified document. See the project report for certificate and seal."

History

• Authority G.S. 89C-10; 89C-16; 89C-20
• Eff. November 2, 1992
• Amended Eff. August 1, 2014; August 1, 2011; May 1, 2009; August 1, 2002; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

Earlier captured 21 NCAC 56 .1607 {#publisher-history-109e9fd3982294462157-1000139 omnilex-key=us-nc-regs-official--title-21--21 NCAC 56 .1607--publisher-history-109e9fd3982294462157}

(a) General. Global Navigation Satellite Systems (GNSS) is the generic name of navigation and positioning systems with global coverage that is comprised of GPS (Global Positioning System, United States, originally Navstar), GLONASS (Global Navigation Satellite System, Russia), Galileo (Europe), BDS (BeiDou Navigation Satellite System, China, also known as COMPASS), and any other satellite-based navigation and positioning systems.

(b) The Professional Land Surveyor in responsible charge of the GPS survey shall certify all prepared documents pursuant to Rule .1103 of this Chapter and include a GPS certificate on the survey. When a map or document consists of more than one sheet, only one sheet must contain the certificate and all others must be certified. The certificate or metadata notes shall contain the following information:

(1) Class of GPS survey as defined in the Standards of Practice (or list the sections);

(2) Positional accuracy;

(3) Type of GPS field procedure, such as Static, Kinematic, Pseudo-Kinematic, Real-time Kinematic, Real-time Kinematic networks, and Online Position User Service;

(4) Dates of survey;

(5) What datum and epoch coordinates or geographic positions are based on;

(6) Designation of fixed-control stations and their positional data;

(7) Geoid model used;

(8) Combined grid factor(s); and

(9) Units.

The certificate shall be substantially in the following form:

"I, ____________________, certify that this map was drawn under my supervision from an actual GPS survey made under my supervision and the following information was used to perform the survey:

(1) Class of survey:

(2) Positional accuracy:

(3) Type of GPS field procedure:

(4) Dates of survey:

(5) Datum/Epoch:

(6) Published/Fixed-control used:

(7) Geoid model:

(8) Combined grid factor(s):

(9) Units: "

(c) GPS surveys to provide control networks shall be performed in such a manner that it meets a 95 percent confidence level of the positional accuracy of each point relative to the published positions of the control points used and shall meet the accuracy standards of a Class AA survey as set out in Rule .1603.

(d) GPS surveys performed to provide local horizontal or vertical control on a parcel of land where the boundary or topography of that parcel will be shown relative to North Carolina grid horizontal or vertical datum shall be performed using techniques that will provide the standards of accuracy for the class of survey being performed while determining the horizontal or vertical positions of objects as set out in Rule .1603 or Rule .1606 as applicable.

(e) Fixed station(s) used for the project shall appear on the map, plat, or report. The minimum data shown for each fixed station shall be station name, horizontal position (northing and easting) or latitude, longitude, elevation (ellipsoid or orthometric), and datum and epoch.

History

• Authority G.S. 89C-10; 89C-20
• Eff. November 2, 1992
• Amended Eff. August 1, 2011; May 1, 2009; August 1, 2002; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
• Amended Eff. August 1, 2025; July 1, 2020.

Earlier captured 21 NCAC 56 .1608 {#publisher-history-cfcc8244eb10c9514b69-1000140 omnilex-key=us-nc-regs-official--title-21--21 NCAC 56 .1608--publisher-history-cfcc8244eb10c9514b69}

(a) General: "Land Information System/Geographic Information System (LIS/GIS)" surveys are defined as the measurement of existing surface and subsurface features for the purpose of determining their accurate geospatial location for inclusion in an LIS/GIS database. All LIS/GIS surveys as they relate to property lines, rights-of-way, easements, subdivisions of land, the position for any survey monument or reference point, the determination of the configuration or contour of the earth's surface or the position of fixed objects thereon, and geodetic surveying that includes surveying for determination of the size and shape of the earth both horizontally and vertically and the precise positioning of points on the earth utilizing angular and linear measurements through spatially oriented spherical geometry, shall be performed by a Land Surveyor who is a licensee of this Board unless exempt by G.S. 89C-25. For the purpose of specifying minimum allowable surveying standards, five general classifications of LIS/GIS surveys are established, any of which may be specified by the client. In the absence of a specified standard, the surveyor shall conform the survey to the requirements for a Class B survey.

(1) For horizontal accuracy, the five general classifications are:

(A) Class AA LIS/GIS Surveys. For Class AA LIS/GIS surveys in North Carolina, the relative accuracy shall be equal to or no less than 0.033 meter (0.10 feet);

(B) Class A LIS/GIS surveys. For Class A LIS/GIS surveys in North Carolina, the relative accuracy shall be equal to or less than 0.5 meter (1.64 feet);

(C) Class B LIS/GIS surveys. For Class B LIS/GIS surveys in North Carolina, the relative accuracy shall be equal to or less than 1.0 meter (3.28 feet);

(D) Class C LIS/GIS surveys. For Class C LIS/GIS surveys in North Carolina, the relative accuracy shall be equal to or less than 2 meters (6.56 feet); and

(E) Class D LIS/GIS surveys. For Class D LIS/GIS surveys in North Carolina, the relative accuracy shall be equal to or less than 5 meters (16.40 feet).

(2) For vertical accuracy, the three general classifications are:

(A) Urban and suburban vertical control surveys (Class A). Urban and suburban vertical control surveys include lands that lie within or adjoin a town or city. For Class A vertical control surveys in North Carolina, the vertical error in feet shall not exceed 0.10 times the square root of the number of miles run from the reference datum.

(B) Other vertical control surveys (Class B). Other vertical control surveys include all lands which are not covered by Class A as described in Part (A) of this Subparagraph. For Class B vertical control surveys in North Carolina, the vertical error in feet shall not exceed 0.20 times the square root of the number of miles run from the reference datum.

(C) Trigonometric vertical control surveys (Class C). Trigonometric vertical control surveys shall be used for vertical control for aerial and topographic mapping. The vertical error in feet shall not exceed 0.3 times the square root of the number of miles run from the reference datum. The vertical error in Global Navigation Satellite System (GNSS) surveys shall not exceed five centimeters relative to the referenced benchmark(s) at the 95 percent confidence level (2 sigma) accuracy as defined in Federal Geographic Data Committee Standards.

(b) Nothing in this Rule negates or replaces the relative accuracy standards found in Rules .1601 through .1607 of this Section.

(c) The Professional Land Surveyor in responsible charge of the LIS/GIS boundary or geodetic control survey shall certify all of the following in either written or digital form:

(1) Class of LIS/GIS survey. The method of measurement used to evaluate the accuracy shall be described as either statistical testing or least squares adjustment results, comparison with values of higher accuracy, and repeat measurements. The reporting standard in the horizontal component is the radius of a circle of uncertainty, such that the true or theoretical location of the point falls within that circle 95 percent of the time;

(2) Method of measurement (i.e. global navigation satellite systems, electronic scanners, theodolite and electronic distance meter, transit and tape);

(3) Date(s) of the survey; and

(4) Datum used for the survey.

(d) A certificate, substantially in the following form, shall be affixed to all maps or reports:

"I, ______________________, certify that this project was completed under my direct and responsible charge from an actual survey made under my supervision; that this survey was performed to meet the requirements for an LIS/GIS survey [21 NCAC 56.1608] to the accuracy of Class ____ and vertical accuracy; when applicable to the Class ___ standard method used to evaluate the accuracy was _______________; method of measurement ______________; date(s) of survey ___________; datum used for survey __________; and all coordinates are based on ______________ ['NAD 83' and realization (date of adjustment of coordinate system) or 'NAD 27'] and all elevations are based on ________________ (NGVD 29, NAVD 88, or other)."

History

• Authority G.S. 89C-10; 89C-20
• Eff. February 1, 1996
• Amended Eff. August 1, 2014; August 1, 2011; July 1, 2009; May 1, 2009; August 1, 2002; August 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019.

Earlier captured 21 NCAC 57A .0501 {#publisher-history-a2b44e076787341c3900-1000141 omnilex-key=us-nc-regs-official--title-21--21 NCAC 57A .0501--publisher-history-a2b44e076787341c3900}

(a) Every registered trainee, and licensed and certified real estate appraiser, shall comply with the following provisions of the "Uniform Standards of Professional Appraisal Practice" (USPAP), promulgated by the Appraisal Standards Board of the Appraisal Foundation, all of which are incorporated by reference, including subsequent amendments and editions:

(1) Definitions;

(2) Preamble;

(3) Ethics Rule;

(4) Record Keeping Rule;

(5) Competency Rule;

(6) Scope of Work Rule;

(7) Jurisdictional Exception Rule; and

(8) Standards Rules 1, 2, 3, and 4.

(b) A copy of the USPAP document may be obtained from the Appraisal Foundation at https://www.appraisalfoundation.org. The cost for a copy of the USPAP document shall be no more than the fee set by the Appraisal Foundation.

History

• Authority G.S. 93E-1-10
• Eff. July 1, 1994
• Amended Eff. July 1, 2016; January 1, 2013; January 1, 2008; July 1, 2005; August 1, 2002; April 1, 1999
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
• Amended Eff. August 1, 2024; July 1, 2022; August 1, 2018.

Earlier captured 21 NCAC 58A .0114 {#publisher-history-d080d600671f40d6a93b-1000142 omnilex-key=us-nc-regs-official--title-21--21 NCAC 58A .0114--publisher-history-d080d600671f40d6a93b}

(a) Every owner of real property subject to a transfer of the type governed by Chapter 47E of the General Statutes shall complete a Residential Property and Owners' Association Disclosure Statement (hereinafter "Disclosure Statement") and furnish a copy of the complete statement to a purchaser in accordance with the requirements of G.S. 47E-4. The Disclosure Statement is a form prescribed by the Commission and available on the Commission's website at https://www.ncrec.gov/Forms/Consumer/rec422.pdf. The Disclosure Statement shall include the items set forth in G.S. 47E-4(b1)(1) and the following information pertaining to the property:

(1) property address;

(2) owner's name(s), signature(s), and date of Disclosure Statement completion;

(3) year the dwelling was constructed;

(4) any historic designation or registration status which places a restriction on the property;

(5) noise, odor, smoke, or other nuisance from commercial, industrial, or military sources impacting the property;

(6) existence of any private road(s) abutting or adjoining the property and the maintenance agreements, if applicable;

(7) type of heating, cooling, water heater fuel sources along with the year each system was manufactured;

(8) type of fuel source, and, if the fuel source is stored in a tank, whether the tank is above or below ground and leased or owned by the seller;

(9) type of water supply source and sewage disposal system, and if serviced by a septic system, identify the number of bedrooms allowed pursuant to permit;

(10) any violations impacting the property, such as local ordinances, restrictive covenants, building codes, or other land-use restrictions;

(11) whether any portion of the property is designated as within a Special Flood Hazard Area pursuant to Title 44, Chapter 1, Subchapter B, Part 65 of the Code of Federal Regulations, has a flood elevation certificate, is insured for flood damage, has experienced damage from natural events causing water seepage, or has had a claim filed for flood damage or received federal financial assistance for flood damage; and

(12) if there is any problem, malfunction, or defect with the property's:

(A) roof, fireplaces, or chimneys;

(B) foundation, basement, crawl space, or slab;

(C) windows, doors, patio, deck;

(D) garage or other structural component of the property;

(E) electrical, heating, cooling, or elevator systems;

(F) plumbing, water supply, sewer, or septic systems;

(G) fixtures or appliances to be conveyed with the purchase;

(H) drainage, grading or soil stability; and

(I) condition caused by wood destroying insects or organisms.

(b) A broker shall furnish a current Disclosure Statement published on the Commission's website to the property owner(s) for completion.

(c) A broker representing either an owner or a purchaser of any real property subject to Chapter 47E of the North Carolina General Statutes shall disclose to the purchaser any material facts the broker knows or reasonably should know about the property. A broker's duty to disclose is separate from that of the owner's, and the owner's Disclosure Statement does not obviate the broker's duty to disclose. A material fact is a fact that a reasonable person would recognize as relevant to a purchaser in deciding to purchase the property the suppression of which could reasonably result in a different decision.

History

• Authority G.S. 47E-4(b); 47E-4(b1); 93A-3(c); 93A-6
• Eff. October 1, 1998
• Amended Eff. July 1, 2014; January 1, 2013; January 1, 2012; July 1, 2010; July 1, 2009; January 1, 2008; July 1, 2006; September 1, 2002; July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018
• Amended Eff. July 1, 2023; July 1, 2021; July 1, 2018.

Earlier captured 21 NCAC 58C .0101 {#publisher-history-88fb8019abcedef9d27c-1000143 omnilex-key=us-nc-regs-official--title-21--21 NCAC 58C .0101--publisher-history-88fb8019abcedef9d27c}

History

• Status: repealed
• Authority G.S. 93A-4
• Eff. February 1, 1976
• Readopted Eff. September 30, 1977
• Amended Eff. July 1, 2010; April 1, 2006; July 1, 1996; July 1, 1994; May 1, 1990; February 1, 1989; November 1, 1987; September 1, 1984
• Repealed Eff. July 1, 2017.

Earlier captured 21 NCAC 58C .0311 {#publisher-history-946254613ea266fe39ae-1000144 omnilex-key=us-nc-regs-official--title-21--21 NCAC 58C .0311-5427}

The principal instructional delivery method utilized in real estate prelicensing and postlicensing courses must provide for the instructor to interact with students either in person in a traditional classroom setting or through an interactive television system or comparable system which permits continuous mutual audio and visual communication between the instructor and all students and which provides for monitoring and technical support at each site where the instructor or students are located. The use of media-based instructional delivery systems such as videotape or digital video disc (DVD), remote non-interactive television, computer-based instructional programs or similar systems not involving continuous mutual audio and visual communication between instructor and students may be employed only to enhance or supplement personal teaching by the instructor. Such delivery systems may not be used to substitute for personal teaching by the instructor. No portion of a course may consist of correspondence instruction.

History

• Authority G.S. 93A-3(c); 93A-4(a); 93A-34
• Eff. July 1, 1996
• Amended Eff. April 1, 2006; April 1, 2004.

Earlier captured 21 NCAC 58C .0312 {#publisher-history-196f4c5fc1f24c6b262f-1000145 omnilex-key=us-nc-regs-official--title-21--21 NCAC 58C .0312-5428}

Schools may deviate from Commission rules concerning student attendance, course scheduling, instructional methods, instructional materials, facilities or similar matters as may be necessary in order for a school to comply with the Americans With Disabilities Act or other laws requiring such schools to accommodate persons with disabilities; provided that no deviations from Commission rules are permitted by this Rule with regard to program structuring, course content, academic course completion standards, or instructors. When considering a request for special accommodation under the Americans With Disabilities Act or other similar laws, a school shall make a reasonable inquiry to determine that the person making the request is a qualified individual with a disability and that the requested accommodation is appropriate for the particular disability. A school providing a special accommodation for a student with a disability that requires the school to deviate from Commission rules shall notify the Commission in writing of the accommodation within ten days of the start of the course in which the student is enrolled or, if the accommodation is requested after the start of the course, within ten days of the date the accommodation is first provided.

History

• Authority G.S. 93A-3(c); 93A-34
• Eff. July 1, 1996
• Amended Eff. July 1, 2000.

Earlier captured 21 NCAC 58E .0401 {#publisher-history-4bf89763b82f51da1855-1000146 omnilex-key=us-nc-regs-official--title-21--21 NCAC 58E .0401-5519}

This Section contains miscellaneous general provisions relating to the approval of sponsors to conduct either the update course or elective courses and to the responsibilities of approved sponsors. Matters addressed include: Sponsor names and eligibility; designation of a continuing education coordinator; renewal of course and sponsor approval; records and reports; grounds for denial or withdrawal of approval, and other related matters.

History

• Authority G.S. 93A-3(c); 93A-4A
• Eff. July 1, 1994.

Earlier captured 21 NCAC 58E .0402 {#publisher-history-0ea7f5cce3e8394426c9-1000147 omnilex-key=us-nc-regs-official--title-21--21 NCAC 58E .0402-5520}

Any legal entity is eligible to seek approval as a sponsor of continuing education courses, provided that the entity seeking approval of a course as a continuing education elective course is either the owner of the proprietary rights to the course or has lawfully acquired from the course owner the right to seek course approval from the Commission and to conduct such course.

History

• Authority G.S. 93A-3(c); 93A-4A
• Eff. July 1, 1994.

Earlier captured 21 NCAC 58E .0403 {#publisher-history-0b6aedd7ecbb7c12ef52-1000148 omnilex-key=us-nc-regs-official--title-21--21 NCAC 58E .0403-5521}

(a) The official name to be used by any course sponsor in connection with the offering of an approved continuing education course must clearly distinguish the sponsor from any other previously approved continuing education course sponsor. Unless the sponsor is a licensed private real estate school proposing to operate continuing education courses in its own name, the official name also must clearly distinguish the sponsor from any licensed private real estate school. Sponsor applicants proposing to use a sponsor name which does not comply with this standard may be required to adopt a different name as a condition of approval.

(b) Any advertisement or promotional material utilized by an approved course sponsor must include the course sponsor's official name and shall not include any other name for the sponsor.

History

• Authority G.S. 93A-3(c); 93A-4A
• Eff. July 1, 1994.

Earlier captured 21 NCAC 58E .0404 {#publisher-history-8c893c1de5f7daf1a259-1000149 omnilex-key=us-nc-regs-official--title-21--21 NCAC 58E .0404-5522}

Prospective sponsors of an update course or elective course must obtain written approval from the Commission to conduct such course prior to conducting the course and prior to advertising or otherwise representing that the course is or may be approved for continuing education credit in North Carolina. No retroactive approval to conduct an update course will be granted for any reason. Retroactive approval of an elective course may be granted by the Commission if the course sponsor can provide evidence satisfactory to the Commission that the course was not offered for purposes of satisfying the real estate continuing education requirement and that the sponsor could not reasonably have been expected to anticipate in advance that students would want to receive continuing education elective credit for the course.

History

• Authority G.S. 93A-3(c); 93A-4A
• Eff. July 1, 1994.

Earlier captured 21 NCAC 58E .0405 {#publisher-history-8d40652de82783c92ad8-1000150 omnilex-key=us-nc-regs-official--title-21--21 NCAC 58E .0405-5523}

A sponsor of an update course or elective course must designate one person to serve as the continuing education coordinator for all Commission-approved continuing education courses offered by the sponsor. The designated coordinator shall serve as the official contact person for the sponsor and shall be responsible for the following:

(1) Supervising the conduct of all the sponsor's Commission-approved continuing education courses;

(2) Signing the course completion certificates provided by the sponsor to licensees completing courses; and

(3) Submitting to the Commission all required fees, rosters, reports and other information.

History

• Authority G.S. 93A-3(c); 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 1995.

Earlier captured 21 NCAC 58E .0406 {#publisher-history-986ffd203495d1ad1c61-1000151 omnilex-key=us-nc-regs-official--title-21--21 NCAC 58E .0406-5524}

(a) Course sponsors must prepare and submit to the Commission, along with the per student fee required by G.S. 93A-4.1(d), reports verifying completion of a continuing education course for each licensee who satisfactorily completes the course according to the criteria in 21 NCAC 58A .1705 and who desires continuing education credit for the course. Such reports shall include students' names, students' license numbers, course date, sponsor and course codes and course information presented in the format prescribed by the Commission, and sponsors shall be held accountable for the completeness and accuracy of all information in such reports. Such reports shall be transmitted electronically via the Internet. Sponsors must submit these reports to the Commission in a manner that will assure receipt by the Commission within seven calendar days following the course, but in no case later than June 15 of any approval period for courses conducted during that approval period.

(b) At the request of the Commission, course sponsors must provide licensees enrolled in each continuing education course an opportunity to complete an evaluation of each approved continuing education course on a form provided by the Commission. Sponsors must submit the completed evaluation forms to the Commission with the reports verifying completion of a continuing education course.

(c) Course sponsors shall provide each licensee who satisfactorily completes an approved continuing education course according to the criteria in 21 NCAC 58A .1705 a course completion certificate on a form provided by the Commission. Sponsors must provide the certificates to licensees within fifteen calendar days following the course, but in no case later than June 15 for any course completed prior to that date. The certificate shall be retained by the licensee as his or her proof of having completed the course.

(d) When a licensee in attendance at a continuing education course does not comply with the student participation standards, the course sponsor shall advise the Commission of this matter in writing at the time reports verifying completion of continuing education for the course are submitted. A sponsor who determines that a licensee failed to comply with either the Commission's attendance or student participation standards shall not provide the licensee with a course completion certificate nor shall the sponsor include the licensee's name on the reports verifying completion of continuing education.

(e) Notwithstanding the provisions of Paragraphs (a) and (c) of this Rule, approved course sponsors who are national professional trade organizations and who conduct Commission-approved continuing education elective courses out of state shall not be obligated to submit reports verifying completion of continuing education courses by electronic means, provided that such sponsors submit to the Commission a roster which includes the names and license numbers of North Carolina licensees who completed the course in compliance with the criteria in 21 NCAC 58A .1705 and who desire continuing education credit for the course. A separate roster must be submitted for each class session and must be accompanied by a per student fee required by G.S. 93A-4.1(d), payable to the North Carolina Real Estate Commission. Rosters must be submitted in a manner which assures receipt by the Commission within 15 calendar days following the course, but not later than the last course reporting dates for an approval period specified in Paragraph (a) of this Rule. Such sponsors may also provide each licensee who completes an approved course in compliance with the criteria in 21 NCAC 58A .1705 a sponsor-developed course completion certificate in place of a certificate on a form provided by the Commission. Sponsors must provide the certificates to licensees within fifteen calendar days following the course.

History

• Authority G.S. 93A-3(c); 93A-4.1
• Eff. July 1, 1994
• Amended Eff. April 1, 2006; July 1, 2005; September 1, 2002; October 1, 2000; July 1, 1996; July 1, 1995.

Earlier captured 21 NCAC 60 .0102 {#publisher-history-99e6ad9d8fba3166b342-1000152 omnilex-key=us-nc-regs-official--title-21--21 NCAC 60 .0102--publisher-history-99e6ad9d8fba3166b342}

(a) The Board's office and mailing address is 1027 US 70 Highway West, Suite 221, Garner, North Carolina 27529.

(b) The Board's website is http://www.refrigerationboard.org.

History

• Authority G.S. 87 54
• Eff. February 1, 1976
• Readopted Eff. April 17, 1978
• Amended Eff. June 1, 2015; April 1, 2015; September 1, 2011; August 1, 2004; July 1, 2000; August 1, 1995; December 1, 1993; October 1, 1994
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. January 1, 2018.

Earlier captured 21 NCAC 60 .0214 {#publisher-history-fc37f6d8c841c04ca7c8-1000153 omnilex-key=us-nc-regs-official--title-21--21 NCAC 60 .0214--publisher-history-fc37f6d8c841c04ca7c8}

(a) Licensure for a military-trained applicant. Upon receipt of a request for licensure pursuant to G.S. 93B-15.1 from a military-trained applicant, the Board shall issue a license to the applicant who satisfies the following conditions:

(1) submits an Application for License to Practice Refrigeration Contracting, as set forth in Rule .0206 of this Section. The application is available on the website at http://www.refrigerationboard.org/applytotakeexam/application;

(2) submits a license fee in accordance with G.S. 87-64 and Rule .0209 of this Section;

(3) provides documentation to satisfy conditions set out in G.S. 93B-15.1(a)(1) and (2), as set forth on http://refrigerationboard.org/applytotakeexam/military.html; and

(4) provides documentation that the applicant has not committed any act in any jurisdiction that would constitute grounds for refusal, suspension, or revocation of a license in North Carolina at the time the act was committed.

(b) Licensure for a military spouse. Upon receipt of a request for licensure pursuant to G.S. 93B-15.1 from a military spouse, the Board shall issue a license to the applicant who satisfies the following conditions:

(1) submits an Application for License to Practice Refrigeration Contracting, as set forth in Rule .0206 of this Section. The application is available on the website at http://www.refrigerationboard.org/applytotakeexam/application;

(2) submits a license fee in accordance with G.S. 87-64 and Rule .0209 of this Section;

(3) submits written documentation demonstrating that the applicant is married to an active member of the U.S. military;

(4) provides documentation to satisfy conditions set out in G.S. 93B-15.1(b)(1) and (2), as set forth on http://refrigerationboard.org/applytotakeexam/military.html;

(5) provides documentation that the applicant has not committed any act in any jurisdiction that would constitute grounds for refusal, suspension, or revocation of a license in North Carolina at the time the act was committed; and

(6) is in good standing and has not been disciplined by the agency that had jurisdiction to issue the license, certification, or permit.

History

• Authority G.S. 93B-15.1
• Eff. February 1, 2015.

Earlier captured 21 NCAC 61 .0103 {#publisher-history-57636e2b7be92bd4c981-1000154 omnilex-key=us-nc-regs-official--title-21--21 NCAC 61 .0103--publisher-history-57636e2b7be92bd4c981}

The definitions of terms contained in G.S. 90-648 shall apply to the rules in this Chapter. In addition, the following definitions shall apply to the rules in this Chapter:

(1) "Assessment" means a clinical evaluation of an individual patient by a Respiratory Care Practitioner (RCP) or other licensed health care provider within their scope of practice to determine the ability and efficacy of a respiratory care procedure, protocol, or treatment, including an assessment of the suitability and efficacy of equipment for an individual patient if equipment is to be used in the procedure or treatment.

(2) "Respiratory care" means the health care discipline that specializes in the promotion of optimum cardiopulmonary function and health and wellness using scientific principles to identify, treat and prevent acute or chronic dysfunction of the cardiopulmonary system, pursuant to G.S. 90-648(11), that is taught in accredited educational programs pursuant to G.S. 90-653(3) or in approved continuing education programs pursuant to the rules of this Chapter within the guidelines established by the American Association for Respiratory Care, which are incorporated by reference including subsequent amendments and editions, pursuant to G.S. 90-648(10)(f). Copies of the guidelines may be found at https://www.aarc.org/resource/clinical-practice-guidelines/ at no cost.

(3) "The practice of respiratory care" means the performance of assessments and diagnostic tests, and implementation of treatment procedures and protocols related to the cardiopulmonary system pursuant to G.S. 90-648(10), and the activities defined by the American Association of Respiratory Care clinical guidelines, incorporated by reference including subsequent amendments and editions, pursuant to G.S. 90-648(10)(f). Copies of the guidelines may be found at https://www.aarc.org/resources/clinical-resources/clinical-practice-guidelines/ at no cost.

(4) "Medical gases" mean those inhaled gases used in the treatment of cardiopulmonary disease.

(5) "Humidity" means adding heat or moisture to an inhaled medical gas.

(6) "Aerosols" mean the suspension of particles dispersed in air or gas to deliver medication or humidity to the airways.

(7) "Pharmacologic agent" means a medication or medical gas delivered during a respiratory care procedure for the treatment of cardiopulmonary disease.

(8) "Hyperbaric oxygen therapy" means inhalation of high concentrations of oxygen at increased levels of atmospheric pressures within a total body chamber for the treatment of cardiopulmonary disorders or wounds.

(9) "Mechanical or physiological ventilatory support" means the provision of an apparatus to support gas exchange associated with cardiopulmonary dysfunction.

(10) "Hemodynamic monitoring" means a procedure required to monitor blood pressure invasively or noninvasively.

(11) "Diagnostic testing" means a procedure for assessing the function of the cardiopulmonary system and diagnosing cardiopulmonary disease or sleep related disorders.

(12) "Therapeutic application" means utilizing evidenced-based protocols, procedures, treatments, or modalities defined in this Chapter to maintain cardiopulmonary health or treat cardiopulmonary disease.

(13) "Active status" means a license issued to an individual after meeting the requirements of G.S. 90-653.

(14) "Inactive status" means an active license declared inactive by the licensee under G.S. 90-658 (g).

(15) "Provisional status" means an active twelve month non-renewable license issued to an individual after meeting the requirements of G.S. 90-656.

(16) "Reciprocity status" means an active license issued to an individual after meeting the requirements of G.S. 90-655.

(17) "Endorsement" means a license issued by the Board recognizing the person named on the certificate as having met the requirements to perform respiratory care procedures pursuant to the rules of this Chapter.

(18) "Entry-level examination" means a standardized outcomes assessment given by the National Board for Respiratory Care, Inc., used to evaluate the knowledge, skills, and abilities of individuals applying for a license.

(19) "Equipment Setup" means the process of preparing, configuring, verifying, connecting, calibrating, positioning, and initiating a respiratory care apparatus for use by a patient, including delivery of the apparatus, its placement, and safe operational readiness, and providing instruction to the patient or caregiver in its correct use or fitting. This term does not mean the independent performance of patient-specific therapeutic selection, evaluation of treatment efficacy, or the formulation of a care plan, which constitutes the practice of respiratory care under G.S. 90-648(10) and 21 NCAC 61 .0103(3).

History

• Authority G.S. 90-652; 90-648(2),(10), and (11); 90-660
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Amended Eff. September 1, 2010; January 1, 2007; March 1, 2006
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. September 1, 2026; July 1, 2018.

Earlier captured 21 NCAC 61 .0301 {#publisher-history-35668ad7b043f0f6d23f-1000155 omnilex-key=us-nc-regs-official--title-21--21 NCAC 61 .0301--publisher-history-35668ad7b043f0f6d23f}

(a) Each license issued by the Board shall be valid for a period of one year, except as otherwise provided in G.S. 90-654 and G.S. 93B-15.1.

(b) Each individual who is issued a license shall be issued a license number that shall be displayed on the Board's website located at https://ncrcb.org/licensee-look-up/. Should a license number be retired for any reason, such as death, failure to renew the license, or any other reason, that number shall not be reissued. A web-based license verification displaying the status, credentials, degree level, dates for registration, renewal, and expiration shall be accessible by the licensee in their principal place of business so as to be available for inspection in a printed or electronic format.

(c) In accordance with the provisions of G.S. 90-640, whenever a licensee is providing respiratory care to a patient, the licensee shall wear identification that displays, in readily visible type, the licensee's name and the designation Respiratory Care Practitioner by using the acronym, "RCP". Provisional license holders shall wear identification that displays, in readily visible type, the licensee's name and the designation "RCP-Provisional." A licensee shall ensure any person working under his or her supervision who is exempted by G.S. 90-664(2) and (4) is properly identified by wearing identification that designates the person's affiliation and position in readily visible type.

(d) Exceptions to Paragraph (c) of this Rule include:

(1) The respiratory care practitioner or respiratory care student is not required to wear a readily visible badge or other form of identification in the following direct patient care situations:

(A) procedures requiring full sterile dress; or

(B) procedures requiring other protective clothing or covering.

(2) Identification of the respiratory care practitioner or respiratory care student may be limited to first name only and level of licensure or listing status when the full name identification may:

(A) place the personal safety of the respiratory care practitioner or respiratory care student in jeopardy; or

(B) interfere with the therapeutic relationship between the respiratory care practitioner or respiratory care student and patient(s).

(3) In all other situations involving the direct provision of health care to clients, the respiratory care practitioner or respiratory care student shall wear or display a readily visible form of identification to include:

(A) the individual's first and last name; and

(B) the license, approval to practice title or listing title as required by law, or standard abbreviations for such title.

History

• Authority G.S. 90-652(2),(4); 90-658(b); 90-640(d)
• Temporary Adoption Eff. October 15, 2001
• Eff. August 1, 2002
• Amended Eff. April 1, 2004
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
• Amended Eff. September 1, 2026; July 1, 2018.

Earlier captured 21 NCAC 62 .0407 {#publisher-history-ec2d9a3d6f5ab1621352-1000156 omnilex-key=us-nc-regs-official--title-21--21 NCAC 62 .0407--publisher-history-ec2d9a3d6f5ab1621352}

(a) Applications for renewal shall be filed with the Board on a form provided by the Board and available from the Board website at: www.rsboard.com or from the Division of Public Health, 1931 Mail Service Center, Raleigh, NC 27699- 1931. The renewal application shall be available by October 1 of each year. The renewal form may also be generated by the Registered Sanitarian Training and Authorization (RSTAS) computer system at: https://rstas.dhhs.state.nc.us/. The renewal application shall include the following information:

(1) registrant's name, REHS/REHSI number, home address, telephone, email;

(2) registrant's employer name, address, telephone, email, position title;

(3) continuing education completed by registrant in current year by course number, date, contact hours attended; and

(4) information regarding their completion of NC Public Health Law in accordance with Paragraph (e) of this Rule.

(b) The renewal application shall be completed and signed by the applicant.

(c) Renewal fees shall be paid in accordance with Rule .0405(a)(5) of this Section.

(d) Registered environmental health specialists or registered environmental health specialists interns who fail to renew by December 31 shall be notified by the Board that their registration has expired and that they shall not practice as a registered environmental health specialist or a registered environmental health specialists intern until they have met the requirements for renewal.

(e) Environmental health specialist interns and other persons applying for new registrations with the board shall take an environmental health law course based on North Carolina laws and rules with at least 15 contact hours approved by the Board. This course shall be completed within the first four years of the date of most recent registration by the Board. This timeframe shall be extended by one additional year for anyone whose fourth year occurs in 2020.

(f) Registered environmental health specialists and registered environmental health specialists interns shall complete a minimum of 15 contact hours of continuing education acceptable to the Board each year, except the 15 hours shall not be required for the year ending December 31, 2020. Continuing education acceptable to the Board includes:

(1) the specialized training course required in Rule .0411 of this Section;

(2) District Environmental Health Section Educational meetings;

(3) professional association courses and educational meetings;

(4) seminars or courses offered by the North Carolina State of Practice Committee;

(5) completion of a job-related course offered by a college or university accredited by the Council of Higher Education Accreditation with the hours credited for the year that the course is completed;

(6) completion of a job-related course offered by the Centers for Disease Control and Prevention, the Food and Drug Administration, or the Environmental Protection Agency;

(7) other practice-related training that:

(A) is technical in nature, related to the environment, environmental health or improving the practice of environmental health;

(B) is relevant to the actual job being performed by the participants or applicant;

(C) includes a method for determining the number of hours spent;

(D) includes a method of documentation for verification of completion;

(E) is available to all registered environmental health specialists and environmental health specialist interns; and

(F) has been granted approval by the Board based upon this Subparagraph.

(g) Registrations that have expired may be renewed within 12 months after expiration upon submittal of application and payment of the renewal fee. The applicant shall provide verification to the Board that continuing education contact hours were obtained during the year since the expiration to comply with the requirements of this Section. Registrations that have expired for more than 12 months may not be renewed.

(h) Interns that are no longer employed in the field of environmental health in North Carolina shall not be eligible to renew.

(i) A registered environmental health specialist or a registered environmental health specialist intern in good standing whose active military service has impaired their ability to obtain the continuing education requirements in Paragraph (f) of this Rule are exempt from the continuing education requirement if written orders from their military unit are provided to the Board. In addition, the renewal fee is waived for each calendar year the environmental health specialist is on active duty.

(j) A registered environmental health specialist or registered environmental health specialist intern who is disabled may request a variance in continuing education hours during the period of the disability. The Board may grant or deny requests for variance in continuing education hours based on a disabling condition on a case by case basis, taking into consideration the particular disabling condition involved and its effect on the registered environmental health specialist or registered environmental health specialist intern's ability to complete the required hours. In considering the request, the Board may require additional documentation substantiating any specified disability.

(k) A maximum of five contact hours of approved continuing education, that is in excess of the required 15 contact hours, may be applied toward the continuing education requirements for the following year. For 2020, registrants who completed contact hours, even though continuing education was not required for that year, may carry forward a maximum of five hours.

History

• Authority G.S. 90A-57; 90A-63; 93B-15
• Eff. February 1, 1976
• Readopted Eff. December 22, 1978
• Amended Eff. July 1, 2010; November 1, 1994; May 1, 1990; April 1, 1989; February 1, 1983
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 13, 2015
• Emergency Amendment Eff. April 28, 2020
• Temporary Amendment Eff. June 26, 2020
• Amended Eff. July 1, 2021.

Earlier captured 21 NCAC 63 .0202 {#publisher-history-db291cc330a3bf247205-1000157 omnilex-key=us-nc-regs-official--title-21--21 NCAC 63 .0202--publisher-history-db291cc330a3bf247205}

(a) Pursuant to G.S. 90B-7, any person desiring to obtain a certificate or license from the Board shall make application to the Board. Applications not completed within two years of submission to the Board shall be denied. Application forms and instructions may be found on the Board's website at https://www.ncswboard.gov.

(b) All applications for certification or licensure shall contain the following:

(1) the applicant's contact information;

(2) the social security number of the applicant;

(3) the requested designation of licensure or certification type;

(4) educational history and degree attainment;

(5) the names and contact information of three persons supplying professional reference forms in support of the applicant's application, as well as the length of time that the persons have known the applicant;

(6) employment history;

(7) whether the applicant has ever been certified, licensed, or registered to practice social work by the Board, by another occupational Board, or in another state/jurisdiction and, if so:

(A) what credential was held;

(B) in what state/jurisdiction;

(C) the issuance date and expiration date; and

(D) what examinations were taken to obtain said certification, licensure, or registration;

(8) whether the applicant has ever had a credential denied, limited, reprimanded, suspended, or revoked;

(9) whether the applicant has ever been convicted of a felony or misdemeanor under any laws;

(10) whether any criminal charges are pending against the applicant;

(11) whether any court, board, agency, or professional organization has found the applicant guilty of misconduct, unprofessional conduct, dishonest or fraudulent practice, or incompetent practice;

(12) whether any charges are pending against the applicant before any court, board, agency, or professional organization for unprofessional conduct, dishonest or fraudulent practice, or incompetent practice;

(13) three professional references, as prescribed in 21 NCAC 63 .0204, provided in a sealed envelope with the signature of the reference over the sealed closure;

(14) official score reports showing passage of the required examination, as prescribed herein and in 21 NCAC 63 .0301, provided from the examination testing provider;

(15) official transcripts, as prescribed in 21 NCAC 63 .0203, provided either from the institution directly to the Board or from the applicant to the Board in an envelope that is sealed by the institution;

(16) the applicant's affirmation that:

(A) the applicant has read the North Carolina General Statute 90B Social Work Certification and Licensure Act, including the Board's rules, ethical guidelines, and disciplinary procedures, which are available on the Board's website at https://www.ncswboard.gov;

(B) the information provided by the applicant in the application is true;

(C) the applicant consents to a criminal history record check; and

(D) the applicant has read and understands the public notice statement on employee misclassification that is set forth in the application and has disclosed any investigations for employee misclassification, and its results, over the preceding 12-month period, as prescribed by G.S. 143-789; and

(17) the application fee, as prescribed in 21 NCAC 63 .0208.

(c) In addition to the items set forth in Paragraph (b) of this Rule, applicants for certification as a certified social work manager shall provide a completed CSWM Administrative Supervision Form, as prescribed in Paragraph (e) of this Rule, and an Employment Verification Form, as prescribed in Paragraph (f) of this Rule, to demonstrate supervised administrative experience attained in the preceding six years.

(d) Applicants for licensure as a licensed clinical social worker who are licensed by the Board as licensed clinical social worker associates at the time of application shall provide to the Board the LCSW Short-Form Application, which contains the following:

(1) the applicant's name, the number of the applicant's licensed clinical social worker associate license, and contact information;

(2) the signature of the applicant and the applicant's LCSW supervisor;

(3) whether the LCSW supervisor recommends that the applicant continue supervised clinical practice at the LCSWA level or recommends the applicant for LCSW licensure;

(4) the applicant's certification that:

(A) the applicant has completed the requirements to obtain licensure in North Carolina as a LCSW as set forth in G.S. 90B-7(d);

(B) the applicant has read the North Carolina General Statute 90B Social Work Certification and Licensure Act, and the Board's rules, ethical guidelines, and disciplinary procedures, which are available on the Board's website at https://www.ncswboard.gov, and agrees to comply with them;

(C) the information provided by the applicant in the application is true;

(D) the applicant has not violated any of the Board's governing statutes or rules; and

(E) the applicant has not been convicted of a misdemeanor or felony crime since submitting his or her initial application for associate licensure;

(5) the application fee, as prescribed in 21 NCAC 63 .0208; and

(6) a list of all continuing education hours taken since the applicant was licensed as a LCSWA or since renewal of LCSWA licensure that provides the name of the course taken, the date on which the course was taken, the length of the course taken, and whether the course taken was distance learning or for ethics.

(e) A CSWM Administrative Supervision Form shall contain the following:

(1) the name of the applicant and his or her supervisor;

(2) the applicant's position;

(3) a description of the applicant's administrative duties and responsibilities for the employer;

(4) where the applicant worked during the time that supervision was provided to the applicant;

(5) dates during which the applicant was employed;

(6) total number of hours during which the applicant was employed;

(7) dates during which the supervisor provided administrative supervision;

(8) total number of hours during which the supervisor provided individual administrative supervision to the applicant;

(9) total number of hours during which the supervisor provided group administrative supervision to the applicant;

(10) total combined hours of individual and group hours provided to the applicant; and

(11) the supervisor's certification that the information set forth in the CSWM Administrative Supervision Form is correct and that the supervisor is certified with the Board on at least one level and has a minimum of two years of administrative experience in a social work or mental health setting.

(f) An Employment Verification Form shall be completed for each place of employment where the applicant has worked over the preceding six years and shall contain the following:

(1) the applicant's name and contact information;

(2) the applicant's license number, if a license is held;

(3) the name and contact information of the applicant's place of employment;

(4) the title of the applicant's position;

(5) whether the applicant is authorized to provide clinical services on behalf of the employer;

(6) the applicant's duties for the employer, as documented in a job description on the employer's letterhead;

(7) the name and license number of the applicant's clinical supervisor;

(8) whether the applicant's supervisor provided supervision to the applicant in person or remotely;

(9) the date of the applicant's employment;

(10) whether the applicant was employed full-time, part-time, or pro re nata;

(11) whether the applicant is paid a fee or salary for services performed; and

(12) the employer's signature, contact information, and the date completed.

On the Employment Verification Form, the applicant shall provide the information requested in Subparagraphs (f)(1)-(2) of this Rule and the applicant's employer shall provide the information requested in Subparagraphs (f)(3)-(12) of this Rule.

History

• Authority G.S. 90B-6; 90B-7; 93B-8.1(c)
• Eff. August 1, 1987
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. September 1, 2026; October 1, 2021.

Earlier captured 21 NCAC 63 .0204 {#publisher-history-e64b01f41b1b44d87013-1000158 omnilex-key=us-nc-regs-official--title-21--21 NCAC 63 .0204--publisher-history-e64b01f41b1b44d87013}

(a) Applicants for all classifications shall have a minimum of three references related to the applicant's social work experience. The Board shall not accept references by relatives, clients, or subordinates of applicants. A current Board member shall not submit a reference for an applicant unless the Board member is the applicant's current or only social work supervisor. In such a case the Board member may submit a reference, but the Board member shall recuse from review of that applicant.

(b) All references shall come from individuals who have or had a professional association with the applicant and have knowledge of the applicant's professional experience in the practice of social work.

(c) For applicants for LCSWA licensure, at least one reference shall be from a person who has been or is currently supervising the applicant in a social work setting.

(d) For applicants from other jurisdictions seeking certification or licensure in accordance with G.S. 90B-8, at least one reference shall be from a registered, certified, or licensed social worker who has been or is currently practicing in a social work setting.

(e) All references shall be on a form prescribed by the Board, which is available on the Board's website at https://www.ncswboard.gov, and shall contain the following:

(1) the name of the applicant and the classification for which the applicant is applying;

(2) the name of the person completing the reference;

(3) the applicant's signature and applicant's indication as to whether or not the applicant waives the right to access the information provided by the person completing the reference;

(4) the profession of the person completing the reference;

(5) the position of the person completing the reference;

(6) the relationship between the applicant and the person completing the reference;

(7) how long the person completing the reference has known the applicant;

(8) whether the person completing the reference believes that he or she has limited, moderate, or thorough knowledge of the applicant's professional qualifications;

(9) whether the applicant has ever been guilty of unprofessional conduct, dishonest practice, incompetence, or fraud, if known by the person completing the reference;

(10) if the person completing the reference is aware of any issues such as substance abuse or emotional disorders that would impair the applicant's ability to practice;

(11) if the person completing the reference has any concerns about the applicant that he or she would like to bring to the Board's attention and if so, a description;

(12) a rating of poor, good, superior, or unknown for the applicant's professional judgement, ethical conduct, competence and skill, ability to convey concern and empathy, record keeping, client relationships, written communication, verbal communication, and social work knowledge base;

(13) whether the person completing the reference, in his or her discretion, would recommend the applicant highly without reservation; recommend the applicant as qualified and competent; recommend the applicant with some reservation and if so, to explain accordingly; or would not recommend the applicant and if not, to explain accordingly;

(14) a narrative of the applicant's strengths, weaknesses, special skills, reservations, or other information related to the applicant's suitability for certification or licensure, including any reservations held by the person completing the reference regarding the applicant; and

(15) the signature and contact information of the person completing the reference.

History

• Authority G.S. 90B-6; 90B-7; 90B-8
• Eff. August 1, 1987
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. January 1, 2009; April 1, 2001
• Readopted Eff. February 1, 2017
• Amended Eff. September 1, 2026; October 1, 2021.

Earlier captured 21 NCAC 63 .0207 {#publisher-history-a79799c8f3cdb17c590e-1000159 omnilex-key=us-nc-regs-official--title-21--21 NCAC 63 .0207--publisher-history-a79799c8f3cdb17c590e}

(a) In addition to the items set forth in 21 NCAC 63 .0202(b), applicants for certification as a certified social worker pursuant to G.S. 90B-8 shall provide verification of current certification, license, or registration in good standing to practice social work in another jurisdiction and certified proof of having passed the ASWB Bachelors Level Examination.

(b) In addition to the items set in 21 NCAC 63 .0202(b), applicants for certification as a certified master social worker pursuant to G.S. 90B-8 shall provide verification of current certification, license, or registration and certified proof of having passed the ASWB Masters Level Examination or ACSW exam.

(c) In addition to the items set forth in 21 NCAC 63 .0202(b), applicants for certification as a certified social work manager pursuant to G.S. 90B-8 shall provide:

(1) verification of current licensure in good standing to practice social work in another jurisdiction;

(2) a copy of the state or jurisdiction law determining the qualifications under which the applicant was certified in the other state or jurisdiction; and

(3) certified proof that the applicant has passed the ASWB Advanced Generalist Exam.

(d) In addition to the items set forth in 21 NCAC 63 .0202(b), applicants for licensure as a licensed clinical social worker pursuant to G.S. 90B-8 shall provide verification of a current and active license in good standing to practice social work in another jurisdiction and certified proof of having passed the ASWB Clinical Level Examination. If the applicant has not passed the ASWB Clinical Level Examination at the time of application, the applicant must provide a copy of the state/jurisdiction law determining the qualifications under which the applicant was licensed to practice social work in the other state or jurisdiction so that the Board can determine the applicant's eligibility to take the ASWB Clinical Examination.

(e) In addition to the items set forth in 21 NCAC 63 .0202(b), applicants for licensure as a licensed clinical social worker associate pursuant to G.S. 90B-8 shall provide:

(1) verification of current and active licensure in good standing to practice social work in another jurisdiction;

(2) an Employment Verification Form, as prescribed in 21 NCAC 63 .0202(f), that sets forth the total number of hours and dates of paid supervised post-MSW practice in a clinical setting from each employer for which the applicant has practiced clinical social work in the preceding six years, provided in a sealed envelope with the employer's signature on the envelope's sealed closure; and

(3) a Clinical Social Work Supervision Form, as described in Paragraph (f) of this Rule, from each person who previously has provided clinical supervision to the applicant during the four years preceding the application, provided in a sealed envelope with the signature of the applicant's clinical supervisor on the envelope's sealed closure.

(f) A Clinical Social Work Supervision Form shall be on a form prescribed by the Board, which is available on the Board's website at https://www.ncswboard.gov, and shall contain the following:

(1) the name of the applicant and his or her clinical supervisor;

(2) the applicant's position;

(3) a description of the applicant's clinical social work duties and responsibilities with information about the population served by applicant, problems addressed, assessment, and treatment modalities used for treatment and diagnosis of mental and emotional disorders;

(4) where the applicant worked;

(5) dates during which the applicant was employed;

(6) total number of hours during which the applicant was employed;

(7) dates during which the clinical supervisor provided supervision to the applicant;

(8) total number of hours during which the clinical supervisor provided individual supervision to the applicant;

(9) total number of hours during which the clinical supervisor provided group supervision to the applicant;

(10) total combined hours of individual and group supervision that clinical supervisor provided to the applicant; and

(11) the clinical supervisor's certification that the information set forth in the Clinical Social Work Supervision Form is correct; that the clinical supervisor is certified, licensed, or registered as a clinical social worker with a graduate degree in social work from a program accredited by the Council on Social Work Education and has at least two years of clinical social work experience post-licensure.

History

• Authority G.S. 90B-6; 90B-7; 90B-8
• Eff. August 1, 1987
• Temporary Repeal Eff. October 1, 1999
• Repealed Eff. July 1, 2000
• Eff. October 1, 2021 (Codifier approved agency request to reuse rule number)
• Amended Eff. September 1, 2026.

Earlier captured 21 NCAC 63 .0209 {#publisher-history-d78ac100a434009193b4-1000160 omnilex-key=us-nc-regs-official--title-21--21 NCAC 63 .0209--publisher-history-d78ac100a434009193b4}

(a) The Board shall review each application submitted pursuant to 21 NCAC 63 .0202 and .0207 to determine whether an applicant possesses the educational, supervision, and examination qualifications for eligibility for a particular level of certification or licensure, pursuant to G.S. 90B-7. To be considered eligible to take the Clinical examination, an applicant must have two years of experience in a clinical social work setting documented with the Board and a MSW. To be considered eligible to take the Advanced Generalist examination, an applicant must have two years of experience in an administrative social work setting.

(b) An applicant shall be notified in writing if found to be ineligible for the requested level of certification. If an applicant is found ineligible for the particular level of certification or licensure for which the applicant has applied, the applicant may request in writing to the Board that the applicant be considered for eligibility for another level of certification or licensure for which the applicant possesses the minimum education, supervision, and examination qualifications. Such request must be made no later than 30 days following the date on which the applicant received written notification of ineligibility, as set forth in Paragraph (a) of this Rule. If an applicant is found to be ineligible for any level of certification or licensure, the applicant shall not be allowed to sit for any examination.

(c) If an applicant is found eligible for the particular level of certification or licensure for which the applicant has applied, the Board shall issue the applicant notification of exam candidacy approval. Upon receipt, the applicant shall submit to the Board an Exam Request Form or Clinical Exam Request Form, as described in Paragraph (e) and (f) of this Rule, and the fee set forth in 21 NCAC 63 .0306 to initiate the exam process.

(d) Upon receipt of the applicant's Exam Request Form and the fee set forth in 21 NCAC 63 .0306, the Board shall forward to the applicant instructions for registering to sit for the examination and the deadline by which the exam eligibility shall expire, which is determined in accordance with the ASWB Examination Candidate Handbook that is available at http://aswb.org. If the applicant fails to take the examination before the deadline by which the exam eligibility shall expire, the applicant must submit another Exam Request Form and the fee set forth in 21 NCAC 63 .0306 in order to take the examination. If the applicant takes but fails the examination, the applicant must submit another Exam Request Form and the fee set forth in 21 NCAC 63 .0303 in order to re-take the examination, even if the expiration date has not yet occurred. An applicant must wait at least 90 days from the date on which the applicant took the examination before re-taking the examination.

(e) An applicant desiring to take an examination other than the ASWB Clinical level examination shall submit to the Board an Exam Request Form, which is available on the Board's website at https://www.ncswboard.gov, that shall contain the following:

(1) the applicant's name and address;

(2) the applicant's social security number; and

(3) the type of examination for which the applicant is approved to sit.

(f) An applicant desiring to take the ASWB Clinical level examination shall submit to the Board a Clinical Exam Request Form, which is available on the Board's website at https://www.ncswboard.gov, only after completing two years of clinical practice. The Clinical Exam Request Form shall contain the following:

(1) the name and license number of the applicant;

(2) the contact information, date of birth, and signature of the applicant;

(3) the name, license number, and signature of the applicant's clinical supervisor; and

(4) the attestation of the applicant's clinical supervisor that the applicant has completed two years of clinical practice and is qualified to take the ASWB Clinical level examination.

History

• Authority G.S. 90B-6; 90B-6.2
• Eff. August 1, 1987
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. September 1, 2026; October 1, 2021.

Earlier captured 21 NCAC 63 .0210 {#publisher-history-145eaccdedba5f705da5-1000161 omnilex-key=us-nc-regs-official--title-21--21 NCAC 63 .0210--publisher-history-145eaccdedba5f705da5}

(a) Applicants for licensure as a LCSWA shall provide an application to the Board, as set forth in 21 NCAC 63 .0202(b), and shall comply with the requirements of this Rule.

(b) Prior to practicing clinical social work, associates must demonstrate in writing through an emergency crisis plan that, in the event of a clinical emergency, they have immediate access to at least one licensed mental health professional who has agreed to provide to them emergency clinical consultation to assure that compliance with the North Carolina statutes and rules governing clinical social work practice are maintained. For purposes of this Rule, "immediate" shall mean within one hour. The emergency crisis plan shall be submitted on a form prescribed by the Board that is available on the Board's website. The emergency crisis plan outline must be submitted for each location where the associate practices and shall provide the following:

(1) the name, address, and contact information for the LCSWA practice;

(2) a description of the practice setting that provides whether the practice is in a home, an office setting, and whether the LCSWA practices with other practitioners;

(3) a hierarchy of initial contact persons, if more than one contact person is identified; where each person is located; and his or her estimated response time;

(4) a plan for follow-up consultations with the LCSWA's clinical supervisor if an alternate emergency contact was consulted at the time of need; and

(5) signatures and license numbers of the LCSWA, the LCSW supervisor, and the emergency consultant back-up provider.

Each licensed clinical social worker associate shall notify the Board in writing within seven days of any change in such access by resubmission of an emergency crisis plan outline form.

(c) Prior to practicing clinical social work, associates shall provide to the Board an Employment Verification for LCSWA form that contains the following:

(1) the associate's name, address, contact information, license number, and license issuance and expiration dates;

(2) the name and address of the agency for which the associate intends to work;

(3) the associate's current position title and a copy of the job description;

(4) whether the associate is authorized by the employer to provide clinical services;

(5) the name of the associate's LCSW clinical supervisor and whether the supervisor is located on-site or off-site;

(6) whether the associate is being paid a fee or salary;

(7) dates during which the associate is working full-time, part-time, or as needed; and

(8) the name and signature of the person completing the form on behalf of the employer.

(d) Each associate licensee must be supervised as set forth in G.S. 90B-7(f) and receive on-going appropriate supervision as defined in Rule .0211(a)(2) of this Chapter until the qualifying examination has been passed and the Licensed Clinical Social Worker license is issued.

(e) All associate licensees shall submit reports of their clinical social work experience and supervision on a form prescribed by the Board and made available on the Board's website every six months for review and evaluation by the Board. This six-month review form shall contain the following:

(1) the associate's name, LCSWA license number, and contact information for the associate;

(2) the associate's place of employment and an employment verification form, as prescribed in 21 NCAC 63 .0202(f), if not previously provided to the Board;

(3) the associate's signature and date submitted;

(4) an acknowledgment from the associate's LCSW supervisor as to whether:

(A) a position statement on clinical supervision, available on the Board's website at https://www.ncswboard.gov, has been signed and submitted to the Board;

(B) an emergency crisis plan, as set forth in Paragraph (b) of this Rule, has been submitted to the Board;

(C) a supervisory log has been maintained and is available upon request to verify documented supervision; and

(D) a case narrative summarizing one case treated during this review period has been prepared, reviewed, and is on file and available for Board review, if needed;

(5) a rating of the associate by the associate's LCSW supervisor in all the following categories:

(A) ethical standards of social work practice;

(B) effective use of supervision;

(C) competence in social work practice;

(D) professional growth and development;

(E) consistency of performance effort;

(F) knowledge of social work principles and practices;

(G) ability to formulate a treatment plan appropriate to the clients' needs;

(H) ability to implement interventions consistent with the treatment plan;

(I) supervisee's ability to assess his or her own capacities and skills;

(J) ability to correctly diagnose mental and emotional disorders in accordance with professional judgment and training; and

(K) ability to plan treatment and carry out clinical interventions related to mental and emotional disorders;

(6) a narrative summary regarding the associate's growth as a clinical practitioner and participation in clinical supervision;

(7) the period during which the associate received supervision from the LCSW supervisor;

(8) the number of in-person hours of individual supervision that the associate received;

(9) the number of in-person hours of group supervision that the associate received;

(10) the number of hours provided through technology that the associate received in a group setting;

(11) the number of hours provided through technology that the associate received in an individual setting;

(12) the number of clinical practice hours that the associate attained during the review period; and

(13) the name, phone number, signature, and license number with expiration date of the associate's LCSW supervisor.

(f) To prevent a lapse in licensure, associate licensees who desire to become Licensed Clinical Social Workers shall renew the LCSWA or complete the application process for the Licensed Clinical Social Worker classification and submit the application fee as set in Rule .0208 of this Chapter at least 30 days prior to the expiration of the associate's license.

History

• Authority G.S. 90B-6; 90B-7
• Eff. August 1, 1993
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. October 1, 2012; August 1, 2012; September 1, 2005; April 1, 2001
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. September 1, 2026; October 1, 2021.

Earlier captured 21 NCAC 63 .0213 {#publisher-history-803dd3eb5c0b372c3d08-1000162 omnilex-key=us-nc-regs-official--title-21--21 NCAC 63 .0213--publisher-history-803dd3eb5c0b372c3d08}

(a) Pursuant to G.S. 90B-8(b), any nonresident clinical social worker certified, registered, or licensed in another jurisdiction desiring to obtain a temporary license from the Board shall make application to the Board. Applications not completed within two years of submission to the Board shall be denied. Application forms and instructions may be found on the Board's website at https://www.ncswboard.gov. A temporary license shall expire six months following the date of issuance and is not eligible for renewal. No individual shall hold more than one temporary license within a five-year period.

(b) An applicant pursuant to this Rule shall provide the following information on the application set forth in Paragraph (a) of this Rule:

(1) the applicant's name, contact information, signature, and date of signature;

(2) the social security number of the applicant;

(3) the requested designation of licensure type;

(4) the applicant's place of employment, the name of the applicant's supervisor, and the license number of the applicant's supervisor, if the supervisor holds a license to practice clinical social work;

(5) educational history and degree attainment;

(6) whether the applicant has ever been certified, licensed, or registered to practice social work by the Board, by another occupational board or agency, or in another state/jurisdiction and, if so:

(A) what credential was held;

(B) in what state/jurisdiction;

(C) the issuance date and expiration date; and

(D) what examinations were taken to obtain said certification, licensure, or registration;

(7) whether the applicant ever has had a credential denied, limited, reprimanded, suspended, or revoked;

(8) whether the applicant ever has been convicted of a felony or misdemeanor under any laws;

(9) whether any criminal charges are pending against the applicant;

(10) whether any court, board, agency, or professional organization has found the applicant guilty of misconduct, unprofessional conduct, dishonest or fraudulent practice, or incompetent practice;

(11) whether any charges are pending against the applicant before any court, board, agency, or professional organization for unprofessional conduct, dishonest or fraudulent practice, or incompetent practice;

(12) the applicant's certification that:

(A) the applicant has read the North Carolina General Statute 90B Social Worker Certification and Licensure Act, and the Board's rules, ethical guidelines, and disciplinary procedures, which are available on the Board's website at https://www.ncswboard.gov, and agrees to comply with them;

(B) the information provided by the applicant in the application is true;

(C) the applicant consents to a criminal history record check;

(D) the applicant's consent for the jurisdiction in which the applicant is licensed to release information to the Board related to the applicant's licensure status and practice of social work;

(E) the applicant has read and understands the public notice statement on employee misclassification that is set forth in the application and has disclosed any investigations for employee misclassification, and its results, over the preceding 12-month period, as prescribed by G.S. 143-789; and

(13) an application fee of twenty-five ($25.00) dollars.

(c) An applicant pursuant to this Rule shall provide a copy of the completed application set forth in Paragraph (b) of this Rule to the occupational board or agency in which the applicant is certified, licensed, or registered to practice social work. The applicant shall request that the occupational board or agency in which the applicant is certified, licensed, or registered to practice social work submit a form to the Board that contains the following:

(1) confirmation that the applicant's completed application as set forth in Paragraph (b) of this Rule is accurate, if known;

(2) whether the applicant obtained original licensure from the responding board or agency and, if not, the jurisdiction from which the applicant obtained original licensure;

(3) whether the responding board or agency has official transcripts, as prescribed in 21 NCAC 63 .0203, in its records for the applicant;

(4) whether the applicant graduated from an education program that is accredited by the Council on Social Work Education (CSWE), for which accreditation standards are available at www.cswe.org;

(5) whether the applicant was exempt from the jurisdiction's licensure requirements at the time the applicant received his or her certification, licensure, or registration to practice social work;

(6) whether the applicant took an ASWB examination to obtain licensure in the responding board or agency's jurisdiction and, if so, which examination;

(7) whether the applicant's licensure in the responding board or agency's jurisdiction is in good standing and, if not, the reason for which the licensure in not;

(8) whether the responding board or agency, any state agency, or any professional organization ever has found the applicant guilty of misconduct, unprofessional conduct, dishonest or fraudulent practice, or incompetent practice and, if so, a copy of the documents adjudicating the applicant;

(9) whether any charges are pending against the applicant before the responding board or agency, any state agency, or any professional organization for unprofessional conduct, dishonest or fraudulent practice, or incompetent practice;

(10) whether the applicant completed any supervision of clinical practice that was approved by the responding board or agency and, if so:

(A) the dates of supervision;

(B) the total number of supervision hours recorded;

(C) the total number of practice hours recorded; and

(D) the name and license number of the applicant's supervisor;

(11) whether the responding agency or board has any additional comments regarding the applicant's fitness to practice clinical social work or licensure status; and

(12) the name, signature, date of signature, and contact information of the representative completing the information set forth in Paragraph (c) of this Rule, with the responding board or agency's seal affixed.

History

• Authority G.S. 90B-6; 90B-6.2; 90B-8
• Temporary Adoption Eff. October 1, 1999
• Eff. July 1, 2000
• Amended Eff. January 1, 2009
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. September 1, 2026; October 1, 2021.

Earlier captured 21 NCAC 63 .0215 {#publisher-history-cb56f92cdba69ec1ca66-1000163 omnilex-key=us-nc-regs-official--title-21--21 NCAC 63 .0215--publisher-history-cb56f92cdba69ec1ca66}

(a) General. An individual seeking predetermination pursuant to G.S. 93B-8.1(b6) and this Rule may file with the Board a petition form located on the Board's website, https://www.ncswboard.gov.

(b) Petition Procedure. The petition form shall include all of the following information:

(1) The person's name;

(2) The last four digits of the person's social security number;

(3) The person's current residential address;

(4) The person's current mailing address;

(5) A nationwide criminal history record report from a reporting service designated by the Board, the cost of which shall be borne by the petitioner;

(6) For each crime identified in the criminal history record report, the following information:

(A) Whether the crime was a felony or misdemeanor;

(B) The date that the crime occurred;

(C) The date the person was convicted of, or plead guilty or nolo contendere to, the crime;

(D) The age of the person at the time of the crime;

(E) The circumstances surrounding the commission of the crime;

(F) The sentence imposed for the crime;

(G) The period of time during which the person was incarcerated for the crime, if any;

(H) The period of time during which the person was on probation or parole for the crime, if any;

(I) Any documentation related to the person's rehabilitation or employment since the date of the crime, if any;

(J) Whether the person has undergone any rehabilitative drug or alcohol treatment since the date of the crime;

(K) Whether a Certificate of Relief has been granted regarding the crime, pursuant to G.S. 15A 173.2; and

(L) Any affidavits or other written documents, including character references, for the person; and

(7) An affirmation under oath that the person has read the statutes and rules governing the practice of social work and that the information contained in the petition is true and accurate.

Incomplete petitions shall not be considered by the Board. If incomplete petitions received by the Board are not made complete within 30 days of receipt, the incomplete petitions will be returned to the person from whom the request was made.

(c) Petition Fee. A non-refundable petition fee of forty-five dollars ($45.00) shall accompany each petition. This fee may be paid by certified bank check or money order made payable to the North Carolina Social Work Certification and Licensure Board. Cash shall not be accepted.

(d) Delegation of Authority for Predetermination. The Board delegates authority for rendering predeterminations under this Rule to a committee of the Board that is tasked with reviewing disciplinary matters.

History

• Authority G.S. 90B-11; 93B-8.1
• Eff. February 1, 2020
• Amended Eff. September 1, 2026.

Earlier captured 21 NCAC 63 .0602 {#publisher-history-75fd93e82a42706dd955-1000164 omnilex-key=us-nc-regs-official--title-21--21 NCAC 63 .0602--publisher-history-75fd93e82a42706dd955}

(a) Any person who has reason to believe that a social worker has violated the laws governing the practice of social work may file a complaint with the Board. Anyone wishing to file a complaint shall file a form with the Board office that contains the following information:

(1) the complainant's name and contact information;

(2) the name, contact information, and license number of the social worker about whom the complainant wishes to file the complaint;

(3) a narrative of the facts about which the complaint relies;

(4) identification of the statutes or rules that were allegedly violated, if known;

(5) identification of the individuals and their contact information who may have information to support the complaint;

(6) identification of any documents that may support the complaint; and

(7) the complainant's affirmation that:

(A) the complainant has read and understands the ethics standards and disciplinary procedures of the Board, which are available on the Board's website at https://www.ncswboard.gov;

(B) the information provided by the complainant is true, based on the complainant's personal knowledge, or based upon information that the complainant believes to be true; and

(C) the complainant is aware that the social worker about whom the complaint is filed shall be made aware of the complaint and when the complaint may be disclosed as a public record; and

(8) the complainant's signature and the date when the complaint is made.

(b) Upon receipt of a complaint, the Board shall notify the social worker against whom the complaint was filed, noting the report of a violation and the specific rule or statute brought into question.

(c) Upon receipt of a complaint, the Board, its staff, or designee(s) shall determine whether more information or evidence is needed to show whether a person certified or licensed by the Board has violated any provision of G.S. 90B or the rules of this Chapter. If more information or evidence is deemed necessary, the Board, its staff, or designee(s) shall conduct an investigation.

(d) The complainant and social worker against whom a complaint was filed shall be notified in writing of the Board's decision as to whether an investigation is warranted.

(e) The Board may initiate its own complaint and conduct an investigation of a suspected violation if the Board obtains information tending to show that a violation of G.S. 90B or the rules of this Chapter has occurred.

(f) Any Board member who conducts the investigation of a specific case shall not participate in the Board's adjudication of that case.

History

• Authority G.S. 90B-6; 90B-11
• Eff. September 1, 1989
• Temporary Amendment Eff. October 1, 1999
• Amended Eff. July 1, 2000
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. September 1, 2026; October 1, 2021.

Earlier captured 21 NCAC 63 .0609 {#publisher-history-b2f762dc61ceb766238f-1000165 omnilex-key=us-nc-regs-official--title-21--21 NCAC 63 .0609--publisher-history-b2f762dc61ceb766238f}

(a) In accordance with 45 CFR 60.9, the Board shall report disciplinary actions specified in G.S. 90B-11 to the National Practitioner Data Bank. 45 CFR 60.9 is hereby incorporated by reference, including subsequent amendments and additions, and can be found at https://www.govinfo.gov/content/pkg/CFR-2007-title45-vol1/pdf/CFR-2007-title45-vol1-sec60-9.pdf at no cost.

(b) For purposes of this Rule and G.S. 90B-11, the following matters constitute disciplinary actions:

(1) injunctions for unlicensed practice;

(2) issuance of a cease and desist order;

(3) revocation;

(4) suspension;

(5) censure;

(6) reprimand;

(7) probation;

(8) withdrawal or denial of initial applications or reapplications proximate to an ethics matter;

(9) surrender of certification or license during an investigation;

(10) practice limitations connected to the delivery of health care services as defined by 45 CFR 60.3; and

(11) limitations on the right of a licensee or certificate holder to supervise.

(c) For purposes of this Rule, the following matters shall not constitute disciplinary actions:

(1) monitoring independent of restrictions or discipline;

(2) letters of concern; and

(3) complaints.

History

• Authority G.S. 90B-6(h); 90B-11
• Temporary Adoption Eff. October 1, 1999
• Eff. July 1, 2000
• Amended Eff. July 1, 2011
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 19, 2015
• Amended Eff. October 1, 2021.

Earlier captured 21 NCAC 64 .1004 {#publisher-history-5d4b2a25cb3602db04c8-1000166 omnilex-key=us-nc-regs-official--title-21--21 NCAC 64 .1004--publisher-history-5d4b2a25cb3602db04c8}

(a) Direct Patient Services:

(1) Obtaining case histories from patients and/or families and completing observation checklists.

(2) Administering speech-language screening protocols, as directed by the supervising speech-language pathologist. These screening procedures, including tests and checklists or parts of tests and checklists, will have the purpose of determining the need for further (diagnostic) testing by the supervising speech-language pathologist and must meet the following criteria:

(A) Have unambiguous administration protocols and methods.

(B) Consist of test items which require no more than a binary judgment (i.e., yes-no, present-absent).

(C) Require no more than a specifically-elicited single response.

(D) Require no clinical interpretation by the assistant.

(3) Administering therapeutic protocols, provided that all of the following criteria are met:

(A) Supervision provided by the supervising speech-language pathologist(s) according to the supervision standards of the rules.

(B) Utilizing appropriate stimuli according to a specified protocol determined by the supervising speech-language pathologist(s).

(C) Recording specific target behaviors.

(D) Reinforcing the patient=s responses appropriately following a specified protocol

(E) Providing appropriate cues following a specified protocol when the patient does not produce a correct response.

(F) Summarizing observations of the patient's performance for the supervising speech-language pathologist(s).

(4) Tabulating/scoring screening results, target behaviors, and performance data.

(5) Managing the behavior of patients using behavioral management techniques, as directed by the supervising speech-language pathologist, to establish and maintain appropriate social interaction and motivation/attention to task.

(6) Preparing or positioning patients for evaluation or treatment following specific guidelines of the supervising speech-language pathologist and of the facility.

(7) Communicating with patients, families, and professionals in order to respond appropriately and effectively to patient/family emotional needs and to alert the speech-language pathologist of any problems which may affect treatment outcomes or service quality.

(8) Documenting written/verbal communication with patients, parents, families and educational or medical personnel on the above or related management issues, as directed by the supervising speech-language pathologist.

(9) Direct patient services for evaluation are not within the approved scope of responsibilities for assistants.

(10) Demonstration projects will be authorized by the Board to develop safe and effective swallowing protocols for speech-language pathology assistants.

(b) Indirect Patient Services:

(1) Organizing and managing patient data and patient records, including the following examples:

(A) Documenting historical information in sequence (e.g., chronologically).

(B) Listing missing information.

(C) Confirming, obtaining, and documenting orders/permissions.

(D) Obtaining patient records from external agencies.

(E) Recording patient information from medical or educational records.

(F) Compiling session-to-session data and compiling/comparing outcome data.

(G) Tallying scores on standardized and criterion-referenced tests which require no clinical interpretation by the assistant.

(H) Calculating/determining percentages, frequencies, averages, percentiles, standard scores, etc. from raw data or reference manuals.

(I) Graphing performance data.

(J) Providing a clear, legible record of patient/client performance.

(K) Administering and profiling patient satisfaction measurements.

(L) Assigning/verifying communication disorder and procedure codes.

(M) Scheduling/confirming patent appointments.

(N) Recording treatment and procedure times.

(2) Transporting or escorting patients to/from the testing or therapy area.

(3) Arranging the clinical or treatment setting to maintain a safe and positive environment by providing appropriate seating, providing age-appropriate and culturally appropriate material or toys, and adjusting light and temperature.

(A) Creating materials and/or games to be used during therapy.

(B) Assisting patients/families to obtain and organize materials needed for treatment programs.

(4) Managing, operating, programming, and/or monitoring clinical equipment and materials, including the following:

• Assistive listening devices

• Augmentative communication devices

• Voice equipment

• Audio recording equipment

• Other audiovisual equipment

• Computer-based equipment and software

(A) Setting up equipment and materials for feeding and swallowing sessions.

(B) Setting up other clinical equipment or materials for tasks.

(C) Verifying safety status of equipment.

(D) Maintaining equipment records.

(5) Cleaning equipment, reusable materials, and treatment/work areas using appropriate infection control procedures.

(6) Adhering to the principles of universal precautions when providing services to patients/clients.

(c) Requirements For Providing Services Ethically and Responsibly:

(1) Maintaining patient confidentiality and security of patient records.

(2) Respecting the rights and dignity of all individuals.

(3) Reporting any workplace conduct which appears to be unethical or illegal to the supervising speech-language pathologist or to the Board of Examiners.

(4) Requesting assistance from the supervising speech-language pathologist, as needed, in order to ensure continuous service quality.

(5) Observing universal precautions and safety procedures.

(6) Releasing patients only to the care of appropriate caregivers.

(d) Participating in Research Activities:

(1) Categorizing task-related materials.

(2) Obtaining parent/patient permission forms.

(3) Conducting computer and literature searches.

(4) Encoding and analyzing data.

(5) Establishing reliability.

(6) Filing research information.

(e) Administrative and Clerical Tasks:

(1) Operating office equipment such as word processors, copying machines, laminating machines, fax machines, telephone and voice mail, e-mail, etc.

(2) Copying and sending reports, as appropriate.

(3) Documenting telephone calls and meetings.

(4) Operating and using scheduling, reporting, test scoring software, etc.

(5) Ordering and maintaining supplies and materials.

(6) Organizing and filing patient handouts and educational material.

(7) Verifying insurance coverage, filing insurance claims, and following up on denied claims.

History

• Authority G.S. 90-298.1; 90-304(a)(3)
• Eff. July 1, 1998
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

Earlier captured 21 NCAC 65 .0203 {#publisher-history-37ab8d8b19039b332c87-1000167 omnilex-key=us-nc-regs-official--title-21--21 NCAC 65 .0203--publisher-history-37ab8d8b19039b332c87}

A Licensed Recreational Therapist shall practice recreational therapy, also known as therapeutic recreation, in accordance with the most recent version of the American Therapeutic Recreation Association, Standards for the Practice (the ATRA SOP), including any subsequent amendments or editions. A copy may be purchased from ATRA at: https://www.atra-online.com/ at a cost of twenty-eight dollars ($28.00) for ATRA members and forty dollars ($40.00) for non-ATRA members.

History

• Authority G.S. 90C-22(2); 90C-24(a)(3); 90C-24(a)(10); 90C-24(a)(13)
• Eff. December 1, 2006
• Amended Eff: March 1, 2016
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 21, 2018.

Earlier captured 21 NCAC 65 .0301 {#publisher-history-7a4ec98a2cb762fc5907-1000168 omnilex-key=us-nc-regs-official--title-21--21 NCAC 65 .0301--publisher-history-7a4ec98a2cb762fc5907}

(a) For the purposes of G.S. 90C-27(a), a candidate for licensure as a recreational therapist shall have graduated from an accredited college or university with a baccalaureate degree or higher and with a major or specialization in recreational therapy or therapeutic recreation. The academic major or specialization shall be verified by an official transcript.

(b) For the purposes of this Rule, the following terms mean:

(1) An "academic major" is defined as a degree in recreational therapy or therapeutic recreation.

(2) A "specialization in recreational therapy or therapeutic recreation" is defined as a degree in recreation and leisure studies, or recreation, or health and physical education, or health and human performance with a specialization, also known as an option, emphasis, or concentration, in therapeutic recreation or recreational therapy.

(3) An "accredited college or university" is defined as a college or university accredited by an accreditation body recognized by the United States Department of Education or by the Committee on Accreditation of Recreational Therapy Education (CARTE) under the Commission of Accreditation of Allied Health Education (CAAHEP).

(c) An academic major or specialization is defined by the following components:

(1) Coursework for a degree or specialization in recreational therapy or therapeutic recreation shall reflect six courses, three hours per course in which the title, course description, and course outline reflects recreational therapy or therapeutic recreation content related to the "APIE(D) Process". Course titles may include Introduction or Foundations, Assessment, Planning, Implementation, Evaluation, Research, and Advancement of the Profession. Topics that should be addressed in classes should include, ethics, standards of practice, documentation. Recreational Therapy/Therapeutic Recreation coursework offered in North Carolina must be taught by a licensed recreational therapist (LRT) or out of state by a Certified Therapeutic Recreation Specialist (CTRS™) by the National Council of Therapeutic Recreation Certification (NCTRC). For candidates for licensure who have passed the NCTRC examination and were certified by the NCTRC as a CTRS™, a therapeutic recreation or recreational therapy content course taught is considered the same as a therapeutic recreation or recreational therapy content course taken.

(2) "Supportive coursework" are courses, not including the recreational therapy or therapeutic recreation content courses. Supportive courses for a degree or specialization in recreational therapy or therapeutic recreation shall include three semester hours of anatomy and physiology, three semester hours of abnormal psychology, three semester hours of human growth and development across the lifespan, and nine semester hours in the area of health and human services. Health and human services coursework may include content in the areas of education, ethics, and other courses related to the practice of recreational therapy.

(3) In addition to the coursework required in Subparagraphs (c)(1) and (2) of this Rule, a field placement course shall be required for an academic major or specialization in therapeutic recreation or recreational therapy.

(A) A "field placement course," sometimes called an "internship course," is a course taken for college or university credit and shall require clinical education in an agency providing therapeutic recreation services to clients. The field placement or internship course shall meet the criteria for a field placement set forth by the NCTRC in the NCTRC Standards publication herein incorporated by reference including any subsequent amendments and editions. A copy of the NCTRC field placement requirements may be obtained at no cost on the NCTRC website at: https://www.nctrc.org/wp-content/uploads/2017/09/InternshipInterruptionGuidelines.pdf.

(B) A "university supervisor" of a field placement course is defined as the university faculty assigned to supervise the student and course from the university. If the university is in North Carolina, university supervisors shall be licensed by the North Carolina Board of Recreational Therapy Licensure (NCBRTL) throughout the entire internship experience.

(C) An "agency supervisor" is the recreational therapist or therapeutic recreation specialist, in an agency providing therapeutic recreation or recreational therapy services to patients or clients, assigned to provide clinical supervision to the field placement student from the agency. Supervisors of students completing field placements in North Carolina shall be licensed by the NCBRTL throughout the entire internship experience.

(D) "Successful performance" in a field placement course is defined as a grade of D or Pass awarded by the university supervisor. "Successful performance from the agency supervisor" is defined by an overall rating of "Achieves Expectations" documented on the Clinical Performance Appraisal and Summary Reference Form, (CPASRF) that may be accessed at the Board's website, www.ncbrtl.org or by contacting the Board. The CPASRF includes the content and performance criteria from the American Therapeutic Recreation Association Standards of Practice (ATRA SOP), as set forth in Rule .0203 of this Chapter. The CPASRF is provided by the Board or at the Board's website www.ncbrtl.org.

(d) Candidates for licensure who have been certified as a CTRS™ by NCTRC and have completed all recreational therapy or therapeutic recreation content courses, and all support content course requirements, but cannot locate their internship supervisor, shall file an Internship Supervisor Location Appeals Form and shall be issued a license to practice as a recreational therapist if they verify a minimum of one year of successful performance as a recreational therapist or therapeutic recreation specialist during which time they were a CTRS™ by the NCTRC. Successful work performance shall be verified to the NCBRTL on a CPASRF provided by NCBRTL. "Successful performance" is defined as an overall rating completed by the agency supervisor of "Achieves Expectations" on the CPASRF.

(e) Successful passage of the NCTRC examination shall be determined by the NCTRC. Applicants for licensure shall submit evidence of successful passage of the NCTRC examination to the NCBRTL. Evidence of successful passage of the NCTRC examination shall be copy of his or her NCTRC certificate or a successful passage notification letter from NCTRC.

History

• Authority G.S. 90C-22(2)(i); 90C-22(7); 90C-24(a)(13); 90C-27(a)
• Temporary Adoption Eff. December 1, 2005
• Eff. June 1, 2006
• Amended Eff. March 1, 2016; October 1, 2007
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 21, 2018
• Amended Eff. August 1, 2022.

Earlier captured 21 NCAC 68 .0228 {#publisher-history-04616563175d76b987e6-1000169 omnilex-key=us-nc-regs-official--title-21--21 NCAC 68 .0228--publisher-history-04616563175d76b987e6}

(a) Applicants for a substance use disorder credential by endorsement or reciprocity based on their status as a military spouse shall have their training honored automatically pursuant to the standards of the International Certification and Reciprocity Consortium (IC&RC). Applicants shall apply for a credential by using the Board's credentialing software, Learning Builder, and submit to the Board:

(1) a reciprocity application form prescribed by the IC&RC and provided by the Board as found at its website: http://www.ncsappb.org that shall be found accompanying the reciprocity information on the website;

(2) written evidence demonstrating that the applicant is married to an active member of the U.S. military and that such applicant:

(A) holds a current substance use disorder credential from another jurisdiction whose standards for the credential are substantially equivalent to or greater than those required for the credential described in G.S. 90, Article 5C, this Chapter, and is the subject of the application; and

(B) has engaged in practice as a substance use disorder professional demonstrating the scope of practice as defined by G.S. 90-113.31B for at least 1,500 hours per year during at least two of the five years preceding the date of application; and

(3) a statement disclosing and explaining the commission of an act set out in G.S. 90-113.46A, any disciplinary actions, investigations, malpractice claims, state or federal agency complaints, judgments, settlements, or criminal charges.

(b) All information required shall be received by the Board office.

(c) All applicants shall submit to the Board an electronic copy of the applicant's fingerprints as described on the Board's website.

History

• Authority G.S. 90-113.31A(14); 90-113.31B; 90-113.33; 90-113.38; 90-113.39; 90-113.46; 90-113.46A; 93B-15.1
• Eff. August 1, 2015
• Readopted Eff. December 1, 2020.

Earlier captured 21 NCAC 69 .0304 {#publisher-history-befe41ad7f9d60a97556-1000170 omnilex-key=us-nc-regs-official--title-21--21 NCAC 69 .0304--publisher-history-befe41ad7f9d60a97556}

The conversion of other units of credit to PDH units is as follows:

(1) 1 College or unit semester hour 15 PDH;

(2) 1 College or unit quarter hour 10 PDH;

(3) 1 Hour of professional development in course work, seminars, or professional or technical presentations made at meetings, conventions or conference 1 PDH;

(4) For teaching in Items (1) - (4) of this Rule, PDH credits are doubled*;

(5) Each published paper, article or book 10 PDH;

(6) Active participation in professional and technical society as defined in Rule .0305 of this Section. (Each organization.) 2 PDH.

*Teaching credit is valid for teaching a course or seminar for the first time only.

History

• Authority G.S. 89F-5
• Temporary Adoption Eff. May 15, 1996
• Eff. April 1, 1997
• Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 16, 2014.

Earlier captured 21 NCAC 14S .0112 {#publisher-history-357c7ae0f7f87146b49a-1000171 omnilex-key=us-nc-regs-official--title-21--21 NCAC 14S .0112-1521}

History

• Status: repealed
• Authority G.S. 88B-4; 88B-4(a)(7a); 88B-4(a)(9); 88B-4(a)(10); 88B-10.1; 88B-13; S.L. 2009-521
• Eff. July 1, 2010
• Amended Eff. April 1, 2011
• Repealed Eff. January 1, 2014.

Earlier captured 21 NCAC 18A .1806 {#publisher-history-3b3852e2901ecb5bf2d7-1000172 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18A .1806-1978}

21 NCAC 18A .1807 EXPERIENCE

Earlier captured 21 NCAC 18A .1808 {#publisher-history-9c1d9c9a4bd7f536c52d-1000173 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18A .1808-1979}

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 150B-11(1)
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

Earlier captured 21 NCAC 18A .1809 {#publisher-history-9c1d9c9a4bd7f536c52d-1000174 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18A .1809-1980}

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 150B-11(1)
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

Earlier captured 21 NCAC 18A .1810 {#publisher-history-9c1d9c9a4bd7f536c52d-1000175 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18A .1810-1981}

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 150B-11(1)
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

Earlier captured 21 NCAC 18A .1811 {#publisher-history-9c1d9c9a4bd7f536c52d-1000176 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18A .1811-1982}

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 150B-11(1)
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

Earlier captured 21 NCAC 18A .1812 {#publisher-history-9c1d9c9a4bd7f536c52d-1000177 omnilex-key=us-nc-regs-official--title-21--21 NCAC 18A .1812-1983}

History

• Status: repealed
• Authority G.S. 87-39; 87-42; 87-43.3; 87-43.4; 87-44; 150B-11(1)
• Eff. August 1, 1982
• Repealed Eff. October 1, 1988.

Earlier captured 21 NCAC 58C .0311 {#publisher-history-946254613ea266fe39ae-1000178 omnilex-key=us-nc-regs-official--title-21--21 NCAC 58C .0311-5417}

The principal instructional delivery method utilized in real estate prelicensing and postlicensing courses must provide for the instructor to interact with students either in person in a traditional classroom setting or through an interactive television system or comparable system which permits continuous mutual audio and visual communication between the instructor and all students and which provides for monitoring and technical support at each site where the instructor or students are located. The use of media-based instructional delivery systems such as videotape or digital video disc (DVD), remote non-interactive television, computer-based instructional programs or similar systems not involving continuous mutual audio and visual communication between instructor and students may be employed only to enhance or supplement personal teaching by the instructor. Such delivery systems may not be used to substitute for personal teaching by the instructor. No portion of a course may consist of correspondence instruction.

History

• Authority G.S. 93A-3(c); 93A-4(a); 93A-34
• Eff. July 1, 1996
• Amended Eff. April 1, 2006; April 1, 2004.

Earlier captured 21 NCAC 58C .0312 {#publisher-history-196f4c5fc1f24c6b262f-1000179 omnilex-key=us-nc-regs-official--title-21--21 NCAC 58C .0312-5418}

Schools may deviate from Commission rules concerning student attendance, course scheduling, instructional methods, instructional materials, facilities or similar matters as may be necessary in order for a school to comply with the Americans With Disabilities Act or other laws requiring such schools to accommodate persons with disabilities; provided that no deviations from Commission rules are permitted by this Rule with regard to program structuring, course content, academic course completion standards, or instructors. When considering a request for special accommodation under the Americans With Disabilities Act or other similar laws, a school shall make a reasonable inquiry to determine that the person making the request is a qualified individual with a disability and that the requested accommodation is appropriate for the particular disability. A school providing a special accommodation for a student with a disability that requires the school to deviate from Commission rules shall notify the Commission in writing of the accommodation within ten days of the start of the course in which the student is enrolled or, if the accommodation is requested after the start of the course, within ten days of the date the accommodation is first provided.

History

• Authority G.S. 93A-3(c); 93A-34
• Eff. July 1, 1996
• Amended Eff. July 1, 2000.

Earlier captured 21 NCAC 58E .0401 {#publisher-history-4bf89763b82f51da1855-1000180 omnilex-key=us-nc-regs-official--title-21--21 NCAC 58E .0401-5509}

This Section contains miscellaneous general provisions relating to the approval of sponsors to conduct either the update course or elective courses and to the responsibilities of approved sponsors. Matters addressed include: Sponsor names and eligibility; designation of a continuing education coordinator; renewal of course and sponsor approval; records and reports; grounds for denial or withdrawal of approval, and other related matters.

History

• Authority G.S. 93A-3(c); 93A-4A
• Eff. July 1, 1994.

Earlier captured 21 NCAC 58E .0402 {#publisher-history-0ea7f5cce3e8394426c9-1000181 omnilex-key=us-nc-regs-official--title-21--21 NCAC 58E .0402-5510}

Any legal entity is eligible to seek approval as a sponsor of continuing education courses, provided that the entity seeking approval of a course as a continuing education elective course is either the owner of the proprietary rights to the course or has lawfully acquired from the course owner the right to seek course approval from the Commission and to conduct such course.

History

• Authority G.S. 93A-3(c); 93A-4A
• Eff. July 1, 1994.

Earlier captured 21 NCAC 58E .0403 {#publisher-history-0b6aedd7ecbb7c12ef52-1000182 omnilex-key=us-nc-regs-official--title-21--21 NCAC 58E .0403-5511}

(a) The official name to be used by any course sponsor in connection with the offering of an approved continuing education course must clearly distinguish the sponsor from any other previously approved continuing education course sponsor. Unless the sponsor is a licensed private real estate school proposing to operate continuing education courses in its own name, the official name also must clearly distinguish the sponsor from any licensed private real estate school. Sponsor applicants proposing to use a sponsor name which does not comply with this standard may be required to adopt a different name as a condition of approval.

(b) Any advertisement or promotional material utilized by an approved course sponsor must include the course sponsor's official name and shall not include any other name for the sponsor.

History

• Authority G.S. 93A-3(c); 93A-4A
• Eff. July 1, 1994.

Earlier captured 21 NCAC 58E .0404 {#publisher-history-8c893c1de5f7daf1a259-1000183 omnilex-key=us-nc-regs-official--title-21--21 NCAC 58E .0404-5512}

Prospective sponsors of an update course or elective course must obtain written approval from the Commission to conduct such course prior to conducting the course and prior to advertising or otherwise representing that the course is or may be approved for continuing education credit in North Carolina. No retroactive approval to conduct an update course will be granted for any reason. Retroactive approval of an elective course may be granted by the Commission if the course sponsor can provide evidence satisfactory to the Commission that the course was not offered for purposes of satisfying the real estate continuing education requirement and that the sponsor could not reasonably have been expected to anticipate in advance that students would want to receive continuing education elective credit for the course.

History

• Authority G.S. 93A-3(c); 93A-4A
• Eff. July 1, 1994.

Earlier captured 21 NCAC 58E .0405 {#publisher-history-8d40652de82783c92ad8-1000184 omnilex-key=us-nc-regs-official--title-21--21 NCAC 58E .0405-5513}

A sponsor of an update course or elective course must designate one person to serve as the continuing education coordinator for all Commission-approved continuing education courses offered by the sponsor. The designated coordinator shall serve as the official contact person for the sponsor and shall be responsible for the following:

(1) Supervising the conduct of all the sponsor's Commission-approved continuing education courses;

(2) Signing the course completion certificates provided by the sponsor to licensees completing courses; and

(3) Submitting to the Commission all required fees, rosters, reports and other information.

History

• Authority G.S. 93A-3(c); 93A-4A
• Eff. July 1, 1994
• Amended Eff. July 1, 1995.

Earlier captured 21 NCAC 58E .0406 {#publisher-history-986ffd203495d1ad1c61-1000185 omnilex-key=us-nc-regs-official--title-21--21 NCAC 58E .0406-5514}

(a) Course sponsors must prepare and submit to the Commission, along with the per student fee required by G.S. 93A-4.1(d), reports verifying completion of a continuing education course for each licensee who satisfactorily completes the course according to the criteria in 21 NCAC 58A .1705 and who desires continuing education credit for the course. Such reports shall include students' names, students' license numbers, course date, sponsor and course codes and course information presented in the format prescribed by the Commission, and sponsors shall be held accountable for the completeness and accuracy of all information in such reports. Such reports shall be transmitted electronically via the Internet. Sponsors must submit these reports to the Commission in a manner that will assure receipt by the Commission within seven calendar days following the course, but in no case later than June 15 of any approval period for courses conducted during that approval period.

(b) At the request of the Commission, course sponsors must provide licensees enrolled in each continuing education course an opportunity to complete an evaluation of each approved continuing education course on a form provided by the Commission. Sponsors must submit the completed evaluation forms to the Commission with the reports verifying completion of a continuing education course.

(c) Course sponsors shall provide each licensee who satisfactorily completes an approved continuing education course according to the criteria in 21 NCAC 58A .1705 a course completion certificate on a form provided by the Commission. Sponsors must provide the certificates to licensees within fifteen calendar days following the course, but in no case later than June 15 for any course completed prior to that date. The certificate shall be retained by the licensee as his or her proof of having completed the course.

(d) When a licensee in attendance at a continuing education course does not comply with the student participation standards, the course sponsor shall advise the Commission of this matter in writing at the time reports verifying completion of continuing education for the course are submitted. A sponsor who determines that a licensee failed to comply with either the Commission's attendance or student participation standards shall not provide the licensee with a course completion certificate nor shall the sponsor include the licensee's name on the reports verifying completion of continuing education.

(e) Notwithstanding the provisions of Paragraphs (a) and (c) of this Rule, approved course sponsors who are national professional trade organizations and who conduct Commission-approved continuing education elective courses out of state shall not be obligated to submit reports verifying completion of continuing education courses by electronic means, provided that such sponsors submit to the Commission a roster which includes the names and license numbers of North Carolina licensees who completed the course in compliance with the criteria in 21 NCAC 58A .1705 and who desire continuing education credit for the course. A separate roster must be submitted for each class session and must be accompanied by a per student fee required by G.S. 93A-4.1(d), payable to the North Carolina Real Estate Commission. Rosters must be submitted in a manner which assures receipt by the Commission within 15 calendar days following the course, but not later than the last course reporting dates for an approval period specified in Paragraph (a) of this Rule. Such sponsors may also provide each licensee who completes an approved course in compliance with the criteria in 21 NCAC 58A .1705 a sponsor-developed course completion certificate in place of a certificate on a form provided by the Commission. Sponsors must provide the certificates to licensees within fifteen calendar days following the course.

History

• Authority G.S. 93A-3(c); 93A-4.1
• Eff. July 1, 1994
• Amended Eff. April 1, 2006; July 1, 2005; September 1, 2002; October 1, 2000; July 1, 1996; July 1, 1995.